2013-04-12T15:08:18-05:00 2012-05-31 161131146 BONADIO & CO LLP 171 SULLYS TRAIL SUITE 201 PITTSFORD NY 14534 990 2011-06-01 161476258 UTICA COLLEGE UTIC 3157923011 1600 BURRSTONE ROAD UTICA NY 13502 LAURA CASAMENTO 3157923011 2013-04-12 1 JOSEPH PEPLIN P01311564 5853811000 2011 2016-03-07 17:11:31Z LAURA CASAMENTO 1600 BURRSTONE ROAD UTICA NY 13502 95462713 0 X WWW.UTICA.EDU X 1946 NY UTICA COLLEGE IS AN EDUCATIONAL INSTITUTION THAT OFFERS BACHELOR'S, MASTER'S, AND DOCTORAL DEGREES. 39 38 1490 70 47534 33259 4859999 4743497 56333530 88923961 533073 781188 1206766 1007366 62933368 95456012 34776 27495905 0 0 36934069 39846349 60000 55000 3578875 23879479 26367306 60908324 93764560 2025044 1691452 104044716 104727773 59948653 57641295 44096063 47086478 X TO OPERATE AN INSTITUTION OF HIGHER EDUCATION FOR INSTRUCTION AND RESEARCH IN THE LIBERAL ARTS, SCIENCES, AND PROFESSIONS. 0 0 53674837 77070612 INSTRUCTION AND RESEARCH TO EDUCATE UNDERGRADUATE STUDENTS PREPARING THEM TO ACHIEVE DISTINCTION IN THEIR CHOSEN PROFESSIONS AND INSPIRING THEM TO BECOME CITIZENS COMMITTED TO THEIR COMMUNITY. 11080979 12816882 STUDENT SERVICES PROVIDES SUPPORT TO INSTRUCTIONAL PROGRAMS WITH AN EMPHASIS ON STUDENT LIFE OUTSIDE THE CLASSROOM. IT INCLUDES AREAS SUCH AS ATHLETICS, STUDENT ACTIVITIES, CAREER COUNSELING AND PLACEMENT, ETC. 6499665 ACADEMIC SUPPORT ENCOMPASSES THE AREAS OF FACULTY AND PROGRAM DEVELOPMENT AS WELL AS RESOURCE CENTERS INCLUDING THE LIBRARY AND VARIOUS INSTITUTES DESIGNED TO SUPPORT THE LEARNING EXPERIENCE. 6585991 AUXILIARY ENTERPRISES 6585991 77841472 1 1 0 1 0 0 0 1 0 1 1 1 0 1 1 1 1 0 1 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 1 272 0 1 1490 1 1 1 0 0 0 0 1 1 0 0 1 0 X 39 38 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X TAMMARA RAUB 3157923011 1600 BURRSTONE ROAD UTICA NY 13502 LARRY BULL 1.00 X 0 0 0 DON CARBONE 1.00 X X 0 0 0 MARIANNE GAIGE 1.00 X 0 0 0 LAWRENCE GILROY 1.00 X X 0 0 0 MARK PILIPCZUK 1.00 X X 0 0 0 KENNETH D BELL 1.00 X 0 0 0 ROBERT A BRVENIK 1.00 X 0 0 0 JOHN P CASELLINI 1.00 X 0 0 0 HARRY J CYNKUS 1.00 X 0 0 0 MICHAEL D DAMSKY 1.00 X 0 0 0 JAMES F DUROSS JR 1.00 X 0 0 0 JO ANN GOLDEN 1.00 X 0 0 0 LINDA C GRIFFIN 1.00 X 0 0 0 SAMUEL D HESTER 1.00 X 0 0 0 CECELIA M HOLLOWAY 1.00 X X 0 0 0 ROBERT O HUBBELL 1.00 X 0 0 0 BRIAN J JACKSON 1.00 X 0 0 0 DANIEL B JONES 1.00 X 0 0 0 CHRISTOPHER J KELLY 1.00 X 0 0 0 GARY M KUNATH 1.00 X 0 0 0 JAMES REID 1.00 X 0 0 0 LINDA ROMANO 1.00 X 0 0 0 FRANK MONDI 1.00 X 0 0 0 MICHAEL VALENTINE 1.00 X 0 0 0 JOHN H COSTELLO III 1.00 X 0 0 0 RONALD CUCCARO 1.00 X 0 0 0 ALLYN EARL 1.00 X 0 0 0 BRUCE HAMILTON 1.00 X 0 0 0 CHRISTIAN W MEYER III 1.00 X 0 0 0 MICHAEL PARSONS 1.00 X 0 0 0 EUGENE QUADRARO 1.00 X X 0 0 0 PHILIP TAURISANO 1.00 X 0 0 0 SOLADE ROWE 1.00 X 0 0 0 BERNADETTE CLARK 1.00 X 0 0 0 HEIDI M HOELLER 1.00 X 0 0 0 RONALD E MASON 1.00 X 0 0 0 RUSSELL J PETRALIA 1.00 X 0 0 0 JOHN H SNYDER 1.00 X 0 0 0 TODD HUTTON 37.50 X 648523 0 38340 R BARRY WHITE 37.50 X 137908 0 25818 JUDITH KIRKPATRICK 37.50 X 144791 0 17616 LAURA CASAMENTO 37.50 X 146624 0 36485 PATRICK QUINN 37.50 X 144982 0 16682 DALE SCALISE-SMITH 37.50 X 129460 0 29306 JAMES BROWN 37.50 X 128591 0 21673 WALTER DESOCIO 37.50 X 134832 0 17803 1615711 0 203723 23 0 1 0 DELTAK EDU 15 SALT CREEK LANE SUITE 410 HINSDALE IL 60521 ONLINE EDUCATIONAL SERVICES 3706253 TEMCO SERVICE INDUSTRIES INC 401 HERKIMER ROAD UTICA NY 13502 JANITORIAL SERVICES 3570431 SODEXO INC & AFFILIATES 9801 WASHINGTON BLVD GAITHERSBURG MA 20878 DINING SERVICES 3021873 MORRIS PROTECTIVE SERVICES INC PO BOX 200681 PITTSBURGH PA 15251 SECURITY 595473 CLARK COMPANIES 41155 NEW YORK 10 DELHI NY 13753 CONSTRUCTION 588300 30 53613 2122303 2567581 4743497 STUDENT TUITION & FEES 611710 77070612 77070612 AUXILIARY ENTERPRISES 611710 11853349 11805815 47534 88923961 781188 781188 3000 53613 6701 -3701 -3701 OTHER SOURCES 900099 1011067 1011067 0 1011067 95456012 89887494 47534 777487 27495905 27495905 1052201 667450 384751 28081994 23048763 3831368 1201863 1980651 1567024 305785 107842 6735932 5342476 1061930 331526 1995571 1578834 308084 108653 247741 247741 117693 117693 60000 60000 55000 55000 2498771 1323069 1149811 25891 449667 74307 57664 317696 1584306 1340545 102671 141090 550459 63666 473900 12893 250658 250658 3600489 2982931 522720 94838 1429858 1290933 101789 37136 943962 633712 141209 169041 2069380 1862672 201702 5006 3803640 3090022 713618 263247 30957 232290 MISC. OTHER 2797136 1245453 1166027 385656 AUXILIARIES - FOOD SERV 2341053 2341053 GROUNDS SERVICES 1706453 1272325 360914 73214 CUSTODIAL SERVICES 1652793 1256825 329189 66779 93764560 77841472 12344213 3578875 2483 2275 11476013 12932668 748028 767031 2823540 3497306 690666 684032 22455 25216 303881 252700 105719765 43285474 62797477 62434291 10649292 9811238 10706259 10347085 3824622 3973931 104044716 104727773 4363199 4161248 6125162 7056690 37545943 38287196 10281430 8136161 59948653 57641295 X 23117037 26548348 8799025 8143214 12180001 12394916 44096063 47086478 104044716 104727773 X 1691452 1298963 X X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 0 0 0 0 1 8026 1 915 1 61523 70464 0 PART IV, SUPPLEMENTAL INFORMATION: PART II-B, LINE 1(I), OTHER LOBBYING ACTIVITIES: THE COLLEGE USED PAID LOBBYISTS TO DEVELOP ADDITIONAL COLLEGE FUNDING THROUGH REPRESENTATION WITH FEDERAL AND STATE GOVERNMENTS. THE LOBBYING EXPENSES INCURRED FOR RALLIES ON LINE 1(H) REPRESENT COSTS FOR TRANSPORTATION AND SUPPLIES THAT WERE PROVIDED TO STUDENTS SO THAT THEY COULD ATTEND LOBBY DAY IN ALBANY. 9847124 X X X X 0 20588939 547462 -497029 577570 275925 50072 19735805 18017414 311227 3141133 556580 274530 49725 20588939 16032951 476998 2370519 538008 267295 57751 18017414 0 0 6226851 6226851 66942467 20504799 46437668 953582 465872 487710 26577213 19852154 6725059 5019652 2462649 2557003 62434291 LIFE INSURANCE 360067 F MULTI-ASSET FUND 9987018 F 10347085 POST-RETIREMENT LIABILITY 6931185 CHARITABLE TRUST OBLIGATIONS 264628 PERKINS LOAN FEDERAL CONTRIBUTION 775403 BOND PREMIUM, NET OF AMORTIZATION 164945 8136161 95456012 93764560 1691452 -1281777 2580740 1298963 2990415 66774320 -1281777 -3912 -1285689 68060009 27396003 27396003 95456012 66364645 -3912 -3912 66368557 27396003 27396003 93764560 PART III, LINE 4: THE COLLEGE'S FINE ARTS COLLECTION IS HOUSED IN THE BARRETT GALLERY WHICH IS OPEN TO STUDENTS AND MEMBERS OF THE COMMUNITY WHO SHARE AN INTEREST IN FINE ARTS. THE COLLEGE OFFERS A NUMBER OF FINE ARTS COURSES. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: AS OF MAY 31, 2012 AND 2011, THE COLLEGE DID NOT HAVE LIABILITIES FOR UNRECOGNIZED TAX BENEFITS. THE COLLEGE FILES TAX RETURNS IN THE U.S. FEDERAL JURISDICTION AND NEW YORK STATE. THE COLLEGE IS NO LONGER SUBJECT TO U.S. FEDERAL AND STATE INCOME TAXES EXAMINATIONS BY TAX AUTHORITIES FOR FISCAL YEARS THROUGH 2008. PART XI, LINE 8 - OTHER ADJUSTMENTS: CHANGE IN FUNDED STATUS OF PENSION PLAN 2,569,478. CHANGE IN VALUE OF ANNUITY OBLIGATIONS 11,262. TOTAL TO SCHEDULE D, PART XI, LINE 8: 2,580,740. PART XII, LINE 2D - OTHER ADJUSTMENTS: GOLF TOURNAMENT - SPECIAL EVENTS: $3,912 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 EXPLANATION OF NONDISCRIMINATORY POLICY PUBLICATION SCHEDULE E, PART I, LINE 3 UTICA COLLEGE PRINTS ITS NONDISCRIMINATORY POLICY IN THE ANNUAL CATALOG AND IT IS ALSO AVAILABLE ON THEIR WEBSITE. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 A MAJORITY OF THE COLLEGE'S FINANCIAL ASSISTANCE IS PROVIDED BY THE GOVERNMENT TO ENABLE PROMISING STUDENTS TO ATTEND THE COLLEGE IF FAMILY AND PERSONAL RESOURCES ARE INADEQUATE TO SUPPORT A COLLEGE EDUCATION. TWO OF THE MAIN SOURCES OF FINANCIAL AID ARE FEDERAL AND STATE GOVERNMENT. X X X X X X X 0 GOLF TOURNAMENT 56613 53613 3000 1312 5389 56613 53613 3000 1312 5389 6701 -3701 1 FELLOWSHIPS 83 99902 FMV SCHOLARSHIPS 2904 27396003 FMV SCHEDULE I, PART 1, LINE 2: GRANTS ARE AWARDED TO COLLEGE EMPLOYEES OR STUDENTS FOR RESEARCH PROJECTS. GRANTEES MAY ELECT TO RECEIVE REIMBURSEMENT FOR RECEIPTED EXPENSES OR THEY MAY ELECT TO RECEIVE THEIR AWARDS AS W-2 COMPENSATION. X X X X X X 1 1 X X X X X 0 0 0 0 0 0 0 1 0 TODD HUTTON 252738 0 24392 0 371393 0 28000 0 10340 0 686863 0 0 0 R BARRY WHITE 137448 0 0 0 460 0 15353 0 10465 0 163726 0 0 0 JUDITH KIRKPATRICK 144791 0 0 0 0 0 11669 0 5947 0 162407 0 0 0 LAURA CASAMENTO 132125 0 10000 0 4499 0 15616 0 20869 0 183109 0 0 0 PATRICK QUINN 129914 0 6500 0 8568 0 14174 0 2508 0 161664 0 0 0 DALE SCALISE-SMITH 115310 0 0 0 14150 0 13705 0 15601 0 158766 0 0 0 JAMES BROWN 119321 0 0 0 9270 0 9039 0 12634 0 150264 0 0 0 WALTER DESOCIO 134292 0 0 0 540 0 3677 0 14126 0 152635 0 0 0 PART I, LINE 1A THE COLLEGE PRESIDENT'S SPOUSE IS ALSO AN EMPLOYEE OF THE COLLEGE, AND THEREFORE TRAVEL COSTS FOR CERTAIN BUSINESS RELATED TRAVEL IS COVERED FOR HER. THE PRESIDENT IS PROVIDED A DISCRETIONARY SPENDING ACCOUNT OF $6,000 (AFTER TAX) FOR CONTRIBUTIONS TO CHARITIES, 501(C)(3) ORGANIZATIONS, OR PUBLIC CAUSES OF HIS CHOICE. IN ORDER TO EFFECTIVELY PERFORM HIS DUTIES AS PRESIDENT, THE PRESIDENT RESIDES IN HOUSING PROVIDED BY THE COLLEGE. THE PRESIDENT'S RESIDENCE ALSO SERVES AS A PLACE FOR MEETING WITH DIGNITARIES AND COMMUNITY LEADERS, RECEPTIONS, MEETINGS, AND FUND RAISING EVENTS. THE COLLEGE PROVIDES CLEANING, LAWN CARE, AND OTHER MAINTENANCE RELATING TO THE PRESIDENT'S HOUSING. A PORTION OF THE PRESIDENT'S HOUSING ALLOWANCE IS REPORTED AS TAXABLE INCOME. THE COLLEGE REIMBURSES THE PRESIDENT FOR MEMBERSHIP DUES AND INITIATION FEES RELATING TO MEMBERSHIP IN ANY CLUBS THAT THE BOARD OF DIRECTORS REQUESTS THAT THE PRESIDENT JOIN. PART I, LINE 7 PURSUANT TO THE TERMS OF THE COLLEGES EMPLOYMENT AGREEMENT WITH THE PRESIDENT, A SPECIFIED PERCENTAGE OF BASE SALARY WAS AUTOMATICALLY PAID ANNUALLY AS DEFERRED COMPENSATION DURING THE PERIOD FROM 2007-2011. AN ADDITIONAL PERCENTAGE OF BASE COMPENSATION, DETERMINED BY THE BOARD IN ITS SOLE DISCRETION, WAS PAID ANNUALLY DURING THAT SAME PERIOD ALSO AS DEFERRED COMPENSATION. IDA REVENUE BONDS SERIES 2005A AND 2005B NONEAVAIL 2005-10-01 12140000 BUILDING AND IMPROVEMENT 0 0 0 12140000 163300 722865 492540 10761295 2007 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 JAMES DUROSS BOARD MEMBER 3322122 JAMES DUROSS IS EMPLOYED BY A COMPANY (TEMCO SERVICE INDUSTRIES, INC.) THAT PROVIDES MAINTENANCE SERVICES TO THE COLLEGE. THE BOARD OF DIRECTORS OR APPROPRIATE BOARD COMMITTEE REVIEWED AND APPROVED THE THE TERMS OF THE TRANSACTION. IN ADDITION, THE BUSINESS TRANSACTION RESULTED FROM A COMPETETIVE AND OPEN RFP PROCESS AND WAS ENTERED INTO ON ARMS-LENGTH TERMS AND CONDITIONS. 0 LARRY GILROY CHAIRPERSON OF THE BOARD 106432 LARRY GILROY IS THE PRESIDENT OF UTICA COLLEGE'S PROPERTY & CASUALTY INSURANCE AGENCY. THE BOARD OF DIRECTORS OR APPROPRIATE BOARD COMMITTEE REVIEWED AND APPROVED THE THE TERMS OF THE TRANSACTION. IN ADDITION, THE BUSINESS TRANSACTION RESULTED FROM A COMPETETIVE AND OPEN RFP PROCESS AND WAS ENTERED INTO ON ARMS-LENGTH TERMS AND CONDITIONS. 0 TODD HUTTON PRESIDENT OF UTICA COLLEGE 34684 TODD HUTTON'S WIFE, NANCY HUTTON, IS AN EMPLOYEE OF THE COLLEGE AND RECEIVES COMPENSATION FROM THE COLLEGE IN THE FORM OF A CONTRIBUTION TO THE 403(B) RETIREMENT PLAN. 0 X 4 33338 FMV 0 1 1 THIRD PARTY USE: PART I, LINE 32B: THE COLLEGE USES REAL ESTATE AGENTS AND COIN DEALERS IN CONJUNCTION WITH THE SALE OF DONATED PROPERTIES ON OCCASION. FORM 990, PART VI, SECTION A, LINE 2 THE COLLEGE CONDUCTS BUSINESS WITH VARIOUS VENDORS THROUGHOUT THE GREATER UTICA AREA. SEVERAL OF THE COLLEGE'S VENDORS HAVE PRINCIPALS OR EMPLOYEES CURRENTLY SERVING ON ITS BOARD OF TRUSTEES. IN ACCORDANCE WITH THE COLLEGE'S BY-LAWS, EACH VENDOR SERVING ON THE COLLEGE'S BOARD OF TRUSTEES IS REQUIRED TO DISCLOSE THE DETAILS OF TRANSACTIONS AND OTHER BUSINESS INVOLVEMENTS WITH THE COLLEGE. SIGNIFICANT RELATED-PARTY TRANSACTIONS INCLUDE CERTAIN LINES OF INSURANCE COVERAGE, AUTOMOBILE SALES, LEASES, OR RENTALS AND PARTS AND SERVICES, JANITORIAL, LANDSCAPE, AND BUILDING MAINTENACE SERVICE, GOVERNMENT RELATIONS SERVICES AND DATA PROCESSING, PRINTING, MAILING, AND EMAIL MARKETING FOR THE DEVELOPMENT OFFICE. FORM 990, PART VI, SECTION B, LINE 11 THE 990 IS REVIEWED AND APPROVED BY THE TREASURER, KEY EMPLOYEES, AND APPROPRIATE TRUSTEES PRIOR TO BEING FILED AND ISSUED. ADDITIONALLY, THE 990 IS PROVIDED TO THE ENTIRE BOARD OF TRUSTEES FOR REVIEW AND COMMENT PRIOR TO FILING. THIS IS DONE BY POSTING A DRAFT PDF OF THE 990 TO THE COLLEGE'S TRUSTEE WEBSITE. FORM 990, PART VI, SECTION B, LINE 12C OFFICERS AND BOARD MEMBERS ARE REQUIRED TO COMPLETE CONFLICT-OF-INTEREST STATEMENTS AND SUBMIT THEM TO THE OFFICE OF FINANCIAL AFFAIRS. FORM 990, PART VI, SECTION B, LINE 15 THE PRESIDENT'S COMPENSATION IS DETERMINED BY A COMMITTEE OF THE BOARD OF TRUSTEES IN CONSULTATION WITH AN INDEPENDENT CONSULTANT. THE COMPENSATION OF OFFICERS AND KEY EMPLOYEES IS DETERMINED BY THE COLLEGE PRESIDENT. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS ARE AVAILABLE TO THE PUBLIC THROUGH PERSONAL REQUESTS THROUGH APPROPRIATE COLLEGE OFFICIALS. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -1,281,777. CHANGE IN FUNDED STATUS OF PENSION PLAN 2,569,478. CHANGE IN VALUE OF ANNUITY OBLIGATIONS 11,262. TOTAL TO FORM 990, PART XI, LINE 5: 1,298,963. FORM 990, PAGE 12, PART XII, LINE 2C THERE HAVE BEEN NO CHANGES IN THE COLLEGE'S OVERSIGHT OR SELECTION PROCESS DURING THE YEAR.