2014-08-14T10:33:33-05:00 2014-03-31 KPMG LLP 515 Broadway 4th Floor Albany NY 122072974 990 2013-04-01 141402155 Health Research Inc % CHERYL MATTOX HEAL 5184311200 Riverview Center 150 Broadway Suite 560 Menands NY 122042719 MARYBETH HEFNER SECRETARY/TREASURER 5184311200 2014-08-13 true 5184274600 2013 2015-11-30 17:44:51Z BARBARA L RYAN 150 BROADWAY SUITE 560 MENANDS NY 12204 947974176 false X WWW.HEALTHRESEARCH.ORG X 1953 NY See Schedule O 9 8 2600 0 0 0 658452002 693424238 167802 323205 2540671 4170811 5578473 5980200 666738948 703898454 0 0 0 0 181694334 175807385 0 0 0 482434673 523434233 664129007 699241618 2609941 4656836 497384825 532834820 457767501 479674256 39617324 53160564 X ADMINISTER GIFTS AND GRANTS IN KEEPING WITH THE HEALTH RESEARCH, PREVENTION AND TREATMENT PURPOSE OF THE NYS DEPARTMENT OF HEALTH, THE ROSWELL PARK CANCER INSTITUTE CORPORATION AND OTHER HEALTH RELATED PUBLIC AND PRIVATE ENTITIES; ALSO INCLUDING INTELLECTUAL PROPERTY MANAGEMENT AND TECHNOLOGY TRANSFER. false false 465008923 HIV UNINSURED CARE PROGRAMS See Schedule O 112209067 Cancer Research See Schedule O 27842907 Public Health Emergency Preparedness (BT) and Hospital Preparedness See Schedule O 59648915 664709812 true true false false false false false false false true true false false true true true true false false false true false false false false false false false false true false false false false false false false false false false false false false false false false false true 369 0 true 2600 true false false false false false false false false false false X 9 8 false false false false false false false true true false false true true true true true true true true false NY X X CHERYL MATTOX 5184311200 150 BROADWAY SUITE 560 MENANDS NY 12204 NIRAV R SHAH MD MPH PRESIDENT 10.0 X X 63346 0 12606 SUE E KELLY VICE PRESIDENT 5.0 X X 0 0 0 JAMES E DERING ESQ DIRECTOR 0.2 X 0 0 0 VAL S GRAY FORMER DIRECTOR 0.2 X 0 0 0 DALE L MORSE MD MS DIRECTOR 0.2 X 0 0 0 MAGDELENA RAMIREZ DIRECTOR 0.2 X 0 0 0 MICHAEL B SEXTON ESQ DIRECTOR 0.2 X 0 0 0 BRIAN C SPRINGER MHA FORMER DIRECTOR 0.2 X 0 0 0 DONALD L TRUMP MD DIRECTOR 0.2 X 0 0 0 Marybeth Hefner Secretary/Treasurer 1.0 X X 0 0 0 CANDACE JOHNSON DIRECTOR 0.2 X 0 0 0 CHERYL A MATTOX DIRECTOR OF CORP FINANCE 38.0 X 117213 0 43342 BARBARA L RYAN EXECUTIVE DIRECTOR 38.0 X 146576 0 30781 BRUCE D AGINS MD MPH RESEARCH PHYSICIAN 38.0 X 169843 0 56358 KIRSTEN B MOYSICH PHD MEMBER 38.0 X 178838 0 56589 MARK F BRADY PHD GOG DIRECTOR STATS 38.0 X 181452 0 57791 CHARLES J GONZALEZ MD PUBLIC HEALTH PHYS. 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Part IX, Line 1 And Part X, Line 2 Agency funds the Corporation is administering on behalf of the Office of the Attorney General, New York State Department of Law (OAG) pursuant to a Funding Administration Agreement. Part XI, Line 4b And Part XII, Line 4b ROYALTIES PAID TO INVENTORS $2,768,101. Part XII Line 2d POST RETIREMENT OBLIGATIONS OTHER THAN NET PERIODIC POST RETIREMENT BENEFIT COST PER AUDITED FINANCIAL STATEMENTS $6,604,913 Part X Line 2 The Corporation follows the provisions of ASC 740-10, Accounting for Uncertainty in Income Taxes. Management has concluded that there are no material tax liabilities that need to be recorded for the years ended March 31, 2014 and 2013. Central America and the Caribbean 0 0 Program Services HIV QUALITY CARE TRAN 264642 East Asia and the Pacific 0 0 Program Services HIV QUALITY CARE TRNG 330654 South America 0 0 Program Services HIV QUALITY CARE TRNG 150924 Sub-Saharan Africa 0 0 Program Services HIV QUALITY CARE TRNG 1760662 0 0 0 0 2506882 2506882 false false false false false false PART 1 LINE 3F ALL EXPENDITURES ARE REPORTED ON THE ACCRUAL BASIS AND INCLUDE BOTH DIRECT AND INDIRECT EXPENSES. true X false false false false false false false false false CHERYL A MATTOX DIRECTOR OF CORP FINANCE 104595 0 0 0 12618 0 24615 0 21727 0 163555 0 0 0 BRUCE D AGINS MD MPH RESEARCH PHYSICIAN 159209 0 0 0 10634 0 35667 0 20691 0 226201 0 0 0 KIRSTEN B MOYSICH PHD MEMBER 150284 0 11054 0 17500 0 37556 0 19033 0 235427 0 0 0 MARK F BRADY PHD GOG DIRECTOR STATS 161122 0 0 0 20330 0 38105 0 19686 0 239243 0 0 0 CHARLES J GONZALEZ MD PUBLIC HEALTH PHYS. II 153807 0 0 0 0 0 37123 0 19771 0 210701 0 0 0 WILLIAM E ELGIE GOG DIR. INFO TECHNOLOGY 149752 0 0 0 4950 0 32488 0 653 0 187843 0 0 0 BARBARA L RYAN EXECUTIVE DIRECTOR 146576 0 0 0 0 0 30781 0 0 0 177357 0 0 0 Part III - Supplemental Information Part II, Column B(ii) - Bonus & incentive compensation Principal investigators (PI) working with the HRI Roswell Park Division may be eligible for salary recovery distributions annually. The PI's performance is reviewed against specific guidelines and recommendations are made by the committee on the distribution of salary recovery support. Part II, Column B(iii) - Other reportable compensation This amount represents employee elected contributions of their base compensation to an individual deferred compensation plan. 990, Part I, #1 - Significant Activities The following awards highlight a few of the many sponsored projects that Health Research, Inc has received funding for during the reporting period: Implementation Support for State Demonstration to Improve Care for Medicare-Medicaid Enrollees Centers for Medicare & Medicaid Services The goal of this project is to fully develop the Fully-Integrated Duals Advantage (FIDA) program. New York will provide full dual eligible individuals with seamless access to all physical health, behavioral health, long-term support and services, a choice of plan and a choice of providers, with choices being facilitated by an independent, conflict-free enrollment broker. Grants to Support Health Insurance Rate Review and Increase Transparency in Health Care Pricing, Cycle III Centers for Medicare & Medicaid Services The goals of this project are to improve New York State's effective rate review (ERR) program and to enhance transparency by integrating New York State Department of Health pricing data, quality and efficiency metrics with New York State Department of Financial Services premium and rate filing information. Metabolic Mechanisms of Naphthalene Toxicity in Lung National Institute of Environmental Health Sciences The goal of this study is to define the key events that influence the risks of naphthalene-mediated lung toxicity in exposed individuals. Assessing Health Effects and Risk Factors after Hurricane Sandy in New York State Centers for Disease Control and Prevention This study will assess multiple health outcomes and risk factors in the aftermath of Hurricane Sandy in New York State. The findings will help guide the state, county, and community stakeholders to enhance recovery activities in the Sandy affected areas and to improve public health for future emergency response. 990, Part III, #4a The HIV Uninsured Care Programs provide medications and medical care to uninsured and underinsured New York State residents living with HIV/AIDS. The programs are managed by the New York State Department of Health, AIDS Institute. Health Research, Inc. (HRI) serves as the fiscal administrator for the programs. The AIDS Drug Assistance Program (ADAP) began in 1987 as part of a national program to provide free HIV/AIDS drugs to low-income individuals not covered by Medicaid or adequate third-party insurance. New York State expanded the program to include ambulatory care and home care services, as well as insurance continuation. The programs are funded through partnerships between the State and federal governments and between the State and the New York City, Long Island and Lower Hudson Ryan White Part A regions. Both federal and state statute/regulation governs the programs. The federal Ryan White HIV/AIDS Treatment Extension Act of 2009 includes statutory authority for AIDS Drug Assistance Programs throughout the nation, and associated appropriations provide federal funding to support the programs. In addition, State regulation in NYCRR, Title 10, Sub-part 43-2 governs the application and eligibility determination process and establishes the rights and responsibilities of applicants, participants, and providers. New York State's HIV Uninsured Care Programs are the most comprehensive in the nation, offering a full scope of services to persons with HIV/AIDS. More than 113,000 individuals with HIV/AIDS have received services since program inception, and more than 26,500 persons will be served in 2014-15. 990, Part III, #4b CANCER RESEARCH Health Research, Inc. was established in 1953 to aid Roswell Park Cancer Institute (RPCI) in attracting and managing donations and grants to further its Cancer Research. The mission of RPCI is to understand, prevent and cure Cancer. RPCI, founded in 1898, was one of the first Cancer Centers in the country to be named by the National Institute of Health (NIH) as a National Cancer Institute-designated Comprehensive Cancer Center and remains the only facility with this designation in upstate New York. Roswell Park Cancer Institute is a multidisciplinary, translational Comprehensive Cancer Center, with a mission to understand, prevent and cure Cancer. RPCI utilizes CCSG support to build on unique strengths and opportunities, moving laboratory science into advanced treatment, prevention, diagnosis, and education. HRI's Cancer Research Grant Portfolio supports a nationally recognized research enterprise at RPCI. Health Research Incorporated (HRI) provides effective Pre- and Post-Award evaluation, solicitation, and administration of external research support from federal and state agencies, not for-profit foundations and commercial firms in accordance with the requirements of the sponsor. The HRI/Grants Management staff (22 FTES) support more than 524 active grants annually for RPCI, providing timely and detailed Grant revenue and expenditure information for internal and external review, as well as analysis with institute investigators. HRI's superior Grant Administration expertise and its ability to attract highly qualified research staff have contributed to the continued upward trajectory of the institution and it's Cancer Research. HRI-Roswell Park Division currently has 524 active projects totaling $92 million, of which $70 million are peer reviewed awards. HRI-Roswell Park's largest sponsor is the National Institute of Health (NIH) representing 2/3 of total funding. HRI-Roswell Park Division received more than $100 million of revenue. 990, Part III, #4c Public Health and Health Care Emergency Preparedness Health Research, Inc. grant funds support the efforts of the New York State Department of Health (NYSDOH) Office of Health Emergency Preparedness (OHEP). OHEP continues to work with the State Office of Emergency Management (State OEM) and other State Agencies, Local Health Departments (LHD) and private and public sector partners to build a solid emergency preparedness and response foundation to respond to any crisis or emergent situation in the State. Based on an assessment of NYSDOH capabilities and gaps, and in light of continuing diminishing Public Health Emergency Preparedness (PHEP) and Hospital Preparedness Program (HPP) funding, NYSDOH has carefully reviewed its progress in designing an integrated and comprehensive health emergency preparedness structure and has strategically prioritized future efforts. A Five year Strategic Plan was developed that prioritizes the Centers for Disease Control and Prevention (CDC) Public Health Preparedness, and Assistant Secretary for Preparedness and Response (ASPR) Healthcare Preparedness and Joint Capabilities. The Strategic Plan directs funding to capabilities that enable emergency planning and response efforts to be enhanced or sustained, with a focus on those areas that are most critical for the NYSDOH's public health emergency preparedness efforts. 1. NYSDOH OHEP continues to sustain its fully developed Incident Management System (IMS). During 2013-2014, Subject Matter Experts (SME) throughout NYSDOH were trained on roles and responsibilities during an emergency through existing bi-weekly subject matter lead meetings. This includes DOH and HR staff from the offices of: Center for Community Health (CCH), Center for Environmental Health (CEH), Office of Primary Care and Health Systems Management (OPCHSM). Accomplishment from this time period (4/1/13-3/31/14): " OHEP cross trained 45 staff on response roles including planning, logistics and operations. 2. NYSDOH OHEP continues to explore the need for new modes of local Points of Dispensing (POD)/clinic operations and focus on researching alternative dispensing strategies such as closed PODs operated by large businesses or doctors' offices. During 2013-2014, NYSDOH OHEP continues to ensure local jurisdictions improve on their abilities to respond to an event requiring Distribution and Dispensing of Medical Countermeasure (MCM). Accomplishment from this time period (4/1/13-3/31/14): " NYSDOH/HRI staff conducted four (4) two-day regional training sessions in September 2013, on Mass Antibiotic Dispensing. The goal of the sessions was to provide Point of Dispensing (POD) managers, local and state planners and POD staff members with skills and tools necessary to effectively and efficiently dispense medications during a public health emergency. A total of 117 LHD staff participated. " Conducted two (2) online MCM Material Management, Distribution and Dispensing Courses, in October 2013. A total of 93 LHD staff participated. " Conducted monthly MCM Clinical Operations informational sessions with an average monthly participation of 108 participants. Topics included: Legal Issues and MCM, Whole Community Inclusion, Multi-year Training and Exercise Planning and Vaccine Management. 3. NYSDOH/HRI will continue to support the Medical Emergency Response Inventory System (MERITS). MERITS is an electronic inventory management system that supports the Strategic National Stockpile (SNS) and the State's Medical Emergency Response Cache (MERC) warehouse operations. This includes processing orders, receiving, shipping, reporting and maintaining a master inventory of all assets. NYSDOH OHEP continues to sustain medical material management and distribution capacity to respond to a public health threat with medical countermeasures and/or durable medical equipment to provide for a timely and effective response. Accomplishments from this time period 4/1/13-3/31/14: " Replaced 800 ventilator batteries in the MERC. " Conducted annual training on receipt, storage, staging, inventory control, and the distribution of medical countermeasures to NYSDOH staff that are assigned to a role for the State Mobilization Site. " Deployed 12,000 surgical masks to 13 regional and district offices to be compliant with the Department's policy requiring all NYSDOH staff to wear a surgical mask at a regulated facility if they did not receive the seasonal influenza vaccination once influenza is declared prevalent in the State. " Distributed 40 sharps containers, 1,000 needles and 1,500 syringes to three (3) LHDs to support Tetanus, Diphtheria and Pertussis (TDAP) clinics in response to severe flooding in July 2013. 4. NYSDOH/HRI continues to support informatics infrastructure in order to provide systems and applications for emergency preparedness, response and recovery. NYSDOH will sustain and improve systems for information exchange. In-place architecture was leveraged and new components were added that link NYSDOH with its emergency preparedness and response partners and promoted the exchange of data with stakeholders, bi-directionally, while ensuring appropriate privacy protection. Accomplishments from this time period 4/1/13-3/31/14: " Conducted a Sharepoint application training with 50 participants from New York City Department of Health and Mental Hygiene (NYCDOHMH), New York State Office of Mental Health (NYSOMH), Fire Department of New York (FDNY), Greater New York Hospital Association (GNYHA), New York City Office of Emergency Management (NYCOEM), Veterans Affairs (VA), Regional Emergency Medical Services Council of New York City (REMSCO), New York City Health and Hospitals Corporation (NYCHHC). The purpose of the training was to assure the sharing of relevant and timely incident information and data and unified messages to support situational awareness and a Common Operating Picture (COP). " In July 2013, as part of the functional Coastal Fury Healthcare Evacuation Center (HEC) Exercise, the Bureau of Healthcom Network Systems Management (BHNSM) tested the new Sharepoint application to support healthcare facility evacuation operations. Over 70 participants from the following agencies tested the system, NYCDOHMH, NYSOMH, FDNY, GNYHA, NYCOEM, VA, REMSCO, NYCHHC. 5. Through NYSDOH and HRI funds are used to sustain and build the public health laboratory testing capability of the NYSDOH Wadsworth Center (WC), to include testing of clinical, environmental, food and water samples. In 2013-2014, laboratory testing will continue to be a priority area including sustaining laboratory testing, coordination and communication efforts and building additional capabilities. This will include: Laboratory Response Network (LRN)-Bioterrorism (B) goals include rapid testing using LRN protocols and reporting to submitters to provide information for prompt decision making. LRN-B will sustain the ability for contacting the sentinel laboratories in New York State (NYS) through the Health Commerce System (HCS). LRN- Chemical (C) goals include the adoption of technology to process and maintain the positive identification of the large number of specimens that are handled during surge testing, and to use the reference materials that are now supplied by the CDC for method improvement and the full validation of analytical protocols. Accomplishments from this time period 4/1/13-3/31/14: " Conducted routine and rapid confirmatory testing according to specified LRN protocols. " Participated in outreach activities to law enforcement and Hazmat to encourage routine communication with NYSDOH WC. This resulted in ample notification of a critical sample which allowed WC to prepare the laboratory and necessary reagents in advance of sample arrival and allowed WC to test and report sample results in a very short period of time, approximately 3.5 hours. " Conducted a drill to test: (1) timely reporting of laboratory staff after hours; (2) after hours specimen testing using surge staff. " Performed necessary testing for bio-threat agents according to CDC LRN protocols. " Demonstrated quicker reporting time of data to submitters and CDC LRN through use of WC Laboratory Information Management System (LIMS) and elimination of dual reporting through LRNM2 and double data entry. " The Wadsworth LRN-C laboratory received ten urine specimens on August 15 at 7:45 AM. Test findings were reported to CDC via Results Messenger that same day at 5:35 PM. WC placed a call to the CDC Emergency Operation Center (EOC) at the same time to report the number of confirmed positive exposure cases and the range of agent concentration detected. Performance confirmed WC emergency response capability for the timely reporting of case specimen findings. " The Wadsworth LRN-C laboratory accurately identified four (4) patients who were exposed to the warfare agent and performed well within specifications for analytical accuracy and precision for the quantification of sulfur mustard metabolite in 990, Part III, #4d Other Program Services Biomedical Research Center for Health Workforce Studies Division of Administration and Information System Technology Transfer, Internally Sponsored Research and Public Health Programs Office of Public Health Programs and Research Center for Environmental Health and Research Other HIV/AIDS Health and Supportive Services, Including International Office of Health System Management Office of Health Insurance Programs Office of Health Information Technology Agriculture & Markets 990, Part VI, Section B, #11B The Annual Form 990 is initiated by the Corporate Controller and developed in conjunction with the Assistant Controller and the Executive Director. The final draft is reviewed by the three key personnel listed above. A comparative analysis to the prior year's filing is conducted and then the final draft is presented to Health Research, Inc's independent audit firm for validation. Once finalized by the independent audit firm, the Executive Director presents and reviews the Form 990 filing with the Corporation's Secretary/Treasurer and if requested, the Corporation's Vice President. A copy of the 990 is provided to all Directors of the HRI Board prior to filing. 990, Part VI, Section B, #12C Per best practices guidance, the HRI Conflict of Interest Policy is reviewed periodically and, if appropriate, revised by the Corporation's House Counsel and the Executive Director. The last revision to the HRI Conflict of Interest Policy occurred in 2005. At that time, the revised Conflict of Interest Policy was distributed to the HRI Board of Directors along with a request for return of an endorsed certification acknowledging the policy was read and understood. All new HRI Directors and employees are provided with a copy of the policy at their orientation and are provided an opportunity to review the policy and ask questions. Annually, members of the Board of Directors are provided a copy of the current conflict of interest policy and must certify that they have read and understand the policy, as well as disclose conflicts of interest, if any, at that time. Employees are required to certify the policy was received. Any updates to the policy are provided to employees electronically and the policy is available on the HRI website. Compliance with the provisions of the policy are monitored and ensured through the presence of complimentary controls, such as the HRI Outside Employment Policy and Honoraria/Travel Expense Reimbursement Policy. All Directors and employees are covered by the policy. All requests are reviewed by multiple levels of authority including the Executive Director. Restrictions imposed are conditioned and determined by circumstances and range from denial of the request for an employee to recusal for a Director of the Corporation. 990, Part VI, Section B, #15 Salaries of the Executive Director and all key employees are set in the annual budget. This is reviewed and approved by the Board annually. 990, Part VI, Section C, #19 Health Research, Inc.'s governing documents: Conflict of Interest Policy, Ethics Policy, Whistleblower Policy and Financial Statements are available to the public upon request. 990, Part XI, #9 Postretirement obligations other than net periodic postretirement benefit cost $6,604,913 Other changes in net assets $6,604,913