2012-08-15T10:47:07-05:00 2012-03-31 KPMG LLP 515 Broadway 4th Floor Albany NY 122072974 990 2011-04-01 141402155 Health Research Inc % CHERYL MATTOX HEAL 5184311200 Riverview Center 150 Broadway Menands NY 122042719 MARYBETH HEFNER 2012-08-10 true 5184274600 2011 2016-02-24 21:20:13Z BARBARA L RYAN 150 BROADWAY SUITE 560 MENANDS NY 12204 818350857 false X WWW.HEALTHRESEARCH.ORG X 1953 NY See Schedule O 10 9 2799 0 0 0 657811974 656750591 255882 329148 1552180 1443808 5517016 5666481 665137052 664190028 0 0 0 0 173395904 182328679 0 0 0 484489723 477573590 657885627 659902269 7251425 4287759 399232228 444518104 374943683 430881552 24288545 13636552 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 401778340 HIV UNINSURED CARE PROGRAMS See Schedule O 109261506 Cancer Research See Schedule O 21118639 Public Health Emergency Preparedness (BT) and Hospital Preparedness See Schedule O 93310811 625469296 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 false true 408 0 true 2799 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 X 0 0 0 VAL S GRAY X 0 0 0 DALE L MORSE MD MS X 0 0 0 MAGDELENA RAMIREZ X 0 0 0 MICHAEL B SEXTON ESQ X 0 0 0 BRIAN C SPRINGER MHA X 0 0 0 DONALD L TRUMP MD X 0 0 4014 LAWRENCE S STURMAN MD PHD X 57822 0 0 NIRAV R SHAH MD MPH X 0 0 0 SUE E KELLY 0.0 X 0 0 0 ROBERT W REED 0.0 X 0 0 0 MICHAEL J NAZARKO 38.0 X 132183 0 36334 CHERYL A MATTOX 38.0 X 106087 0 34989 BRUCE D AGINS MD MPH 38.0 X 164028 0 42945 KIRSTEN B MOYSICH PHD 38.0 X 174860 0 44289 MARK F BRADY PHD 38.0 X 165043 0 42738 CHARLES J GONZALEZ MD 38.0 X 149970 0 45969 MARY E REID PHD 38.0 X 134456 0 45717 1084449 0 296995 71 false true false LINE OF SIGHT LLC 153 REGENT STREET SUITE 1040 SARATOGA SPRINGS NY 12866 CONSULTANT 1049252 AB SCIEX LLC 353 HATCH DRIVE FOSTER CITY CA 94404 CONSULTANT 495312 GCOM SOFTWARE INC 24 MADISON AVE EXT ALBANY NY 12203 CONSULTANT 440440 TROY WEB CONSULTING 71 MAPLE AVENUE TROY NY 12180 CONSULTANT 401918 WHITEMAN OSTERMAN HANNA ONE COMMERECE PLACE ALBANY NY 12260 LEGAL 334625 18 429917587 226833004 656750591 CONTRACT FEES 541900 329148 329148 329148 1476211 1476211 0 5666481 5666481 154128426 154160829 -32403 -32403 -32403 0 0 0 0 0 664190028 0 7439437 0 0 0 0 359264 57822 301442 0 128565384 111565942 16999442 18849299 16339392 2509907 25409672 21871381 3538291 9145060 7921182 1223878 0 852073 436683 415390 162000 162000 0 0 302056 302056 2278825 1749602 529223 0 20556096 19556584 999512 1942413 1412252 530161 2608229 2608229 4608914 7009 4601905 5018056 4909070 108986 0 1506296 1496650 9646 0 0 702396 702396 654020 654020 PROGRAM COSTS 311876499 311876499 TUITION TRAINING & PROF DUES 1539561 1497670 41891 SUBCONTRACTS 106883176 105033260 1849916 PRINTING & PUBLICATIONS 1097159 511423 585736 14985821 16618646 -1632825 659902269 625469296 34432973 0 54156224 176880027 0 0 65079135 69543345 1436214 670483 0 0 0 0 0 0 0 0 349299 314996 5476670 3139234 2988750 2337436 217645535 138693048 0 0 0 0 0 0 57577071 56078769 399232228 444518104 153634454 176161528 0 0 163732158 198641255 0 0 0 0 0 0 0 0 0 0 57577071 56078769 374943683 430881552 X 24288545 13636552 0 0 0 0 24288545 13636552 399232228 444518104 X 4287759 -14939752 X false true true X true true X 540506665 594470364 610046508 657811974 656750591 3059586102 540506665 594470364 610046508 657811974 656750591 3059586102 3059586102 10079239 8309885 5470009 4880630 4863611 33603374 3093189476 0.98914 0.98760 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 671499 3728 36827 16244 622156 666921 4739 140 21 671499 661068 5853 666921 647819 13249 661068 1.00000 false false 231450 231450 21697 21697 318858 130027 188831 4904665 2987510 1917155 2337436 AGENCY FUND - SEE PART XIV 56078769 56078769 0 AGENCY FUND - SEE PART XIV 56078769 56078769 664190028 659902269 4287759 4298 -14944050 -14939752 -10651993 661586097 4298 4298 661581799 2608229 2608229 664190028 672238090 14944050 14944050 657294040 2608229 2608229 659902269 Part XI, Line 8 <And> Part XIII, Line 2d POST RETIREMENT OBLIGATIONS OTHER THAN NET PERIODIC POST RETIREMENT BENEFIT COST PER AUDITED FINANCIAL STATEMENTS. $(14,944,050.) Part XII, Line 4b <And> Part XIII, Line 4b ROYALTIES PAID TO INVENTORS. $2,608,229. 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 THE 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. Central America and the Caribbean 0 0 Program Services HIV QUALITY CARE TRNG 174898 East Asia and the Pacific 0 0 Program Services HIV QUALITY CARE TRNG 49920 South America 0 0 Program Services HIV QUALITY CARE TRNG 84133 Sub-Saharan Africa 0 0 Program Services HIV QUALITY CARE TRNG 1588506 0 0 0 0 1897457 1897457 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 true true X false false false false false false false false false MICHAEL J NAZARKO 132183 0 0 0 0 0 20885 0 15449 0 168517 0 0 0 BRUCE D AGINS MD MPH 153931 0 0 0 10097 0 25916 0 17029 0 206973 0 0 0 KIRSTEN B MOYSICH PHD 137626 0 20734 0 16500 0 27628 0 16661 0 219149 0 0 0 MARK F BRADY PHD 146398 0 0 0 18645 0 26077 0 16661 0 207781 0 0 0 CHARLES J GONZALEZ MD 149970 0 0 0 0 0 28340 0 17629 0 195939 0 0 0 MARY E REID PHD 126811 0 7645 0 0 0 25501 0 20216 0 180173 0 0 0 Part III - Supplemental Information Part I, #1a - Health and social club dues The Buffalo Club is a membership only organization that is used by the HRI Roswell Park Division and the Buffalo Business community. The organization functions as a meeting and event location for Buffalo Business, Academic and Civic Leaders. The club allows for private meetings or functions which call for a central location. Dr. Trump is the named member of the Buffalo Club. Roswell Park uses this location for several types of business activities which directly benefit HRI. The primary use by Roswell Park is for high level scientific and clinical recruitment. Recruitment candidates are interviewed in a professional, private and historic setting. Candidates are brought in from around the world. If successfully recruited many candidates would have a joint appointment with one of HRI's partners in the Buffalo Niagara Medical Area. This venue allows for representatives of collaborative organizations to meet in one consistent discrete location with the prospective candidates. The Buffalo Club is in close proximity to the Roswell Park campus and local hotels. On average, the Buffalo Club is used by the Roswell Park Division 50-75 times per year to host these faculty recruitment activities. The Buffalo club is not used for personal uses. 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: Public Health Immunization Infrastructure and Performance Project Centers for Disease Control and Prevention This project has several goals, including enhancing interoperability between electronic health records and immunization information systems, development of a vaccine ordering module, and the implementation of strategic plans for billing for immunization services. $2.5 million over two years. Focused Ion Beam Milling for Cryo-Electron Tomography National Institute of General Medical Sciences This research project will develop Cryo-Focused Ion Beam Milling into a practical, reliable tool for biological Cryo-electron Tomography and to enable the researcher to capture regions of interest in the specimen by correlative light and electron microscopy. $2.8 million over five years. NYS National Environmental Public Health Tracking Program - Network Implementation Centers for Disease Control and Prevention This project will maintain and further develop a statewide Environmental Public Health Tracking Network (EPHTN) which, in turn, will support the nationwide EPHTN. This project will also track State-level Nationally Consistent Data Measures (NCDM) and development of new national and state developed measures. The development, linkage, and analysis of NCDM will assist with understanding the potential association between health and the environment; assist with evaluating the impact of public health interventions; and aid tracking progress towards Health People 2020 objectives. $3.3 million over three years. 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/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 108,000 individuals with HIV/AIDS have received services since program inception, and more than 24,500 persons will be served in 2012-13. 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 IS THE ONLY NEW YORK STATE INSTITUTION OUTSIDE MANHATTAN IN THE TOP 50 CENTERS FOR CANCER CARE AND WAS RECOGNIZED AS "HIGH-PERFORMING" IN THE MEDICAL SPECIALTIES OF GYNECOLOGY, NEPHROLOGY, UROLOGY AND EAR, NOSE & THROAT. ADDITIONALLY, THE INSTITUTE HAS BEEN NAMED ONE OF THE EIGHT BEST HOSPITALS IN THE NATION FOR COMPLEX OR "EXTREMELY DIFFICULT" CANCER CASES BY AARP THE MAGAZINE. HRI'S CANCER RESEARCH GRANT PORTFOLIO SUPPORTS A NATIONALLY RECOGNIZED RESEARCH ENTERPRISE AT RPCI. HRI'S SUPERIOR GRANTS 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. IN 2011, HRI - ROSWELL PARK DIVISION SUBMITTED MORE THAN 400 NEW AND COMPETING APPLICATIONS TOTALLING MORE THAN $80 MILLION WITH A SUCCESS RATE OF 27.5%. HRI - ROSWELL PARK DIVISION RECEIVED ALMOST 200 PEER REVIEWED AWARDS TOTALLING MORE THAN $70 MILLION. IT IS ANTICIPATED THAT HRI WILL CONTINUE TO SUCCESSFULLY INCREASE THE SCIENTIFIC AND CLINICAL RESEARCH IN FUTURE YEARS. 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 Office of Health Emergency Preparedness (OHEP). OHEP provides leadership and has the overall responsibility and authority to manage NYSDOH preparations, planning and response to disasters and other health emergencies. OHEP strategically uses grant funds that supports a matrix-based organization that leverages existing expertise and experience across NYSDOH programs, other state agencies, all 58 Local Health Departments in the state including New York City, state and local emergency managers, acute care hospitals, nursing homes, adult care facilities, the state Office of Emergency Management, and the private sector, to ensure a coordinated, integrated and comprehensive approach to all-hazards planning, response and recovery. OHEP is charged with developing and carrying out plans and procedures to ensure a rapid, comprehensive and effective response when disaster strikes. OHEP objectives are prioritized in alignment with the Federal program authorizing legislation, the Pandemic and All-Hazards Preparedness Act (PAHPA) of 2006. Objectives include: - Developed a comprehensive, flexible and scalable All Hazards Health Emergency Preparedness and Response Plan (HEPRP) that is the cornerstone of the NYSDOH's emergency planning and response. - Enhanced Regional and LHD epidemiology staff that conducts critical field work and developed/enhanced rapid internet epidemiologic reporting systems - Designed and implemented the Integrated Health Alert and Notification System (IHANS) that allows the NYSDOH to send and receive alerts, advisories and informational messages to all preparedness stakeholders through multiple and redundant means of communication. - Established the NYSDOH Wadsworth Center (WC) Public Health Laboratory as a Level 1 national surge asset for laboratory testing. - Established, manages and dispenses the State's Medical Countermeasure (MCM) stockpile and has integrated planning with LHDs to accept, manage, distribute and dispense assets to end points (hospitals, clinics, providers). - Developed a Continuity of Operations Plan (COOP) for the NYSDOH, and ensured that all LHDs have COOPs in place. - Conducted regular training sessions and exercises across the State and implemented recommendations from After Action Report and Improvement Plans (AAR/IP). Over the last several years all LHDs have prepared for and exercised mass vaccination plans. Program Accomplishments include: - Developed and implemented the Medical Emergency Response Inventory Tracking System (MERITS). MERITS is an electronic inventory management system that supports the Strategic National Stockpile Medical Equipment Response Cache (SNS/MERC) warehouse operations including processing orders, receiving, shipping, reporting, and keeping a master inventory of all assets. - Coordinated the NYSDOH's Incident Management System (IMS) for response to Hurricane Irene and Tropical Storm Lee which included evacuating 10,000 patients from healthcare facilities in flood zones, delivering 266,000 surgical masks and 40,000 pairs of surgical gloves, assisting in the provision of 6,000 tetanus shots, monitoring 160 community water systems, providing guidance to the public on mold abatement, food and water safety, and safe clean-up after the storm. - Developed an Outbreak Management Solution (OMS). OMS is used to track and manage communicable disease outbreaks and monitor the effectiveness of intervention strategies. Additionally, OMS is used for collecting information and data required to respond to federal performance measures of epidemiologic investigations and surveillance. - Designed, developed and implemented a Virtual Health Operations Center (VHOC) to collect and manage information necessary for situational awareness and executive decision making during emergencies. 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 Science 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 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, #5 Net Unrealized Gain on Investments $ 4,298 Postretirement obligations other than net periodic postretirement benefit cost ($14,944,050) Other changes in net assets ($14,939,752)