2021-05-14T11:39:57-07:00 2020-06-30 990 2019-07-01 160743900 ALFRED UNIVERSITY ALFR 6078712966 ONE SAXON DRIVE ALFRED NY 14802 Giovina Lloyd VP for Business & Finance 6078712966 2021-04-30 2019 2022-09-23 18:48:47Z Mark Zupan One Saxon Drive Alfred NY 14802 229082810 0 X www.alfred.edu X 1857 NY The mission of Alfred University is to provide excellent quality and enduring value through academic and co-curricular programming that is both intellectually challenging and practically relevant. We are culturally diverse and student-centered, and aim to serve an ever-changing student population. We seek students with the aspiration and dedication to do well for themselves and for their greater communities. Thus, we prepare our students with the knowledge, skills and life-habits that will enable them to succeed, and to live lives of continuous personal growth and service to others. These outcomes are achieved through a commitment, by the entire AU community, to teaching and research, the pursuit of scientific and technical expertise, artistic creativity, and humanistic learning. 38 38 1905 0 0 0 32786449 34176032 68611044 71087454 3199487 18734337 1967674 1820749 106564654 125818572 31961974 33891295 0 0 40728667 41761854 0 0 1423273 32855739 32727633 105546380 108380782 1018274 17437790 320328866 321880003 46025665 46537560 274303201 275342443 The mission of Alfred University is to provide excellent quality and enduring value through academic and co-curricular programming that is both intellectually challenging and practically relevant. We are culturally diverse and student-centered, and aim to serve an ever-changing student population. We seek students with the aspiration and dedication to do well for themselves and for their greater communities. Thus, we prepare our students with the knowledge, skills and life-habits that will enable them to succeed, and to live lives of continuous personal growth and service to others. These outcomes are achieved through a commitment, by the entire AU community, to teaching and research, the pursuit of scientific and technical expertise, artistic creativity, and humanistic learning. 0 0 95668697 33891295 72908203 HIGHER EDUCATION: ALFRED UNIVERSITY IS A COEDUCATIONAL INSTITUTION COMPRISED OF THE PRIVATELY ENDOWED COLLEGES OF LIBERAL ARTS AND SCIENCES, ENGINEERING AND BUSINESS, AND THE SCHOOL OF GRADUATE AND CONTINUING STUDIES, AS WELL AS TWO STATUTORY UNITS - THE SCHOOL OF ART AND DESIGN AND SELECTED PROGRAMS WITHIN THE SCHOOL OF ENGINEERING. WE OFFER BOTH UNDERGRADUATE AND GRADUATE DEGREES ALONG WITH UNDERGRADUATE AND GRADUATE RESEARCH OPPORTUNITIES TO APPROXIMATELY 2,300 STUDENTS. 0 0 0 95668697 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 0 0 1 1 0 1 0 1 0 0 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 1 446 0 1 1905 1 1 1 0 0 0 0 1 1 0 0 0 0 0 0 X 38 38 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X Amanda Azzi 6078712128 ONE SAXON DRIVE ALFRED NY 14802 Mark Zupan President 50 0 X 527490 0 36744 Rick Stephens Vice President & Provost (through 6/30/2019) 40 0.5 X 324642 0 18609 Jason Amore VP For Advancement 50 0 X 269970 0 31087 Gabrielle G Gaustad Dean, School of Engineering 50 0 X 208126 0 28165 Scott Misture Professor, School of Engineering 50 0 X 191282 0 40120 Brian Dalton VP for Enrollment 50 0 X 197490 0 26599 Giovina Lloyd VP Business/Finance & CFO 50 0.5 X 205360 0 18501 Elizabeth Dobie Vice President & Provost (7/1/2019-Current) 50 0.5 X 169045 0 17837 Mark D Lewis Dean, College of Business 50 0 X 146996 0 21841 Mary McAllister Secretary 40 1 X 71162 0 5254 Gregory R Connors Chairman 1.5 0.5 X X 0 0 0 Carolyn S Clark Vice Chairman 1.50 0.50 X X 0 0 0 AN Sreeram Trustee 1.50 0.50 X 0 0 0 Ann D Moskowitz Trustee 1.50 0.50 X 0 0 0 Charles P Joyce Trustee 1.50 0.50 X 0 0 0 Cheryl R Blanchard Trustee 1.50 0.50 X 0 0 0 Christine E Heckle Trustee 1.50 0.50 X 0 0 0 Craig J Peretz Trustee 1.50 0.50 X 0 0 0 Eric M Bershad Trustee 1.50 0.50 X 0 0 0 Eric M Zuckerman Trustee 1.50 0.50 X 0 0 0 Frederick A George Trustee 1.50 0.50 X 0 0 0 Frederick W Gibbs Trustee 1.50 0.50 X 0 0 0 Gene M Bernstein Trustee 1.50 0.50 X 0 0 0 James M Jordan Trustee 1.50 0.50 X 0 0 0 Jay L Haberland Trustee 1.50 0.50 X 0 0 0 Jeffrey S Maurer Trustee 1.50 0.50 X 0 0 0 John A Edmond Trustee 1.50 0.50 X 0 0 0 Joseph Cesarano III Trustee 1.50 0.50 X 0 0 0 Kathleen A Richardson Trustee 1.50 0.50 X 0 0 0 Kevin H Livingston Trustee 1.50 0.50 X 0 0 0 Kristen M Klabin Trustee 1.50 0.50 X 0 0 0 Les Gelber Trustee 1.50 0.50 X 0 0 0 Marlin Miller Jr Trustee 1.50 0.50 X 0 0 0 Matthew Washington Trustee 1.50 0.50 X 0 0 0 Michael P Carey Trustee 1.50 0.50 X 0 0 0 Michele R Cohen Trustee 1.50 0.50 X 0 0 0 Neal Miller Trustee 1.50 0.50 X 0 0 0 Patricia St George Trustee 1.50 0.50 X 0 0 0 Peter Cuneo Trustee 1.50 0.50 X 0 0 0 Robert K Meltzer Trustee 1.50 0.50 X 0 0 0 Robert McComsey Trustee 1.50 0.50 X 0 0 0 Robert Welter Trustee 1.50 0.50 X 0 0 0 Stephen K Heine Trustee 1.50 0.50 X 0 0 0 Terry A Michalske Trustee 1.50 0.50 X 0 0 0 Terry S Galanis Jr Trustee 1.50 0.50 X 0 0 0 Thomas R Hinman Trustee 1.50 0.50 X 0 0 0 Victoria Meyer Trustee 1.50 0.50 X 0 0 0 William Pullman Trustee 1.50 0.50 X 0 0 0 2311563 0 244757 24 0 1 0 AVI Foodsystems Inc 2590 Elm Road NE Warren OH 44483 Food Service Vendor 3412919 LeChase Construction Services LLC 205 Indigo Creek Drive Rochester NY 14626 Contracted Services 3215045 Center for Integrated Teacher Educa 50 Court Street Suite 1111 Brooklyn NY 11201 Professional Services 2343518 Chrisanntha Construction Corp 4661 Dewey Ave PO Box 165 Gorham NY 14461 Contracted Services 1490989 Maserah for Educational Services LLC 1716 Cypress Preserve Drive Dr 203 Lutz FL 33549 Professional Services 1148094 33 0 0 0 0 20012119 14163913 1105946 34176032 Tuition and Fees 611310 58267728 58267728 0 0 Auxiliary Services 611710 12694954 12694954 0 0 Educational Activities 611710 124772 124772 0 0 0 0 0 0 71087454 3561829 0 0 3561829 0 0 0 0 0 0 0 0 0 0 118436746 0 103264238 0 15172508 0 15172508 0 0 15172508 0 Research 541712 411472 411472 0 0 Athletics & Equestrian 711210 215926 215926 0 0 Student Loan Interest 611710 311992 311992 0 0 881359 881359 0 0 1820749 125818572 72908203 0 18734337 33368825 33368825 522470 522470 1940309 1228751 711558 28127136 24655756 3314230 157150 3461306 3034120 407847 19339 6138116 5380566 723256 34294 2094987 1836429 246853 11705 192202 28216 163986 165939 4800 161139 50306 50306 225984 209095 16889 8210970 5901380 2290267 19323 135792 128220 7405 167 3192827 2799557 272639 120631 773353 773353 1790568 1775867 14701 2025189 1723817 211553 89819 80441 49243 29201 1997 171528 171528 7925471 7521173 341747 62551 538719 119892 416037 2790 Small Equipment 2009739 1832245 177494 0 Repairs & Maintenance 1113893 891115 124317 98461 Indirect Costs 377690 377690 0 0 Awards & Honorariums 249271 235586 13685 0 3497751 2536849 884303 76599 108380782 95668697 11288812 1423273 5629889 6763324 5735906 8397902 2433468 2652773 16026816 14698484 322905 314600 323376 294926 295741223 146404039 148759363 149337184 93148343 118520307 47948800 20900503 320328866 321880003 5493688 6179611 3256011 4558543 6346740 5730389 124597 0 30804629 30069017 46025665 46537560 X 136737159 136347987 137566042 138994456 274303201 275342443 320328866 321880003 X 17437790 -17338781 0 0 0 940233 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 50306 50306 0 Schedule C, Part II-B, Line 1 Alfred University contracts with a lobbying firm to lobby the New York State legislature and executive and various NYS agencies to facilitate the goals of Alfred University. These goals include economic development, funding for Alfred University and general legislative issues that affect higher education 138253806 4404421 790194 2365174 4532938 0 136550309 129318223 5329507 9106689 2037110 3463503 0 138253806 118618959 1681205 14438018 2042581 3377378 0 129318223 105846496 3357866 14749037 2033707 3300733 0 118618959 107966345 2302716 922189 2035352 3309402 0 105846496 0.1 0.63 0.27 0 0 0 1122832 1122832 0 243579458 105895872 137683586 0 8726201 7508286 1217915 0 39504617 32999881 6504736 0 2808115 0 2808115 149337184 19662503 F 1238000 C 20900503 Post Retirement Benefit Obligation 25047258 Asset Retirement Obligation 2864370 Annuities Payable 597424 US Government Grants Refundable 1559965 30069017 Schedule D, Part V, Line 4 The long-term objective of the endowment is to maintain the purchasing power with the goal of providing a reasonable, predictable, stable, and sustainable level of income to support scholarship, academic instruction, infrastructure and current operations. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Schedule E, Part I, Line 3 Alfred University has their Discrimination, Harassment, and Sexual Misconduct policy posted on the Alfred University website at my.alfred.edu/student-policies. Schedule E, Part I, Line 6 Alfred University received funding from a variety of sources. Some of these sources are governmental agencies providing funding for research projects, student financial aid or general operations. In addition, the New York State College of Ceramics at Alfred University is funded in part by the State of New York and is included in the Alfred University financial statements and reporting. Central America and the Caribbean 0 0 Program Services Study Abroad 23814 Central America and the Caribbean 0 0 Program Services Faculty and Program Development 1000 East Asia and the Pacific 0 0 Program Services Research 5129 East Asia and the Pacific 0 0 Program Services Faculty & Program Development 44057 Europe (including Iceland and Greenland) 0 0 Speaking at Seminars or Conferences 3281 Europe (including Iceland and Greenland) 0 0 Program Services Study Abroad 30864 Europe (including Iceland and Greenland) 0 0 Program Services Research 12392 Europe (including Iceland and Greenland) 0 0 Program Services Faculty & Program Development 36416 Middle East and North Africa 0 0 Program Services Faculty & Program Development 8607 North America (including Canada and Mexico, but not the United States) 0 0 Speaking at Seminars or Conferences 1127 North America (including Canada and Mexico, but not the United States) 0 0 Program Services Faculty & Program Development 11733 North America (including Canada and Mexico, but not the United States) 0 0 Program Services Research 136 Russia and the newly independent States 0 0 Program Services Faculty & Program Development 1032 0 0 179588 Scholarship East Asia and the Pacific 32 329250 Student Aid Scholarship North America (including Canada and Mexico, but not the United States) 2 48760 Student Aid Scholarship South America 1 38020 Student Aid Scholarship Central America and the Caribbean 4 37223 Student Aid Scholarship Sub-Saharan Africa 4 32600 Student Aid Scholarship Europe (including Iceland and Greenland) 1 17000 Student Aid Scholarship South Asia 2 14430 Student Aid Scholarship Middle East and North Africa 2 5187 Student Aid 1 0 1 1 1 0 1 Scholarships 1657 33368825 0 Schedule I, Part I, Line 2 Students receiving scholarships and fellowships are judged worthy by the institution's assessment on the basis of academic achievement, financial need, and other similar standards. X X X 1 1 X X X X 1 0 0 0 0 0 0 0 0 Mark Zupan President 427168 0 86500 0 13822 0 19600 0 17144 0 564234 0 0 0 Rick Stephens Vice President & Provost (through 6/30/2019) 98602 0 500 0 225540 0 7350 0 11259 0 343251 0 0 0 Elizabeth Dobie Vice President & Provost (7/1/2019-Current) 168245 0 500 0 300 0 12970 0 4867 0 186882 0 0 0 Giovina Lloyd VP Business/Finance & CFO 204860 0 500 0 0 0 17998 0 503 0 223861 0 0 0 Jason Amore VP For Advancement 244147 0 25500 0 323 0 17500 0 13587 0 301057 0 0 Gabrielle G Gaustad Dean, School of Engineering 196339 0 0 0 11787 0 13200 0 14965 0 236291 0 0 0 Brian Dalton VP for Enrollment 181991 0 500 0 15000 0 13440 0 13159 0 224090 0 0 0 Scott Misture Professor, School of Engineering 157976 0 500 0 32805 0 21062 0 19058 0 231401 0 0 0 Mark D Lewis Dean, College of Business 137996 0 500 0 8500 0 10921 0 10920 0 168837 0 0 0 Schedule J, Part I, Line 1a The University requires the President to live in on-campus housing and provides a custodian to clean the facility. The University maintains a Country Club membership in the President's name for entertainment of donors. It is acceptable that the President's spouse or significant other may accompany him on University business trips/events. During these trips/events, the expense of the spouse or significant other will be paid by the University. Schedule J, Part I, Line 4 Richard Stephens, Former Vice President, received severance pay of $212,746 A First Niagara Series 2015A Bonds 2015-07-30 8716483 Refinancing 0 0 0 A 2980000 0 8716483 0 8716483 0 0 1 0 1 1 A 0 0 0 0 0 0 0 A 0 0 0 0 0 0 0 0 0 X 56 1105946 Market Value 0 0 1 0 Form 990, Part VI, Section B, Line 11b Form 990 is prepared by the University's Controller and submitted for review to the University's independent auditors, President, Vice President for Business & Finance, and the Chair of the audit committee of the Board of Trustees, who has been delegated this responsibility by the Board of Trustees. The University also makes the draft form available to all board members for their review and comment. Form 990, Part VI, Section B, Line 12c The conflict of interest forms are completed annually by members of the Board and key employees. The disclosure responses are compiled by a third party and provided to the Secretary of the Corporation and the Director of Human Resources. The Secretary of the Corporation provides a copy of all completed disclosure statements to the chair person of the audit committee and ensures that any Board members with a stated conflict of interest abstains from any voting associated with the conflict and is not present for discussion on the matter. The Director of Human Resources provides a copy of potential conflicts of interest to the President who is responsible for determining the proper way to handle corporate decisions which involved unresolved employee conflicts of interest. Form 990, Part VI, Section B, Line 15 The Human resource committee of the Board of Trustees sets the salary for the President. They utilize many sources of comparative data including surveys and Form 990 filings from comparative universities to determine the appropriate compensation. Form 990, Part VI, Section C, Line 19 The University complies with all laws and regulations and provides photocopies of required documents upon request. Form 990, Part XI, Line 9 Post Retirement Benefit Changes Alfred University Housing Corporation One Saxon Drive Alfred NY 14802 166052251 Rental Housing for University Students NY 501 (c) (2) Alfred University 1 Saxon Inn Inc One Saxon Drive Alfred NY 14802 160960711 Provides Services/Sells Beverages NY 501 (c)(7) Alfred University 1 Alfred University Research Fdn Inc One Saxon Drive Alfred NY 14802 161063285 Auxiliary of reporting NY 501 (c)(3) Line 2 Alfred University 1 Foster Lake Inc One Saxon Drive Alfred NY 14802 161000109 Lake Access to Students NY Alfred University C 54000 97408 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 1 Alfred University Housing Corporation q 0 Transactions are below threshold Saxon Inn Inc p 0 Transactions are below threshold.