2014-11-13T14:37:06-06:00 2013-12-31 ERNST & YOUNG US LLP 111 MONUMENT CIRCLE STE 4000 INDIANAPOLIS IN 46204 990 2013-01-01 136714749 The Hospital for Special Surgery Fund Inc % MARC GOULD HOSP 2126061000 535 EAST 70TH STREET Suite NEW YORK NY 10021 STACEY MALAKOFF EXECUTIVE VP & CFO 2014-11-13 2013 2015-11-30 17:44:51Z LOUIS SHAPIRO 535 EAST 70TH STREET NEW YORK NY 10021 15787656 false X www.hss.edu X 1984 NY TO RAISE FUNDS TO SUPPORT CHARITABLE, EDUCATIONAL & SCIENTIFIC PURPOSES OF ITS TAX-EXEMPT AFFILIATE THE HOSPITAL FOR SPEC SURG, AND ANY OTHER HLTH CARE RELATED CHARIT ORGS. 42 36 29 42 0 0 6070287 8641220 5794664 6413283 1873772 266672 -485137 -406624 13253586 14914551 811141 1386604 0 0 4309511 4839962 247069 196932 5327171 2274679 2307339 7642400 8730837 5611186 6183714 40587375 51876563 20719524 24307810 19867851 27568753 X THE ORGANIZATION'S EXEMPT PURPOSE IS TO RAISE FUNDS TO SUPPORT CHARITABLE, EDUCATIONAL & SCIENTIFIC PURPOSES OF ITS TAX-EXEMPT AFFILIATE THE HOSP FOR SPEC SURG, AND ANY OTHER HLTH CARE RELATED CHARITABLE ORGANIZATIONS. false false 1386604 1386604 6413283 THIS ORGANIZATION'S EXEMPT PURPOSE IS TO RAISE FUNDS TO SUPPORT CHARITABLE, EDUCATIONAL, AND SCIENTIFIC PURPOSES OF ITS TAX-EXEMPT AFFILIATE, THE HOSPITAL FOR SPECIAL SURGERY, AND ANY OTHER HEALTH CARE RELATED CHARITABLE ORGANIZATION. THE HOSPITAL FOR SPECIAL SURGERY PROVIDES WORLD CLASS CARE TO ITS PATIENTS BY HELPING THEM REGAIN THEIR MOBILITY, WHILE ALSO ADVANCING RESEARCH INITIATIVES TO EXPLORE NEW TREATMENTS FOR ORTHOPEDIC AND RHEUMATOLOGIC CONDITIONS. THE HOSPITAL FOR SPECIAL SURGERY IS RECOGNIZED FOR ITS EXCELLENCE IN PATIENT CARE AND IS CONSISTENTLY TOP-RANKED RANKED BY US NEWS AND WORLD REPORTS IN ITS SPECIALTIES. THE HOSPITAL FOR SPECIAL SURGERY IS ALSO RECOGNIZED AS A MAGNET HOSPITAL FOR EXCELLENCE IN NURSING SERVICE. IN 2013 HSS FUND INC. PROVIDED SERVICES TO THE HOSPITAL, ENABLING IT TO RAISE APPROXIMATELY $38.3` MILLION IN FUNDS FOR CAPITAL, RESEARCH, ENDOWMENT, EDUCATIONAL AND OPERATING PURPOSES. IN 2013, HSS FUND INC. ALSO CONTRIBUTED APPROXIMATELY $221,600 TO OTHER CHARITABLE ORGANIZATIONS. 1386604 true true false true false false false false false false true true false false true false false true false true true false false true true false false true false true false false false false false false false true true false false false false true true true false false true X 0 0 29 true false true CJ EI false false false true true false false false false X 42 36 true false false false false false false true true false false true true true true true true true true false AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X MARC GOULD 2126061323 535 EAST 70TH STREET New York NY 10021 Jonathan Deland Member/Atten. MD - Left FY13' 0.2 13.82 X 0 104818 38264 Gregory E Lutz MD Member/Attending Physician 0.2 6.03 X 9728 50779 Douglas Padgett Member/Attending Physician 0.2 11.9 X 142627 48555 Russell Warren Member/Attending Physician 0.2 10.3 X 76835 35985 Phillip Wilson Jr Member/Attending Physician 5.33 0.82 X 88342 30396 James M Benson Member 0.04 0.39 X Daniel C Benton Member 0.07 0.59 X Herbert Black Member 0.04 0.31 X Richard A Brand Member 0.07 0.63 X Michael Brooks Member 0.14 1.22 X Kathryn Chenault Member 0.11 0.94 X Charles Coleman III Member 0.11 1.02 X Leslie Confeld Member 0.18 1.6 X Cynthia Foster Curry Member 0.41 3.66 X Barrie M Damson Member 0.22 1.96 X James G Dinan Member 0.25 2.22 X Anne Ehrenkranz Member 0.12 1.04 X Michael Esposito Member 0.46 4.15 X Marina Kellen French Member 0.06 0.49 X Craig Ivey Member 0.07 0.59 X Winfield P Jones Member 0.04 0.39 X Monica Keany Member 0.42 3.76 X Thomas J Kelly Member 0.27 2.43 X David H Koch Member 0.27 2.43 X Lara Lerner Member 0.04 0.39 X Mariylin B Levitt Member 0.53 4.73 X Thomas Lister Vice-Chair 0.46 4.17 X X Alan S MacDonald Member 0.22 2.0 X David M Madden Member 0.07 0.63 X Richard L Menschel Chairman, Emeritus 0.69 6.24 X Dean R O'Hare Co-Chair 1.75 15.75 X X Aldo Papone Member 0.51 4.54 X Gordon Pattee Member 0.04 0.39 X Susan W Rose Member 0.09 0.84 X Jonathan Sobel Member 0.33 2.97 X Deirdre Stanley Member 0.24 2.17 X Robert K Steel Member 0.47 4.25 X Daniel G Tully Member - Left in FY13' 0.07 0.58 X Mrs Douglas A Warner III Member 0.69 6.2 X Sanford I Weill Member 0.04 0.39 X Torsten N Wiesel MD Member 0.07 0.63 X Kendrick R Wilson III Co-Chair 1.75 15.75 X X Ellen M Wright Member 0.37 3.28 X Louis A Shapiro President & CEO 9.0 51.0 X X 350425 1985745 70051 Stacey Malakoff Executive VP & CFO 1.8 58.2 X 35943 1162164 54906 Constance B Margolin Exec VP & Chief Legal Officer 3.0 57.0 X 33846 643067 44399 Deborah Sale Exec VP Ext Affairs 36.0 24.0 X 340763 227175 77400 Robin Merle VP & Chief Development Officer 60.0 0.0 X 363805 57125 Catherine Bissinger Director, Development 60.0 0.0 X 203634 20447 Reesa Kaufman Dir,Foundation & Gov Relations 60.0 0.0 X 143786 10334 William Cruz Dir, Annual & Planned Giving 60.0 0.0 X 138006 15921 Benjamin Neihart Dir, Dev Research Special Proj 45.0 15.0 X 113031 37677 836 Meredith Forbes Director, Special Events 60.0 0.0 X 110856 21025 1922437 4389836 576423 9 false true false TWO SHADES OF GRAY 3 KIDDS CAVE RD BRADFORD CT 06405 PRINT & DESIGN SRV 256330 INDOE CONSULTING 633 E 11TH ST UNIT 6 NEW YORK NY 10009 CONSULTING SERVICES 213760 VENABLE LLP PO BOX 62727 BALTIMORE MD 21264 LOBBYING CONSULTING 150021 JS MCCARTHY CO INC 15 DARIN DRIVE AUGUSTA ME 04330 Print Service 126430 COMMUNITY COUNSELING SVC CO PO BOX 824885 PHILADELPHIA PA 19182 FUNDRAISING CONSULT 105000 5 3630753 5010467 112598 8641220 PURCHASED SERVICE REVENUE 900099 6413283 6413283 6413283 259628 259628 0 0 0 0 0 164201 157157 7044 7044 7044 309324 3630753 715948 -406624 -406624 0 0 0 14914551 6413283 -139952 1386604 1386604 0 0 0 1361459 821791 539668 0 2599462 2599462 0 669383 230082 439301 209658 72064 137594 167512 167512 0 83126 83126 150021 150021 196932 196932 20794 20794 606564 416486 190078 0 80158 80158 0 0 600110 10186 589924 40267 40267 0 0 0 0 45000 45000 0 DIRECT MAIL 287141 287141 MISCELLANEOUS EXPENSES 226646 226646 8730837 1386604 2017062 5327171 0 0 1868362 2200462 0 0 0 0 0 0 0 0 5000000 5000000 0 0 0 0 617957 460812 171375 157145 18559506 26360824 13534246 16600415 0 0 0 0 1453886 1557717 40587375 51876563 1187096 1563699 0 0 0 0 0 0 0 0 0 0 0 0 0 0 19532428 22744111 20719524 24307810 X 19867851 27568753 0 0 0 0 19867851 27568753 40587375 51876563 6183714 1517188 X false true X true false X 4553024 4834012 5752159 6070287 8641220 29850702 0 0 4553024 4834012 5752159 6070287 8641220 29850702 943491 28907211 33628 51235 83240 1622542 259628 2050273 0 337722 277430 309324 924476 32825451 27170828 0.88063 0.91447 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false false false false false false true 150021 false false 150021 false PART II-B, LINE 1G THE HOSPITAL FOR SPECIAL SURGERY FUND, INC. ENGAGES A LOBBYING FIRM TO DIRECT ITS EFFORT TOWARD HEALTHCARE INITIATIVES ON BEHALF OF ITSELF AND ITS AFFILIATE, THE NEW YORK SOCIETY FOR THE RELIEF OF THE RUPTURED AND CRIPPLED, MAINTAINING THE HOSPITAL FOR SPECIAL SURGERY. 137762 68458 69304 480195 392354 87841 157145 ALTERNATIVE INVESTMENTS 16600415 F 16600415 0 DUE TO AFFILIATE 22744111 22744111 Central America and the Caribbean 1 Investments 10000 1 1 10000 10000 false false true false false false SCHEDULE F, PART I, LINE 3(1), COLUMN F TOTAL ASSETS ARE $103,392,835 AND TOTAL LIABILITIES ARE $103,382,835. X X X X X true PROJECTS PLUS INC 145 WEST 45TH STREET SUITE 300 NEW YORK NY 10036 CONSULTING/ SOLICIT/DM false 2570903 80852 2490051 INDOE CONSULTING 633 EAST 11TH STREET UNIT 6 NEW YORK NY 10009 DM-CONSULT/ REPORTING false 1095160 90000 1005160 KELLY MOORE 201 WEST 11TH STREET 5D NEW YORK NY 10014 CONSULTING SOLICIT/DM false 897620 10000 887620 COMMUNITY COUNSELING SERVICE CO L PO BOX 824885 PHILADELPHIA PA 19182 CONSULTING false 105000 4563683 285852 4382831 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI GALA 2570903 2369303 201600 376935 5400 129443 CIRCUS 402024 353430 48594 52540 5059 22362 2 967150 908020 59130 81059 16950 26200 3940077 3630753 309324 510534 27409 178005 715948 -406624 true THE NY SOC FOR THE REL OF RUP & CRPL MAINT 535 EAST 70TH STREET NEW YORK NY 10522 131624135 501(c)(3) 1165004 ACADEMIC TRAINING & PEDIATRIC OUTREACH UNITED HOSPITAL FUND 350 FIFTH AVENUE-23RD FL NEW YORK NY 10118 131562656 501(c)(3) 47000 GENERAL SUPPORT CORNELL UNIVERSITY CO NY PRESBYWEILL CORNELL MED 377 PINE TREE ROAD ITHACA NY 14850 150532082 501(c)(3) 21000 GENERAL SUPPORT Citizens Budget Commission 1 PENN PLAZA SUITE 640 NEW YORK NY 10119 130576141 501(c)(3) 16000 GENERAL SUPPORT ARTHRITIS FOUNDATION INC 1330 W PEACHTREE STNO 100 ATLANTA GA 30309 581341679 501(c)(3) 15000 GENERAL SUPPORT HEALTHCARE CHAPLAINCY 315 EAST 62ND ST NEW YORK NY 10021 132634080 501(c)(3) 10000 GENERAL SUPPORT ALLIANCE FOR LUPUS RESEARCH 845 THIRD AVENUE 6TH FL NEW YORK NY 10022 582492929 501(c)(3) 10000 GENERAL SUPPORT SLE LUPUS FOUNDATION 330 SEVENTH AVE SUITE 1701 NEW YORK NY 10001 133060086 501(c)(3) 10000 GENERAL SUPPORT VISITING NURSE SERVICE OF NY 1675 BROADWAY 18TH FL NEW YORK NY 10019 133189926 501(C)(3) 10000 General Support BARNARD COLLEGE 3009 BROADWAY NEW YORK NY 10027 131628149 501(c)(3) 10000 GENERAL SUPPORT LUPUS FOUNDATION OF AMERICA INC 2000 L ST NW NO 410 WASHINGTON DC 20036 431131436 501(C)(3) 10000 GENERAL SUPPORT THE NEW YORK ACADEMY OF MEDICINE 1216 FIFTH AVENUE NEW YORK NY 10029 131656674 501(C)(3) 10000 GENERAL SUPPORT COMMUNITY SERVICE SOCIETY OF NEW YORK 105 E 22ND ST STE 301 NEW YORK NY 10010 135562202 501(C)(3) 10000 GENERAL SUPPORT AAFSalzburg Cornell Seminars 150 East 42nd Street 29th Floor NEW YORK NY 10017 133275103 501(C)(3) 7500 GENERAL SUPPORT THE ALS ASSOCIATION GREATER NY CHAPTER 42 BROADWAY NEW YORK NY 10004 133616680 501(C)(3) 6250 GENERAL SUPPORT 15 SCHEDULE I, PART I, LINE 2 HSS FUND, INC. IS ORGANIZED FOR THE PURPOSE OF RAISING FUNDS TO SUPPORT THE CHARITABLE, EDUCATIONAL, AND SCIENTIFIC PURPOSES OF ITS TAX EXEMPT AFFILIATE, THE HOSPITAL FOR SPECIAL SURGERY, AND OTHER HEALTH CARE-RELATED CHARITABLE ORGANIZATIONS. THE CONTRIBUTIONS MADE TO AFFILIATES ARE TO BE USED FOR THE INTENDED PURPOSE. THE CONTRIBUTIONS GIVEN TO THE OUTSIDE ORGANIZATIONS ARE FOR GENERAL PURPOSES. X true true X X X X false false false false true false true false false Douglas Padgett Member/Attending Physician 142214 413 0 13898 0 34657 0 191182 0 0 Louis A Shapiro President & CEO 164087 929826 181937 1030974 4401 24945 2869 16256 7639 43287 360933 2045288 0 0 Stacey Malakoff Executive VP & CFO 22600 730728 12412 401320 931 30116 689 22262 958 30997 37590 1215423 0 Constance B Margolin Exec VP & Chief Legal Officer 23989 455783 9100 172907 757 14377 1148 21803 1071 20377 36065 685247 0 0 Deborah Sale Exec VP Ext Affairs 241218 160812 96209 64139 3336 2224 13770 9180 32670 21780 387203 258135 0 0 Robin Merle VP & Chief Development Officer 317837 45968 22950 0 34175 0 420930 0 0 0 Catherine Bissinger Director, Development 203458 176 8293 0 12154 0 224081 0 0 0 Reesa Kaufman Dir,Foundation & Gov Relations 143665 121 -20103 0 30437 0 154120 0 0 0 William Cruz Dir, Annual & Planned Giving 137926 80 5613 0 10308 0 153927 0 0 Benjamin Neihart Dir, Dev Research Special Proj 112947 37649 84 28 -7784 -2595 8411 2804 113658 37886 0 0 SCHEDULE J, PART I, LINE 1A Housing Allowance - Housing allowance was paid to the Vice President & Chief Development Officer as per contract, and was treated as taxable compensation. SCHEDULE J, PART I, LINE 5B CERTAIN EMPLOYED PHYSICIANS LISTED ON PART VII, SECTION A, LINE 1A RECEIVE COMPENSATION IN PART, BASED ON PROFESSIONAL SERVICE REVENUE GENERATED FROM SERVICES THEY PERSONALLY PERFORMED IN THEIR INDIVIDUAL PRACTICES. IN 2013, NO PHYSICIAN WAS PAID COMPENSATION CONTINGENT UPON THE ORGANIZATION'S OVERALL REVENUE OR NET EARNINGS. SCHEDULE J, PART I, LINE 6B PERFORMANCE BASED INCENTIVE AWARDS ARE PAID TO OFFICERS AND KEY EMPLOYEES BASED ON A NUMBER OF IMPORTANT QUALITY, SATISFACTION, EFFICIENCY, AND FINANCIAL MEASURES, OF WHICH ACHIEVING BUDGET IS A FACTOR. SCHEDULE J, PART II - COLUMN B(II) BONUS AND INCENTIVE COMPENSATION IN 2013, CERTAIN EXECUTIVES RECEIVED A LONG TERM INCENTIVE PAYMENT BASED ON THEIR PERFORMANCE IN ACHIEVING HOSPITAL OBJECTIVES EARNED OVER A THREE YEAR PERIOD, THUS DISTORTING THE YEAR TO YEAR COMPARISON OF COMPENSATION INFORMATION. American Express SEE PART V SEE PART V false SCHEDULE L, PART IV, LINE (1) - AMERICAN EXPRESS a. Aldo Papone, former Co-Chairman and current member of HSS' Board of Trustees, is a senior advisor at American Express. The decision to select American Express for the Buyer Initiated Payment Program (BIPP) was made through a competitive bid process and independent of Mr. Papone. Mr. Papone does not have any role in the consideration or acquisition of American Express services. b. Kathryn Chenault, a member of HSS' Board of Trustees, is the spouse of Kenneth Chenault, the CEO of American Express. The decision to select American Express for the Buyer Initiated Payment Program (BIPP) was made through a competitive bid process and independent of Mrs. Chenault. Mrs. Chenault does not have any role in the consideration or acquisition of American Express services. Amount of Transaction: $44,658,061 Description of Transaction: In 2013, HSS paid its participating vendors $44,658,061 through the American Express Buyer Initiated Payment Program (BIPP). The BIPP is a program negotiated through the Greater New York Hospital Association (GNYHA). Participating vendors have the benefit of getting paid quicker via use of BIPP and in return the participating vendors pay a fee to American Express. HSS receives a rebate based on its percentage of the total amount spent through the GNYHA program. Separately from the BIPP program, HSS incurred business related charges of $295,588 using HSS' American Express corporate cards. X 11 112598 FMV false true true Schedule M, Part I, Line 32B All publicly traded securities are administered and sold through JP Morgan Chase, 1111 Polaris Parkway, Suite 3J, OH1-0634, Columbus, OH 43240. FORM 990, PART VI, SECTION A - LINE 2 - DANIEL BENTON, TRUSTEE, AND ANNE EHRENKRANZ, TRUSTEE, HAVE A BUSINESS RELATIONSHIP FORM 990, PART VI, SECTION B - LINE 11B Prior to submitting the Form 990 to the Internal Revenue Service (IRS), there is an established process for review of the document in its entirety by the governing body whose evaluations are made in the best interest of HSS Fund, Inc. The Form 990 is first reviewed with the Executive Compensation Committee of the Board of Trustees. The reviewed Form 990 is then submitted to the full Board of Trustees. The trustees are provided a copy of the Form 990 via compact disk prior to submission of the form. In addition, significant areas of Form 990 are discussed at a Board of Trustees meeting. FORM 990, PART VI, SECTION B - LINE 12C On an annual basis, Financial Interest Disclosure Statements are sent to all Board Members, Officers, Medical Staff, and Management. The Conflict of Interest policy also requires that individuals disclose any changes to the Office of Corporate Compliance within 30 days. The information received is entered into a database and reviewed for potential conflicts of interest. The database information is also reviewed by the Executive Vice President for Legal Affairs, the Chief Executive Officer, and the Audit and Corporate Compliance Committee of the Board of Trustees. In addition to sending disclosure statements directly to the group noted above, industry websites are monitored for disclosures related to employees of HSS Fund, Inc. This information is entered into the database as well. HSS Fund, Inc. has a Conflict of Interest Task Force that meets three times a year, or as necessary, to review and update the Conflicts of Interest policies and procedures. HSS' Policy on Conflict of Interest in day-to-day operations states that if HSS is contemplating a transaction which might possibly benefit (or appear to benefit) a covered person or any member of his/her immediate family, then the potential benefit or conflict must be disclosed to, and approved by, a disinterested officer of HSS before the transaction may proceed. Accordingly, a covered person may not place business with any third party (e.g., a vendor, competitor, or other organization) in which that person or any member of his/her immediate family has an interest unless that interest is disclosed to, and the transaction is approved by, the Vice President for Corporate Compliance ("Corporate Compliance Officer"). FORM 990, PART VI, SECTION B - LINE 15A & 15B HSS Fund, Inc. is committed to ensuring that its Executive Compensation Program adheres to the highest standards of regulatory compliance and best corporate governance. The HSS Fund, Inc. Board has charged the Compensation Committee (which is composed of independent Board members with no conflicts of interest in regard to executive compensation) with making all decisions related to compensation for officers and key employees. The Committee retains an independent compensation consultant to assist it in this process. Compensation levels are established considering data for functionally comparable roles in comparable organizations, an assessment of performance, and other business judgment factors, consistent with HSS Fund, Inc.'s executive compensation philosophy. The Committee's decisions are made in the best interests of HSS Fund, Inc., and are intended to ensure the recruitment and retention of key executive talent, consistent with the market practices of other not-for-profit health care organizations of comparable mission and complexity. On an annual basis (including 2013), the Committee provides the full Board with an overview of its determinations and process. HSS Fund, Inc. established this process in an effort to comply with the intermediate sanctions guidelines for qualifying for the rebuttable presumption of reasonableness. FORM 990, PART VI, SECTION B - LINE 19 HSS Fund, Inc. makes governing documents available to the general public upon request from the Development Office. Conflict of Interest Policy - HSS Fund, Inc. makes its Conflict of Interest Policy available to the general public upon request from the Development Office. Financial Statements - HSS Fund, Inc. makes its audited financial statements available to the general public upon request from the Development Office. HSS Fund, Inc. also provides summarized financial information in its annual report and website. The annual report is distributed throughout the Hospital and patient waiting rooms, and administration offices, and is accessible as a downloadable file from the HSS website. In 2013, the Annual Report was mailed to 4,955 donors, public officials, and other healthcare professionals and organizations. NY SOC REL RUPT CRIPLD MAINTAING HSS 535 EAST 70TH STREET NEW YORK NY 10021 131624135 health care NY 501(C)(3) 3 NA true HSS PROPERTIES CORPORATION 535 EAST 70TH STREET NEW YORK NY 10021 133246249 REAL ESTATE NY 501(C)(3) 11 TYPE II HSS FUND INC true HSS HORIZONS INC 535 EAST 70TH STREET NEW YORK NY 10021 134152131 RESEARCH SUPP NY 501(C)(3) 11 TYPE II HSS FUND INC true MIAC 535 EAST 70TH STREET NEW YORK NY 10021 981050215 self-indemnity CJ HSS FUND INC C 23226896 103392835 1.00000 true HSS VENTURES 535 EAST 70TH STREET NEW YORK NY 10021 061624300 hlth care service NY HSS FUND INC C 1135 29357 1.00000 true CHARITABLE REMAINDER TRUSTS (8) INVEST/CHARITABLE NY NA T false POOLED INCOME FUND (1) INVEST/CHARITABLE NY NA T false CHARITABLE GIFT ANNUITY (30) INVEST/CHARITABLE NY NA T false CHARITABLE TRUST (3) INVEST/CHARITABLE NA T false true true false false false true false false false false true true false false false true false false true HSS PROPERTIES CORPORATION A 162500 FMV HOSPITAL FOR SPECIAL SURGERY B 1165004 FMV HOSPITAL FOR SPECIAL SURGERY K 600110 FMV HOSPITAL FOR SPECIAL SURGERY L 6413483 FMV HOSPITAL FOR SPECIAL SURGERY P 2330531 FMV MIAC F 1500000 FMV PART IV, LINE (6), COLUMN (C) LEGAL DOMICILE INCLUDES NEW YORK AND MICHIGAN