2013-05-01T14:03:31-05:00 2012-06-30 161131146 BONADIO & CO LLP 171 SULLYS TRAIL SUITE 201 PITTSFORD NY 14534 990 2011-07-01 160743900 ALFRED UNIVERSITY ALFR 6078712966 ONE SAXON DRIVE ALFRED NY 14802 GIOVINA LLOYD 6078712966 2013-05-01 1 JOSEPH PEPLIN P01311564 5853811000 2011 2016-03-07 17:11:31Z CHARLES M EDMONDSON ONE SAXON DRIVE ALFRED NY 14802 128991403 0 X WWW.ALFRED.EDU X 1857 NY ALFRED UNIVERSITY AIMS TO PROVIDE ACADEMICALLY CHALLENGING PROGRAMS IN A STUDENT-CENTERED ENVIRONMENT IN ORDER TO PREPARE WELL-EDUCATED, INDEPENDENT THINKERS READY FOR LIVES OF CONTINUOUS INTELLECTUAL AND PERSONAL GROWTH. WE ARE COMMITTED TO BOTH TEACHING AND RESEARCH, AND ARE DEVOTED TO THE PURSUIT OF TECHNICAL EXPERTISE, ARTISTIC CREATIVITY, AND HUMANISTIC LEARNING. 38 38 2347 48 247680 1457 30079651 34005534 64347744 66971468 12592233 713440 1664319 1810664 108683947 103501106 27709263 29068751 0 0 39375221 39134225 0 0 2219469 27606006 28174823 94690490 96377799 13993457 7123307 237149171 241413955 51892574 53466366 185256597 187947589 X ALFRED UNIVERSITY AIMS TO PROVIDE ACADEMICALLY CHALLENGING PROGRAMS IN A STUDENT-CENTERED ENVIRONMENT IN ORDER TO PREPARE WELL-EDUCATED, INDEPENDENT THINKERS READY FOR LIVES OF CONTINUOUS INTELLECTUAL AND PERSONAL GROWTH. WE ARE COMMITTED TO BOTH TEACHING AND RESEARCH, AND ARE DEVOTED TO THE PURSUIT OF TECHNICAL EXPERTISE, ARTISTIC CREATIVITY AND HUMANISTIC LEARNING. 0 0 84021269 29068751 68587471 HIGHER EDUCATION: ALFRED UNIVERSITY CONTAINS THE COLLEGE OF LIBERAL ARTS AND SCIENCE, SCHOOL OF ART AND DESIGN, SCHOOL OF ENGINEERING, SCHOOL OF PSYCHOLOGY AND COLLEGE OF BUSINESS, AND OFFERS BOTH UNDERGRADUATE AND GRADUATE DEGREES. UNDERGRADUATE AS WELL AS GRADUATE RESEARCH OPPORTUNITIES ARE ALSO AVAILABLE. (2,218 STUDENTS) 84021269 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 1 1 0 1 0 1 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 0 0 1 272 0 1 2347 1 1 1 0 0 0 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 JODI L HOWE 6078712325 ONE SAXON DRIVE ALFRED NY 14802 DR GENE M BERNSTEIN 1.20 X 0 0 0 LAURIE A CAMA 1.20 X 0 0 0 CAROLYN CLARK 1.20 X 0 0 0 MICHELE R COHEN 1.20 X 0 0 0 GREGORY R CONNORS 1.20 X 0 0 0 PETER CUNEO 1.20 X X 0 0 0 ROBERT DAGGETT 1.20 X 0 0 0 JOHN A EDMOND 1.20 X 0 0 0 TERRY S GALANIS JR 1.20 X 0 0 0 LESLIE J GELBER 1.20 X X 0 0 0 FREDERICK A GEORGE 1.20 X 0 0 0 FREDERICK W GIBBS 1.20 X 0 0 0 JOHN S GILBERTSON 1.20 X 0 0 0 JAY L HABERLAND 1.20 X 0 0 0 STEPHEN K HEINE 1.20 X 0 0 0 THOMAS R HINMAN 1.20 X 0 0 0 JAMES M JORDAN 1.20 X 0 0 0 CHARLES P JOYCE 1.20 X 0 0 0 DOUGLAS A KASS 1.20 X 0 0 0 VALERIE E KOCH 1.20 X 0 0 0 CHRISTINE P KULP 1.20 X 0 0 0 JEFFERY S MAURER 1.20 X 0 0 0 DR ROBERT R MCCOMSEY 1.20 X 0 0 0 ROBERT K MELTZER 1.20 X 0 0 0 VICTORIA A MEYER 1.20 X 0 0 0 DR TERRY A MICHALSKE 1.20 X 0 0 0 DAVID J MILLER 1.20 X 0 0 0 DR MARLIN MILLER JR 1.20 X 0 0 0 DR JOEL P MOSKOWITZ 1.20 X 0 0 0 RICHARD W MOTT 1.20 X 0 0 0 DR ALBERT E PALADINO 1.20 X 0 0 0 DR ROBERT H PERLMAN 1.20 X 0 0 0 DR WILLIAM PULLMAN 1.20 X 0 0 0 DR KATHLEEN A RICHARDSON 1.20 X 0 0 0 SUSAN M ROGERS 1.20 X 0 0 0 LANCE T SHANER 1.20 X 0 0 0 ROBERT L STEPHENS JR 1.20 X 0 0 0 ROBERT K WELTER JR 1.20 X 0 0 0 CHARLES M EDMONDSON 35.00 X 349305 0 77599 GIOVINA M LLOYD 35.00 X 174000 0 42987 WILLIAM M HALL 35.00 X 204478 0 61801 LAURA CRAIN 35.00 X 79814 0 38418 DR SCOTT MISTURE 37.50 X 179702 0 46313 LESLIE M BELLAVANCE 37.50 X 174217 0 48096 SK SUNDARAM 37.50 X 162886 0 16656 LINDA E JONES 37.50 X 189216 0 34878 STAN COLLA 35.00 X 196621 0 39315 1710239 0 406063 16 0 1 0 AVI FOODSYSTEMS INC 2590 ELM ROAD NE WARREN OH 44483 RESIDENTIAL DINING SERVICES 3434463 CENTER FOR INTEGRATED TEACHER EDUCATION 1666 NEWBRIDGE ROAD BELLMORE NY 11710 PROFESSIONAL SERVICES 779549 JAVEN CONSTRUCTION CO INC 2575 BAIRD ROAD PENFIELD NY 14526 GENERAL CONTRACTOR 536912 LECHASE CONSTRUCTION SERVICES LLC 300 TROLLEY BLVD ROCHESTER NY 14606 GENERAL CONTRACTOR 391317 NIXON PEABODY LLP CLINTON SQUARE ROCHESTER NY 14604 PROFESSIONAL SERVICES 297248 14 30274514 3731020 358519 34005534 TUITION AND FEES 611310 50726319 50726319 AUXILIARY SERVICE TO S 611710 15844203 15649542 194661 EDUCATIONAL ACTIVITIES 611710 400946 400946 66971468 1105918 1105918 358 358 25097461 25490297 -392836 -392836 53019 -445855 RESEARCH 561000 715299 715299 ATHLETICS AND EQUESTRI 711210 258831 258831 STUDENT LOAN INTEREST 611710 182903 182903 653631 653631 1810664 103501106 68587471 247680 660421 29068751 29068751 1084808 1084808 27934623 23251493 3533204 1149926 2056096 1647424 327197 81475 6119234 4902968 973785 242481 1939464 1553974 308637 76853 204235 5289 187567 11379 130318 4800 125518 60050 60050 271869 255895 15974 5665726 5379488 269996 16242 139731 121095 1259 17377 3411834 2943214 200546 268074 707478 707478 2491262 2449319 41943 2088630 1886361 104612 97657 636985 362479 158828 115678 826870 788085 29273 9512 5820249 5683944 107960 28345 406926 42813 362783 1330 OTHER MISC 2537558 1306919 1181696 48943 REPAIRS & MAINTENANCE 990483 918351 41870 30262 SMALL EQUIPMENT 719568 668347 49129 2092 INDIRECT COSTS 540041 540041 0 0 525010 496114 23027 5869 96377799 84021269 10137061 2219469 3284298 1446763 1578404 1329836 538683 370599 16439496 17960530 232778 246241 1050183 1046747 214892217 88286976 117888041 126605241 96137288 92407998 237149171 241413955 5715812 5918633 1820975 1409582 12015000 10835000 5683670 2171112 6530564 24486005 28772587 51892574 53466366 X 98558043 103713804 31169785 27111062 55528769 57122723 185256597 187947589 237149171 241413955 X 7123307 -4432315 X X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 60050 60050 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: ALFRED UNIVERSITY CONTRACTS A LOBBYING FIRM TO LOBBY THE NEW YORK STATE LEGISLATURE, 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. 89705816 954115 -326615 1655919 2732280 85945117 79795105 1256024 13934065 1924961 3354417 0 89705816 74771194 1356510 9342158 2157267 3517490 0 79795105 109089629 1162928 -29523953 2262598 3694812 0 74771194 0.15000 0.65000 0.20000 0 0 1122832 1122832 183416970 67585771 115831199 26689111 20701205 5987906 3663304 3663304 126605241 ASSET RETIREMENT OBLIGATION 1950972 POSTRETIREMENT BENEFIT OBLIGATION 22638070 ANNUITIES PAYABLE 1239013 U.S. GOVERNMENT REFUNDABLE GRANTS 2944532 28772587 103501106 96377799 7123307 -993297 314165 -3753183 -4432315 2690992 69371710 -993297 -3753183 -4746480 74118190 314165 29068751 29382916 103501106 66994883 0 66994883 314165 29068751 29382916 96377799 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: AS OF JUNE 30, 2012 AND 2011, THE UNIVERSITY DOES NOT HAVE A LIABILITY FOR UNRECOGNIZED TAX POSITIONS. THE UNIVERSITY FILES TAX RETURNS IN THE U.S. FEDERAL JURISDICTION AND NEW YORK STATE. THE UNIVERSITY IS NO LONGER SUBJECT TO U.S. FEDERAL AND STATE INCOME TAX EXAMINATIONS BY TAX AUTHORITIES FOR YEARS THROUGH 2008. PART XI, LINE 8 - OTHER ADJUSTMENTS: POSTRETIREMENT BENEFIT RELATED CHANGES OTHER THAN NET PERIODIC BENEFIT COST -4,078,470. GAIN ON POSTRETIREMENT PLAN TERMINATION 325,287. TOTAL TO SCHEDULE D, PART XI, LINE 8: -3,753,183. PART XII, LINE 2D - OTHER ADJUSTMENTS: POSTRETIREMENT BENEFIT RELATED CHANGES OTHER THAN NET PERIODIC BENEFIT COST GAIN ON POSTRETIREMENT PLAN TERMINATION PART XII, LINE 4B - OTHER ADJUSTMENTS: STUDENT FINANCIAL AID PART XIII, LINE 4B - OTHER ADJUSTMENTS: STUDENT FINANCIAL AID 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 ALFRED UNIVERSITY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS NATIONWIDE, AS WELL AS FROM A LARGE GEOGRAPHIC SECTION OF THE UNITED STATES AND FOLLOWS A NON-DISCRIMINATORY POLICY AS TO STUDENTS. ALFRED UNIVERSITY'S PROMOTIONAL ACTIVITIES AND RECRUITMENT EFFORTS IN EACH AREA ARE DESIGNED TO INFORM STUDENTS OF ALL RACIAL SEGMENTS, IN THE GENERAL COMMUNITIES WITHIN THE AREA OF THE AVAILABILITY, OF THE SCHOOL. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 ALFRED UNIVERSITY RECEIVES FUNDING FROM A VARIETY OF SOURCES. SOME OF THESE SOURCES ARE GOVERNMENTAL AGENCIES PROVIDING FUNDING FOR RESEARCH PROJECTS, STUDENTS 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 SERVICE STUDY ABROAD 3910 EAST ASIA AND THE PACIFIC 0 0 FUNDRAISING MEET DONORS 8689 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICE CONFERENCE ATTENDANCE 24597 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICE CONFERENCE PRESENTATIONS 28019 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICE PROGRAM DEVELOPMENT 53865 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICE RESEARCH 1267 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICE STUDY ABROAD 1350 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 FUNDRAISING MEET DONORS 2305 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICE CONFERENCE ATTENDANCE 16623 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICE CONFERENCE PRESENTATIONS 6590 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICE PROGRAM DEVELOPMENT 14267 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICE RESEARCH 8674 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICE STUDY ABROAD 21962 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICE PROGRAM DEVELOPMENT 1000 NORTH AMERICA 0 0 PROGRAM SERVICE CONFERENCE ATTENDANCE 7539 NORTH AMERICA 0 0 PROGRAM SERVICE CONFERENCE PRESENTATIONS 2561 NORTH AMERICA 0 0 PROGRAM SERVICE PROGRAM DEVELOPMENT 4801 NORTH AMERICA 0 0 PROGRAM SERVICE STUDY ABROAD 250 SOUTH ASIA 0 0 PROGRAM SERVICE PROGRAM DEVELOPMENT 3834 0 0 0 0 0 0 124002 88101 212103 0 0 0 1 0 0 1 SCHOLARSHIPS 2057 29068751 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: 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 X X 1 1 X X X X X X 0 0 0 0 0 0 0 0 0 CHARLES M EDMONDSON 292975 0 0 0 56330 0 27866 0 49733 0 426904 0 0 0 GIOVINA M LLOYD 174000 0 0 0 0 0 25200 0 17787 0 216987 0 0 0 WILLIAM M HALL 204478 0 0 0 0 0 32443 0 29358 0 266279 0 0 0 DR SCOTT MISTURE 130871 0 0 0 48831 0 10010 0 36303 0 226015 0 0 0 LESLIE M BELLAVANCE 174217 0 0 0 0 0 27250 0 20846 0 222313 0 0 0 SK SUNDARAM 119554 0 0 0 43332 0 4108 0 12548 0 179542 0 0 0 LINDA E JONES 189216 0 0 0 0 0 0 0 34878 0 224094 0 0 0 STAN COLLA 196621 0 0 0 0 0 10300 0 29015 0 235936 0 0 0 SUPPLEMENTAL INFORMATION PART III 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. AS PART OF THE PRESIDENT'S COMPENSATION PACKAGE A PERSONAL ALLOWANCE AND GROSS UP WERE APPROVED BY THE BOARD. THE UNIVERSITY MAINTAINS A COUNTRY CLUB MEMBERSHIP IN THE PRESIDENT'S NAME FOR ENTERTAINMENT OF DONORS. X 13 358519 MARKET VALUE X HORSES EQUEST CTR 10 0 APPRAISAL 5 0 1 0 THIRD PARTY USE: PART I, LINE 32B: THE UNIVERSITY HAS ELECTED NOT TO CAPITALIZE THE APPRAISED VALUE OF HORSES DONATED TO ITS EQUESTRIAN PROGRAM. FORM 990, PART VI, SECTION B, LINE 11 FORM 990 IS PREPARED BY THE UNIVERSITY AUDITORS AND SUBMITTED FOR REVIEW TO THE INTERIM CONTROLLER, PRESIDENT, VICE PRESIDENT FOR BUSINESS AND FINANCE AND THE CHAIRMAN 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 CONFLICT OF INTEREST FORMS ARE DISTRIBUTED ANNUALLY BY THE PRESIDENT'S OFFICE TO ALL MEMBERS OF THE BOARD OF TRUSTEES. THE COMPLETED FORMS ARE RETURNED TO THE CORPORATE SECRETARY WHO IS PRESENT AT ALL BOARD MEETINGS AND ENSURES THAT ANY MEMBERS WHO HAVE A STATED CONFLICT OF INTEREST, ABSTAIN FROM ANY VOTING ASSOCIATED WITH THAT CONFLICT. OFFICERS AND KEY EMPLOYEES ARE REQUIRED TO SUBMIT CONFLICT OF INTERST QUESTIONNAIRES ANNUALLY TO THEIR SUPERVISORS WHO ENSURE THAT ANY PERCEIVED CONFLICTS ARE MITIGATED. FORM 990, PART VI, SECTION B, LINE 15 THE HUMAN RESOURCES COMMITTEE OF THE BOARD OF TRUSTEES SETS THE SALARY FOR THE PRESIDENT. THEY UTILIZE MANY SOURCES OF COMPARATIVE DATA INCLUDING THE USE OF CONSULTANTS, 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. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -993,297. INVESTMENT EXPENSES: 314,165. POSTRETIREMENT BENEFIT RELATED CHANGES OTHER THAN NET PERIODIC BENEFIT COST -4,078,470. GAIN ON POSTRETIREMENT PLAN TERMINATION 325,287. TOTAL TO FORM 990, PART XI, LINE 5: -4,432,315. THE AUDIT OVERSIGHT PROCESS HAS NOT CHANGED FROM PRIOR YEARS. ALFRED UNIVERSITY HOUSING CORPORATION ONE SAXON DRIVE ALFRED NY 14802 166052251 AUXILIARY OF REPORTING NY 501(C)(2) ALFRED UNIVERSITY 0 SAXON INN INC ONE SAXON DRIVE ALFRED NY 14802 160960711 AUXILIARY OF REPORTING NY 501(C)(7) ALFRED UNIVERSITY 0 ALFRED UNIVERSITY RESEARCH FDN INC ONE SAXON DRIVE ALFRED NY 14802 161063285 AUXILIARY OF REPORTING NY 501(C)(3) LINE 2 ALFRED UNIVERSITY 0 FOSTER LAKE INC ONE SAXON DRIVE ALFRED NY 14802 161000109 LAKE ACCESS TO STUDENTS NY ALFRED UNIVERSITY C 20000 124755 1.00000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 NO TRANSACTIONS EXCEEDED REPORTING THRESHOLD