2018-05-15T09:04:30-05:00 2017-06-30 KPMG LLP One Financial Plaza Hartford CT 061032608 990 2016-07-01 060761704 University of New Haven % GEORGE SYNODI UNIV 2039327000 300 Boston Post Road West Haven CT 06516 GEORGE SYNODI VP For Finance 2039327223 2018-05-14 true MARY-EVELYN ANTONETTI P00431862 8605223200 2018-05-14 2016 2022-09-23 18:48:47Z Steven Kaplan 300 Boston Post Road West Haven CT 06516 284598531 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 3010 75 0 0 11539235 23472329 236178868 242005519 105908 1952107 2250664 8481009 250074675 275910964 76445138 77714682 0 0 94486032 97369191 0 0 3896913 71063337 74488165 241994507 249572038 8080168 26338926 315221544 351341759 169002589 168473408 146218955 182868351 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 179428350 67056924 212394004 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. UNH HAS AN UNDERGRADUATE ENROLLMENT OF 4,936 STUDENTS WITH 52 PERCENT RESIDING IN UNIVERSITY HOUSING. THE UNIVERSITY OFFERS MORE THAN 55 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. 29006870 10657758 32909743 Graduate School: THE GRADUATE SCHOOL HAS AN ENROLLMENT OF 1,899 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. 3078260 5439049 International Program: The University has an international program, delivered abroad, which offers a four-year baccalaureate degree in security studies. 211513480 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 492 0 true 3010 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 true true true true true true true true true false CT X X GEORGE SYNODI 2039327273 300 BOSTON POST ROAD WEST HAVEN CT 06516 Michael Ambrose BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Philip H Bartels Chairman 2.0 0.0 X 0 0 0 Marc 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 Vice Chairman 2.0 0.0 X 0 0 0 Cecilia K Carter BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Roger Cooper BOARD OF GOVERNORS(AS of 9/16) 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 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 Michael Fedele BOARD OF GOVERNORS (END 3/17) 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 Michael Gianoni BOARD OF GOVERNORS (END 11/16) 1.0 0.0 X 0 0 0 Janet Jensen Board of Governors(as of 1/17) 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 BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Robert Manice BOARD OF GOVERNORS (END 7/16) 1.0 0.0 X 0 0 0 Raymond J Margiano 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 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 Rose Polidoro BOARD OF GOVERNORS (END 4/17) 1.0 0.0 X 0 0 0 Michael J Quiello 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 Allison K Schieffelin Walker 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 P Tagliatela BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Rowena Track Board of Governors(as of 1/17) 1.0 0.0 X 0 0 0 Steven Kaplan President 35.0 0.0 X 893393 0 178802 Stephen Morin VP Institutional Advancement 35.0 0.0 X 346240 0 52602 George S Synodi VP Finance 35.0 0.0 X 316277 0 75587 Daniel J May Provost 35.0 0.0 X 282814 0 74479 Walter F Caffey VP Enrollment Management 35.0 0.0 X 267966 0 54645 Caroline Koziatek VP Human Resources 35.0 0.0 X 255116 0 55393 Rebecca Johnson VP STDT AFFAIR & Dean of STDT 35.0 0.0 X 196762 0 46613 James McCoy VP Enrollment Mgmt (End 8/16) 35.0 0.0 X 131488 0 24475 Carolyn Chamberlin VP Marketing (AS OF 7/16) 35.0 0.0 X 107518 0 15691 Gayle Tagliatela Chief of Staff and Secretary 35.0 0.0 X 91252 0 33311 Brian Kench Dean College of Business 35.0 0.0 X 281226 0 72523 Ronald S Harichandran Dean College of Engineering 35.0 0.0 X 268855 0 40419 Mario T Gaboury Dean College of Criminal Just 35.0 0.0 X 223505 0 36270 Louis C Annino Associate VP Facilities 35.0 0.0 X 216458 0 18094 Lourdes M Alvarez Dean College Arts & Science 35.0 0.0 X 199183 0 30617 Mark Johnstone Assoc Project Manager 35.0 0.0 X 372815 0 8231 Kevin J Phillips Assoc VP Enrollment MGMT 35.0 0.0 X 228180 0 50878 William M Norton Assoc Provost Spons Projects 35.0 0.0 X 202273 0 50228 Agamemnon Koutsospyros Professor 35.0 0.0 X 192982 0 41255 Ali Golbazi Professor 35.0 0.0 X 189374 0 48608 5263677 0 1008721 166 false true false Sodexo Inc PO Box 360170 PITTSBURGH PA 152516170 Food Service 13734759 Milestone Construction Services LL 64 Thompson St Ste A-108 EAST HAVEN CT 065135707 Construction 5366943 Consigli Construction Co Inc 72 Sumner St MILFORD MA 017571663 Construction 3099259 Pat Munger Construction Co Inc 750 E Main Street Suite 1 BRANFORD CT 064052950 Construction 850998 Charney Architects LLC 1140 Chapel St NEW HAVEN CT 065114842 Architect 825236 55 X 171777 4936051 18364501 396503 23472329 TUITION 621400 203186725 203186725 RESIDENCE FEES 722320 24449918 24449918 DINING FEES 721310 12335986 12335986 TRANSCRIPTING 900099 518890 518890 COMMISSIONS 900099 411000 411000 1103000 1103000 242005519 1186905 1186905 23637 23637 0 0 0 0 9045241 8252249 51427 792992 -51427 741565 741565 127623 171777 383891 -256268 -256268 0 0 0 0 0 0 INTERNATIONAL PROGRAM 5439049 5439049 GRANT IDC 1320471 1320471 AMORTIZATION OF CAPITAL CONTRIBUTIONS 1241601 1241601 736156 736156 8737277 275910964 250742796 1695839 0 75559566 75559566 2155116 2155116 0 5061183 657343 3987505 416335 0 71865791 56276086 13831208 1758497 4863463 3733495 967532 162436 10426777 7363920 2792567 270290 5151977 3712351 1303461 136165 214912 214912 872928 136562 736366 309179 309179 103347 103347 0 324639 288115 36524 7660021 5003006 2245727 411288 1415893 1313620 78142 24131 5304862 3863060 1266343 175459 3160386 2427544 655683 77159 0 3845940 3570240 253855 21845 3088278 2752127 295056 41095 0 69466 50822 13434 5210 4745620 4175763 522018 47839 0 10944980 9631584 1203946 109450 2626026 1691022 935004 FOOD SERVICE 12415578 12052248 273888 89442 EQUIPMENT & PROPERTY LISTING 8319163 7398764 854768 65631 REPAIRS/MAINTENANCE 3947921 3593630 269650 84641 ALL OTHER EXPENSES 5119026 3789237 1329789 249572038 211513480 34161645 3896913 44234185 62201901 0 0 4386620 12950417 1507511 5551865 0 0 0 0 2568045 2377122 0 0 3067792 2112272 344136746 147619795 190210210 196516951 59871216 60042761 7647476 9588470 0 0 0 0 1728489 0 315221544 351341759 15795136 18981321 3453060 3453060 13152756 22901923 109449253 103622720 0 0 0 0 0 0 0 0 27152384 19514384 169002589 168473408 X 107397678 129711652 20510488 35037044 18310789 18119655 146218955 182868351 315221544 351341759 X 26338926 5196552 5113918 X false true X true true true X 9075141 9650122 10262185 11539235 23472329 63999012 0 0 9075141 9650122 10262185 11539235 23472329 63999012 18679108 45319904 583803 638018 697555 1245951 1210542 4375869 0 3767247 887500 1192589 2538402 8737277 17123015 85497896 1148519502 0.53007 0.74782 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false false false false false false true 103347 false false 103347 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 FY17 APPROPRIATION BILLS. IN ADDITION, THE UNIVERSITY PAYS DUES TO VARIOUS PROFESSIONAL ORGANIZATIONS. AN IMMATERIAL AMOUNT OF THESE DUES ARE ATTRIBUTED TO LOBBYING EXPENSES. 43588303 1403835 4020339 867673 622819 47521985 44898458 1242766 -1587249 538821 426851 43588303 31432131 12946670 1189095 486862 182576 44898458 26935410 581753 4530387 415480 199939 31432131 23540240 1062702 2874421 363352 178601 26935410 0.45700 0.18900 0.35400 false false 12557651 12557651 237321197 79126235 158194962 6997183 6772241 224942 63380043 51969280 11410763 23880672 9752039 14128633 196516951 0 POST RETIREMENT OBLIGATION 5025360 INTEREST RATE SWAP 14489024 19514384 X 211551210 5196552 -69235963 -64039411 275590621 320343 320343 275910964 172396729 -76854966 -76854966 249251695 320343 320343 249572038 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 X, LINE 2 THE UNIVERSITY WAS GRANTED EXEMPT STATUS UNDER THE INTERNAL REVENUE CODE (IRC) SECTION 501(A), AS AN ORGANIZATION DESCRIBED IN SECTION 501(C)(3). UNDER IRC SECTION 501(A), THE UNIVERSITY IS GENERALLY EXEMPT FROM INCOME TAXES. THE UNIVERSITY BELIEVES IT HAS TAKEN NO SIGNIFICANT UNCERTAIN TAX POSITIONS. SCHEDULE D, PART XI, LINE 2D FINANCIAL AID $(77,714,682) INTEREST RATE SWAP 7,422,089 FUNDRAISING EXPENSE 383,891 INCOME ON NON-CONSOLIDATED SUB 672,739 -------------- TOTAL OTHER ITEMS $ (69,235,963) SCHEDULE D, PART XII, LINE 2D FINANCIAL AID $(77,714,682) EXPENSE ON NON-CONSOLIDATED SUB 475,825 FUNDRAISING EXPENSE 383,891 -------------- TOTAL OTHER ITEMS $ (76,854,966) 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 19 Program Services INSTRUCTION 1424137 Middle East and North Africa 1 12 Program Services INSTRUCTION 3320542 Europe (Including Iceland and Greenland) Program Services STUDY ABROAD 210906 East Asia and the Pacific Program Services STUDY ABROAD 182426 Central America and the Caribbean Program Services STUDY ABROAD 31264 Central America and the Caribbean Program Services RECRUITMENT 985 East Asia and the Pacific Program Services RECRUITMENT 99106 Europe (Including Iceland and Greenland) Program Services RECRUITMENT 3027 Middle East and North Africa Program Services RECRUITMENT 39000 North America Program Services RECRUITMENT 173 Russia and the Newly Independent States Program Services RECRUITMENT 491 South America Program Services RECRUITMENT 47221 South Asia Program Services RECRUITMENT 249165 Sub-Saharan Africa Program Services RECRUITMENT 12000 Central America and the Caribbean Grantmaking 130538 East Asia and the Pacific Grantmaking 441068 Europe (Including Iceland and Greenland) Grantmaking 300909 Middle East and North Africa Grantmaking 40521 North America Grantmaking 19358 Russia and the Newly Independent States Grantmaking 19486 South America Grantmaking 50655 South Asia Grantmaking 1129878 Sub-Saharan Africa Grantmaking 22703 2 31 2 31 6492958 1282601 7775559 UNH INSTITUTIONAL AID Central America and the Caribbean 6 130538 ACCT CREDIT UNH INSTITUTIONAL AID East Asia and the Pacific 32 441068 ACCT CREDIT UNH INSTITUTIONAL AID Europe (Including Iceland and Greenland) 16 300909 ACCT CREDIT UNH INSTITUTIONAL AID Middle East and North Africa 5 40521 ACCT CREDIT UNH INSTITUTIONAL AID North America 3 19358 ACCT CREDIT UNH INSTITUTIONAL AID Russia and the Newly Independent States 2 19486 ACCT CREDIT UNH INSTITUTIONAL AID South America 3 50655 ACCT CREDIT UNH INSTITUTIONAL AID South Asia 162 1129878 ACCT CREDIT UNH INSTITUTIONAL AID Sub-Saharan Africa 2 22703 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. SCHOLAR. BALL 199457 141717 57740 25673 79129 102514 123107 GOLF TOURNAMENT 99943 30060 69883 25408 28060 0 299400 171777 127623 25408 53733 79129 102514 123107 383891 -256268 true INSTITUTIONAL AID 7929 72965342 FEDERAL GRANTS 395 1235205 STATE GRANTS 302 911601 PRIVATE GRANTS 186 447418 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 Steven Kaplan President 540745 225000 127648 143047 35755 1072195 Stephen Morin VP Institutional Advancement 284185 29000 33055 41914 10688 398842 George S Synodi VP Finance 283528 30000 2749 42140 33447 391864 Daniel J May Provost 264894 14000 3920 42122 32357 357293 Walter F Caffey VP Enrollment Management 252630 13000 2336 22594 32051 322611 Caroline Koziatek VP Human Resources 218988 35000 1128 20609 34784 310509 Rebecca Johnson VP STDT AFFAIR & Dean of STDT 192599 4163 17842 28771 243375 James McCoy VP Enrollment Mgmt (End 8/16) 127976 3512 11486 12989 155963 Brian Kench Dean College of Business 280981 245 40404 32119 353749 Ronald S Harichandran Dean College of Engineering 267077 1778 40132 287 309274 Mario T Gaboury Dean College of Criminal Just 221979 1526 36270 259775 Louis C Annino Associate VP Facilities 215166 1292 17976 118 234552 Lourdes M Alvarez Dean College Arts & Science 197900 1283 17908 12709 229800 Mark Johnstone Assoc Project Manager 348461 24354 8191 40 381046 Kevin J Phillips Assoc VP Enrollment MGMT 216516 11144 520 20293 30585 279058 William M Norton Assoc Provost Spons Projects 200256 2017 18267 31961 252501 Agamemnon Koutsospyros Professor 191628 1354 13249 28006 234237 Ali Golbazi Professor 187785 1589 15013 33595 237982 SCHEDULE J, PART I, LINE 7 NON-FIXED PAYMENTS SELECTED OFFICERS (EXCEPT THE PRESIDENT) AND KEY EMPLOYEES WERE ISSUED PERFORMANCE BASED INCENTIVES AS ISSUED BY THE PRESIDENT. THESE PAYMENTS WERE MADE TO THE EMPLOYEES FOR MEETING OR EXCEEDING THEIR PERFORMANCE GOALS FOR THE YEAR. INCENTIVE PAYMENTS MADE TO THE PRESIDENT WERE MADE IN ACCORDANCE WITH HIS WRITTEN EMPLOYMENT CONTRACT AS APPROVED BY THE COMPENSATION COMMITTEE OF THE BOARD OF GOVERNORS. SCHEDULE J, PART II, COLUMN B(III) HOUSING ALLOWANCE THE AMOUNT REPORTED IN COLUMN B (III) FOR STEVEN KAPLAN CONTAINS $122,500 WHICH REPRESENTS THE PRESIDENTS ANNUAL HOUSING ALLOWANCE OF $85,000 AND AN ADDITIONAL $37,500 IN CORRECTIVE RETROACTIVE PAYMENTS THAT SHOULD HAVE BEEN PAID DURING THE 2015 CALENDAR YEAR. 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 APPRVOED BY THE BOARD OF GOVERNORS AND SIGNED BY THE CHAIRMAN. THE HOUSING ALLOWANCE IS INCLUDED IN TAXABLE INCOME. TRAVEL FOR COMPANIONS Travel for companion is only allotted for the President of the University where a business purpose exists and requires the spouse to participate. DURING THE YEAR, THE UNIVERSITY INCURRED $5,934 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 A PAYMENT 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). A CHEFA 2005 SERIES E 060806186 20774l5y7 2015-08-17 27460000 REFUND 1996 & RENOVATIONS false false false B CHEFA 2008 SERIES H 060806186 20774ua88 2008-07-02 46000000 CONSTRUCTION & EQUIP. NEW FACILITY false false false C CHEFA 2006 SERIES G 060806186 20774UEV3 2006-08-29 15890000 REFUND 2005 & CONSTRUCTION false false false A 8140000 0 27460000 0 0 0 451166 42442 0 11773846 15192546 0 2007 false true true true B 5880000 0 46000000 0 0 0 619598 50000 0 45330402 0 0 2010 false false true true C 5010000 0 15890000 0 0 0 317800 38000 0 10888221 4645979 0 2008 true false false true A false false true true false 0 false false false false B false false true true false 0 false false false false C false false true true false 0 false false false false A false false true true true true Wells Fargo NA 19. false false false 0 false false B false false true true true true Wells Fargo NA 20. false false false 0 false false C false false true true true true WELLS FARGO NA 22. false false false 0 false false A true B true C true SCHEDULE K, PART IV, LINE 1 AND 2C FORM 8038-T FILING REQUIREMENT A CALCULATION WAS PERFORMED ON 8/11/2015 FOR THE SERIES E BOND LISTED. AS A RESULT OF THIS CALCULATION IT WAS DETERMINED THAT THERE ARE NO FUNDS SUBJECT TO REBATE. A CALCULATION WAS PERFORMED ON 8/11/2015 FOR THE SERIES G BOND LISTED. AS A RESULT OF THIS CALCULATION IT WAS DETERMINED THAT THERE ARE NO FUNDS SUBJECT TO REBATE. A CALCULATION WAS PERFORMED ON 8/11/2015 FOR THE SERIES H BOND LISTED. AS A RESULT OF THIS CALCULATION IT WAS DETERMINED THAT THERE ARE NO FUNDS SUBJECT TO REBATE. A CALCULATION WAS PERFORMED ON 10/11/2014 FOR THE SERIES I BOND LISTED. AS A RESULT OF THIS CALCULATION IT WAS DETERMINED THAT THERE ARE NO FUNDS SUBJECT TO REBATE. A CALCULATION WAS PERFORMED ON 11/22/2014 FOR THE SERIES J BOND LISTED. AS A RESULT OF THIS CALCULATION IT WAS DETERMINED THAT THERE ARE NO FUNDS SUBJECT TO REBATE. 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. A CHEFA 2013 Series I 060806186 2013-10-11 28670000 CONSTRUCTION & EQUIP. NEW FACILITY false false false B CHEFA SERIES 2013 J 060806186 2013-11-22 10000000 PURCHASE OF RESIDENCE HALL false false false A 1822842 0 28670000 0 362436 0 0 0 0 28307564 0 0 2015 false false false true B 1055000 0 10000000 0 0 0 0 0 0 10000000 0 0 2015 false false false true A false false true true false 0 false false false false B false true true true false 0.01860 0.01860 false false false false A false false false true true true WEBSTER BANK NA 6. false false false 0 false false B false false true true false false 0 false 0 false false A true B true X 8 396503 FMV 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 LOCAL 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, 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 & 15B COMPENSATION POLICY 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 7/1/16-6/30/17 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'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 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, SECTION C, 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 X, LINES 9 AND 15 The ending balance sheet presentation for lines 9 and 15 has been changed to agree to the financial statements. The beginning balances have been updated accordingly for comparability purposes. FORM 990, PART XI, LINE 9 OTHER CHANGES IN NET ASSETS INTEREST RATE SWAP $ 7,422,091 RECLASS ENDOWMENT RETURN TO AFFILIATE -2,308,171 -------------- TOTAL $ 5,113,918 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 true true false false true true HENRY C LEE INSTITUTE OF FORENSIC SCIENCE n 459670 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE o 404438 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE r 306679 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE s 289878 FMV LYME ACADEMY COLLEGE OF FINE ARTS INC o 1875341 FMV LYME ACADEMY COLLEGE OF FINE ARTS INC r 5786520 FMV LYME ACADEMY COLLEGE OF FINE ARTS INC s 3878318 FMV