2015-11-14T08:17:58-05:00 2014-12-31 KPMG LLP 345 Park Avenue New York NY 101540102 990 2014-01-01 112013303 COLD SPRING HARBOR LABORATORY % LARI C RUSSO CFO COLD 5163678448 PO BOX 100 ONE BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 LARI RUSSO CHIEF FINANCIAL OFFICER 5163678446 2015-11-12 true KPMG LLP P00431862 2127589700 2014 2016-04-25 22:37:26Z BRUCE STILLMAN PO BOX 100 ONE BUNGTOWN ROAD CSH NY 11724 182840857 false X WWW.CSHL.EDU X 1924 NY THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. 32 31 1109 50 636280 100248844 95459974 23599486 22478795 7790310 8916344 2773812 7026728 134412452 133881841 4398662 4576934 0 0 69936822 70622665 0 12000 2196586 66899886 65703436 141235370 140915035 -6822918 -7033194 705641873 704283358 132136545 149221856 573505328 555061502 X THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. false false 92472652 4576934 879526 RESEARCH: Cold Spring Harbor Laboratory (CSHL), founded in 1890, is a world-renowned, private research and education institution with research programs in Cancer, Neuroscience, Plant Biology, Quantitative Biology, and Bioinformatics & Genomics. The research environment is highly collaborative, allowing CSHL scientists to work together across disciplines to solve biology's most challenging problems. The ultimate goal is to apply this research on basic biological mechanisms to improve the diagnosis and treatment of cancer, neurological disorders and other diseases. see schedule O. 8804267 10030061 PUBLICATIONS: With origins in the 1930s, CSHL press enhances the Laboratory's educational mission by publishing original work that assists in the advance and spread of scientific knowledge. Sale of its publications enhances the laboratory's international reputation for excellence. The press publishes research and review journals, books , manuals, primers and other information sources, in electronic and print form. In 2014, the press published over 200 books, including 21 new titles and 7 journals. The press is also responsible for publishing the proceedings of the laboratory's meetings program. Widely reviewed and highly praised, these publications are made available in a variety of languages. 16020224 9314097 EDUCATIONAL MEETINGS & COURSES PROGRAM: CSHL's reputation as one of the world's premier hubs of activity in biology and genetics is linked to its Meetings and & Courses Program. With roots in the legendary annual Symposia in Quantitative Biology series, which began in 1933, the program organizes more than 60 meetings and courses annually, covering a wide range of topics in the biological sciences. SEE SCHEDULE O. 4920733 2255111 122217876 true true false false false false true false false true true true false false true true false true false true true true false false true false false true false true true true false false false false false false true false true true false false false false true true true false false true X 541 0 true 1109 true true true true CH CJ BD EI false false false true true false false false false X 32 31 false false false false false false false true true false false true true true true true true true true false NY X X LARI C RUSSO CFO 5163678446 PO BOX 100 ONE BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 X TANIA A BAKER PHD TRUSTEE 1.0 0.0 X 0 0 0 DAVID BOIES TRUSTEE 1.0 0.0 X 0 0 0 MICHAEL BOTCHAN PHD TRUSTEE 1.0 0.0 X 0 0 0 JACOB GOLDFIELD TRUSTEE 1.0 0.0 X 0 0 0 LEO GUTHART TREASURER 1.0 0.0 X 0 0 0 LAURIE LANDEAU VMD TRUSTEE 1.0 0.0 X 0 0 0 THOMAS LEHRMAN TRUSTEE UNTIL 11/2014 1.0 0.0 X 0 0 0 HOWARD L MORGAN PHD TRUSTEE 1.0 0.0 X 0 0 0 JAMIE C NICHOLLS CHAIRMAN 1.0 0.0 X 0 0 0 LOUISE M PARENT TRUSTEE 1.0 0.0 X 0 0 0 JOHN C PHELAN TRUSTEE 1.0 0.0 X 0 0 0 THOMAS C QUICK TRUSTEE 1.0 0.0 X 0 0 0 WILLIAM S ROBERTSON TRUSTEE 1.0 0.0 X 0 0 0 GEORGE SARD TRUSTEE 1.0 0.0 X 0 0 0 Thomas A Saunders III TRUSTEE 1.0 0.0 X 0 0 0 CHARLES L SAWYERS MD TRUSTEE 1.0 0.0 X 0 0 0 MARILYN SIMONS PHD VICE-CHAIRMAN 1.0 0.0 X 0 0 0 DINAKAR SINGH TRUSTEE 1.0 0.0 X 0 0 0 SAMUEL STANLEY JR MD TRUSTEE 1.0 0.0 X 0 0 0 BRUCE STILLMAN PHD CHIEF EXE. 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THE EASEMENTS DO NOT GENERATE ANY OTHER MATERIAL EXPENSES OR LIABILITIES AND ARE THEREFORE NOT SEPARATELY DISCLOSED IN THE NOTES TO THE FINANCIAL STATEMENTS. ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE LABORATORY'S ENDOWMENT CONSISTS OF APPROXIMATELY 140 INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES INCLUDING PRIMARY PROGRAM SERVICES FOR BOTH RESEARCH AND EDUCATION, OPERATIONS AND FACILITIES COSTS. ITS ENDOWMENT INCLUDES BOTH DONOR-RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS. OTHER LIABILITIES SCHEDULE D, PART X NOTE PAYABLE - REPRESENTS A NOTE BETWEEN COLD SPRING HARBOR LABORATORY AND THE ROBERTSON RESEARCH FUND, INC, A RELATED 501 (C)(3) ORGANIZATION OF THE LABORATORY, WHICH WAS ORIGINATED IN 1996. THE NOTE IS PAYABLE IN 30 ANNUAL INSTALLMENTS AND BEARS INTEREST AT A RATE OF 6% PER ANNUM. ACCRUED SWAP FAIR MARKET VALUE - IN APRIL 2006, THE LABORATORY ENTERED INTO AN INTEREST RATE SWAP AGREEMENT TO MITIGATE THE RISK OF INTEREST RATES ASSOCIATED WITH THE SERIES 1999 AND SERIES 2006 BOND ISSUES. UNDER THE TERMS OF THE AGREEMENT, THE LABORATORY PAYS INTEREST AT A PREDETERMINED FIXED RATE OF 3.802% AND RECEIVES 68% OF 3-MONTH LIBOR ON THE NOTIONAL PRINCIPAL AMOUNT OF $97.2 MILLION. THE SWAP AGREEMENT HAS AN EFFECTIVE DATE OF OCTOBER 1, 2006 AND A TERMINATION DATE OF JANUARY 1,2042. THE FAIR VALUE OF THE INTEREST RATE SWAP WAS A LIABILITY OF $33,623,553 AT DECEMBER 31, 2014. FIN 48 SCHEDULE D, PART X The Laboratory and Robertson are exempt from federal income taxes under Section 501(c)(3) of the Internal Revenue Code. Accordingly, they are not subject to income taxes except to the extent there is taxable income from activities that are not related to the exempt purposes. The Laboratory recognizes the effects of income tax positions only if those positions are more likely than not of being sustained. CSH Asia was established as a taxable organization where the Laboratory has begun efforts to convert the organization to a not-for-profit organization in China. Provisions for unrelated business income taxes are included in accounts payable and accrued expenses in 2014 and 2013 consolidated balance sheets. true Central America and the Caribbean Investments 98377248 Europe (Including Iceland and Greenland) Investments 4249091 Europe (Including Iceland and Greenland) Grantmaking 376449 East Asia and the Pacific 1 1 Program Services SCIENTIFIC CONFERENCE 2109340 1 1 1 1 105112128 105112128 Europe (Including Iceland and Greenland) 191159 CHECK Europe (Including Iceland and Greenland) 107695 CHECK Europe (Including Iceland and Greenland) 77595 WIRE 3 0 true false true true true false SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES SCHEDULE F, PART I, LINE 2 SEE SCHEDULE O FOR SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES DISCLOSURE. 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X X true true X X X X false true false false false false false false false BRUCE STILLMAN PHD CHIEF EXE. OFFICER/Trustee 524389 0 0 0 18539 0 114669 0 120701 0 778298 0 0 0 W DILLAWAY AYRES CHIEF OPERATING OFFICER 409924 0 0 0 17636 0 177263 0 31511 0 636334 0 0 0 LARI C RUSSO CHIEF FINANCIAL OFFICER 257550 10000 0 0 1638 0 31964 0 2002 0 293154 10000 0 0 ARTHUR BRINGS V.P.,CHIEF FACILITIES OFFICER 220795 0 0 0 3372 0 26450 0 38600 0 289217 0 0 0 Walter Goldschmidts EXEC. DIRECTOR SPONSORED PGMS 266253 0 0 0 0 0 33524 0 22059 0 321836 0 0 0 DAVID SPECTOR DIRECTOR OF RESEARCH 354146 0 0 0 12224 0 46453 0 22437 0 435260 0 0 0 THOMAS GINGERAS SCIENTIST 288468 0 0 0 5224 0 36601 0 2229 0 332522 0 0 0 MICHAEL WIGLER SCIENTIST 334208 0 0 0 10918 0 43462 0 22349 0 410937 0 0 0 Charles V Prizzi EXEC. DIR, Development 303000 0 0 0 5885 0 38781 0 22407 0 370073 0 0 0 TERI WILEY VP, BUSINESS DEV/TECH TRANSFER 310000 0 0 0 10058 0 39831 0 21005 0 380894 0 0 0 DR JAMES D WATSON CHANCELLOR EMERITUS 375000 0 0 0 4177 0 49581 0 146842 0 575600 0 0 0 ADDITIONAL DISCLOSURE SCHEDULE J, PART II, COLUMN D COLD SPRING HARBOR LABORATORY PROVIDES DR. STILLMAN, CEO/PRESIDENT, DR. WATSON, CHANCELLOR EMERITUS, AND ARTHUR BRINGS, VP CHIEF FACILITIES OFFICER, WITH HOMES ON ITS CAMPUS AND REQUIRES THEM TO BE USED AS A CONDITION OF THEIR EMPLOYMENT FOR THE CONVENIENCE OF THE LABORATORY. THE VALUE OF THE NON-TAXABLE PERSONAL USE OF THE HOMES ALONG WITH OTHER EXPENSES ARE INCLUDED IN COLUMN D. SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART I, LINE 4B THE FOLLOWING INDIVIDUALS PARTICIPATED IN SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS: NAME OF PARTICIPANT AMOUNT BRUCE STILLMAN 82,338 W. DILLAWAY AYRES 144,932 DR JAMES D. WATSON 17,250 DAVID SPECTOR 14,122 WALTER GOLDSCHMIDTS 1,193 THOMAS GINGERAS 4,270 MIKE WIGLER 11,131 CHARLES V. PRIZZI 6,450 TERI WILEY 7,500 THE LABORATORY PROVIDES SENIOR STAFF MEETING CERTAIN REQUIREMENTS SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLANS. AMOUNTS REPORTED REPRESENT PAYMENTS TO THESE PLANS WHICH ARE NOT VESTED AND REMAIN SUBJECT TO SUBSTANTIAL SERVICE REQUIREMENTS AND RISK OF FORFEITURE UPON EARLY TERMINATION. SCHEDULE J, PART II, COLUMN B (III) OTHER REPORTABLE COMPENSATION OF W. DILLAWAY AYRES, AND DR. BRUCE STILLMAN INCLUDES CLUB DUES AND THE TAXABLE PORTION OF A GROUP TERM LIFE POLICY. THE DUES ARE FOR MEMBERSHIP FEES IN CLUBS REQUIRED BY THE ORGANIZATION FOR FURTHERANCE OF BUSINESS RELATIONSHIPS AND MEETINGS. A NASSAU COUNTY IDA 112559657 631657KT9 2006-06-27 55000000 CONTRUCTION OF RESEARCH BUILDINGS false false false A 0 0 55000000 0 0 0 739727 1003854 0 52709095 547324 0 2009 false false true true A false true false false false false 0.00140 0.00140 false false false true A true true true JP MORGAN 35. false false true PALLAS CAPITAL 1.8 true true false A false Schedule K Disclosures: Schedule K, Part II, Line 11 IDA Fee, NYS Bond Issuance Charge, and Title Insurance $547,324 Schedule K, Part V The organization has not established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations but the organization does comply with the requirements. DAVID SPECTOR SEE PART V 201566 JOINT INVESTMENT IN RESIDENCE TD BANK SEE PART V 517279 BANK FEES PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS IN 1996, THE LABORATORY JOINTLY INVESTED IN THE PURCHASE OF A PERSONAL RESIDENCE FOR A THEN NON-KEY EMPLOYEE. THE EMPLOYEE WAS SUBSEQUENTLY PROMOTED TO DIRECTOR OF RESEARCH, A KEY POSITION. AN ACTIVE MEMBER OF MANY OF THE BOARD COMMITTEES, INCLUDING THE EXECUTIVE, AUDIT, INVESTMENT AND FINANCE, EDWARD TRAVAGLIANTI IS EMPLOYED AS PRESIDENT OF TD BANK LONG ISLAND. THE LABORATORY'S MAIN OPERATING BANK ACCOUNTS ARE HELD AT BOTH JP MORGAN CHASE AND TD BANK. THE LABORATORY ALSO USES TD BANK IN RELATION TO ITS TWO BOND ISSUANCES. ON ITS 1999 BOND ISSUANCE, THE LABORATORY PAYS TD BANK STAND-BY FEES TO FINANCE A STOP ACTION IN THE CASE OF DEFAULT. ON ITS 2006 BOND ISSUANCE, THE LABORATORY PAYS TD BANK MONTHLY INTEREST ON A DIRECT PURCHASE AGREEMENT. THE INTEREST RATE IS AN AGREED UPON FLOATING RATE TIED TO ONE-MONTH LIBOR. THE AMOUNT REPORTED ON SCHEDULE L REPRESENTS THESE FEES. MR. TRAVAGLIANTI HAS RECUSED HIMSELF FROM ANY DISCUSSIONS, NEGOTIATIONS, APPROVALS, ETC. WITH REGARD TO THE RELATIONSHIP WITH TD BANK. X 20 1035392 MEAN VALUE false false false STATEMENT PROGRAM SERVICE ACCOMPLISHMENTS Form 990, PART III LINE 4A (CONTINUED): Research at the Laboratory is enriched by collaborations with scientists at other universities, hospitals and in the biotech and pharmaceutical sectors. These partnerings have included NYU, Memorial Sloan-Kettering, Weill Cornell, Yale and Dana-Farber. The innovative spirit, vision, and talent of the Laboratory's over 600 scientists continue to place CSHL among the top 1% of life science institutions most cited in published research. For over 25 years the Laboratory has been a National Cancer Institute-designated Cancer Center with an NCI "outstanding" rating. It has been home to over eight Nobel laureates, including Dr. James Watson, co-discoverer of the DNA's double helix. The laboratory offers an advanced drug testing facility delivering well-validated drug candidates to both the biotech and pharmaceutical industry. It has been an incubator for more than 25 biotechnology start-up companies. The dynamic, collaborative environment at CSHL also fosters a superb educational experience for an outstanding group of graduate students and postdoctoral researchers. Line 4C (CONTINUED): Together, they bring some 9000 scientists to the campus each year. Participants range from the most accomplished senior investigators to graduate students and postdocs. Programs are put together on the basis of openly submitted abstracts and include the discussion of unpublished work. CSH Asia, a CSHL-styled meetings program, which began in 2009, thrives in Suzhou, China. In 2014, over 3000 participants attended those meetings. Line 4D: OTHER PROGRAMS WATSON SCHOOL OF BIOLOGICAL SCIENCES: The Watson School of Biological Sciences (WSBS) trains the next generation of biologists, offering the Ph.D. in biology in as little as 4 years to a limited number of accomplished students (approximately 50) drawn from around the world. The curricululm is designed to train self-confident, self-reliant young scientists to become scholars and to acquire the knowledge that their research and future careers demand. The accomplishments of WSBS students have been spectacular, with more than 250 papers published in the 15 years since the schools's launch. Graduates have moved swiftly into faculty positions at leading academic research institutions worldwide. BANBURY CENTER: Banbury Center, located on the grounds of the historic Robertson House, provides opportunities for scientists and other leaders in society to discuss topics of common interest. Approximately twenty meetings are organized each year, for groups of up to 40 participants. These are recognized internationally as being among the best discussion workshops for topics in molecular biology, molecular genetics, human genetics, neuroscience and science policy. DNA LEARNING CENTER: The DNA Learning Center (DNALC) has a major impact not only in the New York metropolitan area, but also globally in pioneering public science education for the genome age. With teaching facilities on Long Island and New York City, it brings a hands-on approach to learning about biology and genomes to classrooms and homes of children in primary schools, middle schools and high schools. Renowned for devising means for young people, teachers and parents to conduct sophisticated experiments with DNA, the DNALC also has a robust presence on the Internet, powered by a team of multimedia innovators who bring knowledge of the life sciences to computer, tablet and cell phone users. 990 REVIEW FORM 990, PART VI, SECTION B, LINE 11 THE CONSOLIDATED FINANCIAL STATEMENTS AND THE 990 OF THE ORGANIZATION ARE PREPARED BY THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY. THE FINANCE OFFICE USES THE BOOKS AND RECORDS OF THE ORGANIZATION TO PREPARE THE FINANCIAL STATEMENTS AND THE 990. THESE RECORDS ARE LARGELY INCLUDED IN THE AUDITED DOCUMENTS BY AN INDEPENDENT AUDITOR. UPON COMPLETION OF THE AUDITED FINANCIAL STATEMENTS, THE REMAINING DOCUMENTATION NEEDED TO PREPARE THE 990 IS FINALIZED. THE CFO THEN PROCEEDS WITH A DETAILED REVIEW OF THE 990, WITH ADDITIONAL DOCUMENTATION AND SCHEDULES. THESE DOCUMENTS ARE FORWARDED TO KPMG, LLP WHO REVIEWS THE DRAFT RETURN AND SUPPORTING INFORMATION AND PREPARES THE RETURN FOR ELECTRONIC FILING TO THE IRS. COPIES OF THE RETURN ARE REVIEWED BY THE AUDIT COMMITTEE AND PROVIDED TO MEMBERS OF THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS. CONFLICT OF INTEREST POLICY Form 990, PART VI, Section B, LINE 12C THE ORGANIZATION REQUIRES ALL SENIOR STAFF TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE ORGANIZATION ALSO REQUIRES ALL MEMBERS OF THE BOARD OF TRUSTEES TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE BOARD OF TRUSTEES IS MADE UP OF A LARGE GROUP OF LEADERS WITHIN THE SCIENTIFIC AND FINANCIAL COMMUNITIES. ANY MEMBER WITH A PERCEIVED OR ACTUAL CONFLICT WITH RESPECT TO A CONTEMPLATED TRANSACTION SHALL RECUSE THEMSELVES FROM ANY DELIBERATION OR DETERMINATION OF THE TRANSACTION CONSIDERED. REPORTING IS MANAGED BY THE OFFICE OF THE CHIEF OPERATING OFFICER FOR MEMBERS OF THE BOARD OF TRUSTEES AND THE OFFICE OF THE VP TECHNOLOGY TRANSFER AND IN-HOUSE LEGAL COUNSEL FOR SENIOR STAFF. COMPENSATION Form 990, PART VI, Section B, LINE 15 THE COMPENSATION OF ALL STAFF MEMBERS EARNING WAGES IN EXCESS OF $250,000, INCLUDING THE PRESIDENT AND CHIEF OPERATING OFFICER, IS DETERMINED BY AN EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. THE VP HUMAN RESOURCES REPORTS DIRECTLY TO THE COMMITTEE WHICH IS MADE UP OF INDEPENDENT MEMBERS OF THE BOARD OF TRUSTEES. REPORTING INCLUDES COMPARABILITY DATA AND OTHER INFORMATION GATHERED AT THE REQUEST OF THE COMMITTEE. CONTEMPORANEOUS SUBSTANTIATION OF THE DELIBERATION AND DISCUSSION IS MAINTAINED BY THE VP HUMAN RESOURCES. GOVERNING DOCUMENTS Form 990, PART VI, Section C, LINE 19 THE ORGANIZATION MAINTAINS ALL DOCUMENTS INCLUDING GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICIES, ANNUAL REPORTS, FINANCIAL STATEMENTS AND TAX RETURNS FOR PUBLIC INSPECTION AT THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY, LOCATED AT 1 BUNGTOWN ROAD, COLD SPRING HARBOR, NEW YORK 11724. IN ADDITION MANY OF THESE DOCUMENTS ARE AVAILABLE ONLINE AT WWW.CSHL.EDU. RECONCILIATION OF NET ASSETS PART XI, LINE 9 OTHER CHANGES IN NET ASSETS CONSIST OF: CHANGE IN FAIR VALUE OF INTEREST RATE SWAP (15,010,073). SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES. SCHEDULES F AND I, PARTS I, LINE 2 A. INTRODUCTION 1. PURPOSE THE PURPOSE OF THIS PROCEDURE IS TO ASSIST PRINCIPAL INVESTIGATORS, RESEARCH ADMINISTRATORS AND OFFICE OF SPONSORED PROGRAMS (OSP) STAFF OF COLD SPRING HARBOR LABORATORY IN MONITORING AND OVERSEEING SUBRECIPIENTS, OR COLLABORATING INSTITUTIONS, AND ENSURING THAT THEIR RESEARCH PROJECTS ARE CONDUCTED IN COMPLIANCE WITH APPLICABLE LAWS AND THE TERMS AND CONDITIONS OF BOTH THE PRIME AWARD AND THE SUBAWARD AGREEMENT. 2. SCOPE APPLIES WHEN COLD SPRING HARBOR LABORATORY (CSHL) IS THE PRIME INSTITUTION, OR THE DIRECT RECIPIENT OF FUNDING FROM A SPONSOR, AND IS ENTERING INTO OR HAS ALREADY ENTERED INTO A SUBAWARD AGREEMENT WITH A SUBRECIPIENT OR COLLABORATING INSTITUTION. B. POLICY 1. GENERAL SUBRECIPIENT MONITORING ENCOMPASSES THE FOLLOWING: - ADVISING SUBRECIPIENTS OF APPLICABLE FEDERAL LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS OF THE PRIME AGREEMENT - THE ROUTINE RECEIPT AND REVIEW OF TECHNICAL PERFORMANCE REPORTS. - THE ROUTINE REVIEW OF EXPENSES-TO-BUDGET. - THE PERIODIC PERFORMANCE OF ON-SITE VISITS, OR REGULAR CONTACT, IF NECESSARY. - THE OPTION TO PERFORM "AUDITS" IF NECESSARY. - REVIEW OF A-133 AUDIT REPORTS FILED BY SUBRECIPIENTS AND ANY AUDIT FINDINGS. - REVIEW OF CORRECTIVE ACTIONS CITED BY SUBRECIPIENTS IN RESPONSE TO THEIR AUDIT FINDINGS CONSIDERATION OF SANCTIONS ON SUBRECIPIENTS IN CASES OF CONTINUED INABILITY OR UNWILLINGNESS TO HAVE REQUIRED AUDITS OR TO CORRECT NON-COMPLIANT ACTIONS. - CSHL ALSO REQUESTS THAT SUBRECIPIENTS ANNUALLY PROVIDE UPDATED EVIDENCE OF COMPLIANCE WITH SPECIAL MANDATED REQUIREMENTS, SUCH AS ASSURANCES RELATED TO LAB ANIMALS, HUMAN SUBJECTS AND BIOHAZARDS, FOR EXAMPLE. 2. RESPONSIBILITIES OSP IS RESPONSIBLE FOR PREPARING AND EXECUTING SUBAWARD AGREEMENTS, REQUESTING AND OBTAINING ASSURANCES, REVIEWING INVOICES, ASCERTAINING COMPLIANCE WITH AGREEMENTS, REGULATIONS AND AUDIT REQUIREMENTS AND TAKING CORRECTIVE ACTIONS, AS NECESSARY. TERMS AND CONDITIONS. - REVIEW AND EVALUATE THE SUBRECIPIENT'S PROGRESS THROUGH TECHNICAL PROGRESS REPORTS AND OTHER PERIODIC COMMUNICATIONS, AS APPROPRIATE. ASSESS THE SUBRECIPIENT'S CONTRIBUTION TO OVERALL PROJECT AIMS. - REVIEW, QUESTION AS NECESSARY AND APPROVE THE COSTS CHARGED BY SUBRECIPIENTS FOR THE WORK PERFORMED UNDER THE SUBAWARD. EXPENSES CHARGED ON INVOICES SHOULD BE CONSISTENT WITH THE ESTABLISHED SCOPE OF WORK. OSP ADMINISTRATOR (POST AWARD SENIOR GRANTS MANAGER AND ACCOUNTING ASSISTANT): - MONITOR WITH THE ASSISTANCE OF PLS, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. - THROUGH THE USE OF STANDARD SUBRECIPIENT AGREEMENTS, ENSURE ALL AGREEMENTS INCLUDE THE CFDA TITLE AND NUMBER, AWARD NAME AND NUMBER, AWARD YEAR FOR FEDERAL AWARDS; ADVISE SUBRECIPIENTS OF REQUIREMENTS IMPOSED ON THEM BY FEDERAL LAWS, REGULATIONS AND THE PROVISIONS OF CONTRACTS OR GRANT AGREEMENTS, AS WELL AS SUPPLEMENTAL REQUIREMENTS; INCLUDE PRIME AWARD AS PART OF AGREEMENT; REQUIRE SUBRECIPIENT TO CERTIFY INVOICES AND REQUIRE SUBRECIPIENT TO REPORT PROMPTLY TO CSHL ANY ADVERSE FINDINGS RELATED TO CSHL SUBAWARDS IDENTIFIED IN THEIR ANNUAL A-133 AUDITS. - ACTIVELY ENGAGE AND RECEIVE CONSULTATION FROM THE CSHL OFFICE OF TECHNOLOGY TRANSFER REGARDING INTELLECTUAL PROPERTY ISSUES AS NEEDED. - AT THE SIGNING OF THE SUBAWARD AGREEMENT AND ANNUALLY THEREAFTER REQUEST SUBRECIPIENT PROVIDE UPDATED ASSURANCES RELATED TO LAB ANIMALS AND HUMAN STUDIES, AS NECESSARY. - ON AN ONGOING BASIS MONITOR THE INVOICES OF SUBRECIPIENTS. - PERIODICALLY COMPARE CUMULATIVE COSTS TO PREVIOUSLY ESTABLISHED BUDGETS AND ENSURE THAT EXPENSES INVOICED ARE FOR THE APPROPRIATE BUDGET PERIOD. - MAKE SURE THAT INVOICED COSTS ARE NOT IN EXCESS OF BUDGETED AMOUNTS AND ARE NOT DUPLICATES OF PREVIOUSLY INVOICED COSTS. - UPON REVIEW OF INVOICE, FORWARD TO PRINCIPAL INVESTIGATOR FOR FURTHER REVIEW AND ACCEPTANCE. - AT LEAST ANNUALLY, REQUEST EVIDENCE THAT SUBRECIPIENTS EXPENDING $500,000 OR MORE IN AWARDS DURING THEIR FISCAL YEAR HAVE MET A-133 AUDIT REQUIREMENTS FOR THAT FISCAL YEAR. IDENTIFY ANY MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS THAT RESULT FROM THE A-133 AUDIT OF NONCOMPLIANCE OR REPORTED FINDINGS TO DETERMINE WHETHER ADJUSTMENTS ARE NEEDED TO CSHL'S RECORDS. - FOR SUBRECIPIENTS THAT HAVE REPORTED MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS FROM THE A-133 AUDIT, FOLLOW UP TO MAKE SURE THAT SUBRECIPIENT TAKES APPROPRIATE AND TIMELY CORRECTIVE ACTION. - AT CLOSEOUT OF THE SUBAWARD ENSURE THAT THE FINAL INVOICE HAS BEEN RECEIVED AND REVIEWED. OTHER INFORMATION BOARD RELATIONSHIPS Form 990, Part VI, Line 2 MR. GUTHART IS THE FOUNDER AND CEO OF TOPSPIN PARTNERS, A FUND WHICH INVESTS IN BUSINESSES WHICH HAVE THEIR BASIS IN PROVEN SCIENTIFIC RESEARCH. TOPSPIN HAS SUPPORTED AND CONTINUES TO SUPPORT THE FOUNDING OF SEVERAL START-UP BIOTECH COMPANIES IN CONJUNCTION WITH CSHL SCIENTISTS. ROBERTSON RESEARCH FUND INC PO BOX 100 COLD SPRING HARBOR NEW YORK NY 11724 237224244 SUPPORT DE 501(C)(3) 11 NA false COLD SPRING HARBOR LABORATORY ASSN PO BOX 100 COLD SPRING HARBOR NY 11724 111631792 SUPPORT NY 501(C)(3) 11 NA false COLD SPRING HARBOR ASIA (SIP) LTD 218 XIN HU ST SUZHOU CHINA CH 215125 999999999 SCIENTIFIC CO CH NA C CORP 2109340 1152832 1.00000 true CHARITABLE REMAINDER TRUST (2) INVESTMENT NY CSHL TRUST UNITRUST (1) INVESTMENT MA CSHL TRUST 1.00000 false false false true false true false false false false false false true true true true false true true true Cold Spring Harbor Laboratory Asia (SIP) LP q 532232 CASH BASIS Cold Spring Harbor Laboratory Asia (SIP) LP r 591085 CASH BASIS