2013-08-14T12:32:10-05:00 2013-03-31 KPMG LLP 515 Broadway 4th Floor Albany NY 122072974 990 2012-04-01 141402155 Health Research Inc % CHERYL MATTOX HEAL 5184311200 Riverview Center 150 Broadway Suite 560 Menands NY 122042719 MARYBETH HEFNER 5184311200 2013-08-13 true 5184274600 2012 2016-02-24 21:20:13Z BARBARA L RYAN 150 BROADWAY SUITE 560 MENANDS NY 12204 739294268 false X WWW.HEALTHRESEARCH.ORG X 1953 NY See Schedule O 10 9 2755 0 0 656750591 658452002 329148 167802 1443808 2540671 5666481 5578473 664190028 666738948 0 0 0 0 182328679 181694334 0 0 0 477573590 482434673 659902269 664129007 4287759 2609941 444518104 497384825 430881552 457767501 13636552 39617324 X ADMINISTER GIFTS AND GRANTS IN KEEPING WITH THE RESEARCH, PREVENTION AND TREATMENT PURPOSE OF THE NYS DEPARTMENT OF HEALTH, THE ROSWELL PARK CANCER INSTITUTE CORPORATION AND OTHER PUBLIC AND PRIVATE ENTITIES ALSO INCLUDING INTELLECTUAL PROPERTY MANAGEMENT AND TECHNOLOGY TRANSFER. false false 425417919 HIV UNINSURED CARE PROGRAMS See Schedule O 111912138 Cancer Research See Schedule O 23227372 Public Health Emergency Preparedness (BT) and Hospital Preparedness See Schedule O 69530493 630087922 true true false false false false false false false true true false false true true false 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 427 0 true 2755 true false false false false false false false false false false X 10 9 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 JAMES E DERING ESQ 0.0 X 0 0 0 VAL S GRAY 0.0 X 0 0 0 DALE L MORSE MD MS 0.0 X 0 0 0 MAGDELENA RAMIREZ 0.0 X 0 0 0 MICHAEL B SEXTON ESQ 0.0 X 0 0 0 BRIAN C SPRINGER MHA 0.0 X 0 0 0 DONALD L TRUMP MD 0.0 X 0 0 0 LAWRENCE S STURMAN MD PHD 0.0 X 43366 0 0 NIRAV R SHAH MD MPH 0.0 X 57011 0 10319 SUE E KELLY 0.0 X 0 0 0 MICHAEL J NAZARKO 38.0 X 83976 0 25087 CHERYL A MATTOX 38.0 X 108512 0 36887 BARBARA L RYAN 38.0 X 69129 12858 Marybeth Hefner 0.0 X 0 0 0 BRUCE D AGINS MD MPH 38.0 X 163770 0 47737 KIRSTEN B MOYSICH PHD 38.0 X 171881 0 50637 MARK F BRADY PHD 38.0 X 169664 0 50845 CHARLES J GONZALEZ MD 38.0 X 148897 0 50416 WILLIAM E ELGIE 38.0 X 144649 0 27525 1160855 0 312311 80 false true false LINE OF SIGHT LLC 138 Church Street SARATOGA SPRINGS NY 12866 CONSULTANT 1058877 OPAD MEDIA SOLUTIONS LLC 275 MADISON AVENUE 2ND FLOOR NEW YORK NY 10016 CONSULTANT 1018659 INSTITUTE FOR FAMILY HEALTH 22 WEST 19TH STREET NEW YORK NY 10003 CONSULTANT 828674 SMART SOURCE TECHNOLOGIES LLC 622 GEORGES ROAD NORTH BRUNSWICK NJ 089023377 CONSULTANT 755462 HP ENTERPRISE SERVICES LLC PO BOX 848433 DALLAS TX 75284 CONSULTANT 559392 23 419165971 239286031 658452002 CONTRACT FEES 541900 167802 167802 167802 2482572 2482572 0 5578473 5578473 0 0 0 72613419 72555320 58099 58099 58099 0 0 0 0 0 666738948 0 8286946 0 0 0 0 423890 28911 394979 0 124721311 108303156 16418155 20242663 17554092 2688571 27303594 23487597 3815997 9002876 7797827 1205049 0 683634 321680 361954 166900 166900 0 0 308277 308277 2112648 1908630 204018 0 16930575 15953860 976715 1189062 653273 535789 2592340 2592340 4105150 15506 4089644 4604524 4550564 53960 0 996387 995147 1240 0 0 699086 699086 631923 631923 PROGRAM COSTS 342728507 342728507 SUBCONTRACTS 83491620 82151914 1339706 TUITION TRAINING & PROF DUES 1391167 1345366 45801 PRINTING & PUBLICATIONS 1101566 553746 547820 18701307 19145806 -444499 664129007 630087922 34041085 0 176880027 234047593 0 0 69543345 66573999 670483 609746 0 0 0 0 0 0 0 0 314996 343579 5491881 3813182 2337436 1678699 138693048 142319188 0 0 0 0 0 0 56078769 51812021 444518104 497384825 176161528 157975224 0 0 198641255 247980256 0 0 0 0 0 0 0 0 0 0 56078769 51812021 430881552 457767501 X 13636552 39617324 0 0 0 0 13636552 39617324 444518104 497384825 X 2609941 1799589 21571242 X false true X true true true X 594470364 610046508 657811974 656750591 658452002 3177531439 0 0 594470364 610046508 657811974 656750591 658452002 3177531439 0 3177531439 8309885 5470009 4880630 4863611 5636507 29160642 0 0 3206692081 0.99091 0.98914 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 622156 3254 5775 8291 611344 671499 3728 36827 16244 622156 666921 4739 140 21 671499 661068 5853 666921 647819 13249 661068 1.00000 false false 0 231450 231450 0 21697 21697 0 0 318858 161913 156945 0 4919876 3629572 1290304 1678699 AGENCY FUND - SEE PART XIV 51812021 51812021 0 AGENCY FUND - SEE PART XIV 51812021 51812021 665946197 1799589 1799589 664146608 2592340 2592340 666738948 639965425 -21571242 -21571242 661536667 2592340 2592340 664129007 Part V, Line 4 QUASI ENDOWMENTS WERE ESTABLISHED TO FURTHER RESEARCH AT HELEN HAYES HOSPITAL, PROVIDE AWARDS TO RISING SCIENTISTS FOR OUTSTANDING CREATIVITY AND QUALITY OF CONTRIBUTION OF BASIC RESEARCH AND FOR LITERATURE AND ARTS OF SCIENCES FOR THE WADSWORTH CENTER LIBRARY. 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 $2,592,340. Part XII Line 2d POST RETIREMENT OBLIGATIONS OTHER THAN NET PERIODIC POST RETIREMENT BENEFIT COST PER AUDITED FINANCIAL STATEMENTS $21,571,242 Central America and the Caribbean 0 0 Program Services HIV QUALITY CARE TRAN 316793 East Asia and the Pacific 0 0 Program Services HIV QUALITY CARE TRNG 113359 South America 0 0 Program Services HIV QUALITY CARE TRNG 82642 Sub-Saharan Africa 0 0 Program Services HIV QUALITY CARE TRNG 1728882 0 0 0 0 2241676 2241676 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. X false false false false false false false false false BRUCE D AGINS MD MPH 153635 0 0 0 10135 0 30461 0 17276 0 211507 0 0 0 KIRSTEN B MOYSICH PHD 138290 0 16591 0 17000 0 31970 0 18667 0 222518 0 0 0 MARK F BRADY PHD 150338 0 0 0 19326 0 31558 0 19287 0 220509 0 0 0 CHARLES J GONZALEZ MD 148897 0 0 0 0 0 32340 0 18076 0 199313 0 0 0 WILLIAM E ELGIE 141399 0 0 0 3250 0 26905 0 620 0 172174 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: New York State Arthritis Program The Centers for Disease Control and Prevention The New York State Department of Health Arthritis Program will lead a comprehensive statewide initiative that applies a systematic evidence-based approach in conducting public health surveillance, convening strategic public and private partners, developing policy and embedding and sustaining arthritis appropriate evidence-based interventions into health care and community system. The goal of this project is to increase healthy behaviors and reduce disparities among New Yorkers with arthritis and other chronic diseases. A Community Mycobacterial Systems Resource National Institutes of Health (National Institute of Allergy and Infectious Diseases) This project will apply genomics and other high throughput technologies to establish a Mycobacterial Systems Resource that will provide a comprehensive, integrated genomic summation of biological processes common to all mycobacteria. This will assist with accelerating research throughout the entire mycobacterial community. Implementation of the Manufactured Foods Regulatory Program Standards The United States Food and Drug Administration The goal of this project is to enable New York State's full implementation to the FDA Manufactured Foods Regulatory Program Standards. The Standards provide State manufactured food programs with a quality management framework and a foundation for a nationally integrated food safety system. Promoting Cessation and Quitline Services Centers for Disease Control and Prevention The goal of this project is to promote tobacco cessation through statewide media that builds on and extends the National Tobacco Education Campaign in New York State. 990, Part III, #4a Federally Funded HIV AIDS Prevention and Care Programs 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/regulations govern 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 110,000 individuals with HIV/AIDS have received services since program inception, and more than 25,500 persons will be served in 2013-14. 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 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, SOLICIATION, 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 550 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 ITS CANCER RESEARCH. HRI-ROSWELL PARK DIVISION CURRENTLY HAS 542 ACTIVE PROJECTS TOTALING $91 MILLION, OF WHICH $70 MILLION ARE PEER REVIEWED AWARDS. HRI-ROSWELL PARK'S LARGEST SPONSOR IS NATIONAL INSTITUTE OF HEALTH (NIH) REPRESENTING 2/3 OF TOTAL FUNDING. HRI-ROSWELL PARK DIVISION RECEIVED MORE THAN $100 MILLION IN REVENUE. THE IMPLEMENTATION OF THE GOVERNMENT SEQUESTRATION MAY HAVE AN OVERALL NEGATIVE AFFECT ON FEDERAL FUNDING IN 2013. 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 has worked 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 PHEP 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 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. NYSDOH developed a Five Year Strategic Plan. 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 continues to sustain its fully developed Incident Management System (lMS). In 2013-2014, NYSDOH will sustain its current operational capacity to respond to an emergency incident. The Office of Health Emergency Preparedness (OHEP) will continue to cross train staff on response roles including planning, logistics and operations. Staff will be trained on situation report writing or situation report reviewing/approving. SMEs throughout NYSDOH will also be trained on roles and responsibilities during an emergency through existing biweekly subject matter lead meetings. 2.The need for new modes of local Points of Dispensing (POD)/clinic operations will be explored and will focus on researching alternative dispensing strategies such as closed PODs operated by large businesses or doctors' offices. In 2013- 2014, NYSDOH OHEP will ensure local jurisdictions improve on their abilities to respond to an event requiring Distribution and Dispensing of MCM. NYSDOH OHEP will: - Review LHDs MCM Distribution and Dispensing Plans and provide feedback to assist local jurisdictions in improving their operational plans. - Assist LHDs in completing three (3) of the five (5) identified drills to test operational capacity to alert and respond to a public health event. - Assist LHDs with updating POD specific element information. - Provide access to Mass Antibiotic Dispensing Train-the-Trainer (MADT) course. - Provide optional monthly training on MCM Distribution and Dispensing topics. 3. NYSDOH continues 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. In 2013-2014, NYSDOH OHEP will 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. 4. NYSDOH 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 will be leveraged and new components added that link NYSDOH with its emergency preparedness and response partners and promote the exchange of data with stakeholders, bi-directionally, while ensuring appropriate privacy protection. 5. Efforts to sustain and build 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 NYS through the Health Commerce System (HeS). 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. 6. The NYSDOH will sustain and enhance its communicable disease surveillance systems that collect information from multiple data streams on a daily basis to ensure a baseline of epidemiologic data for NYS. NYSDOH will sustain the capability to analyze and interpret epidemiologic data that is critical to the practice of public health. In 2013-2014, NYSDOH will enhance the Communicable Disease Electronic Surveillance System (CDESS), Outbreak Management System (OMS), Clinical Data Management System (CDMS), Electronic Clinical Laboratory Reporting System (ECLRS) and Electronic Syndromic Surveillance System (ESSS) to improve their integration, increase user efficiency and timeliness of information transmittal during routine surveillance work and public health emergencies and improve data quality. Program Period Successes: In NYS, Hurricane Sandy was the largest emergency response effort since 9/11. On October 26,2012, the NYSDOH Incident Management Team was activated in preparation for the hurricane landfall predicted on October 29,2012. Although there was no mandatory evacuation order given for healthcare facilities, 9 hospitals, 25 long-term care facilities, and 22 adult care facilities evacuated immediately prior to, during and after the hurricane hit. A total of 7,820 patients and residents (6,001 from New York City (NYC); the remainder from Long Island) were evacuated without any loss of life. The response illustrates the work accomplished across capabilities. Based on a series of 15 Hurricane Sandy hotwashes, improvement recommendations are being implemented; including the establishment of the Administrative Preparedness workgroup to address areas around policy, procedural and administrative matters which will serve not just for hurricane preparedness but for any hazard impacting NYS. 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 Office of Long Term Care 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 in 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 by members of the executive committee of the board 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 $21,571,242 Other changes in net assets $21,571,242