2023-05-12T10:06:40-05:00 2022-06-30 135565207 KPMG LLP 345 PARK AVENUE NEW YORK NY 101540102 990 2021-07-01 060761704 UNIVERSITY OF NEW HAVEN UNIV 2039327000 300 BOSTON POST ROAD WEST HAVEN CT 06516 GEORGE S SYNODI VP FOR FINANCE 2039327000 2023-05-11 1 GEORGE SYNODI 999009999 DEVIN L DUNCAN P01249521 2127589700 2023-05-02 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z STEVEN H KAPLAN 300 BOSTON POST ROAD WEST HAVEN CT 06516 376631706 0 X WWW.NEWHAVEN.EDU X 1920 CT SEE SCHEDULE OTHE UNIVERSITY OF NEW HAVEN IS A STUDENT-CENTERED COMPREHENSIVE UNIVERSITY WITH AN EMPHASIS ON EXCELLENCE IN LIBERAL ARTS AND PROFESSIONAL EDUCATION. 27 27 2707 321 0 0 26087058 32957297 285792352 303304348 1597368 5929667 2657306 2534134 316134084 344725446 112635619 125734873 0 0 100570633 103660017 0 0 2342060 87797475 98726657 301003727 328121547 15130357 16603899 439200046 427053753 190781591 185006866 248418455 242046887 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.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. 0 0 258352322 119965902 252416642 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 5,023 STUDENTS WITH 49 PERCENT RESIDING IN UNIVERSITY HOUSING. THE UNIVERSITY OFFERS 82 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. 33847936 5768971 51261504 GRADUATE SCHOOL: THE GRADUATE SCHOOL HAS AN ENROLLMENT OF 2,490 STUDENTS AND OFFERS 72 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. 1566994 2080253 INTERNATIONAL PROGRAM: THE UNIVERSITY ASSISTED AN INTERNATIONAL PROGRAM, WHICH OFFERS A FOUR-YEAR BACCALAUREATE DEGREE IN SECURITY STUDIES, DELIVERED ABROAD. 293767252 1 1 0 1 0 0 0 0 0 1 1 0 0 1 1 1 0 1 1 1 1 0 1 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 0 0 1 317 0 1 2707 1 0 1 IT 0 0 0 1 1 0 0 0 0 0 0 X 27 27 0 0 0 0 0 0 0 1 1 0 1 0 1 1 1 1 1 1 1 1 0 CT X X GEORGE S SYNODI 2039327273 300 BOSTON POST ROAD WEST HAVEN CT 06516 MICHAEL AMBROSE VICE CHAIR 2.00 0.00 X 0 0 0 PHILIP BARTELS BOARD OF GOVERNORS 1.00 1.00 X 0 0 0 SAMUEL BERGAMI BOARD OF GOVERNORS 1.00 1.00 X 0 0 0 KENNETH BIERMACHER BOARD OF GOVERNORS 1.00 1.00 X 0 0 0 CAROLYN BREHM BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 WILLIAM BUCKNALL BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 K ONI CHUKWU BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 ROGER COOPER BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 RAPHAEL CRAWFORD BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 EILEEN EDER BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 LAWRENCE FLANAGAN BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 ROSA GATTI BOARD OF GOVERNORS 1.00 1.00 X 0 0 0 JEFFERY P HAZELL BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 JENNIFER D JACKSON BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 ROBERT M LEE BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 DENNIS R MCGOUGH BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 JOSEPHINE MORAN BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 KEVIN A MYATT BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 DAVID J PETERSON BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 CHARLES E POMPEA CHAIR 2.00 0.00 X 0 0 0 ERNEST SCHAUB BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 ANTHONY SCILLIA BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 ANIL SHAH BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 SHELLEY STEWART BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 STEPHEN TAGLIATELA BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 RANDAL THOMPSON BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 ROWENA TRACK BOARD OF GOVERNORS 1.00 0.00 X 0 0 0 STEVEN H KAPLAN PRESIDENT 35.00 0.00 X 839125 0 992247 GEORGE S SYNODI VP FINANCE & ADMINISTRATION 34.00 1.00 X 347426 0 93473 MARIO T GABOURY INTERIM PROV.&SR.VP OF ACAD. 35.00 0.00 X 327008 0 103577 BRIAN OTIS VP FOR UNIV ADVANCEMENT (BEG 9/21) 35.00 0.00 X 89430 0 27936 STEPHEN MORIN VP FOR UNIV ADVANCEMENT (THRU 9/21) 35.00 0.00 X 329106 0 52653 CAROLINE KOZIATEK VP HUMAN RESOURCES & TITLE IX COORDINATOR 35.00 0.00 X 254490 0 99682 GREGORY EICHHORN VP ENROLLMENT & STUDENT SUCCESS 35.00 0.00 X 344209 0 106579 JEAN HUSTED VP CHIEF OF STAFF 35.00 0.00 X 267265 0 43301 DANIEL MABREY INTERNATIONAL PROGRAM MANAGER 35.00 0.00 X 713362 0 26275 HISHAM AKHONBAY INTL PROG KNOWLEDGE XFER MGR 35.00 0.00 X 309443 0 12150 GENE KLINE INTL PROG DIRECTOR OF INTELEG STUDIES 35.00 0.00 X 410952 0 20586 BRIAN KENCH DEAN 35.00 0.00 X 291076 0 105355 RONALD HARICHANDRAN DEAN 35.00 0.00 X 306190 0 53555 DANIEL J MAY PROFESSOR 35.00 0.00 X 129899 0 14350 4958981 0 1751719 208 1 1 0 SODEXO INC PO BOX 360170 PITTSBURGH PA 15251 FOOD SERVICE 14848281 PAT MUNGER CONSTRUCTION CO INC 750 EAST MAIN STREET STE1 BRANFORD CT 06405 CONSTRUCTION 7757912 MILESTONE CONSTRUCTION SERVICES INC 64 THOMPSON STREET EAST HAVEN CT 06513 CONSTRUCTION 5537241 DIVERSIFIED BUILDING SERVICES 101 N PLAINS INDUSTRIAL RD WALLINGFORD CT 06492 MAINTENANCE 3299895 CONSIGLI CONSTRUCTION CO INC 72 SUMNER ST MILFORD MA 01757 CONSTRUCTION 3261204 47 55020 20064474 12837803 1938066 32957297 TUITION 611600 256324408 256324408 RESIDENCE FEES 721310 29912760 29912760 DINING FEES 722320 13819977 13819977 INTERNATIONAL PROGRAMS 611710 2080253 2080253 COMMISSIONS 900099 1166950 1166950 303304348 2784354 2784354 1232 1232 205817 131771 74046 74046 74046 32531359 2337723 29766941 1958060 2764418 379663 3144081 3144081 55525 55020 49488 6037 6037 GRANT IDC 900099 847008 847008 AUXILLARY OTHER 900099 567955 567955 ATHLETIC REVENUE 900099 279709 279709 759379 759379 2454051 344725446 305758399 0 6009750 116691212 116691212 9043661 9043661 3572012 511890 2274166 785956 82262843 66807168 14714060 741615 4056820 3540366 481374 35080 8185568 6049473 1879288 256807 5582774 4354968 1153064 74742 106935 106935 815819 532028 283791 296946 254396 42550 101533 101533 235601 115521 120080 4911114 3818308 1083246 9560 1248298 1239191 6849 2258 5458757 4103156 1253220 102381 4856679 1844881 3010069 1729 4406607 4075965 330642 1750340 1556166 164018 30156 915702 439389 438142 38171 5400509 4995484 405025 11313210 10466152 847058 5845036 4079703 1765333 FOOD SERVICE 13297557 13244616 36603 16338 REPAIR AND MAINTENANCE 10177402 10051246 125830 326 OTHER SERVICE AGREEMENT 10091808 8829597 1039619 222592 ALL OTHER EXPENSES 6838048 6399289 416472 22287 10658756 10514958 141736 2062 328121547 293767252 32012235 2342060 244258 242197 28126569 17411075 1425647 5057198 2987229 3953709 688980 508252 1480857 2024936 474462072 197654213 277534975 276807859 94241691 90143697 12149482 7922088 20320358 22982742 439200046 427053753 32307883 29566683 1384965 1192117 12669249 11997222 120590723 116083120 23828771 26167724 190781591 185006866 X 181551969 177970627 66866486 64076260 248418455 242046887 439200046 427053753 16603899 -21975467 -1000000 0 X 0 1 X 1 1 1 X 13948490 9431609 14697034 26087058 32957297 97121488 13948490 9431609 14697034 26087058 32957297 97121488 7752846 89368642 1771532 3157263 3122723 2287434 2991403 13330355 3832369 3845599 2928525 2619264 2454052 15679809 126131652 1388856196 0.70850 0.63150 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISC - 2017 AMOUNT: $ 790,941. 2018 AMOUNT: $ 992,865. 2019 AMOUNT: $ 973,191. 2020 AMOUNT: $ 1,143,069. 2021 AMOUNT: $ 890,371. AMORTIZATION OF CAP CONT - 2017 AMOUNT: $ 1,248,749. 2018 AMOUNT: $ 1,284,464. 2019 AMOUNT: $ 532,380. 2020 AMOUNT: $ 496,964. 2021 AMOUNT: $ 436,964. ATHLETIC - 2017 AMOUNT: $ 305,613. 2018 AMOUNT: $ 503,561. 2019 AMOUNT: $ 598,145. 2020 AMOUNT: $ 97,038. 2021 AMOUNT: $ 279,709. GRANT IDC - 2017 AMOUNT: $ 1,487,066. 2018 AMOUNT: $ 1,064,709. 2019 AMOUNT: $ 824,809. 2020 AMOUNT: $ 882,193. 2021 AMOUNT: $ 847,008. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 101533 0 0 101533 0 PART II-B, LINE 1: 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 TRHOUGH THE VARIOUS FY22 APPROPRIATION BILLS. IN ADDITION, THE UNIVERSITY PAYS DUES TO VARIOUS PROFESSIONAL ORGANIZATIONS. AN IMMATERIAL AMOUNT OF THESE DUES ARE ATTRIBUTED TO LOBBYING EXPENSES. 90951631 4766655 -10687059 1197230 1690041 82143956 66919161 7550172 18707868 800155 1425415 90951631 66419712 1008670 1446474 710130 1245565 66919161 63793485 101480 3954168 887128 542293 66419712 47521985 13612687 4067022 508214 899995 63793485 0.43870 0.41600 0.14530 0 0 13655389 13655389 335377392 107985590 227391802 7491505 7106350 385155 77349822 66222392 11127430 40587964 16339881 24248083 276807859 RIGHT-OF-USE ASSETS 22982742 22982742 OPERATING LEASE LIABILITIES 23306088 POSTRETIREMENT HEALTHCARE OBLIGATION 2861636 26167724 X 203236337 -21975467 -119459300 -141434767 344671104 235601 -181259 54342 344725446 208685839 362970 362970 208322869 235601 119563077 119798678 328121547 PART V, LINE 4: USE OF ENDOWMENT FUNDS THE UNIVERSITY'S ENDOWMENT CONSISTS OF 273 INDIVIDUAL FUNDS. THROUGH THE ENDOWMENT'S INVESTMENT POLICY, FUNDS ARE AVAILABLE FOR SCHOLARSHIPS, PROFESSORSHIPS, EQUIPMENT, RESEARCH AND PROFESSIONAL DEVELOPMENT. PART X, LINE 2: INCOME TAXES FOOTNOTE FROM CONSOLIDATED FINANCIAL STATEMENTS: THE UNIVERSITY WAS GRANTED AN 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 NO SIGNIFICANT UNCERTAIN TAX POSITIONS. PART XI, LINE 2D - OTHER ADJUSTMENTS: FINANCIAL AID -119,563,077. ADJUSTMENT FOR NON-CONSOLIDATED SUB 1,103,777. PRIOR YEAR GIFT RECLASS -1,000,000. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL PROPERTY EXPENSES -131,771. FUNDRAISING EXPENSES -49,488. PART XII, LINE 2D - OTHER ADJUSTMENTS: ADJUSTMENT FOR NON-CONSOLIDATED SUB 181,711. RENTAL EXPENSES 131,771. FUNDRAISING EXPENSES 49,488. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 119,563,077. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 SEE SUPPLEMENTAL PAGE 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 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 WILLIS SCHOLARSHIP PROGRAM. 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. 94% OF THE UNIVERSITY'S FULL-TIME 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. 1 EUROPE 1 20 PROGRAM SERVICES INSTRUCTION 1073928 MIDDLE EAST AND NORTH AFRICA 1 7 PROGRAM SERVICES INSTRUCTION 1073669 EUROPE 0 0 PROGRAM SERVICES STUDY ABROAD 48333 EAST ASIA AND PACIFIC 0 0 PROGRAM SERVICES RECRUITMENT 3000 EUROPE 0 0 PROGRAM SERVICES RECRUITMENT 4500 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES RECRUITMENT 51000 SOUTH ASIA 0 0 PROGRAM SERVICES RECRUITMENT 3317400 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES RECRUITMENT 24000 CENTRAL AMERICA/ CARIBBEAN 0 0 GRANTMAKING 353380 EAST ASIA AND PACIFIC 0 0 GRANTMAKING 276573 EUROPE 0 0 GRANTMAKING 606460 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 218183 NORTH AMERICA 0 0 GRANTMAKING 84544 RUSSIA AND NEIGHBORING STATES 0 0 GRANTMAKING 70013 SOUTH AMERICA 0 0 GRANTMAKING 279939 SOUTH ASIA 0 0 GRANTMAKING 6318120 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 836449 2 27 0 0 2 27 5595830 9043661 14639491 UNH INSTITUTIONAL AID CENTRAL AMERICA/ CARIBBEAN 29 353380 ACCT CREDIT FMV UNH INSTITUTIONAL AID EAST ASIA AND PACIFIC 33 276573 ACCT CREDIT FMV UNH INSTITUTIONAL AID EUROPE 31 606460 ACCT CREDIT FMV UNH INSTITUTIONAL AID NORTH AMERICA 10 84544 ACCT CREDIT FMV UNH INSTITUTIONAL AID MIDDLE EAST AND NORTH AFRICA 35 218183 ACCT CREDIT FMV UNH INSTITUTIONAL AID RUSSIA AND NEIGHBOURING STATES 5 70013 ACCT CREDIT FMV UNH INSTITUTIONAL AID SOUTH AMERICA 22 279939 ACCT CREDIT FMV UNH INSTITUTIONAL AID SOUTH ASIA 1397 6318120 ACCT CREDIT FMV UNH INSTITUTIONAL AID SUB-SAHARAN AFRICA 125 836449 ACCT CREDIT FMV 0 0 0 0 0 1 PART III ACCOUNTING METHOD: 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. 94% OF THE UNIVERSITY'S UNDERGRADUATE STUDENTS RECEIVE SOME FORM OF FINANCIAL ASSISTANCE. INSTITUTIONAL FINANCIAL AID CAN CONSIST OF MERIT OR NEED BASED GRANTS OR SCHOLARSHIPS. FEDERAL AND STATE FINANCIAL AID IS AWARDED BASED UPON 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. FEDERAL AND STATE FINANCIAL AID AWARDS ARE ONLY AVAILABLE TO U.S. CITIZENS OR ELIGIBLE NON-CITIZENS. HOWEVER, CITIZENSHIP IS NOT REQUIRED TO RECEIVE INSTITUTIONAL MERIT OR ATHLETIC SCHOLARSHIPS. STUDENTS MUST BE MAKING SATISFACTORY ACADEMIC PROGRESS TO RECEIVE FEDERAL AND/OR STATE FUNDING. FEDERAL, STATE, PRIVATE GRANT FUNDS, AND INSTITUTIONAL AID FUNDS ARE NORMALLY APPLIED AS CREDITS TO STUDENT ACCOUNTS. GOLF TOURNAMENT 110545 55020 55525 49488 110545 55020 55525 49488 49488 6037 1 FEDERAL 321 866897 FMV PRIVATE 424 1473157 FMV STATE 499 1315799 FMV INSTITUTIONAL AID 5871 106893064 FMV EMERGENCY AID TO STUDENTS 4911 6142295 FMV 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. 94% 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. 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. $6,142,295 WAS FUNDED BY THE HIGHER EDUCATION EMERGENCY RELIEF FUND (HEERF) ESTABLISHED UNDER THE CORONAVIRUS AID, RELIEF, AND ECONOMIC SECURITY ACT (CARES ACT). X X 1 1 X X X X 0 1 0 0 0 0 0 1 0 STEVEN H KAPLAN PRESIDENT 728540 0 0 0 110585 0 945500 0 46747 0 1831372 0 0 0 DANIEL MABREY INTERNATIONAL PROGRAM MANAGER 233555 0 126440 0 353367 0 26275 0 0 0 739637 0 0 0 GREGORY EICHHORN VP ENROLLMENT & STUDENT SUCCESS 282685 0 60000 0 1524 0 54452 0 52127 0 450788 0 0 0 GEORGE S SYNODI VP FINANCE & ADMINISTRATION 342520 0 0 0 4906 0 56000 0 37473 0 440899 0 0 0 GENE KLINE INTL PROG DIRECTOR OF INTELEG STUDIE 158234 0 35189 0 217529 0 18083 0 2503 0 431538 0 0 0 MARIO T GABOURY INTERIM PROV.&SR.VP OF ACAD. 267109 0 56000 0 3899 0 49938 0 53639 0 430585 0 0 0 BRIAN KENCH DEAN 290446 0 0 0 630 0 52305 0 53050 0 396431 0 0 0 STEPHEN MORIN VP FOR UNIV ADVANCEMENT (THRU 9/21) 238123 0 89000 0 1983 0 41105 0 11548 0 381759 0 0 0 RONALD HARICHANDRAN DEAN 303469 0 0 0 2721 0 52305 0 1250 0 359745 0 0 0 CAROLINE KOZIATEK VP HUMAN RESOURCES & TITLE IX COORDI 227822 0 24500 0 2168 0 45870 0 53812 0 354172 0 0 0 HISHAM AKHONBAY INTL PROG KNOWLEDGE XFER MGR 172576 0 37330 0 99537 0 12150 0 0 0 321593 0 0 0 JEAN HUSTED VP CHIEF OF STAFF 224299 0 41000 0 1966 0 43134 0 167 0 310566 0 0 0 DANIEL J MAY PROFESSOR 127739 0 0 0 2160 0 14350 0 0 0 144249 0 0 0 PART I, LINE 4B SEVERANCE, NONQUALIFIED, AND EQUITY-BASED PAYMENTS NAME: KAPLAN, STEVEN H NONQUALIFIED: $900,000 DURING THE YEAR, TOTAL CONTRIBUTIONS OF $900,000 WERE MADE TO A 457(F) DEFERRED COMPENSATION PLAN. THESE CONTRIBUTIONS ARE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE UNTIL THE DATE OF VESTING (JANUARY 2025 AND JANUARY 2026, RESPECTIVELY). PART I, LINE 7 NONFIXED PAYMENTS CERTAIN INDIVIDUALS RECEIVED DISCRETIONARY NONFIXED BONUS PAYMENTS IN CALENDAR YEAR 2021, AS REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). PART III - OTHER ADDITIONAL INFORMATION SCHEDULE J, PART II, COLUMN (B)(III) THE $110,585 AMOUNT REPORTED IN COLUMN (B)(III) FOR PRESIDENT STEVEN H KAPLAN REPRESENTS OTHER REPORTABLE COMPENSATION ITEMS WHICH ARE TAXABLE TO THE PRESIDENT. THIS INCLUDES $85,000 HOUSING ALLOWANCE, $8,095 LIFE INSURANCE COVERAGE, $9,906 FOR GROUP TERM LIFE INSURANCE COVERAGE AND $7,584 VEHICLE USE FRINGE BENEFIT. SCHEDULE J, PART II, COLUMN (C) THE AMOUNT REPORTED IN COLUMN (C) FOR PRESIDENT STEVEN H KAPLAN OF $945,500 REPRESENTS RETIREMENT AND OTHER DEFERRED COMPENSATION ITEMS. PRESIDENT KAPLAN PARTICIPATED IN A NON-QUALIFIED RETIREMENT PLAN UNDER IRC SECTION 457(F). DURING THE YEAR THE ANNUAL CONTRACTUAL MINIMUM CONTRIBUTION OF $100,000 WAS MADE TO A 457(F) DEFERRED COMPENSATION PLAN. IN ADDITION, $800,000 IN FUNDING WAS MADE TO THE 457(F) PLAN. THESE CONTRIBTUIONS WILL REMAIN A UNIVERSITY ASSET AND INVESTED UNTIL VESTING IS ACHIEVED OR THE FUNDS REVERT BACK TO THE UNIVERSITY IF THE FORFEITURE PROVISIONS ARE MET. RETIREMENT CONTRIBUTIONS OF $19,500 FOR THE 457(B) PLAN AND $26,000 FOR THE 403(B) PLAN WERE ALSO MADE. SCHEDULE J, PART II, COLUMN (D) NONTAXABLE BENEFIT ITEMS. THE AMOUNT REPORTED IN COLUMN (D) FOR PRESIDENT STEVEN H KAPLAN CONSIST OF EMPLOYEE CONTRIBUTED FUNDS OF $16,406 FOR MEDICAL INSURANCE, UNIVERSITY CONTRIBUTED FUNDS OF $25,915 FOR MEDICAL INSURANCE, $167 IN DIMINIMUS FRINGE BENEFIT, $4,149 FOR REIMBURSED TRAVEL, AND $110 FOR REIMBURSED SPOUSAL TRAVEL. TRAVEL FOR COMPANIONS IS ONLY ALLOWED FOR THE PRESIDENT OF THE UNIVERSITY WHERE A BUSINESS PURPOSE EXISTS AND REQUIRES THE SPOUSE TO PARTICIPATE. INTERNATIONAL TRAVEL AND HOUSING CERTAIN EMPLOYEES, WHO PERFORM THEIR DUTIES OVERSEAS, RECEIVED ADDITIONAL COMPENSATION RELATED TO: HOUSING, TRANSPORTATION, TRAVEL, AND OTHER RELATED EXPENSES BECAUSE OF THEIR FOREIGN DEPLOYMENT. THESE EXPENSES ARE FUNDED BY AN INTERNATIONAL SERVICE CONTRACT WITH THE UNIVERSITY. THE ADDITIONAL COMPENSATION ITEMS ARE CODIFIED WITHIN EACH EMPLOYEE'S EMPLOYMENT CONTRACT AND ARE INCLUDED IN THE EMPLOYEE'S SCHEDULE J, PART II, COLUMN (B)(III). A CHEFA 2018 SERIES K1 060806186 20774Y4T1 2018-05-01 97611168 REFINANCE PRIOR DEBT CHEFA SERIES 0 0 0 B CHEFA 2019 SERIES K3 060806186 20774Y6K8 2018-11-28 26904071 CONSTRUCT ACADEMIC BUILDING 0 0 0 A 97611168 1004718 96606450 2015 1 0 1 1 B 26904071 531301 26372770 2021 0 0 1 1 A 0 1 0 0 0.00310 0.00310 0 0 1 B 0 0 0 0 0 0 1 A 0 1 1 0 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 A 1 B 1 SCHEDULE K, PART II, LINE 11 PURPOSE OF ISSUE DESCRIPTION CHEFA 2018 SERIES K1 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 II, LINE 11 CHEFA 2019 SERIES K3 BOND PROCEEDS WERE USED TO CONSTRUCT AN ACADEMIC BUILDING. SCHEDULE K, PART III, LINE 3A QUALIFIED PRIVATE ACTIVITY BOND CHEFA 2018 SERIES K1 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 III, LINE 3A CHEFA 2019 SERIES K3 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 CHEFA 2018 SERIES K1 ARBITRAGE CALCULATION - 2018 SERIES K1 THE ORGANIZATION MET THE EIGHTEEN MONTH SPENDING EXCEPTION; THEREFORE NO REBATE CALCULATION IS REQUIRED. X 8 1938066 FMV 0 1 0 PART I, COLUMN (B): NUMBER OF CONTRIBUTIONS THE AMOUNT IN COLUMN B INDICATES THE NUMBER OF INDIVIDUAL CONTRIBUTIONS. FORM 990, PART VI, SECTION B, LINE 10B LOCAL BRANCHES THE UNIVERSITY OPERATES 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, LINE 15 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 SENIOR MANAGEMENT OFFICIALS AT THE UNIVERSITY. THE 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 (INCLUDING ONE BOARD MEMBER WHO IS A PRACTICING CONNECTICUT ATTORNEY). 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 THUS ABLE TO CONDUCT THE COMPENSATION REVIEW AT "ARMS' LENGTH". WITH REGARD TO THE UNIVERSITY'S 7/1/21-6/30/22 FISCAL YEAR, THE COMMITTEE CONDUCTED AN IN-DEPTH REVIEW, AND DISCUSSION, OF FOUR RELEVANT MATTERS. THIS REVIEW TOOK PLACE ON AUGUST 5TH, 2021. FIRST, THE COMMITTEE 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 RELEVANT 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 THE COMMITTEE MEMBER WHO IS A PRACTICING CONNECTICUT ATTORNEY.) THE SECOND AND 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 THUS ABLE TO CONDUCT THE COMPENSATION REVIEW AT "ARMS' LENGTH.") THE BOARD THEN DISCUSSED THE DATA GATHERED 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 CONCLUDED THAT ITS PROCEDURES FOR DETERMINING THE COMPENSATION OF ITS SENIOR 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, SECTION C, LINE 19 PUBLIC DISCLOSURE POLICY THE UNIVERSITY ALLOWS ACCESS TO IMPORTANT DOCUMENTS OF PUBLIC INTEREST THROUGH THE UNIVERSITY'S WEBSITE. THE UNIVERSITY'S TAX RETURN (FORM 990) AND AUDITED FINANCIAL STATEMENTS ARE MADE AVAILABLE FOR PUBLIC INSPECTION. HENRY C LEE INST OF FORENSIC SCIENCE 300 BOSTON POST ROAD WEST HAVEN CT 06516 061629144 EDUCATION CT 501(C)(3) 12A(I) UNH 1 UNIVERSITY OF NEW HAVEN DENTAL CENT 300 BOSTON POST ROAD WEST HAVEN CT 06516 061629143 INACTIVE CORP CT 501(C)(3) 12A(I) UNH 1 CHARITABLE REMAINDER TRUST 300 BOSTON POST ROAD WEST HAVEN CT 06516 CHARITABLE TRUST CT N/A T 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 1 1 HENRY C LEE INSTITUTE OF FORENSIC SCIENCE N 362054 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE O 539588 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE R 1016989 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE S 28512 FMV