2014-08-14T19:31:04-05:00 2013-09-30 ERNST & YOUNG US LLP 18111 VON KARMAN AVENUE SUITE 1000 IRVINE CA 92612 990 2012-10-01 953432210 Beckman Research Institute of the City of Hope % R MAGNUSON/CITY OF HOPE BECK 6269305445 1450 East Duarte Road Suite Duarte CA 91010 RICHARD MAGNUSON 6263018815 2014-08-11 true 9497942300 2012 2015-11-30 17:44:51Z ROBERT STONE 1500 EAST DUARTE ROAD DUARTE CA 91010 447222284 false X www.cityofhope.org X 1979 CA SHORTEN THE TIME FROM RESEARCH IDEA TO TREATMENT, QUICKLY BRINGING CURES TO PATIENTS WHO NEED THEM. MEDICAL & BIOMEDICAL RESEARCH & DISEASE INVESTIGATION, INCLUDING DNA SYNTHESIS AND CELL ANALYSIS. 7 5 972 5 -375346 -375346 257910341 269053240 4927761 5008244 16762841 25522949 4460152 1312455 284061095 300896888 0 0 0 0 107930199 103278861 0 0 2489929 154222756 158370056 262152955 261648917 21908140 39247971 799004654 930429780 99939785 138907153 699064869 791522627 X SEE SCHEDULE O false false 229180970 0 6696045 BIOMEDICAL RESEARCH AND DISEASE INVESTIGATIONS, INCLUDING DNA SYNTHESIS AND CELL ANALYSIS. SEE SCHEDULE O. 229180970 true true false true false false false false false true true true false false true true false true false false true false false false false false false false false true true false false true false false true false false false false false false true true true false false true 377 0 true 972 true true true true VI CJ BD false false false false false false false false X 7 5 false false true false true true true true true false false false true true true true true true true false CA X R MAGNUSONCITY OF HOPE 6263018815 1500 EAST DUARTE ROAD DUARTE CA 91010 X Ernie So 3.0 2.0 X 0 0 0 Gary E Freedman 3.0 0.0 X 0 0 0 Iris Rothstein 3.0 2.0 X 0 0 0 John J Rossi 60.0 0.0 X 280223 0 60407 Benham Badie MD 3.0 0.0 X 0 0 0 Art Nemiroff 3.0 0.0 X 0 0 0 Linda Malkas 60.0 0.0 X 303848 0 48146 Gregory Schetina 14.0 46.0 X 0 816701 61136 Michael A Friedman MD 14.0 46.0 X 0 1612965 76578 Richard Jove 60.0 0.0 X 1138154 0 60468 Robert W Stone 14.0 46.0 X 0 1283726 69133 William Sargeant 14.0 46.0 X 0 872345 83294 Richard Magnuson 14.0 46.0 X 0 0 0 Wael Fakhry 14.0 46.0 X 0 392336 26007 David Horne 60.0 0.0 X 437650 0 73698 Larry A Couture 60.0 0.0 X 469213 0 39921 Ashley Baker Lee 60.0 0.0 X 293213 0 40103 Gerd Pfeifer 60.0 0.0 X 314022 0 54288 Leslie Bernstein 60.0 0.0 X 353526 0 53267 Richard Ermel 60.0 0.0 X 288826 0 62927 Hua Yu Jove 60.0 0.0 X 322876 0 47804 Susan Neuhausen 60.0 0.0 X 280515 0 61183 Dennis F Rusch 0.0 0.0 X 0 180901 3999 Gary Conner 0.0 0.0 X 0 777953 27061 Theodore G Krontiris PhD 40.0 0.0 X 230925 0 58157 Valerie Bingham 14.0 46.0 X 0 423468 43422 Virginia Opipare 14.0 46.0 X 0 676986 16157 Susan E Kane 60.0 0.0 X 255110 0 54623 4968101 7037381 1121779 145 true true false DPR Construction Inc 101 East Green Street Suite 14 PASADENA CA 91105 Construction Mgmt 2156316 LCS Constructors Inc 15205 ALTON PARKWAY IRVINE CA 92618 Construction Mgmt 2287162 SODEXO INC AFFILIATES DEPARTMENT 880328 LOS ANGELES CA 900880328 ENVIRONMENTAL SVS 3670778 ZANETT COMMERCIAL SOLUTIONS INC 3899 Solutions Center CHICAGO IL 606773008 IT CONSULTING 1693550 University of Southern California 3720 S Flower Street LOS ANGELES CA 900894019 Research Services 2156091 37 203813920 61364103 3875217 269053240 OTHER RESEARCH ACTIVITIES 541900 4120226 4120226 ACADEMIC STAFF REVENUE 541900 247893 247893 SPECIALIZED LAB REVENUE 541900 537417 537417 RENTAL INCOME - PROGRAM SERVICE 541900 102708 102708 5008244 10226575 10226575 388 388 1685928 1685928 0 0 0 161621382 146325396 15295986 15295986 15295986 0 0 0 INVESTMENT INCOME FROM K-1'S 525990 -375346 -375346 OTHER REVENUE 900099 1873 1873 -373473 300896888 6696045 -375346 25522949 0 0 0 0 4058211 1560790 2240196 257225 520458 399594 120864 80404853 68700841 10034381 1669631 5421328 4807448 463364 150516 7598062 5600565 1740248 257249 5275949 4445035 736023 94891 0 2951037 2615432 335605 176068 176068 0 0 1532513 1532513 22838420 17658349 5170505 9566 119595 119595 24574463 21446653 3119005 8805 1678024 758295 919726 3 0 6222326 5223897 987873 10556 1461477 1240287 221190 0 389912 203879 186033 2237815 2006159 231656 0 14124774 13591489 502952 30333 132287 127293 4710 284 ROYALTY REVENUE SHARING 76918652 76918652 DUES AND SUBSCRIPTIONS 1601646 732838 868808 TAXES AND LICENSES 178152 19649 158391 112 OTHER MISCELLANEOUS 1232895 1123825 108312 758 261648917 229180970 29978018 2489929 573719 291037 9166797 70402215 4019632 6968441 0 0 692217 472762 0 0 1489537 1599949 242812 242812 472650 442520 346579894 116966862 231159898 229613032 240448829 250093936 307714429 367963275 0 0 0 0 3024134 2339801 799004654 930429780 18935565 17449194 0 0 8342170 8667436 49333402 55054287 0 0 0 0 8038618 50000000 0 0 15290030 7736236 99939785 138907153 X 683858995 774549396 1483975 3231332 13721899 13741899 699064869 791522627 799004654 930429780 X 39247971 45389406 7820381 X X false true X true true true X CITY OF HOPE NATIONAL MEDICAL CENTER DUARTE CA false false false RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 0 15000 0 372460 0 387460 261648917 1333384115 261648917 1333771575 1000000 1000000 250000 250000 false 1000000 1000000 1000000 1000000 4000000 6000000 543709 547607 498406 387460 1977182 250000 250000 250000 250000 1000000 1500000 0 0 0 15000 15000 LOBBYING ADDITIONAL DISCLOSURES: SCHEDULE C, PART II-A, Line A ALTHOUGH THIS QUESTION WAS ANSWERED "YES", BECKMAN RESEARCH INSTITUTE OF THE CITY OF HOPE (BECKMAN RESEARCH INSTITUTE) HAS NOT MADE THE 501(H) ELECTION AND DOES NOT HAVE ANY DIRECT LOBBYING EXPENDITURE IN FISCAL YEAR 2013. BECKMAN RESEARCH INSTITUTE BELONGS TO AN AFFILIATED GROUP, WHERE THE CITY OF HOPE NATIONAL MEDICAL CENTER (MEDICAL CENTER) APPLIED FOR A SECTION 501(H) ELECTION ON FORM 5768 IN THE YEAR ENDED SEPTEMBER 30, 1995. THIS ELECTION HAS NOT BEEN REVOKED SUBSEQUENT TO THIS APPLICATION. THE FOLLOWING ARE THE OTHER MEMBERS OF THE AFFILIATED GROUP: CITY OF HOPE (HAS NOT MADE THE 501(H) ELECTION) 1500 EAST DUARTE ROAD, DUARTE, CA 91010 EIN = 95-3435919 GRASSROOTS LOBBYING AMOUNT = NONE TOTAL LOBBYING EXPENDITURES = NONE OTHER EXEMPT PURPOSE EXPENDITURES = $255,044,896 TOTAL EXEMPT PURPOSE EXPENDITURES = $255,044,896 LOBBYING NONTAXABLE AMOUNT = NONE GRASSROOTS NONTAXABLE AMOUNT = NONE TOTAL GRASSROOTS LESS NONTAXABLE AMOUNT = NONE TOTAL EXPENDITURES LESS NONTAXABLE AMOUNT = NONE SHARE OF EXCESS LOBBYING EXPENDITURES = NONE MEDICAL CENTER (HAS MADE THE 501(H) ELECTION) 1500 EAST DUARTE ROAD, DUARTE, CA 91010 EIN = 95-1683875 GRASSROOTS LOBBYING AMOUNT = $15,000 TOTAL LOBBYING EXPENDITURES = $ 387,460 OTHER EXEMPT PURPOSE EXPENDITURES = $686,955,633 TOTAL EXEMPT PURPOSE EXPENDITURES = $687,343,093 LOBBYING NONTAXABLE AMOUNT = NONE GRASSROOTS NONTAXABLE AMOUNT = NONE TOTAL GRASSROOTS LESS NONTAXABLE AMOUNT = NONE TOTAL EXPENDITURES LESS NONTAXABLE AMOUNT = NONE SHARE OF EXCESS LOBBYING EXPENDITURES = NONE CITY OF HOPE MEDICAL FOUNDATION (MEDICAL FOUNDATION) (HAS NOT MADE THE 501(H) ELECTION) 1500 EAST DUARTE ROAD, DUARTE, CA 91010 EIN = 27-4803222 GRASSROOTS LOBBYING AMOUNT = NONE TOTAL LOBBYING EXPENDITURES = NONE OTHER EXEMPT PURPOSE EXPENDITURES = $129,734,669 TOTAL EXEMPT PURPOSE EXPENDITURES = $129,734,669 LOBBYING NONTAXABLE AMOUNT = NONE GRASSROOTS NONTAXABLE AMOUNT = NONE TOTAL GRASSROOTS LESS NONTAXABLE AMOUNT = NONE TOTAL EXPENDITURES LESS NONTAXABLE AMOUNT = NONE SHARE OF EXCESS LOBBYING EXPENDITURES = NONE 455249503 20000 59716262 0 255945 0 514729820 393755522 25000 61930306 0 461325 0 455249503 405464661 0 -11243318 0 465791 0 393755552 377557199 50000 28270983 0 413521 0 405464661 306902876 53162500 19519043 0 2027220 0 377557199 0.96700 0.03300 false false 2502340 7395691 9898031 239949607 62151547 177798060 8572 8572 90429569 54806743 35622826 6294115 6294115 229613032 ALTERNATIVE INVESTMENTS 367963275 F 367963275 0 DUE TO AFFILIATES 1975857 INTEREST RATE SWAP LIABILITY 1297937 WORKERS COMPENSATION LIABILITY 1630306 OTHER LIABILITIES 103882 BOND ISSUANCE PREMIUM 2728254 7736236 X ENDOWMENT FUNDS: SCHEDULE D, PART V, LINE 4 BECKMAN RESEARCH INSTITUTE HAS ENDOWMENT FUNDS THAT ARE AVAILABLE TO FUND FUTURE RESEARCH, AND CAPITAL AND EXPANSION NEEDS AS DETERMINED BY MANAGEMENT AND THE BOARD OF DIRECTORS. FASB ASC 740 DISCLOSURE: SCHEDULE D, PART X, LINE 2 THE FOLLOWING PARAGRAPH IS FROM THE CONSOLIDATED CITY OF HOPE AND AFFILIATES (CITY OF HOPE, CITY OF HOPE AUXILIARIES, GENBASIX, INC., THE MEDICAL CENTER, ONCOLOGY MANAGEMENT SERVICES, INC., THE MEDICAL FOUNDATION AND THE BECKMAN RESEARCH INSTITUTE) AUDITED FINANCIAL STATEMENTS AS OF SEPTEMBER 30, 2013. FINANCIAL ACCOUNTING STANDARDS BOARD, ACCOUNTING STANDARD CODIFICATION FASB ASC 740, INCOME TAXES, CLARIFIES THE ACCOUNTING FOR INCOME TAXES BY PRESCRIBING A MINIMUM RECOGNITION THRESHOLD THAT A TAX POSITION IS REQUIRED TO MEET BEFORE BEING RECOGNIZED IN THE FINANCIAL STATEMENTS. FASB ASC 740 ALSO PROVIDES GUIDANCE ON DERECOGNITION, MEASUREMENT, CLASSIFICATION, INTEREST AND PENALTIES, DISCLOSURE AND TRANSITION. THE GUIDANCE CONTAINED IN FASB ASC 740 IS APPLICABLE TO PASS-THROUGH ENTITIES AND TAX-EXEMPT ORGANIZATIONS. CITY OF HOPE HAS NO SIGNIFICANT UNCERTAIN TAX POSITION OR TAX LIABILITY FOR TAX BENEFITS, INTEREST OR PENALTIES ACCRUED AT SEPTEMBER 30, 2013 AND 2012. Central America and the Caribbean Investments 70673294 Central America and the Caribbean 1 Program Services RESEARCH SYMPOSIUMS 1054 East Asia and the Pacific 21 Program Services RESEARCH SYMPOSIUMS 33191 Europe (Including Iceland and Greenland) 22 Program Services RESEARCH SYMPOSIUMS 22837 North America 11 Program Services RESEARCH SYMPOSIUMS 12785 Russia and the Newly Independent States 3 Program Services RESEARCH SYMPOSIUMS 490 South America 3 Program Services RESEARCH SYMPOSIUMS 2095 Europe (Including Iceland and Greenland) Fundraising 59 61 70745046 70745746 true false true true true false ACTIVITIES PER REGION: SCHEDULE F, PART I, LINE 3 INVESTMENT ACTIVITIES OF THE BECKMAN RESEARCH INSTITUTE INCLUDE INVESTMENTS IN MULTIPLE VEHICLES THAT PROVIDE INVESTMENT INCOME AND RETURNS TO THE INSTITUTION TO FURTHER THE MISSION AND PROGRAMS. AS A RESULT, THERE ARE INVESTMENTS HELD IN OFFSHORE HEDGE FUNDS, MAINLY REGISTERED AS CAYMAN EXEMPTED CORPORATIONS. THESE INVESTMENTS HELP MITIGATRE RISK IN THE PORTFOLIO AND REPRESENT APPROXIMATELY 10.3% OF BECKMAN RESEARCH INSTITUTE'S OVERALL CASH AND INVESTMENT PORTFOLIO. THE BECKMAN RESEARCH INSTITUTE ALSO HAS HOLDINGS THAT INCLUDE EQUITY CO-MINGLED FUNDS WHICH ARE INVESTMENT FUND VEHICLE THAT INVEST PRIMARILY IN MARKETABLE EQUITY SECURITIES AND CAN BE LIQUIDATED MONTHLY SUBJECT TO NOTICE REQUIREMENTS, THIS CAN INCLUDE VARIOUS HEDGE FUNDS. ALTERNATIVE INVESTMENTS ALSO INCLUDE LIMITED PARTNERSHIP FUNDS INVESTED IN REAL ESTATE AND NATURAL RESOURCES, PRIVATE EQUITY FUNDS, AND OFFSHORE FUNDS. ALL OF THESE INVESTMENTS HAVE BEEN INCLUDED IN FORM 990, PART X, LINE 12. RESEARCH SYMPOSIA CONSIST OF SCIENTIFIC MEETINGS THAT BECKMAN RESEARCH INSTITUTE PRINCIPAL INVESTIGATORS AND OTHER RESEARCH STAFF ATTEND FOR EDUCATIONAL, RESEARCH AND SCIENTIFIC PURPOSES AND TO PRESENT AND SHARE RESEARCH OBJECTIVES AND RESULTS. RESEARCH HAS A GLOBAL REACH AND RESEARCH SYMPOSIA ARE OFTEN CONDUCTED IN THE VARIOUS REGIONS IDENTIFIED IN SCHEDULE F. CITY OF HOPE SUPPORTS ATTENDANCE OF OUR RESEARCH STAFF AT THESE SYMPOSIA. EMPLOYEE TRAVELERS MAY MAKE MULTIPLE TRIPS TO THE SAME REGION OR TO MULTIPLE REGIONS DURING A FISCAL YEAR. IN THE CASE WHERE THE SAME EMPLOYEE TRAVELER MADE MORE THAN ONE TRIP TO THE SAME REGION, THEY ARE ONLY COUNTED ONE TIME IN THAT REGION. IF THE SAME EMPLOYEE TRAVELER TRAVELS TO MORE THAN ONE REGION, THAT INDIVIDUAL IS COUNTED ONLY ONCE IN EACH REGION VISITED. THE TOTAL TRAVELERS ON LINE 3A, HOWEVER, ONLY COUNTS THE SAME TRAVELER ONCE IN THE GRAND TOTAL. AS A RESULT THE TOTAL TRAVELERS PER REGION WILL NOT ADD UP TO THE TOTAL ON LINE 3A. WE HAD 2 INSTANCES WHERE THE SAME TRAVELER WAS TRAVELING TO MULTIPLE REGIONS DURING THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. THE BECKMAN RESEARCH INSTITUTE DOES NOT HAVE ANY PHYSICAL PRESENCE OF EMPLOYEES OUTSIDE OF THE UNITED STATES. THE BECKMAN RESEARCH INSTITUTE'S REPUTATION AS A WORLD CLASS RESEARCH AND TREATMENT FACILITY IS INTERNATIONALLY RECOGNIZED. AS A RESULT OF THIS RECOGNITION, THE BECKMAN RESEARCH INSTITUTE RECEIVES DONATIONS AND GRANTS FROM PERSONS AND CORPORATIONS OUTSIDE OF THE UNITED STATES. SCHEDULE F, PART I, COLUMN F THE EXPENDITURES IN COLUMN F ARE DETERMINED USING THE ACCRUAL METHOD OF ACCOUNTING. X X false false true true false false false false false true false David Horne 316207 0 11263 0 110180 0 47740 0 25958 0 511348 0 0 0 Dennis F Rusch 0 0 0 0 0 180901 0 0 0 3999 0 184900 0 0 Gary Conner 0 520169 0 196207 0 61577 0 7798 0 19263 0 805014 0 0 Gerd Pfeifer 296480 0 16252 0 1290 0 37500 0 16788 0 368310 0 0 0 Gregory Schetina 0 341768 0 444753 0 30180 0 29397 0 31739 0 877837 0 0 John J Rossi 249916 0 26284 0 4023 0 37500 0 22907 0 340630 0 0 0 Larry A Couture 302910 0 142219 0 24084 0 20596 0 19325 0 509134 0 0 0 Leslie Bernstein 338694 0 11792 0 3040 0 37500 0 15767 0 406793 0 0 0 Michael A Friedman MD 0 759704 0 650408 0 202853 0 46234 0 30344 0 1689543 0 0 Richard Ermel 287512 0 0 0 1314 0 37500 0 25427 0 351753 0 0 0 Richard Jove 447152 0 601309 0 89693 0 35502 0 24966 0 1198622 0 0 0 Robert W Stone 0 521756 0 724498 0 37472 0 40596 0 28537 0 1352859 0 0 Susan E Kane 248988 0 5075 0 1047 0 37500 0 17123 0 309733 0 0 0 Theodore G Krontiris PhD 228052 0 0 0 2873 0 34832 0 23325 0 289082 0 0 0 Valerie Bingham 0 204938 0 205611 0 12919 0 16829 0 26593 0 466890 0 0 Virginia Opipare 0 18359 0 102766 0 555861 0 1121 0 15036 0 693143 0 0 Linda Malkas 302540 0 0 0 1308 0 37500 0 10646 0 351994 0 0 0 Hua Yu Jove 273890 0 11683 0 37303 0 37500 0 10304 0 370680 0 0 0 William Sargeant 0 503880 0 260350 0 108115 0 59892 0 23402 0 955639 0 0 Ashley Baker Lee 210966 0 63939 0 18308 0 17000 0 23103 0 333316 0 0 0 Susan Neuhausen 261913 0 17427 0 1175 0 37500 0 23683 0 341698 0 0 0 Wael Fakhry 0 180224 0 120548 0 91564 0 12500 0 13507 0 418343 0 0 QUESTIONS REGARDING COMPENSATION: SCHEDULE J, PART I, LINE 1A HUA YU WAS PROVIDED TAX GROSS UP ASSISTANCE, IN THE FORM OF A BONUS, ASSOCIATED WITH THE AMORTIZATION OF A MORTGAGE ASSISTANCE LOAN. THE TAX GROSS UP ASSISTANCE IS INCLUDED IN HUA YU'S TAXABLE INCOME IN SCHEDULE J, PART II, COLUMN B(III). THE AMORTIZATION OF THE MORTGAGE ASSISTANCE LOAN IS INCLUDED IN RICHARD JOVE'S TAXABLE INCOME IN SCHEDULE J, PART II, COLUMN B(III). RICHARD JOVE AND HUA YU ARE SPOUSES WORKING FOR THE BECKMAN RESEARCH INSTITUTE OF THE CITY OF HOPE. CERTAIN EXECUTIVES AND OTHER EMPLOYEES LISTED IN PART VII ARE PROVIDED WITH AN AUTOMOBILE ALLOWANCE WHICH HAS BEEN INCLUDED IN TAXABLE INCOME IN SCHEDULE J, PART II, COLUMN B(III) TO THE EXTENT THE ALLOWANCE IS NOT SUBSTANTIATED BY ASSOCIATED BUSINESS MILEAGE. SCHEDULE J, PART I, LINE 3 THE CHIEF EXECUTIVE OFFICER OF THE ORGANIZATION, MICHAEL FRIEDMAN, M.D., IS NOT COMPENSATED BY THE BECKMAN RESEARCH INSTITUTE BUT BY THE MEDICAL CENTER. CHIEF EXECUTIVE OFFICER COMPENSATION IS ESTABLISHED BY THE EXECUTIVE COMPENSATION AND ORGANIZATIONAL DEVELOPMENT COMMITTEE OF THE CITY OF HOPE BOARD OF DIRECTORS. ALL SOURCES INDICATED IN LINE 3 ARE UTILIZED BY THIS COMMITTEE TO SET SUCH COMPENSATION. SEE NARRATIVE FOR SCHEDULE O, PART VI, LINE 15A. SCHEDULE J, PART I, LINE 4A THE BECKMAN RESEARCH INSTITUTE'S OFFICERS AND KEY EMPLOYEES ARE ELIGIBLE TO RECEIVE FAIR COMPENSATION FOR A SPECIFIED PERIOD OF TIME IN THE EVENT OF A POSITION ELIMINATION OR OTHER NOT FOR CAUSE SEPARATION ("SEPARATION PAYMENT"). ANY TAXABLE AMOUNT RECEIVED BY THE OFFICER OR KEY EMPLOYEE DURING SUCH PERIOD FROM ANY OTHER SOURCE IS COUNTED IN THE AGGREGATE TO REDUCE DIRECTLY, ON A DOLLAR FOR DOLLAR BASIS, THE ORGANIZATION'S SEPARATION PAYMENT. DURING CALENDAR YEAR 2012 THE MEDICAL CENTER MADE A SEPARATION PAYMENT TO DENNIS RUSCH TOTALING $154,177 AND A PENSION REPLACEMENT PAYMENT IN THE AMOUNT OF $26,724; AND VIRGINIA OPIPARE RECEIVED A SEPARATION PAYMENT TOTALING $364,419 AND A PENSION REPLACEMENT PAYMENT IN THE AMOUNT OF $32,393. THESE PAYMENTS ARE ALL INCLUDED IN SCHEDULE J, PART II, COLUMN B(III). SCHEDULE J, PART I, LINE 4B THE BECKMAN RESEARCH INSTITUTE HAS AN EXECUTIVE SUPPLEMENTAL ACCUMULATION PLAN THAT IS A NON-QUALIFIED SECTION 457(F) PLAN. THE PLAN IS DESIGNED TO PROVIDE EACH DESIGNATED PARTICIPANT WITH DEFERRED COMPENSATION. THE PLAN IS MAINTAINED FOR A SELECT GROUP OF MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES. THE PLAN VESTS AFTER THREE (3) FISCAL YEARS OF SERVICE AND THE VESTED TOTALS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN B(III). PRIOR TO VESTING THE ANNUAL AMOUNTS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN C. PURSUANT TO THE PLAN DOCUMENT, PARTICIPANTS, ONCE VESTED, ARE ENTITLED TO WITHDRAW FROM THEIR ACCOUNT AN AMOUNT EQUAL TO THE FEDERAL, STATE, LOCAL, AND FICA TAXES. THESE AMOUNTS ARE REMITTED TO THE APPROPRIATE TAXING AUTHORITIES ON BEHALF OF THE PARTICIPANTS. DURING CALENDAR YEAR 2012 THE FOLLOWING INDIVIDUALS WITHDREW THE REFERENCED AMOUNTS TO COVER SUCH TAXES: VALERIE BINGHAM $ 1,162 LARRY COUTURE $ 2,789 MICHAEL FRIEDMAN $22,373 RICHARD JOVE $ 7,993 GREGORY SCHETINA $ 4,489 ROBERT STONE $ 8,462 THESE AMOUNTS HAVE BEEN INCLUDED IN THE PARTICIPANTS' INCOME ON SCHEDULE J, PART II, COLUMN B(III). VIRGINIA OPIPARE TERMINATED EMPLOYMENT WITH CITY OF HOPE DURING THE CALENDAR YEAR ENDING DECEMBER 31, 2012 AND RECEIVED DISTRIBUTIONS FROM THE PLAN TOTALING $185,257, WHICH HAS BEEN REPORTED AS TAXABLE COMPENSATION IN EITHER THE CURRENT YEAR OR IN A PRIOR YEAR 990 IN SCHEDULE J, PART II, COLUMN B(III). SCHEDULE J, PART I, LINE 7 THE BECKMAN RESEARCH INSTITUTE EXECUTIVES AND SOME KEY EMPLOYEES ARE ELIGIBLE TO RECEIVE INCENTIVE COMPENSATION TIED TO FIVE (5) KEY INDICATORS. THE KEY INDICATORS REFLECT KEY AREAS OF STRATEGIC FOCUS AND THE EXEMPT HEALTHCARE MISSION OF THE CITY OF HOPE AND AFFILIATES AND ARE BOTH FINANCIAL AND NON-FINANCIAL. THE POTENTIAL INCENTIVE COMPENSATION IS BASED ON A WEIGHTED AVERAGE AMONG ALL INDICATORS AND IS PAID AS A PERCENTAGE OF EACH INDIVIDUAL PARTICIPANT'S BASE COMPENSATION. BASED UPON AN INDIVIDUAL'S GOALS AND PERFORMANCE DURING THE YEAR, THE POTENTIAL PAYOUT FOR ANY PARTICIPANT CAN BE MODIFIED UP OR DOWN BY AS MUCH AS 20%. THE INCENTIVE PLAN IS UNDER THE CONTROL OF AND ADMINISTERED BY THE INDEPENDENT DIRECTORS SERVING ON THE EXECUTIVE COMPENSATION AND ORGANIZATIONAL DEVELOPMENT AND GOVERNANCE COMMITTEE. CITY OF HOPE MAY IN ITS DISCRETION CANCEL ALL OR A PORTION OF ANY INCENTIVE PLAN PAYMENT OR AWARD TO ANY PARTICIPANT, WHETHER BEFORE OR FOLLOWING PAYMENT OF SUCH AWARD, SUBJECT TO COMPLIANCE WITH APPLICABLE LAW, UNDER THESE CIRCUMSTANCES: A) AN INCENTIVE PLAN PAYMENT OR AWARD IS MADE FOR A FISCAL PERIOD AND CITY OF HOPE SUBSEQUENTLY RESTATES OR OTHERWISE ADJUSTS THE ANNUAL PERFORMANCE MEASUREMENT CALCULATIONS IN A MANNER THAT WOULD REDUCE THE SIZE OF THE AWARD OR PAYMENT, OR; B) AN INCENTIVE PLAN PAYMENT OR AWARD IS MADE FOR A FISCAL PERIOD AND CITY OF HOPE SUBSEQUENTLY DETERMINES THAT ONE OR MORE OF THE ANNUAL PERFORMANCE MEASUREMENT CALCULATIONS ON WHICH THE AWARD IS BASED OR IS PAID ARE MATERIALLY INACCURATE. DURING CALENDAR YEAR 2012 CITY OF HOPE PAID THE INCENTIVE COMPENSATION EARNED FOR FISCAL YEARS 2011 AND 2012. THE FISCAL YEAR 2011 INCENTIVE WAS PAID IN FEBRUARY 2012, AND THE FISCAL YEAR 2012 INCENTIVE WAS PAID IN DECEMBER 2012. CITY OF HOPE'S INDEPENDENT COMPENSATION CONSULTANT RECOMMENDED THE ACCELERATION OF THE FISCAL YEAR 2012 PAYOUT FROM FEBRUARY 2013 TO CALENDAR YEAR 2012 TO MORE CLOSELY COINCIDE WITH WHEN THE ANNUAL AUDITED FINANCIAL STATEMENTS ARE APPROVED, WHICH IS A COMPENSATION BEST PRACTICE. THIS ALSO MORE CLOSELY COINCIDES WITH THE END OF THE FISCAL YEAR FOR WHICH THE INCENTIVE IS EARNED. THE EXECUTIVE COMPENSATION AND ORGANIZATIONAL DEVELOPMENT AND GOVERNANCE COMMITTEE APPROVED THE ACCELERATION OF THE FISCAL YEAR 2012 PAYOUT TO CALENDAR YEAR 2012, AND APPROVED MAKING THIS TIMING CHANGE APPLICABLE TO FUTURE YEARS AS WELL. INCENTIVE COMPENSATION FOR FISCAL YEARS 2011 AND 2012 HAS BEEN REPORTED IN SCHEDULE J, PART II, COLUMN B(II). SCHEDULE J, PART II, COLUMN B(II) DURING CALENDAR YEAR 2012, THE ORGANIZATION MADE RETENTION COMPENSATION PAYMENTS TO CERTAIN INDIVIDUALS UNDER A STRATEGIC LEADERSHIP RETENTION BONUS PLAN PUT IN PLACE DURING CALENDAR YEAR 2010. THE PLAN COVERED THE PERIOD JULY 1, 2010 - JANUARY 1, 2012. THE PLAN INCLUDED EMPLOYEES CONSIDERED BY EXECUTIVE LEADERSHIP AS CRITICAL TO MEETING CERTAIN STRATEGIC AND BUSINESS OPERATIONAL GOALS, INCLUDING TRANSITION TO A MEDICAL FOUNDATION MODEL. TO RECEIVE PAYOUT OF THE RETENTION BONUS THE EMPLOYEE HAD TO REMAIN EMPLOYED FOR THE PLAN PERIOD AND BE IN GOOD STANDING AND MEETING EXPECTATIONS AS OF JANUARY 1, 2012. THE RETENTION PLAN, PARTICIPANTS AND PAYMENT AMOUNTS WERE PUT IN PLACE AND PAID WITH THE PRIOR APPROVAL OF THE EXECUTIVE COMPENSATION AND ORGANIZATIONAL DEVELOPMENT COMMITTEE. THE PAYMENT AMOUNTS ARE INCLUDED IN SCHEDULE J, PART II, COLUMN B(II). THE BECKMAN RESEARCH INSTITUTE IMPLEMENTED AN EXECUTIVE LONG TERM INCENTIVE PLAN (LTI) DURING FISCAL YEAR 2013. THE LTI IS DESIGNED TO PROVIDE A LONG TERM INCENTIVE FOR EXECUTIVES OF THE CITY OF HOPE AND AFFILIATES. IN ORDER TO REALIZE KEY ORGANIZATIONAL OBJECTIVES AND GOALS TO BE ACCOMPLISHED OVER THE NEXT TEN YEAR PERIOD, IT IS CRITICAL THAT KEY EXECUTIVES BE ALIGNED WITH THE STRATEGIC PLAN. THE INITIAL PERFORMANCE PERIOD OF THE PLAN (CYCLE 1) RUNS FROM OCTOBER 1, 2012 THROUGH SEPTEMBER 30, 2015, WITH A NEW THREE YEAR PERFORMANCE PERIOD BEGINNING EACH OCTOBER 1 THEREAFTER (E.G., CYCLE 2 RUNS FROM OCTOBER 1, 2013 THROUGH SEPTEMBER 30, 2016). THE PARTICIPANTS MUST BE EMPLOYED BY THE BECKMAN RESEARCH INSTITUTE AT THE END OF THE PERFORMANCE PERIOD IN ORDER TO VEST IN THE PLAN. WHILE THE LTI DOES MEET THE REQUIREMENTS FOR A SUBSTANTIAL RISK OF FORFEITURE, AS OF THE CALENDAR YEAR ENDING DECEMBER 30, 2012, THREE MONTHS OF THE POTENTIAL THREE YEAR LTI AMOUNT HAS BEEN RECORDED AS DEFERRED COMPENSATION IN SCHEDULE J, PART II, COLUMN C. SCHEDULE J, PART II JOHN J. ROSSI AND LINDA MALKAS ARE MEMBERS OF THE BOARD OF DIRECTORS OF THE BECKMAN RESEARCH INSTITUTE AND ARE ALSO EMPLOYEES OF AND COMPENSATED BY THE BECKMAN RESEARCH INSTITUTE. JOHN ROSSI IS A RESEARCH SCIENTIST AND DIRECTOR OF MOLECULAR MEDICINE AND THE DEAN OF THE CITY OF HOPE'S IRELL AND MANELLA GRADUATE SCHOOL OF BIOLOGICAL SCIENCES. LINDA MALKAS IS A PROFESSOR AND DEPUTY DIRECTORY FOR BASIC RESEARCH FOR THE CANCER CENTER. NEITHER JOHN ROSSI NOR LINDA MALKAS ARE COMPENSATED FOR THEIR SERVICES AS A MEMBER OF THE BECKMAN RESEARCH INSTITUTE'S BOARD OF DIRECTORS. EMPLOYEE COMPENSATION FOR BOTH OF THESE INDIVIDUALS IS LISTED ON SCHEDULE J, PART II AND FORM 990, PART VII, SECTION A. A CALIF HLTH FACLTY FIN AUTH (SEE PART VI) 521643828 13033LN37 2012-11-14 57928340 REFUNDING ISSUE/CAPITAL PROJECTS false false false A 0 0 57928340 0 0 0 557574 0 0 7119263 47540958 2710545 true false false true A false false true true true true 0.01000 0.01000 false false false true A false true true true UNION BNKWELL FARGO 30. false false false 0 false true A true TAX EXEMPT BONDS: 0 SCHEDULE K, PART I, LINE A AN ELECTION WAS MADE UNDER 1.150-1(C)(3) TO TREAT THE BOND ISSUE AS TWO SEPARATE ISSUES AND WAS REPORTED ON TWO SEPARATE FORMS 8038. ONE WAS FOR REFUNDING THE CITY OF HOPE NATIONAL MEDICAL CENTER'S CITY OF DUARTE CERTIFIATES OF PARTICIPATION SERIES 1999A AND THE OTHER WAS FOR REFUNDING (1) THE CITY OF HOPE NATIONAL MEDICAL CENTER PROJECT SERIES 2006A,B,C ISSUES AND (2) THE BECKMAN RESEARCH INSTITUTE'S 2007 CALIFORNIA ENTERPRISE DEVELOPMENT AUTHORITY ISSUE. THIS SECOND FORM 8038 REPORTED AN ISSUE PRICE OF $198,734,018. FOR PURPOSES OF SCHEDULE K REPORTING, THE BECKMAN RESEARCH INSTITUTE IS REPORTING AN ALLOCABLE AMOUNT OF THE ISSUE PRICE AND EXPENDITURES. BECKMAN RESEARCH INSTITUTE IS REPORTING AN ISSUE PRICE OF $57,928,340, WHILE THE CITY OF HOPE NATIONAL MEDICAL CENTER IS REPORTING AN ISSUE PRICE OF $140,805,678. SCHEDULE K, PART I, LINE A COLUMN (F) THE 2012 ISSUE REFUNDED THE FOLLOWING BECKMAN RESEARCH INSTITUTE TAX EXEMPT ISSUE: PRIVATE PLACEMENT ISSUED ON JULY 12, 2007 THROUGH CALIFORNIA ENTERPRISE DEVELOPMENT AUTHORITY. Linda Malkas Director Mtg Subsidy X 500000 472762 false true true 472762 HUA YU SPOUSE OF AN OFFICER 375665 EMPLOYEE COMPENSATION false SYLVANA COUTURE SPOUSE OF A KEY EMPLOYEE 90986 EMPLOYEE COMPENSATION false ROBERT HICKEY SPOUSE OF A DIRECTOR 207689 EMPLOYEE COMPENSATION false KIRSTEN ROOD SPOUSE OF A KEY EMPLOYEE 97070 EMPLOYEE COMPENSATION false LOANS TO/FROM INTERESTED PERSONS: SCHEDULE L, PART II LINDA H. MALKAS, PHD WAS PROVIDED A MORTGAGE ASSISTANCE LOAN AS PART OF HER RECRUITMENT BY THE BECKMAN RESEARCH INSTITUTE. DR. MALKAS MAKES MONTHLY PRINCIPAL AND INTEREST PAYMENTS ON THIS LOAN AND IS CURRENT WITH ALL PAYMENTS. THE LOAN BEARS INTEREST AT 2.42 PERCENT PER ANNUM AND IS SECURED BY REAL PROPERTY IN THE STATE OF CALIFORNIA. THE NOTE IS DUE IN FULL FOR ANY REMAINING OUTSTANDING PRINCIPAL AND INTEREST THE EARLIER OF MAY 9, 2021 OR THE TERMINATION OF DR. MALKAS' EMPLOYMENT. ORGANIZATION'S MISSION: FORM 990, PART III LINE 1 CITY OF HOPE (COLLECTIVELY REFERRING TO CITY OF HOPE, GENBASIX, INC., THE MEDICAL CENTER, ONCOLOGY MANAGEMENT SERVICES, INC., THE MEDICAL FOUNDATION, BECKMAN RESEARCH INSTITUTE, AND CITY OF HOPE AUXILIARIES), IS AN INNOVATIVE BIOMEDICAL RESEARCH, TREATMENT AND EDUCATIONAL INSTITUTION COMMITTED TO TRANSFORMING THE FUTURE OF HEALTH. EVERY DAY WE TURN SCIENCE INTO PRACTICAL BENEFIT. WE TURN HOPE INTO REALITY. WE ACCOMPLISH THIS THROUGH EXQUISITE CARE, INNOVATIVE RESEARCH, AND VITAL EDUCATION FOCUSED ON ELIMINATING CANCER, DIABETES AND OTHER LIFE-THREATENING DISEASES. CITY OF HOPE IS GUIDED BY A COMPASSIONATE, PATIENT-CENTERED PHILOSOPHY AND SUPPORTED BY A NATIONAL FOUNDATION OF HUMANITARIAN PHILANTHROPY. PROGRAM SERVICE ACCOMPLISHMENTS: FORM 990, PART III, LINE 4A FOUNDED IN 1913, CITY OF HOPE HAS DEVELOPED INTO AN INTERNATIONALLY RECOGNIZED INSTITUTION WHOSE RESEARCH AND TREATMENT ACHIEVEMENTS ADVANCE CARE THROUGHOUT THE NATION AND WORLD. THE MEDICAL CENTER IS DESIGNATED AS A COMPREHENSIVE CANCER CENTER, THE HIGHEST RECOGNITION BESTOWED BY THE NATIONAL CANCER INSTITUTE, AND IS A FOUNDING MEMBER OF THE NATIONAL COMPREHENSIVE CANCER NETWORK, AN ALLIANCE OF 21 TOP CENTERS THAT DEVELOPS NATIONAL GUIDELINES FOR CANCER TREATMENT. BECKMAN RESEARCH INSTITUTE HAS PIONEERED SCIENTIFIC BREAKTHROUGHS RESULTING IN TREATMENTS THAT HAVE IMPROVED THE LIVES OF PATIENTS WORLDWIDE. NUMEROUS LIFE-SAVING DRUGS USE PATENTED TECHNOLOGY DEVELOPED AT BECKMAN RESEARCH INSTITUTE; THESE DRUGS INCLUDE SYNTHETIC HUMAN INSULIN (HUMULIN) FOR DIABETES, THE WIDELY USED CANCER DRUGS HERCEPTIN, RITUXAN AND AVASTIN, AND HUMIRA FOR ARTHRITIS. BECKMAN RESEARCH INSTITUTE'S MISSION IS TO SUPPORT INNOVATIVE AND CREATIVE RESEARCH AND TO EDUCATE FUTURE SCIENTISTS IN THE BIOLOGICAL SCIENCES. RESEARCH IS OF THE HIGHEST CALIBER AND DIRECTED TO AN UNDERSTANDING OF THE MOLECULES AND PROCESSES OF LIFE, INCLUDING THOSE PROCESSES IMPORTANT TO THE CAUSES, PREVENTION AND CURE OF HUMAN DISEASE. RESEARCHERS AT BECKMAN RESEARCH INSTITUTE UNDERTAKE FUNDAMENTAL INVESTIGATIONS IN MOLECULAR GENETICS AND CELLULAR BIOLOGY, STUDYING BIOLOGICAL PROCESSES, CELL DIFFERENTIATION AND EARLY DEVELOPMENT, CELLULAR SIGNALING, RNA PROCESSING AND GENOMIC STRUCTURE. THEY HAVE ACHIEVED MAJOR ADVANCES IN RECOMBINANT DNA TECHNOLOGY, MONOCLONAL ANTIBODIES, GENE THERAPY, EPIGENETICS, SI-RNA TECHNOLOGY AND CANCER IMMUNOTHERAPEUTICS. A DEPARTMENT IN BECKMAN RESEARCH INSTITUTE IS DEDICATED TO UNDERSTANDING AND DEVELOPING TREATMENTS BASED ON CANCER'S INTERACTION WITH THE IMMUNE SYSTEM. OTHER RESEARCH HAS IDENTIFIED PROTEINS THAT MAY PLAY CRITICAL ROLES IN IMMUNE RESPONSE AND MAY LEAD TO NEW TREATMENT STRATEGIES. ANOTHER MAJOR EMPHASIS FOR THE BECKMAN RESEARCH INSTITUTE SCIENTISTS IS PERSONALIZED RESEARCH AND MEDICINE - ANALYZING PATIENTS' UNIQUE GENETIC PROFILES TO DEVELOP TAILORED THERAPIES FOR THEIR SPECIFIC DISEASE. ALL OF THIS RESEARCH IS UNIQUELY SUPPORTED BY ONSITE MANUFACTURING FACILITIES THAT CAN TEST AND PRODUCE QUANTITIES OF CELL-BASED, GENE-BASED AND MOLECULAR THERAPIES. THESE FACILITIES FURTHER SERVE AS RESOURCES TO MEDICAL AND RESEARCH CENTERS NATIONWIDE. BECKMAN RESEARCH INSTITUTE SCIENTISTS SERVE AS FACULTY MEMBERS IN CITY OF HOPE'S IRELL & MANELLA GRADUATE SCHOOL OF BIOLOGICAL SCIENCES. THE GRADUATE SCHOOL'S MISSION IS TO TRAIN STUDENTS TO BE OUTSTANDING RESEARCH SCIENTISTS IN CHEMICAL, MOLECULAR AND CELLULAR BIOLOGY. THE SCHOOL IS ACCREDITED BY THE WESTERN ASSOCIATION OF SCHOOLS AND COLLEGES. GRADUATES OF THE PROGRAM, AWARDED A DOCTOR OF PHILOSOPHY IN BIOLOGICAL SCIENCES, ARE EQUIPPED TO ADDRESS FUNDAMENTAL QUESTIONS IN LIFE SCIENCES AND BIOMEDICINE FOR CAREERS IN ACADEMIA, INDUSTRY AND GOVERNMENT. SCHOOLS QUESTIONNAIRE: FORM 990, PART IV, QUESTION 13 AND SCHEDULE E THE BECKMAN RESEARCH INSTITUTE IS ENGAGED IN THE CONTINUOUS ACTIVE CONDUCT OF MEDICAL AND SCIENTIFIC RESEARCH. BECKMAN RESEARCH INSTITUTE OPERATES A GRADUATE SCHOOL AND COMPLIES WITH REV. PROC. 75-50 EVEN THOUGH THE OPERATIONS OF THE GRADUATE SCHOOL CONSTITUTES LESS THAN 2% OF THE ORGANIZATION'S TOTAL EXPENSES. DUE TO LIMITATIONS IN THE 990 RETURN SOFTWARE APPLICATION, WE ARE UNABLE TO ACCESS THE SCHEDULE E FOR THESE QUESTIONS, BUT RESPOND TO THEM BELOW. THE FOLLOWING RESPONDS TO THE QUESTIONS IN THE SCHEDULE E SCHOOLS QUESTIONNAIRE: 1. DOES THE ORGANIZATION HAVE A RACIALLY NONDISCRIMINATORY POLICY TOWARD STUDENTS BY STATEMENT IN ITS CHARTER, BYLAWS, OTHER GOVERNING INSTRUMENT, OR IN A RESOLUTION OF ITS GOVERNING BODY? "YES" 2. DOES THE ORGANIZATION INCLUDE A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY TOWARD STUDENTS IN ALL ITS BROCHURES, CATALOGUES, AND OTHER WRITTEN COMMUNICATIONS WITH THE PUBLIC DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS? "YES" 3. HAS THE ORGANIZATION PUBLICIZED ITS RACIALLY NONDISCRIMINATORY POLICY THROUGH NEWSPAPER OR BROADCAST MEDIA DURING THE PERIOD OF SOLICITATION FOR STUDENTS, OR DURING THE REGISTRATION PERIOD IF IT HAS NO SOLICITATION PROGRAM, IN A WAY THAT MAKES THE POLICY KNOWN TO ALL PARTS OF THE GENERAL COMMUNITY IT SERVES? IF YES, PLEASE DESCRIBE: IF NO, PLEASE EXPLAIN. "NO." THE GRADUATE SCHOOL CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS FROM LARGE GEOGRAPHIC SECTIONS OF THE UNITED STATES AND INTERNATIONALLY, AND FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY AS DEMONSTRATED BY ITS CURRENT ENROLLMENT OF STUDENTS OF RACIAL MINORITY GROUPS IN MEANINGFUL NUMBERS. ACCORDINGLY, THE GRADUATE SCHOOL SATISFIES THE PUBLICITY REQUIREMENTS OF SECTION 4.03 BY COMPLYING WITH SECTION 4.02 IN THAT IT INCLUDES A STATEMENT OF ITS RACIALLY NONDISCRIMINATORY POLICY AS TO STUDENTS IN ITS CATALOGUES AND ON THE ORGANIZATION'S WEBSITE. 4. DOES THE ORGANIZATION MAINTAIN THE FOLLOWING: 4A. RECORDS INDICATING THE RACIAL COMPOSITION OF THE STUDENT BODY, FACULTY, AND ADMINISTRATIVE STAFF? "YES" 4B. RECORDS DOCUMENTING THAT SCHOLARSHIPS AND OTHER FINANCIAL ASSISTANCE ARE AWARDED ON A RACIALLY NONDISCRIMINATORY BASIS? "YES" 4C. COPIES OF ALL CATALOGUES, BROCHURES, ANNOUNCEMENTS, AND OTHER WRITTEN COMMUNICATIONS TO THE PUBLIC DEALING WITH STUDENT ADMISSIONS, PROGRAMS, AND SCHOLARSHIPS? "YES" 4D. COPIES OF ALL MATERIAL USED BY THE ORGANIZATION OR ON ITS BEHALF TO SOLICIT CONTRIBUTIONS? "YES" 5. DOES THE ORGANIZATION DISCRIMINATE BY RACE IN ANY WAY WITH RESPECT TO: 5A. STUDENT'S RIGHTS OR PRIVILEGES? "NO" 5B. ADMISSIONS POLICIES? "NO" 5C. EMPLOYMENT OF FACULTY OR ADMINISTRATIVE STAFF? "NO" 5D. SCHOLARSHIPS OR OTHER FINANCIAL ASSISTANCE? "NO" 5E. EDUCATIONAL POLICIES? "NO" 5F. USE OF FACILITIES? "NO" 5G. ATHLETIC PROGRAMS? "NO" 5H. OTHER EXTRACURRICULAR ACTIVITIES? "NO" 6A. DOES THE ORGANIZATION RECEIVE ANY FINANCIAL AID OR ASSISTANCE FROM A GOVERNMENTAL AGENCY? "NO" 6B. HAS THE ORGANIZATION'S RIGHT TO SUCH AID EVER BEEN REVOKED OR SUSPENDED? "NO" 7. DOES THE ORGANIZATION CERTIFY THAT IT HAS COMPLIED WITH THE APPLICABLE REQUIREMENTS OF SECTIONS 4.01 THROUGH 4.05 OF REV. PROC. 75-50, 1975-2 C.B. 587, COVERING RACIAL NONDISCRIMINATION? "YES". ADMISSION TO THE GRADUATE SCHOOL OF BIOLOGICAL SCIENCES, WHICH ACCEPTS APPLICATIONS ON AN INTERNATIONAL BASIS, IS HIGHLY COMPETITIVE. CANDIDATES ARE EVALUATED ON THE BASIS OF THEIR TEST SCORES, GRADES FROM COLLEGE AND GRADUATE LEVEL COURSEWORK, LETTERS OF RECOMMENDATION, AND ON THE SCHOOL'S ASSESSMENT OF THE CANDIDATES' POTENTIAL TO CONDUCT MEANINGFUL AND SIGNIFICANT BIOLOGICAL, BIOMEDICAL AND/OR CHEMICAL RESEARCH. ALL STUDENTS ADMITTED TO THE GRADUATE SCHOOL RECEIVE A STIPEND. THE AMOUNT OF THE STIPEND IS DETERMINED BASED ON STIPEND LEVELS AT OTHER CALIFORNIA GRADUATE SCHOOLS WITH SIMILAR PROGRAMS AND IS THE SAME FOR ALL STUDENTS IN THE PROGRAM. GOVERNING BODY AND MANAGEMENT: FORM 990, PART VI, SECTION A, LINE 4 AT ITS MEETING ON JULY 16, 2012, THE BOARD OF DIRECTORS OF CITY OF HOPE, THE SOLE CORPORATE MEMBER OF THE MEDICAL CENTER, BECKMAN RESEARCH INSTITUTE AND MEDICAL FOUNDATION, ADOPTED RESOLUTIONS ESTABLISHING A NEW EXECUTIVE LEADERSHIP STRUCTURE FOR CITY OF HOPE. ON OCTOBER 16, 2012, THE BYLAWS WERE AMENDED TO IMPLEMENT THESE CHANGES. THE PRINCIPAL CHANGES INCLUDED SEPARATING THE ROLE OF PRESIDENT FROM THE ROLE OF CHIEF EXECUTIVE OFFICER ("CEO"), AND CREATING THE NEW POSITION OF PRESIDENT; FORMING THE OFFICE OF THE CHIEF EXECUTIVE, OF WHICH EACH OF THE CEO AND PRESIDENT IS A MEMBER; SPECIFYING THAT THE CEO REPORTS TO THE BOARD, THE PRESIDENT REPORTS TO THE CEO, THE PRESIDENT'S DUTIES ARE BY DELEGATION FROM THE CEO (TO WHOM THE BOARD DELEGATES RESPONSIBILITY FOR DAY-TO-DAY MANAGEMENT), AND THAT THE DUTIES AND RESPONSIBILITIES OF EACH OF THE CEO AND PRESIDENT, AND ANY CHANGES THERETO, ARE SUBJECT TO THE APPROVAL OF THE BOARD. FORM 990, PART VI, SECTION A, LINE 6 AND 7A THE SOLE CORPORATE MEMBER, CITY OF HOPE (95-3435919), ELECTS THE BOARD OF DIRECTORS TO BECKMAN RESEARCH INSTITUTE. FORM 990, PART VI, SECTION A, LINE 7B CERTAIN ACTIONS MAY NOT BE UNDERTAKEN WITHOUT THE PRIOR WRITTEN APPROVAL OF THE SOLE CORPORATE MEMBER, CITY OF HOPE, AS SPECIFIED IN THE GOVERNING DOCUMENTS OF BECKMAN RESEARCH INSTITUTE, INCLUDING: BORROWING MONEY IN THE NAME OF BECKMAN RESEARCH INSTITUTE OR UTILIZING PROPERTY OWNED BY BECKMAN RESEARCH INSTITUTE AS SECURITY FOR SUCH LOANS; ASSIGN, TRANSFER, PLEDGE, COMPROMISE OR RELEASE ANY OF THE CLAIMS OR DEBTS TO BECKMAN RESEARCH INSTITUTE EXCEPT ON PAYMENT IN FULL, OR ARBITRATE OR CONSENT TO THE ARBITRATION OF ANY DISPUTE OR CONTROVERSY OF BECKMAN RESEARCH INSTITUTE; MAKE, EXECUTE OR DELIVER ANY ASSIGNMENT FOR THE BENEFIT OF CREDITORS, OR ANY BOND, CONFESSION OF JUDGMENT, CHATTEL MORTGAGE, SECURITY AGREEMENT, DEED, GUARANTY, INDEMNITY BOND, SURETY BOND, OR CONTRACT TO SELL OR BILL OF SALE OF THE PROPERTY OF BECKMAN RESEARCH INSTITUTE; ACQUIRE, PURCHASE, DEVELOP, IMPROVE, SELL, LEASE, OR MORTGAGE ANY CORPORATE REAL ESTATE OR ANY INTEREST THEREIN OR ENTER INTO ANY CONTRACT FOR ANY SUCH PURPOSES; MAKE ANY LOAN, INVESTMENT, TRANSFER OR DISPOSITION OF ANY ASSETS OF BECKMAN RESEARCH INSTITUTE OR ENTER INTO ANY CONTRACT OR INCUR ANY LIABILITIES ON BEHALF OF BECKMAN RESEARCH INSTITUTE OTHER THAN FOR FAIR CONSIDERATION AND IN THE ORDINARY COURSE OF BUSINESS RELATING TO ITS NORMAL DAILY OPERATION; ESTABLISH CAPITAL AND OPERATING BUDGETS OR ADOPT MATERIAL CHANGES THERETO; OR ANY ACTION THAT COULD REASONABLY BE EXPECTED TO HAVE A MATERIAL ADVERSE EFFECT ON THE 501(C)(3) STATUS OF TAX-EXEMPT BONDS OF CITY OF HOPE AND AFFILIATES. THE FOLLOWING REQUIRE GOVERNING BODY APPROVAL (AS WELL AS THE APPROVAL OF THE SOLE CORPORATE MEMBER): THE ADOPTION OF, OR MATERIAL CHANGE IN, THE MISSION OF BECKMAN RESEARCH INSTITUTE; SALE OR DISPOSITION OF ALL OR SUBSTANTIALLY ALL ASSETS; MERGER AND ITS PRINCIPAL TERMS (AND ANY AMENDMENT TO THOSE TERMS); DISSOLUTION OF THE CORPORATION; ADOPTION OF OPERATING AND CAPITAL BUDGETS; ACQUISITIONS AND CAPITAL EXPENDITURES MEETING A CERTAIN FINANCIAL THRESHOLD; BORROWINGS, GUARANTIES, LOANS, AND BOND ISSUANCE MEETING A CERTAIN FINANCIAL THRESHOLD; CREATION OF A NEW (OR ACQUISITION OF A CONTROLLING INTEREST IN AN EXISTING) CORPORATION, PARTNERSHIP OR LIMITED LIABILITY COMPANY; AND ADOPTION OF OR AMENDMENTS TO INDIVIDUAL CORPORATE INVESTMENT GUIDELINES. POLICIES: FORM 990, PART VI, SECTION B, LINE 11B A COPY OF THE FORM 990 IS REVIEWED BY THE AUDIT AND COMPLIANCE COMMITTEE OF THE BOARD OF DIRECTORS OF CITY OF HOPE, WHICH SERVES AS THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF BECKMAN RESEARCH INSTITUTE AND WHICH ASSISTS THE BECKMAN RESEARCH INSTITUTE'S BOARD IN FULFILLING ITS RESPONSIBILITIES REGARDING THE FINANCIAL, ACCOUNTING, AND CORPORATE COMPLIANCE MATTERS OF BECKMAN RESEARCH INSTITUTE. ADDITIONALLY, THE PREPARATION OF THE FORM 990 IS DONE INTERNALLY AND IS REVIEWED THOROUGHLY WITH INTERNAL LEADERSHIP AND EXTERNAL ADVISORS, INCLUDING EY, AND RETAINED TAX COUNSEL. PRIOR TO FILING, THE BECKMAN RESEARCH INSTITUTE FORM 990 IS MADE AVAILABLE TO VOTING MEMBERS OF THE CITY OF HOPE BOARD OF DIRECTORS FOR REVIEW ELECTRONICALLY. ADDITIONALLY, CERTAIN MEMBERS OF THE CITY OF HOPE BOARD OF DIRECTORS ALSO SERVE AS BOARD MEMBERS OF THE MEDICAL CENTER, THE MEDICAL FOUNDATION OR BECKMAN RESEARCH INSTITUTE. FORM 990, PART VI, SECTION B, LINE 12C ALL EMPLOYEES OF CITY OF HOPE AND AFFILIATES, BOARD OF DIRECTORS, BOARD COMMITTEE MEMBERS AND RESEARCH TEAM MEMBERS ARE COVERED BY CITY OF HOPE'S APPLICABLE CONFLICT OF INTEREST POLICIES. DETERMINATIONS AS TO WHETHER A CONFLICT OF INTEREST EXIST AND REVIEW OF CONFLICT DISCLOSURES ARE MADE BY THE CHIEF RISK OFFICER, GENERAL COUNSEL AND, AS APPLICABLE, THE CHAIR OF THE BOARD OR BOARD OF DIRECTORS OR THE CONFLICT OF INTEREST AND COMMITMENT COMMITTEE, BASED UPON THE CATEGORY OF PERSON MAKING THE DISCLOSURE. RESTRICTIONS IMPOSED ON PERSONS WITH A CONFLICT VARY, BASED UPON THE FACTS. RESTRICTIONS MAY INCLUDE: PROHIBITION FROM PARTICIPATING IN A GOVERNING BODY'S DELIBERATIONS AND VOTING ON A GIVEN TRANSACTION OR SET OF TRANSACTIONS; RECUSAL FROM THE DECISION-MAKING PROCESS RELATING TO BUSINESS TRANSACTIONS (E.G., PURCHASING DECISIONS); PROHIBITION FROM PARTICIPATING AS A PRINCIPAL INVESTIGATOR IN RESEARCH; AND DISCLOSURE OF FINANCIAL INTEREST IN RESEARCH STUDY INFORMED CONSENT FORMS AND PUBLICATIONS. MONITORING TRANSACTIONS FOR CONFLICTS OF INTEREST AS PART OF A CONFLICT MANAGEMENT PLAN IS DONE THROUGH REQUIRED DISCLOSURES AND UPDATES BY PERSONS COVERED BY THE ORGANIZATION'S CONFLICT OF INTEREST POLICIES AND A CONCURRENT REVIEW OF SUCH DISCLOSURES, ACCORDING TO THE PROCESS DESCRIBED ABOVE. CITY OF HOPE POLICY PROVIDES FOR DISCIPLINARY ACTION AGAINST PERSONS COVERED BY THE CONFLICT OF INTEREST POLICIES WHO DO NOT COMPLY WITH POLICY REQUIREMENTS. FORM 990, PART VI, SECTION B, LINES 15A AND 15B THE EXECUTIVE COMPENSATION AND ORGANIZATIONAL DEVELOPMENT AND GOVERNANCE COMMITTEE OF THE CITY OF HOPE BOARD OF DIRECTORS, PURSUANT TO A DELEGATION OF AUTHORITY FROM THE CITY OF HOPE BOARD OF DIRECTORS, IS RESPONSIBLE FOR SETTING THE COMPENSATION OF THE CEO AND CERTAIN OTHER SENIOR EXECUTIVES OF CITY OF HOPE AND AFFILIATES. THE DIRECTORS ON THIS COMMITTEE ARE INDEPENDENT AND ADHERE TO A STRICT CONFLICT OF INTEREST POLICY. THE COMMITTEE SERVES AS THE EXECUTIVE COMPENSATION COMMITTEE OF THE BECKMAN RESEARCH INSTITUTE. DELIBERATION AND DECISION MAKING ARE SUBSTANTIATED IN THE MINUTES OF THE COMMITTEE'S MEETINGS. THE MINUTES ARE REVIEWED AND APPROVED AT THE NEXT MEETING OF THE COMMITTEE. AS PART OF THE DELIBERATION PROCESS, THE COMMITTEE RECEIVES ADVICE FROM AN INDEPENDENT, OUTSIDE COMPENSATION CONSULTANT WITH RESPECT TO EXECUTIVE COMPENSATION, COMPARABLE AND BENCHMARK DATA, AND CURRENT COMPENSATION PHILOSOPHY, STRUCTURE, AND ADMINISTRATION OF THE EXECUTIVE COMPENSATION PROGRAMS AT CITY OF HOPE AND AFFILIATES. THE COMMITTEE CARRIES OUT THE BOARD OF DIRECTORS' OVERALL RESPONSIBILITIES RELATING TO EXECUTIVE COMPENSATION. THE EXECUTIVE COMPENSATION PHILOSOPHY IS DESIGNED TO ASSIST IN ATTRACTING AND RETAINING THE CALIBER OF EXECUTIVE LEADERSHIP REQUIRED TO ENABLE ACHIEVEMENT OF THE HIGHEST LEVELS OF COMMUNITY BENEFIT AND IMPACT, CLINICAL CARE, QUALITY RESEARCH AND EFFICIENT PHILANTHROPIC DEVELOPMENT. THE COMMITTEE TARGETS THE 50TH PERCENTILE OF BASE SALARY AND THE 75TH PERCENTILE OF TOTAL CASH OF THE MARKET IN WHICH CITY OF HOPE COMPETES FOR EXECUTIVES. A SUBSTANTIAL PORTION OF EXECUTIVE COMPENSATION IS LINKED DIRECTLY TO PERFORMANCE GOALS APPROVED IN ADVANCE BY THE COMMITTEE. THESE GOALS ARE TIED TO THE PERFORMANCE OF CITY OF HOPE AND AFFILIATES, INCLUDING THE ATTAINMENT OF SPECIFIC BUSINESS OBJECTIVES FOR STRATEGIC AND FINANCIAL PERFORMANCE AS WELL AS NON-FINANCIAL MEASURES SUCH AS PATIENT SATISFACTION AND QUALITY OF PATIENT CARE. AS A CONSEQUENCE, PERFORMANCE COMPENSATION MAY VARY FROM YEAR TO YEAR. THE COMMITTEE CONDUCTS COMPENSATION REVIEWS ANNUALLY FOR EXECUTIVES AND CERTAIN KEY EMPLOYEES AND THIS WAS LAST COMPLETED ON SEPTEMBER 20, 2013. THE COMPENSATION PROGRAMS AND RANGES FOR ALL OFFICERS AND KEY EMPLOYEES LISTED ON FORM 990, PART VII, SECTION A AT THE SENIOR VICE-PRESIDENT OR EQUIVALENT LEVEL AND ABOVE ARE REVIEWED AND APPROVED BY THIS COMMITTEE. DISCLOSURES: FORM 990, PART VI, SECTION C, LINE 19 BECKMAN RESEARCH INSTITUTE'S ARTICLES OF INCORPORATION ARE AVAILABLE TO THE PUBLIC FROM THE SECRETARY OF STATE. CITY OF HOPE'S AUDITED FINANCIAL STATEMENTS ARE AVAILABLE ON THE CITY OF HOPE WEBSITE, AND ITS CONFLICT OF INTEREST POLICIES ARE AVAILABLE BY WRITTEN REQUEST MADE TO THE CONFLICT OF INTEREST MANAGER. BECKMAN RESEARCH INSTITUTE'S BYLAWS ARE NOT MADE AVAILABLE TO THE PUBLIC. HOURS WORKED: FORM 990, PART VII, COLUMN (B) FULL TIME EXEMPT EMPLOYEES GENERALLY WORK IN EXCESS OF 40 HOURS PER WEEK. THIS HAS BEEN REFLECTED IN PART VII OF FORM 990, WHICH REPORTS AN AVERAGE 60 HOURS PER WEEK. THE MEMBERS OF THE BOARD OF DIRECTORS ARE NOT COMPENSATED FOR SERVING ON THE BOARD BY THE BECKMAN RESEARCH INSTITUTE OR BY ITS AFFILIATES. THE HOURS WORKED FOR EACH DIRECTOR IS AN ESTIMATE OF THE TIME SPENT PREPARING FOR AND ATTENDING MEETINGS OF THE BOARD OF DIRECTORS AND VARIOUS COMMITTEES OF THE BOARD OF DIRECTORS. THE BOARD OF DIRECTORS HELD 4 REGULARLY SCHEDULED MEETINGS DURING FISCAL YEAR 2013. THE AUDIT AND COMPLIANCE COMMITTEE HELD 5 REGULARLY SCHEDULED MEETINGS DURING FISCAL YEAR 2013. RECONCILIATION OF NET ASSETS: FORM 990, PART XI, LINE 9 UNREALIZED GAINS ON INTEREST RATE SWAP AGREEMENT OF $7,820,381. CITY OF HOPE 1500 EAST DUARTE ROAD DUARTE CA 91010 953435919 FUNDRAISING CA 501(C)3 7 NA false CITY OF HOPE NATIONAL MEDICAL CENTER 1500 EAST DUARTE ROAD DUARTE CA 91010 951683875 HOSPITAL CA 501(C)3 3 CITY OF HOPE true City of Hope Medical Foundation 1500 E Duarte Road Duarte CA 91010 274803222 Healthcare CA 501(C)3 3 City of Hope true GENBASIX INCORPORATED 1500 EAST DUARTE ROAD DUARTE CA 91010 911949357 GENOMICS DE NA C CORP Oncology Management Services Inc 1500 East Duarte Road 147 Duarte CA 91010 330557670 LEASING AGENT CA NA C corp false false true false false false false false false false false false true false true true true false false CITY OF HOPE NATIONAL MEDICAL CENTER P 40408189 FMV CITY OF HOPE NATIONAL MEDICAL CENTER Q 2519290 FMV CITY OF HOPE MEDICAL FOUNDATION Q 68746 FMV CITY OF HOPE NATIONAL MEDICAL CENTER M 24574133 FMV CITY OF HOPE NATIONAL MEDICAL CENTER O 7154317 FMV