2022-11-15T15:26:39-06:00 2021-12-31 141555429 UHY ADVISORS NY INC 4 TOWER PLACE EXECUTIVE PARK 7TH FLOOR ALBANY NY 12203 990 2021-01-01 146022409 HEALTHCARE EDUCATIONAL AND RESEARCH FUND INC HEAL 5184317600 ONE EMPIRE DRIVE RENSSELAER NY 121449315 MARY KAY HAYES CHIEF FINANCIAL OFFICER 5184317600 2022-11-15 1 MARY KAY HAYES XXX-XX-XXXX XIAOQIANG ZHANG P01577994 5184493166 2022-11-15 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z MARIE B GRAUSE ONE EMPIRE DRIVE RENSSELAER NY 121449315 1180177 0 X N/A X 1960 NY OFFER EDUCATION, RESEARCH, & GRANTS TO SUPPORT THE MISSION OF THE HEALTHCARE ASSOCIATION OF NYS. 11 11 6 11 0 0 1575151 676656 484471 503521 0 0 0 0 2059622 1180177 0 0 0 0 509613 814363 0 0 0 1550065 367916 2059678 1182279 -56 -2102 26283 46830 4112950 4096152 -4086667 -4049322 X THE MISSION OF HEALTHCARE EDUCATIONAL AND RESEARCH FUND (HERF) IS TO OFFER UNIQUE LEARNING, RESEARCH, AND GRANT OPPORTUNITIES THAT SUPPORT HEALTHCARE ASSOCIATION OF NEW YORK STATE'S (HANYS) MISSION TO ADVANCE THE HEALTH OF INDIVIDUALS AND COMMUNITIES IN NEW YORK STATE. 0 0 262537 63021 HERF WAS AWARDED A GRANT TO PROVIDE CRITICAL SERVICES TO NEW YORK HOSPITALS DURING THE COVID-19 CRISIS. THE PROGRAM HELPED PROTECT AND EASE THE BURDEN OF FRONTLINE WORKERS AT NEW YORK HOSPITALS BY FUNDING THE PURCHASE OF PERSONAL PROTECTIVE EQUIPMENT, ADDITIONAL EQUIPMENT AND SUPPLIES, STAFF EDUCATION, TRAINING AND SUPPORT ACTIVITIES, AND EXPENSES RELATED TO TRANSPORTATION, ACCOMMODATIONS AND MEALS FOR NON-PHYSICIAN FRONTLINE HOSPITAL WORKERS. 391726 348177 HERF PLANNED AND MANAGED A WIDE VARIETY OF EDUCATIONAL PROGRAMS, SEMINARS, AND BRIEFINGS FOR THE HOSPITAL AND NURSING HOME MEMBERS OF HANYS. TOPICS COVERED INCLUDED MANAGED CARE, BEHAVIORAL HEALTH, THE INTERPRETATION AND STRATEGIC USE OF HEALTHCARE DATA AND INFORMATION, LEADERSHIP AND SUPERVISION, QUALITY IMPROVEMENT, CONTINUING CARE, EMERGENCY PREPAREDNESS, NEW YORK STATE AND FEDERAL HEALTHCARE POLICY, AND HEALTH INFORMATION TECHNOLOGY. 219549 0 HERF WAS AWARDED A GRANT, FUNDED BY THE NYS HEALTH FOUNDATION, THE SAMUELS FOUNDATION AND THE HEALTH FOUNDATION FOR WESTERN AND CENTRAL NEW YORK. THE PURPOSE OF THE PROJECT IS TO WORK WITH THE HEALTH SYSTEMS TO BECOME AGE-FRIENDLY, IMPROVING CARE FOR PATIENTS, FAMILIES, CAREGIVERS, AND HEALTHCARE PROVIDERS. THE FIRST CONTRACT ENDED OCTOBER 2021, AT WHICH POINT NEW YORK COMMUNITY TRUST JOINED FOR THE SECOND YEAR OF THE CONTRACT, EXPECTED TO END OCTOBER 2023. 287409 92323 EDUCATIONAL PROGRAMS AND OTHER CONSULTING. 287409 92323 1161221 1 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 6 1 0 0 0 0 0 0 0 0 0 0 0 0 X 11 11 0 0 0 0 1 1 1 1 1 0 0 0 1 1 1 1 1 1 1 0 NY X MARY KAY HAYES CFO 5184317786 ONE EMPIRE DRIVE RENSSELAER NY 121449315 MARIE B GRAUSE PRESIDENT 0.30 49.70 X 5556 1105551 155968 COURTNEY BURKE CHIEF OPERATING OFFICER 0.10 49.90 X 1288 446745 57285 MARY KAY HAYES CHIEF FINANCIAL OFFICER 1.80 48.20 X 10998 297817 64262 ALLISON MANNY VICE PRESIDENT 50.00 0.00 X 135783 0 36771 KIMBERLY BOYNTON TRUSTEE 0.20 1.00 X 0 0 0 STEVEN CORWIN MD TRUSTEE 0.20 1.00 X 0 0 0 KENNETH GIBBS TRUSTEE 0.20 1.00 X 0 0 0 STEVEN GOLDSTEIN TRUSTEE 0.20 2.00 X 0 0 0 RICHARD MURPHY TRUSTEE 0.20 1.00 X 0 0 0 THOMAS QUATROCHE PHD TRUSTEE / PAST-CHAIR 0.20 2.00 X 0 0 0 ROBERT SPOLZINO JD TRUSTEE 0.20 1.00 X 0 0 0 BRUCE FLANZ CHAIR 0.20 1.00 X X 0 0 0 MICHAEL SPICER FACHE CHAIR-ELECT 0.20 1.00 X X 0 0 0 JOSE ACEVEDO MD SECRETARY 0.20 1.00 X X 0 0 0 THOMAS CARMAN TREASURER 0.20 1.00 X X 0 0 0 153625 1850113 314286 1 0 1 0 0 676656 676656 EDUCATIONAL EVENTS 541900 348177 348177 HOSPITAL QUALITY IMPRO 541990 92323 92323 ADMINISTRATIVE PROGRAM 541990 63021 63021 503521 1180177 503521 0 0 21298 21298 625380 625380 45399 45399 72330 72330 49956 49860 96 8195 8195 6990 6631 359 83616 82634 982 32999 32999 296 296 549 549 4781 4542 239 MEMBER COVID RESPONSE G 253175 253175 EQUIPMENT RENTAL & MAIN 773 773 -23458 -13347 -10111 1182279 1161221 21058 0 16612 46164 9671 666 270 270 0 0 26283 46830 20176 21178 217599 2612617 3875175 1462357 4112950 4096152 X -4086667 -4049322 -4086667 -4049322 26283 46830 X -2102 39447 X X 0 1 X 1 0 X 7410 0 120252 187804 331874 647340 7410 120252 187804 331874 647340 647340 647340 2645079 1.00000 1.00000 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 270 270 0 0 DUE TO AFFILIATES 1462357 1462357 X PART X, LINE 2: FIN 48 (ASC 740) FINANCIAL STATEMENTS FOOTNOTE REGARDING UNCERTAIN TAX POSITIONS: THE CORPORATIONS FOLLOW GUIDANCE ISSUED BY THE FASB REGARDING ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES. THIS GUIDANCE CLARIFIES THE ACCOUNTING FOR INCOME TAXES BY PRESCRIBING THE MINIMUM RECOGNITION THRESHOLD AN INCOME TAX POSITION IS REQUIRED TO MEET BEFORE BEING RECOGNIZED IN THE FINANCIAL STATEMENTS AND APPLIES TO ALL INCOME TAX POSITIONS. EACH INCOME TAX POSITION IS ASSESSED USING A TWO STEP PROCESS. A DETERMINATION IS FIRST MADE AS TO WHETHER IT IS MORE LIKELY THAN NOT THAT THE INCOME TAX POSITION WILL BE SUSTAINED, BASED UPON TECHNICAL MERITS, UPON EXAMINATION BY THE TAXING AUTHORITIES. IF THE INCOME TAX POSITION IS EXPECTED TO MEET THE MORE LIKELY THAN NOT CRITERIA, THE BENEFIT RECORDED IN THE FINANCIAL STATEMENTS EQUALS THE LARGEST AMOUNT THAT IS GREATER THAN 50% LIKELY TO BE REALIZED UPON ITS ULTIMATE SETTLEMENT. 0 1 0 0 0 0 0 0 0 MARIE B GRAUSE PRESIDENT 3697 735678 1473 293088 386 76785 657 130796 123 24392 6336 1260739 0 0 COURTNEY BURKE CHIEF OPERATING OFFICER 846 337605 337 67081 105 42059 75 30043 68 27099 1431 503887 0 0 MARY KAY HAYES CHIEF FINANCIAL OFFICER 10491 255780 398 39382 109 2655 1572 38316 960 23414 13530 359547 0 0 ALLISON MANNY VICE PRESIDENT 125742 0 8789 0 1252 0 12574 0 24197 0 172554 0 0 0 SCH. J, PARTS I AND II THE ORGANIZATION RELIED ON A RELATED ORGANIZATION (HEALTHCARE ASSOCIATION OF NEW YORK STATE, INC. - "HANYS") TO ESTABLISH COMPENSATION FOR THE GROUP'S TOP MANAGEMENT OFFICIALS USING ONE OR MORE OF THE METHODS DESCRIBED IN LINE 3. SCHEDULE J, PART I, LINE 4B THE AFFILIATE GROUP (HEALTHCARE ASSOCIATION OF NEW YORK STATE AND SUBSIDIARIES) SPONSORS AN AFTER-TAX NON-QUALIFIED SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. CONTRIBUTIONS TO THE PLAN BECOME FULLY VESTED TO THE PARTICIPANTS AFTER TWO YEARS OF SERVICE AND ARE PAID AFTER SEPARATION FROM SERVICE. THE FOLLOWING EXECUTIVES PARTICIPATE IN THE 457(F) RETIREMENT PLAN: MARIE B. GRAUSE, PRESIDENT COURTNEY BURKE, CHIEF OPERATING OFFICER MARY KAY HAYES, CHIEF FINANCIAL OFFICER NONE OF THE PARTICIPANTS RECEIVED ANY PAYMENT FROM THE 457(F) RETIREMENT PLAN DURING THE YEAR. FORM 990, PART VI, SECTION A, LINE 6 DESCRIPTION OF MEMBERSHIP: THE ORGANIZATION HAS ONE CLASS OF MEMBERS, WHICH CONSISTS OF THE BOARD OF TRUSTEES OF THE HEALTHCARE ASSOCIATION OF NEW YORK STATE, INC. (HANYS). MEMBERS HAVE THE RIGHT TO VOTE ON AFFAIRS OF THE ORGANIZATION THAT ARE SUBJECT TO MEMBERSHIP VOTE, WHICH INCLUDE THE CREATION OF ONE OR MORE ADDITIONAL CLASSES OF MEMBERSHIP, ELECTION OF MEMBERS AND CREATION OF VOTING RIGHTS AND RULES FOR SUCH ADDITIONAL CLASSES, TERMINATION, SUSPENSION, OR REINSTATEMENT OF A MEMBER'S MEMBERSHIP, AND ELECTION OF THE BOARD OF DIRECTORS AND REMOVAL OF ANY DIRECTOR. FORM 990, PART VI, SECTION A, LINE 7A MEMBERS POWERS WITH RESPECT TO THE GOVERNING BODY: PLEASE SEE EXPLANATION FOR LINE 6 ABOVE. FORM 990, PART VI, SECTION A, LINE 7B GOVERNANCE DECISIONS RESERVED TO GENERAL MEMBERSHIP: PLEASE SEE EXPLANATION FOR LINE 6 ABOVE. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCEDURE: THE ORGANIZATION'S FORM 990 IS PREPARED BY AN INDEPENDENT CERTIFIED PUBLIC ACCOUNTING FIRM. THE COMPLETED FORM 990 IS REVIEWED IN THREE STAGES PRIOR TO ITS FILING. THE FIRST REVIEW IS CONDUCTED BY THE CORPORATE FINANCE STAFF OF HANYS. THE SECOND REVIEW IS PERFORMED BY THE CHIEF FINANCIAL OFFICER OF HANYS. THE FINAL REVIEW IS PERFORMED BY THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES OF HANYS. THE BOARD OF TRUSTEES OF HANYS FORMALLY DELEGATED RESPONSIBILITY FOR REVIEW OF FORM 990 TO THE AUDIT COMMITTEE. EACH MEMBER OF THE AUDIT COMMITTEE RECEIVES A COPY OF THE COMPLETE FINAL FORM 990 TO REVIEW PRIOR TO ITS FILING. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY PROCEDURES: THE ORGANIZATION HAS WRITTEN CONFLICT OF INTEREST POLICIES COVERING ALL EMPLOYEES AND MEMBERS OF THE BOARD OF TRUSTEES. THE POLICIES REQUIRE EMPLOYEES AND BOARD MEMBERS TO DISCLOSE ACTUAL AND POTENTIAL CONFLICTS AND REFRAIN FROM PARTICIPATING IN MATTERS RELATED TO THE CONFLICT. ON AN ANNUAL BASIS, ALL EMPLOYEES AND BOARD MEMBERS ARE REQUIRED TO COMPLETE A WRITTEN CONFLICT OF INTEREST DISCLOSURE STATEMENT. THE DISCLOSURE STATEMENTS ARE REVIEWED BY EXECUTIVE MANAGEMENT AND THE AUDIT COMMITTEE. THE POLICIES CONTAIN ESCALATION PROCEDURES THAT INVOLVE INDEPENDENT LEGAL COUNSEL, BOARD LEADERSHIP, AND THE AUDIT COMMITTEE FOR REVIEWING POTENTIAL CONFLICTS. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION PROCEDURES: COMPENSATION FOR THE OFFICERS OF THE ORGANIZATION IS ESTABLISHED BY HANYS, A RELATED ORGANIZATION, USING THE FOLLOWING PROCESS: A COMPENSATION COMMITTEE MADE UP OF INDEPENDENT MEMBERS OF THE BOARD OF TRUSTEES OF HANYS OVERSEES AND DETERMINES COMPENSATION FOR THE PRESIDENT (OFFICER), CHIEF FINANCIAL OFFICER (OFFICER) AND CHIEF OPERATING OFFICER (OFFICER). THE COMPENSATION COMMITTEE USES AN INDEPENDENT COMPENSATION CONSULTING FIRM TO ASSIST IT IN DEVELOPING AND MAINTAINING THE COMPENSATION PHILOSOPHY AND TO DETERMINE THE APPROPRIATE BENCHMARKS FOR TOTAL COMPENSATION FOR EACH POSITION. ON AN ANNUAL BASIS, THE COMPENSATION CONSULTANT OBTAINS COMPARATIVE COMPENSATION DATA FOR EACH POSITION BASED ON THE COMPENSATION PHILOSOPHY AND ESTABLISHED BENCHMARKS. THE PRESIDENT CONDUCTS AN ANNUAL PERFORMANCE REVIEW FOR THE CHIEF FINANCIAL OFFICER AND THE CHIEF OPERATING OFFICER AND PROVIDES A RECOMMENDATION FOR COMPENSATION TO THE COMPENSATION COMMITTEE UTILIZING THE COMPARATIVE COMPENSATION DATA PROVIDED BY THE COMPENSATION CONSULTANT. THE COMPENSATION COMMITTEE REVIEWS THE PRESIDENT'S RECOMMENDATIONS AND THE COMPENSATION DATA AND HAS FINAL APPROVAL OVER COMPENSATION. THE COMPENSATION COMMITTEE CONDUCTS AN ANNUAL PERFORMANCE REVIEW FOR THE PRESIDENT AND DETERMINES THE PRESIDENT'S COMPENSATION UTILIZING THE COMPARATIVE COMPENSATION DATA PROVIDED BY THE COMPENSATION CONSULTANT. DECISIONS AFFECTING COMPENSATION AND THE BASIS FOR THOSE DECISIONS ARE DOCUMENTED BY THE COMPENSATION COMMITTEE AT THE CONCLUSION OF ITS MEETING. FORM 990, PART VI, SECTION C, LINE 19 AVAILABILITY TO PUBLIC OF GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS: THE ORGANIZATION DOES NOT MAKE THESE AVAILABLE TO THE PUBLIC EXCEPT TO THE EXTENT INFORMATION FROM THESE DOCUMENTS IS INCLUDED IN FORM 990. FORM 990, PART XI, LINE 9: UNFUNDED POST RETIREMENT LIABILITY 39,447. FORM 990, PART IV, LINE 12 AND PART XII, LINE 2B & 2C THE ORGANIZATION'S FINANCIAL STATEMENTS ARE CONSOLIDATED WITH THE FINANCIAL STATEMENTS OF HANYS. HANYS' CONSOLIDATED FINANCIAL STATEMENTS ARE AUDITED BY AN INDEPENDENT CPA FIRM AND REVIEWED BY THE AUDIT COMMITTEE OF HANYS' BOARD OF TRUSTEES. THE OVERSIGHT PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. HEALTHCARE ASSOCIATION OF NEW YORK STATE INC 1 EMPIRE DRIVE RENSSELAER NY 12144 141405826 TRADE ASSOCIATION NY 501(C)(6) N/A 0 HEALTHCARE ASSOCIATION OF WESTERN AND CENTRAL NEW YORK INC 1 EMPIRE DRIVE RENSSELAER NY 12144 160816128 TRADE ASSOCIATION NY 501(C)(6) HEALTHCARE ASSOCIATION OF NEW YORK STATE 0 HANYS SERVICES INC 1 EMPIRE DRIVE RENSSELAER NY 12144 141655556 CONSULTING AND MARKETING NY N/A C 0 DATAGEN INC 1 EMPIRE DRIVE RENSSELAER NY 12144 202090177 DATA ANALYSIS AND MODELING NY N/A C 0 GROUP INSURANCE AGENCY INC 1 EMPIRE DRIVE RENSSELAER NY 12144 141649861 INSURANCE BROKER-EMPLOYEE BENEFITS NY N/A C 0 INTEGRITY WORKS INC 1 EMPIRE DRIVE RENSSELAER NY 12144 141813461 BACKGROUND SCREENING (INACTIVE) NY N/A C 0 HANYS GROUP PURCHASING SERVICES INC 1 EMPIRE DRIVE RENSSELAER NY 12144 320125712 PURCHASING SERVICES NY N/A C 0 HEALTHCARE COMMUNITY SECURITIES CORP 1 EMPIRE DRIVE RENSSELAER NY 12144 141764768 LIMITED BROKER-DEALER FOR RETIREMENT PLANS NY N/A C 0 SERVICE INITIATIVES INC 1 EMPIRE DRIVE RENSSELAER NY 12144 161212272 PURCHASING SERVICES (INACTIVE) NY N/A C 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 HEALTHCARE ASSOCIATION OF NEW YORK STATE INC P 66269 AMOUNT PAID HEALTHCARE ASSOCIATION OF NEW YORK STATE INC Q 473665 AMOUNT RECEIVED