2017-11-15T14:05:36-06:00 2016-12-31 141555429 UHY ADVISORS NY INC 4 TOWER PLACE EXECUTIVE PARK 7TH FLOOR ALBANY NY 12203 990 2016-01-01 141405826 HEALTHCARE ASSOCIATION OF NEW YORK STATE HEAL 5184317600 ONE EMPIRE DRIVE RENSSELAER NY 121449315 DANIEL J DEL POZZO CHIEF FINANCIAL OFFICER 5184317600 2017-11-14 1 XIAOQIANG ZHANG P01577994 5184493166 209.99.101.4 2017-11-14 12:49:30 ES P 69E6C8BDC6A2D250775C651D43A2616646AEEB2E 1C6084A65172385C4F5BEF4D195ED7B70841B98A 2016 2021-01-29 14:40:06Z MARIE B GRAUSE ONE EMPIRE DRIVE RENSSELAER NY 121449315 22381810 0 X WWW.HANYS.ORG X 1953 NY ADVANCE THE HEALTH OF INDI- VIDUALS THROUGH REPRESENTATION & SERVICE TO NYS HEALTH PROVIDERS. 47 47 131 47 0 0 356819 543901 12028256 15377640 592169 579565 121604 84218 13098848 16585324 0 0 0 0 11962614 13520284 0 0 0 3187996 5357831 15150610 18878115 -2051762 -2292791 33930351 34030261 6708667 5246304 27221684 28783957 X THE MISSION OF THE HEALTHCARE ASSOCIATION OF NEW YORK STATE, INC. (HANYS) IS TO ADVANCE THE HEALTH OF INDIVIDUALS AND COMMUNITIES BY PROVIDING LEADERSHIP, REPRESENTATION, AND SERVICE TO HEALTH PROVIDERS AND SYSTEMS IN NEW YORK STATE ACROSS THE ENTIRE CONTINUUM OF CARE. 0 0 STATE ADVOCACY: HANYS AND ITS MEMBERS, WORKING WITH NEW YORK'S ALLIED ASSOCIATIONS, ADVOCATED AGAINST PROPOSED CUTS IN HEALTHCARE FUNDNG AND NEW TAXES ON HEALTHCARE PROVIDERS. THESE SUCCESSFUL EFFORTS HELPED MAINTAIN CRITICAL HEALTHCARE SERVICES IN COMMUNITIES ACROSS NEW YORK STATE AND PRESERVE VITAL HEALTHCARE JOBS IN PROVIDERS ACROSS THE STATE. ALSO, HANYS WORKED TO ENSURE THAT THE IMPLEMENTATION OF REGULATIONS AND LEGISLATION SUPPORTS AND ADVANCES THE DELIVERY OF HEALTHCARE IN NEW YORK STATE. FEDERAL ADVOCACY: HANYS AND ITS MEMBERS WORKED ALONGSIDE NEW YORK'S ALLIED ASSOCIATIONS, AND THE AMERICAN HOSPITAL ASSOCIATION TO ADVANCE AN AGENDA THAT PROTECTED HEALTHCARE PROVIDERS FROM MEDICARE AND MEDICAID SPENDING REDUCTIONS AND ADVOCATED FOR LEGISLATION AND REGULATION THAT SUPPORTED THE EFFICIENT AND EFFECTIVE DELIVERY OF HEALTHCARE SERVICES. HANYS ALSO ADVOCATED FOR THE ADOPTION OF HEALTHCARE REFORMS THAT WOULD EXPAND ACCESS TO HEALTHCARE INSURANCE AND IMPROVE THE ABILITY OF PROVIDERS TO MEET THE NEEDS OF THEIR COMMUNITIES. QUALITY IMPROVEMENT: HANYS PROVIDED EXTENSIVE ADVOCACY AND EDUCATION ON NUMEROUS STATE AND NATIONAL QUALITY IMPROVEMENT AND REPORTING INITIATIVES, INCLUDING THE FOLLOWING AREAS: THE QUALITY MEASUREMENT COLLECTION PROCESS, HOSPITAL ACQUIRED CONDITIONS, QUALITY REPORT CARDS, STATEWIDE SEPSIS LEARNING NETWORK, READMISSIONS, AND PATIENT EXPERIENCE OF CARE. IN SEPTEMBER 2015, THE HEALTHCARE ASSOCIATION OF NEW YORK STATE ENTERED INTO A ONE YEAR FEDERAL CONTRACT WITH THE CENTERS FOR MEDICARE AND MEDICAID SERVICES (CMS) UNDER CMS' NATIONAL PARTNERSHIP FOR PATIENTS HEALTH IMPROVEMENT INITIATIVE (PFP). THE CONTRACT COVERED THE CONTINUATION OF WORK PERFORMED UNDER A PREVIOUS THREE-YEAR PFP CONTRACT AWARDED IN 2011. AS WITH THE PREVIOUS CONTRACT, HANYS PARTNERED WITH THE GNYHA FOUNDATION TO CARRY OUT THE PFP CONTRACT. THE GOAL OF THIS INITIATIVE IS TO DEVELOP AND IMPLEMENT A CAMPAIGN DESIGNED TO DECREASE PATIENT HARM BY 40% AND READMISSIONS BY 20% IN HOSPITALS NATIONWIDE. HANYS SERVED AS A HOSPITAL ENGAGEMENT CONTRACTOR UNDER THE INITIATIVE WITH THE PRIMARY ROLE OF LEADING THE OVERALL DESIGN AND IMPLEMENTATION OF PFP IN NEW YORK STATE. HANYS' RESPONSIBILITIES INCLUDED ENROLLING ITS MEMBER HOSPITALS IN THE INITIATIVE, CONVENING OTHER STAKEHOLDER GROUPS, DEVELOPING AND IMPLEMENTING STRATEGIES, IMPLEMENTING EDUCATION AND TRAINING, ENSURING ONGOING HOSPITAL ENGAGEMENT, AND MEASURING AND REPORTING RESULTS. IN SEPTEMBER 2016, CMS AWARDED A TWO-YEAR CONTRACT TO HANYS TO CONTINUE WORKING ON THIS INITIATIVE, AND HANYS IS ONCE AGAIN PARTNERING WITH THE GNYHA FOUNDATION TO CARRY OUT THE CONTRACT. 0 1 0 1 0 0 0 0 0 1 1 0 1 1 1 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 1 75 0 1 131 1 0 0 0 0 0 0 X 47 47 0 0 0 0 1 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 X DANIEL J DEL POZZO VP & CFO 5184317787 ONE EMPIRE DRIVE RENSSELAER NY 12144 X STEPHENS MUNDY CHAIR 1.00 0.20 X X 0 0 0 STEVEN CORWIN MD CHAIR ELECT 1.00 0.20 X X 0 0 0 SCOTT COOPER MD IMMEDIATE PAST CHAIR 1.00 0.20 X X 0 0 0 LINDA BRADY MD PAST CHAIR 1.00 0.20 X X 0 0 0 JOSEPH MCDONALD PAST CHAIR 1.00 0.20 X X 0 0 0 HERBERT PARDES MD PAST CHAIR 1.00 0.20 X X 0 0 0 RICHARD MURPHY SECRETARY 1.00 0.20 X X 0 0 0 JOEL SELIGMAN TREASURER 1.00 0.20 X X 0 0 0 ALEXANDER BALKO TRUSTEE 1.00 0.00 X 0 0 0 JAMES BARBA JD TRUSTEE 1.00 0.00 X 0 0 0 ERIC BIEBER MD TRUSTEE 1.00 0.00 X 0 0 0 DANIEL BLUM TRUSTEE 1.00 0.00 X 0 0 0 RODNEY BOULA TRUSTEE 1.00 0.00 X 0 0 0 KIMBERLY BOYNTON TRUSTEE 1.00 0.00 X 0 0 0 THOMAS CARMAN TRUSTEE 1.00 0.00 X 0 0 0 NORMAN DASCHER JR FACHE TRUSTEE 1.00 0.00 X 0 0 0 MICHAEL DOWLING TRUSTEE 1.00 0.00 X 0 0 0 S JAN EBERHARD MD TRUSTEE 1.00 0.00 X 0 0 0 MICHAEL FASSLER TRUSTEE 1.00 0.00 X 0 0 0 BRUCE FLANZ TRUSTEE 1.00 0.00 X 0 0 0 EVAN FLATLOW MD TRUSTEE 1.00 0.00 X 0 0 0 KENNETH GIBBS TRUSTEE 1.00 0.00 X 0 0 0 STEVEN GOLDSTEIN TRUSTEE 1.00 0.00 X 0 0 0 WENDY GOLDSTEIN TRUSTEE 1.00 0.00 X 0 0 0 JOHN LANE TRUSTEE 1.00 0.00 X 0 0 0 JOSEPH LHOTA TRUSTEE 1.00 0.00 X 0 0 0 JODY LOMEO TRUSTEE 1.00 1.00 X 0 0 0 JOHN MCCABE MD TRUSTEE 1.00 0.00 X 0 0 0 RONALD MILCH TRUSTEE 1.00 0.00 X 0 0 0 STEPHEN MILLS FACHE TRUSTEE 1.00 0.00 X 0 0 0 ALAN MORSE JD PHD TRUSTEE 1.00 0.00 X 0 0 0 SHARON NORTON REMMER TRUSTEE 1.00 0.00 X 0 0 0 REUVEN PASTERNAK MD TRUSTEE 1.00 0.00 X 0 0 0 SCOTT PERRA FACHE TRUSTEE 1.00 0.00 X 0 0 0 JOSEPH QUAGLIATA TRUSTEE 1.00 0.00 X 0 0 0 THOMAS QUATROCHE PHD TRUSTEE 1.00 0.00 X 0 0 0 RAM RAJU MD TRUSTEE 1.00 0.00 X 0 0 0 KENNETH ROBERTS TRUSTEE 1.00 0.00 X 0 0 0 KATHRYN RUSCITTO TRUSTEE 1.00 0.00 X 0 0 0 STEVEN SAFYER MD TRUSTEE 1.00 0.00 X 0 0 0 JON SCHANDLER TRUSTEE 1.00 0.00 X 0 0 0 MARK SOLAZZO TRUSTEE 1.00 0.00 X 0 0 0 JOHN SPICER TRUSTEE 1.00 0.00 X 0 0 0 MICHAEL SPICER FACHE TRUSTEE 1.00 0.00 X 0 0 0 MARK WEBSTER FACHE TRUSTEE 1.00 0.00 X 0 0 0 JOHN WILLIAMS JR MD TRUSTEE 1.00 0.00 X 0 0 0 BETSY WRIGHT TRUSTEE 1.00 1.00 X 0 0 0 MARIE B GRAUSE PRESIDENT (FROM JULY 2016) 32.00 18.00 X 343149 193021 14601 DENNIS WHALEN PRESIDENT (TO JULY 2016) 32.40 17.60 X 675669 368345 84569 RICHARD COOK CHIEF OPERATING OFFICER(TO NOV 2016) 9.60 40.40 X 42565 179129 45630 DANIEL DEL POZZO CHIEF FINANCIAL OFFICER 9.50 40.50 X 43288 185380 30743 VALERIE GREY EXECUTIVE VP (TO SEPT 2016) 32.00 18.00 X 236129 132823 54784 KEVIN DAHILL EXECUTIVE VICE PRESIDENT 50.00 0.00 X 389949 0 48297 SUSAN VAN METER VP, GOVERNMENT AFFAIRS 50.00 0.00 X 260800 0 25552 JEFFREY GOLD SENIOR VP, MANAGED CARE 50.00 0.00 X 240240 0 24602 WILLIAM STRECK CHIEF MED & HEALTH INNOV. OFFICER 34.50 15.50 X 282359 126323 3941 MARK THOMAS GENERAL COUNSEL 48.90 1.10 X 244120 5416 29833 DANIEL SISTO FORMER PRESIDENT (SEE SCH. J NOTES) 5.83 0.00 X 1450562 0 3500 4208830 1190437 366052 30 1 1 0 GREATER NEW YORK HEALTH FOUNDATION 555 WEST 57TH STREET NEW YORK NY 10019 PROJECT MANAGEMENT FOR CMS HEN CONTRACT 1597818 WILSON ELSER MOSKOWITZ EDELMAN & DICK 677 BROADWAY ALBANY NY 12207 LEGAL & LEGISLATIVE REPRESENTATION 489401 DATAGEN INC ONE EMPIRE DRIVE RENSSELAER NY 12144 CONSULTING 239525 IPRO 1979 MARCUS AVENUE LAKE SUCCESS NY 11042 CONSULTING 166325 JACKSON LEWIS 44 SOUTH BROADWAY 14TH FLOOR WHITE PLAINS NY 10601 LEGISLATIVE REPRESENTATION 124695 6 74392 469509 543901 MEMBERSHIP DUES 561499 10643436 10643436 PARTNERSHIP FOR PATIENTS 541900 4130112 4130112 SEMINARS/CONFERENCES 611600 428518 428518 QUALITY PROGRAMS 541900 171174 171174 SUBSCRIPTIONS/PUBLICATIONS 511120 4400 4400 15377640 224241 224241 6151810 5796486 355324 355324 355324 ADMINISTRATIVE FEES 561000 84218 84218 84218 16585324 15461858 0 579565 X 1453039 46706 8556701 870620 1886957 706261 199278 44939 490854 2833466 259879 428884 927727 749346 289024 1174371 448801 103768 BAD DEBTS 500040 -3092546 18878115 8027709 10498682 3112531 1852632 261825 298825 7418153 5767517 1169783 1650636 11134085 10904061 1496168 3391957 8728250 5433468 33930351 34030261 2958140 2568455 21101 250202 3729426 2427647 6708667 5246304 X 27221684 28783957 27221684 28783957 33930351 34030261 X -2292791 74215 3780849 X X 0 1 X 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 0 0 575377 569942 5435 3263154 2642354 620800 3579622 2555221 1024401 1650636 INVESTMENT IN SUBSIDIARIES 3391957 C 3391957 CASH VALUE OF SPLIT LIFE INSURANCE 1328032 DUE FROM AFFILIATES 4105436 5433468 POST-EMPLOYMENT BENEFIT OBLIGATIONS 2427647 2427647 X PART X, LINE 2: FIN 48 (ASC 740) FINANCIAL STATEMENTS FOOTNOTE REGARDING UNCERTAIN TAX POSITIONS: THE CORPORATIONS FOLLOWS GUIDANCE ISSUED BY THE FASB REGARDING ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES. THIS GUIDANCE CLARIFIES THE ACCOUNTING FOR INCOME TAXES BY PRESCRIBING THE MINIMUM RECOGNITION THRESHOLD AN INCOME TAX POSITION IS REQUIRED TO MEET BEFORE BEING RECOGNIZED IN THE FINANCIAL STATEMENTS AND APPLIES TO ALL INCOME TAX POSITIONS. EACH INCOME TAX POSITION IS ASSESSED USING A TWO STEP PROCESS. A DETERMINATION IS FIRST MADE AS TO WHETHER IT IS MORE LIKELY THAN NOT THAT THE INCOME TAX POSITION WILL BE SUSTAINED, BASED UPON TECHNICAL MERITS, UPON EXAMINATION BY THE TAXING AUTHORITIES. IF THE INCOME TAX POSITION IS EXPECTED TO MEET THE MORE LIKELY THAN NOT CRITERIA, THE BENEFIT RECORDED IN THE FINANCIAL STATEMENTS EQUALS THE LARGEST AMOUNT THAT IS GREATER THAN 50% LIKELY TO BE REALIZED UPON ITS ULTIMATE SETTLEMENT. X 1 1 X X X X X 0 1 0 MARIE B GRAUSE PRESIDENT (FROM JULY 2016) 331865 186674 0 0 11284 6347 0 0 9345 5256 352494 198277 0 0 DENNIS WHALEN PRESIDENT (TO JULY 2016) 236389 122242 275520 154980 163760 91123 48471 27265 5653 3180 729793 398790 119312 67113 RICHARD COOK CHIEF OPERATING OFFICER(TO NOV 2016) 41316 173873 0 0 1249 5256 8628 36310 133 559 51326 215998 0 0 DANIEL DEL POZZO CHIEF FINANCIAL OFFICER 42951 183735 0 0 337 1645 3647 19022 1299 6775 48234 211177 0 0 VALERIE GREY EXECUTIVE VP (TO SEPT 2016) 152674 85879 23107 12998 60348 33946 34234 19256 828 466 271191 152545 45369 25520 KEVIN DAHILL EXECUTIVE VICE PRESIDENT 382451 0 0 0 7498 0 26500 0 21797 0 438246 0 0 0 SUSAN VAN METER VP, GOVERNMENT AFFAIRS 254350 0 5000 0 1450 0 25435 0 117 0 286352 0 0 0 JEFFREY GOLD SENIOR VP, MANAGED CARE 231036 0 5000 0 4204 0 23103 0 1499 0 264842 0 0 0 WILLIAM STRECK CHIEF MED & HEALTH INNOV. OFFICER 276966 123911 415 185 4978 2227 2186 978 537 240 285082 127541 0 0 MARK THOMAS GENERAL COUNSEL 212327 4710 24458 543 7335 163 21233 471 7953 176 273306 6063 0 0 DANIEL SISTO FORMER PRESIDENT (SEE SCH. J NOTES) 40000 0 0 0 1410562 0 3500 0 0 0 1454062 0 967181 0 PART I, LINE 1A MARIE B. GRAUSE RECEIVED REIMBURSEMENT OF THE TAX OBLIGATION ASSOCIATED WITH REIMBURSED TAXABLE RELOCATION EXPENSES. PART I, LINE 4B THE FOLLOWING EXECUTIVES OF THE ORGANIZATION PARTICIPATE IN NONQUALIFIED RETIREMENT PLANS MAINTAINED BY THE ORGANIZATION: DENNIS WHALEN, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. MARIE B. GRAUSE, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. VALERIE GREY, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. RICHARD COOK, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. IN SEPTEMBER 2016, VALERIE GREY, THE EXECUTIVE VICE PRESIDENT OF THE ORGANIZATION, VOLUNTARILY TERMINATED HER EMPLOYMENT WITH THE ORGANIZATION AND ELECTED TO RECEIVE A FULL DISTRIBUTION OF HER VESTED BALANCE IN A SUPPLEMENTAL RETIREMENT ACCOUNT, WHICH TOTALED $77,311. THE VESTED BALANCE CONSISTS OF AMOUNTS PREVIOUSLY DEFERRED OVER HER 3.7 YEARS OF EMPLOYMENT PLUS ASSOCIATED INVESTMENT EARNINGS ON THE DEFERRALS. THE PREVIOUSLY DEFERRED AMOUNTS TOTALING $70,889 WERE REPORTED IN PRIOR FORMS 990 AND IS INCLUDED IN SCHEDULE J, COLUMN F. THE FULL DISTRIBUTION OF $77,311 IS INCLUDED IN THE COMPENSATION REPORTED FOR MS. GREY IN PART VII, SECTION A, AND IN SCHEDULE J, PART II, COLUMN B(III). IN JUNE 2016, DENNIS WHALEN, THE PRESIDENT OF THE ORGANIZATION, RETIRED FROM THE ORGANIZATION AND ELECTED TO RECEIVE A FULL DISTRIBUTION OF HIS VESTED BALANCE IN A SUPPLEMENTAL RETIREMENT ACCOUNT, WHICH TOTALED $198,296. THE VESTED BALANCE CONSISTS OF AMOUNTS PREVIOUSLY DEFERRED OVER HIS 6.75 YEARS OF EMPLOYMENT PLUS ASSOCIATED INVESTMENT EARNINGS ON THE DEFERRALS. THE PREVIOUSLY DEFERRED AMOUNTS TOTALING $186,425 WERE REPORTED IN PRIOR FORMS 990 AND IS INCLUDED IN SCHEDULE J, COLUMN F. THE FULL DISTRIBUTION OF $198,296 IS INCLUDED IN THE COMPENSATION REPORTED FOR MR. WHALEN IN PART VII, SECTION A, AND IN SCHEDULE J, PART II, COLUMN B(III). DURING 2016, DANIEL SISTO, THE RETIRED FORMER PRESIDENT OF THE ORGANIZATION, ELECTED TO RECEIVE A FULL DISTRIBUTION OF HIS VESTED BALANCE IN A SUPPLEMENTAL RETIREMENT ACCOUNT, WHICH TOTALED $1,402,356. THE VESTED BALANCE CONSISTS OF AMOUNTS PREVIOUSLY DEFERRED OVER HIS 29 YEARS OF EMPLOYMENT PLUS ASSOCIATED INVESTMENT EARNINGS ON THE DEFERRALS. THE PREVIOUSLY DEFERRED AMOUNTS TOTALING $967,181 WERE REPORTED IN PRIOR FORMS 990 AND IS INCLUDED IN SCHEDULE J, COLUMN F. THE FULL DISTRIBUTION OF $1,402,356 IS INCLUDED IN THE COMPENSATION REPORTED FOR MR. SISTO IN PART VII, SECTION A, AND IN SCHEDULE J, PART II, COLUMN B(III). EFFECTIVE JUNE 30, 2016, DENNIS WHALEN RETIRED FROM THE ROLE OF PRESIDENT OF THE ORGANIZATION. FOLLOWING MR. WHALEN'S RETIREMENT, HE WAS ENGAGED BY THE ORGANIZATION AS AN INDEPENDENT CONTRACTOR ON A PART TIME BASIS TO PROVIDE POLICY AND ADVISORY SERVICES. THE COMPENSATION REPORTED FOR MR. WHALEN IN PART VII, SECTION A, AND IN SCHEDULE J, PART II INCLUDES HIS COMPENSATION EARNED WHILE EMPLOYED AS PRESIDENT THROUGH JUNE, 2016, THE SUPPLEMENTAL RETIREMENT ACCOUNT DISTRIBUTION DESCRIBED ABOVE, AND COMPENSATION PAID AS AN INDEPENDENT CONSULTANT FOLLOWING HIS RETIREMENT. MARIE B. GRAUSE WAS APPOINTED PRESIDENT AND CHIEF EXECUTIVE OFFICER-IN-WAITING FOR THE TRANSITIONAL PERIOD BETWEEN HER MARCH 1, 2016 HIRE DATE AND MR. WHALEN'S JUNE 30, 2016 RETIREMENT DATE. MS. GRAUSE BECAME PRESIDENT AND CHIEF EXECUTIVE OFFICER OF THE ORGANIZATION EFFECTIVE JULY 1, 2016. THE COMPENSATION REPORTED FOR MS. GRAUSE IN PART VII, SECTION A, AND IN SCHEDULE J, PART II INCLUDES HER COMPENSATION EARNED WHILE SERVING AS PRESIDENT AND CHIEF EXECUTIVE OFFICER-IN-WAITING THROUGH JUNE, 2016 AND HER COMPENSATION WHILE SERVING AS PRESIDENT AND CHIEF EXECUTIVE OFFICER BEGINNING IN JULY, 2016. FORM 990, PART VI, SECTION A, LINE 6 DESCRIPTION OF MEMBERSHIP: THE ORGANIZATION HAS THREE CLASSES OF MEMBERSHIP: INSTITUTIONAL, ASSOCIATE, AND AFFILIATE. INSTITUTIONAL MEMBERS ARE ENTITLED TO VOTE UPON ANY PROPOSAL TO AMEND THE ARTICLES OF INCORPORATION OR OTHER MATTERS THAT REQUIRE A VOTE OF THE MEMBERSHIP, AND THEY ARE ENTITLED TO RECEIVE A SHARE OF THE ORGANIZATION'S NET ASSETS UPON THE ORGANIZATION'S DISSOLUTION. INSTITUTIONAL MEMBERS DO NOT HAVE THE RIGHT TO ELECT OR APPOINT BOARD MEMBERS OR OTHERWISE PARTICIPATE IN THE ORGANIZATION'S GOVERNANCE. ASSOCIATE AND AFFILIATE MEMBERS HAVE NO RIGHTS RELATED TO VOTING, GOVERNANCE, OR RECEIPT OF ASSETS FROM THE ORGANIZATION. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCEDURES: THE ORGANIZATION'S FORM 990 IS PREPARED BY AN INDEPENDENT CERTIFIED PUBLIC ACCOUNTING FIRM. THE COMPLETED FORM 990 IS REVIEWED IN THREE STAGES PRIOR TO ITS FILING. THE FIRST REVIEW IS CONDUCTED BY THE CORPORATE FINANCE STAFF. THE SECOND REVIEW IS PERFORMED BY THE CHIEF FINANCIAL OFFICER. THE FINAL REVIEW IS PERFORMED BY THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. THE BOARD OF TRUSTEES FORMALLY DELEGATED RESPONSIBILITY FOR REVIEW OF FORM 990 TO THE AUDIT COMMITTEE. EACH MEMBER OF THE AUDIT COMMITTEE RECEIVES A COPY OF THE COMPLETE FINAL FORM 990 TO REVIEW PRIOR TO ITS FILING. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY PROCEDURES: THE ORGANIZATION HAS WRITTEN CONFLICT OF INTEREST POLICIES COVERING ALL EMPLOYEES AND MEMBERS OF THE BOARD OF TRUSTEES. THE POLICIES REQUIRE EMPLOYEES AND BOARD MEMBERS TO DISCLOSE ACTUAL AND POTENTIAL CONFLICTS AND REFRAIN FROM PARTICIPATING IN MATTERS RELATED TO THE CONFLICT. ON AN ANNUAL BASIS, ALL EMPLOYEES AND BOARD MEMBERS ARE REQUIRED TO COMPLETE A WRITTEN CONFLICT OF INTEREST DISCLOSURE STATEMENT. THE DISCLOSURE STATEMENTS ARE REVIEWED BY EXECUTIVE MANAGEMENT AND THE AUDIT COMMITTEE. THE POLICIES CONTAIN ESCALATION PROCEDURES THAT INVOLVE INDEPENDENT LEGAL COUNSEL, BOARD LEADERSHIP, AND THE AUDIT COMMITTEE FOR REVIEWING POTENTIAL CONFLICTS. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION PROCEDURES: A COMPENSATION COMMITTEE MADE UP OF INDEPENDENT MEMBERS OF THE BOARD OF TRUSTEES OVERSEES AND DETERMINES COMPENSATION FOR THE PRESIDENT (OFFICER), EXECUTIVE VP (OFFICER), CHIEF FINANCIAL OFFICER (OFFICER), CHIEF OPERATING OFFICER (OFFICER), AND EXECUTIVE VP/CEO-NSHC & NORMET (HIGHLY COMPENSATED), USING THE FOLLOWING PROCESS. THE COMPENSATION COMMITTEE USES AN INDEPENDENT COMPENSATION CONSULTING FIRM TO ASSIST IT IN DEVELOPING AND MAINTAINING THE COMPENSATION PHILOSOPHY AND TO DETERMINE THE APPROPRIATE BENCHMARKS FOR TOTAL COMPENSATION FOR EACH POSITION. ON AN ANNUAL BASIS, THE COMPENSATION CONSULTANT OBTAINS COMPARATIVE COMPENSATION DATA FOR EACH POSITION BASED ON THE COMPENSATION PHILOSOPHY AND ESTABLISHED BENCHMARKS. THE PRESIDENT CONDUCTS AN ANNUAL PERFORMANCE REVIEW FOR THE CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER AND EXECUTIVE VICE PRESIDENTS AND PROVIDES A RECOMMENDATION FOR COMPENSATION TO THE COMPENSATION COMMITTEE UTILIZING THE COMPARATIVE COMPENSATION DATA PROVIDED BY THE COMPENSATION CONSULTANT. THE COMPENSATION COMMITTEE REVIEWS THE PRESIDENT'S RECOMMENDATIONS AND HAS FINAL APPROVAL OVER COMPENSATION. THE COMPENSATION COMMITTEE CONDUCTS AN ANNUAL PERFORMANCE REVIEW FOR THE PRESIDENT AND DETERMINES THE PRESIDENT'S COMPENSATION UTILIZING THE COMPARATIVE COMPENSATION DATA PROVIDED BY THE COMPENSATION CONSULTANT. DECISIONS AFFECTING COMPENSATION AND THE BASIS FOR THOSE DECISIONS ARE DOCUMENTED BY THE COMPENSATION COMMITTEE AT THE CONCLUSION OF ITS MEETING. FORM 990, PART VI, SECTION C, LINE 19 AVAILABILITY TO PUBLIC OF GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS: THE ORGANIZATION DOES NOT MAKE THESE DOCUMENTS AVAILABLE TO THE PUBLIC EXCEPT TO THE EXTENT INFORMATION FROM THESE IS INCLUDED IN THE FORM 990. FORM 990, PART VII, SECTION A, LINE 1A, COLUMN B KEVIN DAHILL IS EMPLOYED BY THE HEALTHCARE ASSOCIATION OF NEW YORK STATE, INC. (HANYS). HANYS PROVIDES EMPLOYEES AND MANAGEMENT STAFF, INCLUDING MR. DAHILL, TO THE NASSAU-SUFFOLK HOSPITAL COUNCIL (NSHC) AND THE NORTHERN METROPOLITAN HOSPITAL ASSOCIATION (NMHA) PURSUANT TO SEPARATE MANAGEMENT AND STAFFING AGREEMENTS BETWEEN HANYS AND EACH ORGANIZATION. MR. DAHILL SERVES AS THE PRESIDENT OF NSHC AND NMHA UNDER THE AGREEMENTS WITH HANYS AND DEVOTES APPROXIMATELY 50 HOURS PER WEEK TO THESE ROLES. HANYS PAYS ALL COMPENSATION AND FRINGE BENEFIT COSTS FOR MR. DAHILL AND OTHER STAFF PROVIDED TO NSHC AND NMHA. AS COMPENSATION FOR THE MANAGEMENT AND STAFFING SERVICES PROVIDED BY HANYS, NSHC AND NMHA PAY HANYS FOR THE COST OF THE SALARY AND FRINGE BENEFITS OF THE EMPLOYEES AND MANAGEMENT STAFF PROVIDED BY HANYS TO NSHC AND NMHA. FORM 990, PART IX, LINE 11G PFP SUBCONTRACT FEES 2,350,676. HEALTHCARE POLICY ANALYSIS 163,500. HR BENEFITS CONSULTING 63,424. PRESIDENT TRANSITION 41,668. OTHER PROFESSIONAL AND CONSULTING FEES 214,198. FORM 990, PART XI, LINE 9: POST-RETIREMENT BENEFIT ADJUSTMENT 45,868. SUBSIDIARY DIVIDENDS 1,839,192. CHANGE IN EQUITY OF HANYS SERVICES, INC. 1,895,789. FORM 990, PART XII, LINE 2C IN ACCORDANCE WITH THE ORGANIZATION'S BYLAWS, THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES IS RESPONSIBLE FOR THE OVERSIGHT OF THE ANNUAL AUDIT OF FINANCIAL STATEMENTS AND THE APPOINTMENT OF THE INDEPENDENT ACCOUNTANT. THE AUDIT COMMITTEE'S OVERSIGHT PROCESS HAS NOT CHANGED FROM PRIOR YEAR. FORM 990, PART VI, SECTION A, LINE 1A THE ORGANIZATION'S BOARD OF TRUSTEES HAS DELEGATED AUTHORITY TO ACT ON ITS BEHALF TO AN EXECUTIVE COMMITTEE IN ACCORDANCE WITH THE ORGANIZATIONAL BYLAWS. THE EXECUTIVE COMMITTEE CONSISTS OF THE FOLLOWING MEMBERS OF THE BOARD OF TRUSTEES: CHAIRMAN, CHAIRMAN-ELECT, THE IMMEDIATE PAST CHAIRMAN, SECRETARY, TREASURER, AND NO LESS THAN FIVE TRUSTEES APPOINTED BY THE CHAIRMAN. THE EXECUTIVE COMMITTEE HAS THE AUTHORITY, BETWEEN MEETINGS OF THE BOARD OF TRUSTEES, TO EXERCISE AND MAINTAIN ON BEHALF OF THE ORGANIZATION ALL POWERS OF THE BOARD TO THE EXTENT PERMITTED BY LAW. THE EXECUTIVE COMMITTEE'S RESPONSIBILITIES INCLUDE PROVIDING STRATEGIC AND OPERATIONAL GUIDANCE TO THE ORGANIZATION, PREPARING AND SUBMITTING AN ANNUAL BUDGET TO THE BOARD, AND SUPERVISING INVESTING OF FUNDS SUBJECT TO APPROVAL BY THE BOARD. ALL ACTIONS TAKEN BY THE EXECUTIVE COMMITTEE ARE REPORTED TO THE BOARD AT THE FIRST MEETING THEREAFTER. THE HEALTHCARE EDUCATIONAL AND RESEARCH FUND INC 1 EMPIRE DRIVE RENSSELAER NY 12144 146022409 EDUCATION & RESEARCH NY 501(C)(3) LINE 7 N/A 1 WESTERN NEW YORK HOSPITAL ASSOCIATION INC 1 EMPIRE DRIVE RENSSELAER NY 12144 160816128 TRADE ASSOCIATION NY 501(C)(6) N/A 1 HANYS SERVICES INC 1 EMPIRE DRIVE RENSSELAER NY 12144 141655556 CONSULTING AND MARKETING NY N/A C 3358588 4733666 1.00000 1 DATAGEN INC 1 EMPIRE DRIVE RENSSELAER NY 12144 202090177 DATA ANALYSIS AND MODELING NY HSI C 8856245 5853647 1.00000 1 GROUP INSURANCE AGENCY INC 1 EMPIRE DRIVE RENSSELAER NY 12144 141649861 INSURANCE BROKER/EMPLOYEE BENEFITS NY HSI C 3121246 2518840 1.00000 1 INTEGRITY WORKS INC 1 EMPIRE DRIVE RENSSELAER NY 12144 141813461 BACKGROUND SCREENING (INACTIVE) NY HSI C 478 1.00000 1 HANYS GROUP PURCHASING SERVICES INC 1 EMPIRE DRIVE RENSSELAER NY 12144 320125712 PURCHASING SERVICES NY HSI C 1386733 925191 1.00000 1 HEALTHCARE COMMUNITY SECURITIES CORP 1 EMPIRE DRIVE RENSSELAER NY 12144 141764768 LIMITED BROKER-DEALER FOR RETIREMENT PLANS NY GIA C 7971466 3141390 1.00000 1 SERVICE INITIATIVES INC 1 EMPIRE DRIVE RENSSELAER NY 12144 161212272 PURCHASING SERVICES (INACTIVE) NY WNYHA C 9870 702026 1.00000 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 1 0 0 HANYS SERVICES INC & SUBSIDIARIES F 1839192 AMOUNT RECEIVED HEALTHCARE EDUCATIONAL AND RESEARCH FUND P 350904 AMOUNT PAID DATAGEN INC P 240653 AMOUNT PAID HANYS SERVICES INC Q 688616 AMOUNT RECEIVED DATAGEN INC Q 2652732 AMOUNT RECEIVED GROUP INSURANCE AGENCY INC Q 360114 AMOUNT RECEIVED HEALTHCARE COMMUNITY SECURITIES CORP Q 1723615 AMOUNT RECEIVED HANYS GROUP PURCHASING SERVICES INC Q 101738 AMOUNT RECEIVED