2014-11-17T12:41:56-06:00 2013-12-31 KPMG LLP 345 Park Avenue New York NY 101540102 990 2013-01-01 112013303 COLD SPRING HARBOR LABORATORY % LARI C RUSSO CFO COLD 5163678448 PO BOX 100 ONE BUNGTOWN ROAD Suite COLD SPRING HARBOR NY 11724 LARI RUSSO CHIEF FINANCIAL OFFICER 5163678446 2014-11-14 true KPMG LLP P00634378 5163678446 2013 2015-11-30 17:44:51Z BRUCE STILLMAN PO BOX 100 ONE BUNGTOWN ROAD CSH NY 11724 210116049 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. 30 29 1134 50 592598 -5794 119066951 100248844 24095745 23599486 13026323 7790310 2731736 2773812 158920755 134412452 3261600 4398662 0 0 68914641 69936822 0 0 2298895 71274393 66899886 143450634 141235370 15470121 -6822918 684568803 705641873 149317700 132136545 535251103 573505328 X THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. false false 94414394 4398662 973946 RESEARCH: Cold Spring Harbor Laboratory (CSHL) is a world-renowned, private research and education institution with research programs in Cancer, Neuroscience, Plant Biology, Quantitative Biology, 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. 8641631 10174394 PUBLICATIONS: THE COLD SPRING HARBOR PRESS IS RESPONSIBLE FOR PUBLISHING THE PROCEEDINGS OF THE LABORATORY'S MEETINGS PROGRAM AS WELL AS THE TECHNICAL MANUALS FROM ITS COURSES. IN ADDITION, THE PRESS PUBLISHES CLOSE TO 200 OTHER BOOKS AND ELECTRONIC MEDIA, INCLUDING 22 NEW TITLES IN 2013. THE PRESS ALSO PUBLISHES 7 SCIENTIFIC JOURNALS BOTH IN PRINT AND ONLINE. 15373940 10208914 EDUCATIONAL PROGRAMS: The Laboratory offered a series of meetings (32) in 2013 which were attended by over 6,000 scientists and focus on the dissemination of research findings on topics of current interest in biology and genetics. Meetings held included topics such as Plant Genomes, Wiring the Brain and Cancer Cell Biology. See schedule O. 4542700 2242232 122972665 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 548 0 true 1134 true true true true CH CJ BD EI false false false true true false false false false X 30 29 false false false false false false false true true false false true true true true true true true true false NY 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 X DAVID BOIES TRUSTEE 1.0 X MICHAEL BOTCHAN PHD TRUSTEE 1.0 X JACOB GOLDFIELD TRUSTEE 1.0 X LEO GUTHART TREASURER 1.0 1.0 X LAURIE LANDEAU VMD TRUSTEE FROM 11/2013 1.0 X THOMAS LEHRMAN TRUSTEE 1.0 X ROBERT D LINDSAY VICE-CHAIRMAN 1.0 X HOWARD W MORGAN PHD TRUSTEE 1.0 X JAMIE C NICHOLLS CHAIRMAN 1.0 1.0 X LOUISE M PARENT TRUSTEE 1.0 X JOHN C PHELAN TRUSTEE 1.0 X THOMAS C QUICK TRUSTEE 1.0 X WILLIAM S ROBERTSON TRUSTEE 1.0 1.0 X GEORGE SARD TRUSTEE 1.0 X Thomas A Saunders III TRUSTEE (FROM 11/2013) 1.0 X CHARLES L SAWYERS MD TRUSTEE 1.0 X MARILYN SIMONS PHD VICE-CHAIRMAN 1.0 X DINAKAR SINGH TRUSTEE 1.0 X Alan Seligson TRUSTEE (TO 11/2013) 1.0 X SAMUEL STANLEY JR MD TRUSTEE 1.0 X BRUCE STILLMAN PHD CHIEF EXE. OFFICER/Trustee 39.0 1.0 X X 537791 0 229831 PAUL TAUBMAN SECRETARY 1.0 X EDWARD TRAVAGLIANTI Trustee (From 11/2013) 1.0 X SANDRA TYTEL TRUSTEE 1.0 X ROY J ZUCKERBERG TRUSTEE 1.0 X CHARLES I COGUT TRUSTEE 1.0 X JAMES M STONE PHD TRUSTEE 1.0 X DAVID BOTSTEIN PHD TRUSTEE (TO 10/2013) 1.0 X Cornelia Isabella Bargmann Trustee (From 11/2013) 1.0 X Jeffrey Kelter Trustee (FROM 11/2013) 1.0 X Robert W Lourie PhD Trustee (FROM 6/2013) 1.0 X W DILLAWAY AYRES CHIEF OPERATING OFFICER 39.0 1.0 X 437238 0 200934 LARI C RUSSO CHIEF FINANCIAL OFFICER 39.0 1.0 X 254123 12500 33978 ARTHUR BRINGS V.P.,CHIEF FACILITIES OFFICER 40.0 X 221945 0 64981 Walter Goldschmidts EXEC. DIRECTOR SPONSORED PGMS 39.0 1.0 X 263597 0 57077 DAVID SPECTOR DIRECTOR OF RESEARCH 40.0 X 355422 0 62430 THOMAS GINGERAS SCIENTIST 40.0 X 287840 0 42550 ADRIAN KRAINER SCIENTIST 40.0 X 278379 0 55732 DR JAMES D WATSON CHANCELLOR EMERITUS 40.0 X 380349 0 184896 MICHAEL WIGLER SCIENTIST 40.0 X 338625 0 60040 Charles V Prizzi EXEC. 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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 130 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 $18,613,481 AT DECEMBER 31, 2013. 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 2013. true Central America and the Caribbean Investments 52742364 Europe (Including Iceland and Greenland) Investments 7549046 East Asia and the Pacific Grantmaking 127463 Europe (Including Iceland and Greenland) Grantmaking 274886 East Asia and the Pacific 1 1 Program Services SCIENTIFIC CONFERENCES 2694538 1 1 1 1 63388297 63388297 East Asia and the Pacific Research 127463 CHECK Europe (Including Iceland and Greenland) Research 160908 CHECK Europe (Including Iceland and Greenland) Research 26338 Check Europe (Including Iceland and Greenland) RESEARCH 87640 CHECK 4 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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DIR, Development 279736 0 0 0 0 0 41200 0 22333 0 343269 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 82,310 W. DILLAWAY AYRES 145,073 DR JAMES D. WATSON 18,000 DAVID SPECTOR 13,215 WALTER GOLDSCHMIDTS 1,545 THOMAS GINGERAS 4,172 MIKE WIGLER 10,898 CHARLES V.PRIZZI 4,715 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 1743581 0 547324 52709095 0 0 2009 false false true true A false true false false 0.00640 0.00640 false false false true A true true true JP MORGAN 35. false false true PALLAS CAPITAL 1.8 true true false A false DAVID SPECTOR SEE PART V 201566 JOINT INVESTMENT IN RESIDENCE false TD BANK SEE PART V 163750 BANK FEES false PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS LINE 1: 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. LINE 2: A BOARD MEMBER EDWARD TRAVAGLIANTI IS THE PRESIDENT OF TD BANK, LONG ISLAND ADDITIONAL DISCLOSURE: THE LABORATORY'S MAIN OPERATING BANK ACCOUNTS ARE HELD AT BOTH JP MORGAN CHASE AND TD BANK. THE LABORATORY USES STANDBY LETTERS OF CREDIT WHICH SUPPORT ITS MUNICIPAL BOND ISSUE FROM TD BANK. THE AMOUNT REPORTED ON SCHEDULE L REPRESENTS THE FEES PAID TO TD BANK. MR TRAVAGLIANTI HAS RECUSED HIMSELF FROM ANY DISCUSSIONS, NEGOTIATIONS, APPROVALS, VOTES, ETC WITH REGARD TO THE RELATIONSHIP WITH TD BANK. X 23 3861005 MEAN VALUE false false false SCHEDULE M, PART II, LINE 32B THE LABORATORY ENGAGES UBS FINANCIAL SERVICES TO RECEIVE ALL STOCK GIFTS AND SELL THE SHARES IMMEDIATELY. 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 dynamic, collaborative environment at CSHL also fosters a superb educational experience for an outstanding group of graduate students and postdoctoral researchers. Line 4C (CONTINUED): Scientific courses (30) focus on the need for training in subjects that are either so new or extremely specialized they are not offered in universities. The aim is to prepare students who plan to enter into research in these areas. Close to 1,000 participants attended the courses in 2013. The CSH Asia program in China attracted over 3,000 participants. Line 4D: 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. CONSOLIDATED FINANCIAL STATEMENTS Form 990, PART IV, LINE 12 COLD SPRING HARBOR LABORATORY IS AUDITED IN COMBINATION WITH ITS RELATED ORGANIZATION ROBERTSON RESEARCH FUND,INC. [EIN: 23-7224244], ALTHOUGH SEPARATE AUDITED FINANCIAL STATEMENTS ARE NOT ISSUED FOR COLD SPRING HARBOR LABORATORY, A CONSOLIDATED AUDITED FINANCIAL STATEMENT WAS ISSUED FOR THE YEAR 2013, WHICH WAS PREPARED IN ACCORDANCE WITH GAAP. 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 16,942,867. 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 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 2694538 1026298 1.00000 true CHARITABLE REMAINDER TRUST (2) INVESTMENT NY CSHL SAMUEL D AND ANN BPARKINSON UNITRUST PO BOX 100 COLD SPRING HARBOR NY 11724 INVESTMENT MA CSHL TRUST 1.00000 false false false true true false false false false false false false true true true true false true true true COLD SPRING HARBOUR LABORATORY ASIA (SIP) LTD D 177006 CASH BASIS