2019-11-14T15:55:32-06:00 2018-12-31 GRANT THORNTON LLP 757 THIRD AVENUE 3RD FLOOR NEW YORK NY 100172013 990 2018-01-01 112013303 Cold Spring Harbor Laboratory % LARI RUSSO CFO COLD 5163678448 PO BOX 100 ONE BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 LARI C RUSSO cfo 5163678446 2019-11-14 true Daniel Romano P00504182 2125990100 65.229.27.130 26377520193185000033 2019-11-14 P 7D14034AF515942D2ABE7F7E27EA16D2649DB046 A87539D75D44546F9E81755E19BD8DC508F41D5E 2018 2020-03-31 21:24:44Z BRUCE STILLMAN PO BOX 100 ONE BUNGTOWN RD COLD SPRING HARBOR NY 11724 307072545 false X WWW.CSHL.EDU X 1924 NY THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. 31 30 1139 51 614871 416696 156616693 149370270 23094740 23100966 19468238 21546018 14930716 18508215 214110387 212525469 6112000 13389920 0 0 79334241 86079598 35500 47000 1795346 69987456 75010657 155469197 174527175 58641190 37998294 812593560 889607306 148937487 221121642 663656073 668485664 X THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. false false 114349503 13389920 515371 RESEARCH: COLD SPRING HARBOR LABORATORY(CSHL), FOUNDED IN 1890, IS A WORLD-RENOWNED, PRIVATE RESEARCH AND EDUCATION INSTITUTION WITH RESEARCH PROGRAMS IN CANCER, NEUROSCIENCE, PLANT BIOLOGY, QUANTITATIVE BIOLOGY, AND BIOINFORMATICS & GENOMICS. THE RESEARCH ENVIRONMENT IS HIGHLY COLLABORATIVE, ALLOWING CSHL SCIENTISTS TO WORK TOGETHER ACROSS DISCIPLINES TO SOLVE BIOLOGY'S MOST CHALLENGING PROBLEMS. THE ULTIMATE GOAL IS TO APPLY THIS RESEARCH ON BASIC BIOLOGICAL MECHANISMS TO IMPROVE THE DIAGNOSIS AND TREATMENT OF CANCER, NEUROLOGICAL DISORDERS AND OTHER DISEASES. SEE SCHEDULE O. 17491181 0 10354645 EDUCATIONAL MEETINGS & COURSES PROGRAM: CSHL'S REPUTATION AS ONE OF THE PREMIER HUBS OF ACTIVITY IN BIOLOGY AND GENETICS IS LINKED TO ITS MEETINGS AND COURSES PROGRAM. WITH ROOTS IN THE LEGENDARY ANNUAL SYMPOSIA IN QUANTITATIVE BIOLOGY SERIES, WHICH BEGAN IN 1933, THE PROGRAM ORGANIZES MORE THAN 60 MEETINGS AND COURSES ANNUALLY, COVERING A WIDE RANGE OF TOPICS IN THE BIOLOGICAL SCIENCES. SEE SCHEDULE O. 9167229 0 9564563 PUBLICATIONS: WITH ORIGINS IN THE 1930S, CSHL PRESS ENHANCES THE LABORATORY'S EDUCATIONAL MISSION BY PUBLISHING ORIGINAL WORK THAT ASSISTS IN THE ADVANCE AND SPREAD OF SCIENTIFIC KNOWLEDGE. SALE OF ITS PUBLICATIONS ENHANCES THE LABORATORY'S INTERNATIONAL REPUTATION FOR EXCELLENCE. THE PRESS PUBLISHES RESEARCH AND REVIEW JOURNALS, BOOKS, MANUALS, PRIMERS AND OTHER INFORMATION SOURCES, IN ELECTRONIC AND PRINT FORM. IN 2018, THE PRESS PUBLISHED 257 BOOKS, INCLUDING 15 NEW TITLES AND 14 NEW EBOOKS. THE PRESS IS ALSO RESPONSIBLE FOR PUBLISHING THE PROCEEDINGS OF THE LABORATORY'S MEETINGS PROGRAM. 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SCHEDULE D, PART V, LINE 4 ENDOWMENT FUNDS THE LABORATORY'S ENDOWMENT CONSISTS OF APPROXIMATELY 150 INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES INCLUDING PRIMARY PROGRAM SERVICES FOR BOTH RESEARCH AND EDUCATION, OPERATIONS AND FACILITIES COST. ITS ENDOWMENT INCLUDES BOTH DONOR-RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS. SCHEDULE D, PART X FIN 48 THE LABORATORY IS EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. ACCORDINGLY, IT IS NOT SUBJECT TO INCOME TAXES EXCEPT TO THE EXTENT THERE IS TAXABLE INCOME FROM ACTIVITIES THAT ARE NOT RELATED TO THE EXEMPT PURPOSES. THE LABORATORY RECOGNIZES THE EFFECTS OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. CSH ASIA WAS ESTABLISHED AS A TAXABLE ORGANIZATION IN CHINA. PROVISIONS FOR BOTH LOCAL AND UNRELATED BUSINESS INCOME TAXES ARE INCLUDED IN ACCOUNTS PAYABLE AND ACCRUED EXPENSES IN 2018 AND 2017 BALANCE SHEETS. true Central America and the Caribbean Investments 121686703 Europe (Including Iceland and Greenland) Investments 34936493 Europe (Including Iceland and Greenland) Grantmaking 1078795 East Asia and the Pacific Grantmaking 251601 East Asia and the Pacific 1 1 Program Services SCIENTIFIC CONFERENCE 2475436 1 1 1 1 160429028 160429028 Europe (Including Iceland and Greenland) RESEARCH 38855 Check Europe (Including Iceland and Greenland) RESEARCH 98345 Check Europe (Including Iceland and Greenland) RESEARCH 146815 Check Europe (Including Iceland and Greenland) RESEARCH 70595 Check Europe (Including Iceland and Greenland) RESEARCH 184849 Check Europe (Including Iceland and Greenland) RESEARCH 121126 Check Europe (Including Iceland and Greenland) RESEARCH 403711 Check Europe (Including Iceland and Greenland) RESEARCH 10498 Check East Asia and the Pacific RESEARCH 251601 Check 9 true false true true true false SCHEDULE F, PART I, LINE 2 SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES A. INTRODUCTION 1. PURPOSE THE PURPOSE OF THIS PROCEDURE IS TO ASSIST PRINCIPAL INVESTIGATORS, RESEARCH ADMINISTRATORS AND OFFICE OF SPONSORED PROGRAMS (OSP) STAFF OF COLD SPRING HARBOR LABORATORY IN MONITORING AND OVERSEEING SUBRECIPIENTS, OR COLLABORATING INSTITUTIONS, AND ENSURING THAT THEIR RESEARCH PROJECTS ARE CONDUCTED IN COMPLIANCE WITH APPLICABLE LAWS AND THE TERMS AND CONDITIONS OF BOTH THE PRIME AWARD AND THE SUBAWARD AGREEMENT. 2. SCOPE APPLIES WHEN COLD SPRING HARBOR LABORATORY (CSHL) IS THE PRIME INSTITUTION, OR THE DIRECT RECIPIENT OF FUNDING FROM A SPONSOR, AND IS ENTERING INTO OR HAS ALREADY ENTERED INTO A SUBAWARD AGREEMENT WITH A SUBRECIPIENT OR COLLABORATING INSTITUTION. B. POLICY 1. GENERAL SUBRECIPIENT MONITORING ENCOMPASSES THE FOLLOWING: - ADVISING SUBRECIPIENTS OF APPLICABLE FEDERAL LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS OF THE PRIME AGREEMENT - THE ROUTINE REVIEW OF EXPENSES-TO-BUDGET. - THE PERIODIC PERFORMANCE OF ON-SITE VISITS, OR REGULAR CONTACT, IF NECESSARY. - THE OPTION TO PERFORM "AUDITS" IF NECESSARY. - REVIEW OF SINGLE AUDIT REPORTS FILED BY SUBRECIPIENTS AND ANY AUDIT FINDINGS. - REVIEW OF CORRECTIVE ACTIONS CITED BY SUBRECIPIENTS IN RESPONSE TO THEIR AUDIT FINDINGS CONSIDERATON OF SANCTIONS ON SUBRECIPIENTS IN CASES OF CONTINUED INABILITY OR UNWILLINGNESS TO HAVE REQUIRED AUDITS OR TO CORRECT NON-COMPLIANT ACTIONS. - CSHL ALSO REQUEST THAT SUBRECIPIENTS ANNUALLY PROVIDE UPDATED EVIDENCE OF COMPLIANCE WITH SPECIAL MANDATED REQUIREMENTS, SUCH AS ASSURANCES RELATED TO LAB ANIMALS, HUMAN SUBJECTS AND BIOHAZARDS, FOR EXAMPLE. 2. RESPONSIBILITIES OSP IS RESPONSIBLE FOR PREPARING AND EXECUTING SUBAWARD AGREEMENTS, REQUESTING AND OBTAINING ASSURANCES, REVIEWING INVOICES, ASCERTAINING COMPLIANCE WITH AGREEMENTS, REGULATIONS AND AUDIT REQUIREMENTS AND TAKING CORRECTIVE ACTIONS, AS NECESSARY. TERMS AND CONDITIONS - REVIEW AND EVALUATE THE SUBRECIPIENT'S PROGRESS THROUGH TECHNICAL PROGRESS REPORTS AND OTHER PERIODIC COMMUNICATIONS, AS APPROPRIATE. ASSESS THE SUBRECIPIENT'S CONTRIBUTION TO OVERALL PROJECT AIMS. - REVIEW, QUESTION AS NECESSARY AND APPROVE THE COST CHARGED BY SUBRECIPIENTS FOR THE WORK PERFORMED UNDER THE SUBAWARD. EXPENSES CHARGED ON INVOICES SHOULD BE CONSISTENT WITH THE ESTABLISHED SCOPE OF WORK. OSP ADMINISTRATOR (POST AWARD SENIOR GRANTS MANAGER AND ACCOUNTING ASSISTANT). - MONITOR WITH THE ASSISTANCE OF PLS, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. - THROUGH THE USE OF STANDARD SUBRECIPIENT AGREEMENTS, ENSURE ALL AGREEMENTS INCLUDE THE CFDA TITLE AND NUMBER, AWARD NAME AND NUMBER, AWARD YEAR FOR FEDERAL AWARDS; ADVISE SUBRECIPIENTS OF REQUIREMENTS IMPOSED ON THEM BY FEDERAL LAWS, REGULATIONS AND THE PROVISIONS OF CONTRACTS OR GRANT AGREEMENTS, AS WELL AS SUPPLEMENTAL REQUIREMENTS; INCLUDE PRIME AWARD AS PART OF AGREEMENT; REQUIRE SUBRECIPIENT TO CERTIFY INVOICES AND REQUIRE SUBRECIPIENT TO REPORT PROMPTLY TO CSHL ANY ADVERSE FINDINGS RELATED TO CSHL SUBAWARDS IDENTIFIED IN THEIR ANNUAL SINGLE AUDITS. - ACTIVELY ENGAGE AND RECEIVE CONSULTATION FROM THE CSHL OFFICE OF TECHNOLOGY TRANSFER REGARDING INTELLECTUAL PROPERTY ISSUES AS NEEDED. - AT THE SIGNING OF THE SUBAWARD AGREEMENT AND ANNUALLY THEREAFTER REQUEST SUBRECIPIENT PROVIDE UPDATED ASSURANCES RELATED TO LAB ANIMALS AND HUMAN STUDIES, AS NECESSARY. - ON AN ONGOING BASIS MONITOR THE INVOICES OF SUBRECIPIENTS. - PERIODICALLY COMPARE CUMULATIVE COSTS TO PREVIOUSLY ESTABLISHED BUDGETS AND ENSURE THAT EXPENSES INVOICED ARE FOR THE APPROPRIATE BUDGET PERIOD. - MAKE SURE THAT INVOICED COSTS ARE NOT IN EXCESS OF BUDGETED AMOUNTS AND ARE NOT DUPLICATES OF PREVIOUSLY INVOICED COSTS. - UPON REVIEW OF INVOICE, FORWARD TO PRINCIPAL INVESTIGATOR FOR FURTHER REVIEW AND ACCEPTANCE. - AT LEAST ANNUALLY, REQUEST EVIDENCE THAT SUBRECIPIENTS EXPENDING $500,000 OR MORE IN AWARDS DURING THEIR FISCAL YEAR HAVE MET SINGLE AUDIT REQUIREMENTS FOR THAT FISCAL YEAR. IDENTIFY ANY MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS THAT RESULT FROM THE SINGLE AUDIT OF NONCOMPLIANCE OR REPORTED FINDINGS TO DETERMINE WHETHER ADJUSTMENTS TO CSHL'S RECORDS ARE NEEDED. - FOR SUBRECIPIENTS THAT HAVE REPORTED MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS FROM THE SINGLE AUDIT, FOLLOW UP TO MAKE SURE THAT SUBRECIPIENT TAKES APPROPRIATE AND TIMELY CORRECTIVE ACTION. - AT CLOSEOUT OF THE SUBAWARD ENSURE THAT THE FINAL INVOICE HAVE BEEN RECEIVED AND REVIEWED. 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Network Place Chicago IL 60673 133523163 25402 BOOK VALUE RESEARCH Cornell University Medical College PO Box 22 Ithaca NY 14851 150532082 501(C)(3) 24201 BOOK VALUE RESEARCH Dana-Farber Cancer Institute 450 Brookline Avenue Boston MA 02115 042263040 501(C)(3) 109094 BOOK VALUE RESEARCH Donald Danforth Plant Science Center 975 N Warson Rd St Louis MO 63132 311584621 501(C)(3) 35547 BOOK VALUE RESEARCH Feinstein Institute for Medical Research 350 Community Drive Manhasset NY 11030 112673595 501(C)(3) 583726 BOOK VALUE RESEARCH Harvard University 16 Divinity Avenue Cambridge MA 02138 042103580 501(C)(3) 2068301 BOOK VALUE RESEARCH JCraig Venter Institute Inc 9704 Medical Ctr Dr Rockville MD 20850 521842938 501(C)(3) 11377 BOOK VALUE RESEARCH Jackson Laboratory 600 Main Street Bar Harbor ME 04609 010211513 501(C)(3) 374656 BOOK VALUE RESEARCH John Hopkins University 1101 E 33rd Street Baltimore MD 21218 520595110 501(C)(3) 467898 BOOK VALUE RESEARCH Lawrence Livermore National Security LLC PO BOX 5516 Livermore CA 94551 205624386 501(C)(3) 197614 BOOK VALUE RESEARCH Mass Inst of Technology PO Box 3972 Boston MA 02241 042103594 501(C)(3) 116975 BOOK VALUE RESEARCH Memorial Sloan-Kettering PO Box 26338 New York NY 10087 912154267 501(C)(3) 345185 BOOK VALUE RESEARCH New York University PO Box 5166 New York NY 10087 135562308 501(C)(3) 154417 BOOK VALUE RESEARCH Northwell Health 972 Brush Hollow Road Westbury NY 11590 451004103 501(C)(3) 12153 BOOK VALUE RESEARCH NYU School of Medicine 545 First Avenue New York NY 10016 135562309 501(C)(3) 50157 BOOK VALUE RESEARCH Oregon State University PO Box 1086 Coorvallis OR 973391086 936022772 501(C)(3) 341923 BOOK VALUE RESEARCH Princeton University A Floor New South Building Princeton NJ 08544 210634501 501(C)(3) 52789 BOOK VALUE RESEARCH The State University of NJ Rutgers 102 Ryders Lane New Brunswick NJ 08901 226001086 501(C)(3) 34848 BOOK VALUE RESEARCH Stanford University PO BOX 44253 San Francisco CA 941444253 941156365 501(C)(3) 158818 BOOK VALUE RESEARCH SUNY at Stony Brook 310 Admin Bldg Stony Brook NY 11794 116077945 501(C)(3) 163961 BOOK VALUE RESEARCH The Broad Institute 415 Main Street Cambridge MA 02142 263428781 501(C)(3) 3222653 BOOK VALUE RESEARCH The Ohio State University 1060 Carmark Road Clumbus OH 43210 316401599 501(C)(3) 187853 BOOK VALUE RESEARCH The Rockefeller University 1230 York Avenue New York NY 10065 131624158 501(C)(3) 231449 BOOK VALUE RESEARCH University of Georgia 200 DW Brooks Drive Athens GA 30602 586001998 501(C)(3) 78116 BOOK VALUE RESEARCH University of North Carolina C/O BOA Lockbox Atlanta GA 30384 566001393 501(C)(3) 168497 BOOK VALUE RESEARCH University California San Francisco EMF BOX 0897 San Francisco CA 94143 946036493 501(C)(3) 219589 BOOK VALUE RESEARCH University of California San Diego 9500 Gilman Drive MC 0009 La Jolla CA 92093 956006144 501(C)(3) 314152 BOOK VALUE RESEARCH University of Delaware 210 South College Ave Newark DE 19716 516000297 501(C)(3) 10407 BOOK VALUE RESEARCH University of Florida PO BOX 113001 Gainesville FL 32611 596002052 501(C)(3) 46240 BOOK VALUE RESEARCH University of Massachusetts-Amherst 100 Venture Way Ste 201 Hadley MA 01035 566001393 501(C)(3) 219337 BOOK VALUE RESEARCH University of Michigan 3003 South State Street Ann Arbor MI 48109 386006309 501(C)(3) 130732 BOOK VALUE RESEARCH University of Missouri 4011 Discovery Drive Columbia MO 65201 436003859 501(C)(3) 28026 BOOK VALUE RESEARCH Pennsylvania State University 227 Beaver Ave 401 State College PA 16801 246000376 501(C)(3) 68265 BOOK VALUE RESEARCH University of Texas at Dallas 800 W Campbell Road Richardson TX 75080 751305566 501(C)(3) 193744 BOOK VALUE RESEARCH University of Southern CA 3551 Trousdale Pkwy Los Angeles CA 90089 951642394 501(C)(3) 747303 BOOK VALUE RESEARCH Weill Cornell Medical College 100 Broadway 8th floor New York NY 10005 133376695 501(C)(3) 158426 BOOK VALUE RESEARCH 40 1 SCHEDULE I, PART I, LINE 2 SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES A. INTRODUCTION 1. PURPOSE THE PURPOSE OF THIS PROCEDURE IS TO ASSIST PRINCIPAL INVESTIGATORS, RESEARCH ADMINISTRATORS AND THE OFFICE OF SPONSORED PROGRAMS (OSP) STAFF OF COLD SPRING HARBOR LABORATORY IN MONITORING AND OVERSEEING SUBRECIPIENTS, OR COLLABORATING INSTITUTIONS, AND ENSURING THAT THEIR RESEARCH PROJECTS ARE CONDUCTED IN COMPLIANCE WITH APPLICABLE LAWS AND THE TERMS AND CONDITIONS OF BOTH THE PRIME AWARD AND THE SUBAWARD AGREEMENT. 2. SCOPE APPLIES WHEN COLD SPRING HARBOR LABORATORY (CSHL) IS THE PRIME INSTITUTION, OR THE DIRECT RECIPIENT OF FUNDING FROM A SPONSOR, AND IS ENTERING INTO OR HAS ALREADY ENTERED INTO A SUBAWARD AGREEMENT WITH A SUBRECIPIENT OR COLLABORATING INSTITUTION. B. POLICY 1. GENERAL SUBRECIPIENT MONITORING ENCOMPASSES THE FOLLOWING: - ADVISING SUBRECIPIENTS OF APPLICABLE FEDERAL LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS OF THE PRIME AGREEMENT - THE ROUTINE RECEIPT AND REVIEW OF TECHNICAL PERFORMANCE REPORTS. - THE ROUTINE REVIEW OF EXPENSES-TO-BUDGET. - THE PERIODIC PERFORMANCE OF ON-SITE VISITS, OR REGULAR CONTACT, IF NECESSARY. - THE OPTION TO PERFORM "AUDITS" IF NECESSARY. - REVIEW OF A-133 AUDIT REPORTS FILED BY SUBRECIPIENTS AND ANY AUDIT FINDINGS. - REVIEW OF CORRECTIVE ACTIONS CITED BY SUBRECIPIENTS IN RESPONSE TO THEIR AUDIT FINDINGS, CONSIDERATON OF SANCTIONS ON SUBRECIPIENTS IN CASES OF CONTINUED INABILITY OR UNWILLINGNESS TO HAVE REQUIRED AUDITS OR TO CORRECT NON-COMPLIANT ACTIONS. - CSHL ALSO REQUEST THAT SUBRECIPIENTS ANNUALLY PROVIDE UPDATED EVIDENCE OF COMPLIANCE WITH SPECIAL MANDATED REQUIREMENTS, SUCH AS ASSURANCES RELATED TO LAB ANIMALS, HUMAN SUBJECTS AND BIOHAZARDS, FOR EXAMPLE. 2. RESPONSIBILITIES OSP IS RESPONSIBLE FOR PREPARING AND EXECUTING SUBAWARD AGREEMENTS, REQUESTING AND OBTAINING ASSURANCES, REVIEWING INVOICES, ASCERTAINING COMPLIANCE WITH AGREEMENTS, REGULATIONS AND AUDIT REQUIREMENTS AND TAKING CORRECTIVE ACTIONS, AS NECESSARY. TERMS AND CONDITIONS - REVIEW AND EVALUATE THE SUBRECIPIENT'S PROGRESS THROUGH TECHNICAL PROGRESS REPORTS AND OTHER PERIODIC COMMUNICATIONS, AS APPROPRIATE. ASSESS THE SUBRECIPIENT'S CONTRIBUTION TO OVERALL PROJECT AIMS. - REVIEW, QUESTION AS NECESSARY AND APPROVE THE COSTS CHARGED BY SUBRECIPIENTS FOR THE WORK PERFORMED UNDER THE SUBAWARD. EXPENSES CHARGED ON INVOICES SHOULD BE CONSISTENT WITH THE ESTABLISHED SCOPE OF WORK. OSP ADMINISTRATOR (POST AWARD SENIOR GRANTS MANAGER AND ACCOUNTING ASSISTANT). - MONITOR WITH THE ASSISTANCE OF PLS, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. - THROUGH THE USE OF STANDARD SUBRECIPIENT AGREEMENTS, ENSURE ALL AGREEMENTS INCLUDE THE CFDA TITLE AND NUMBER, AWARD NAME AND NUMBER, AWARD YEAR FOR FEDERAL AWARDS; ADVISE SUBRECIPIENTS OF REQUIREMENTS IMPOSED ON THEM BY FEDERAL LAWS, REGULATIONS AND THE PROVISIONS OF CONTRACTS OR GRANT AGREEMENTS, AS WELL AS SUPPLEMENTAL REQUIREMENTS; INCLUDE PRIME AWARD AS PART OF AGREEMENT; REQUIRE SUBRECIPIENT TO CERTIFY INVOICES AND REQUIRE SUBRECIPIENT TO REPORT PROMPTLY TO CSHL ANY ADVERSE FINDINGS RELATED TO CSHL SUBAWARDS IDENTIFIED IN THEIR ANNUAL A-133 AUDITS. - ACTIVELY ENGAGE AND RECEIVE CONSULTATION FROM THE CSHL OFFICE OF TECHNOLOGY TRANSFER REGARDING INTELLECTUAL PROPERTY ISSUES AS NEEDED. - AT THE SIGNING OF THE SUBAWARD AGREEMENT AND ANNUALLY THEREAFTER REQUEST SUBRECIPIENT PROVIDE UPDATED ASSURANCES RELATED TO LAB ANIMALS AND HUMAN STUDIES, AS NECESSARY. - ON AN ONGOING BASIS MONITOR THE INVOICES OF SUBRECIPIENTS. - PERIODICALLY COMPARE CUMULATIVE COSTS TO PREVIOUSLY ESTABLISHED BUDGETS AND ENSURE THAT EXPENSES INVOICED ARE FOR THE APPROPRIATE BUDGET PERIOD. - MAKE SURE THAT INVOICED COSTS ARE NOT IN EXCESS OF BUDGETED AMOUNTS AND ARE NOT DUPLICATES OF PREVIOUSLY INVOICED COSTS. - UPON REVIEW OF INVOICE, FORWARD TO PRINCIPAL INVESTIGATOR FOR FURTHER REVIEW AND ACCEPTANCE. - AT LEAST ANNUALLY, REQUEST EVIDENCE THAT SUBRECIPIENTS EXPENDING $500,000 OR MORE IN AWARDS DURING THEIR FISCAL YEAR HAVE MET A-133 AUDIT REQUIREMENTS FOR THAT FISCAL YEAR. IDENTIFY ANY MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS THAT RESULT FROM THE A-133 AUDIT OF NONCOMPLIANCE OR REPORTED FINDINGS TO DETERMINE WHETHER ADJUSTMENTS ARE NEEDED TO CSHL'S RECORDS. - FOR SUBRECIPIENTS THAT HAVE REPORTED MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS FROM THE A-133 AUDIT, FOLLOW UP TO MAKE SURE THAT SUBRECIPIENT TAKES APPROPRIATE AND TIMELY CORRECTIVE ACTION. - AT CLOSEOUT OF THE SUBAWARD ENSURE THAT THE FINAL INVOICE HAVE BEEN RECEIVED AND REVIEWED. X X true true X X X X false true false false false false false true false Bruce Stillman PhD CEO and Trustee 639831 0 0 0 254278 0 141790 0 116534 0 1152433 0 229407 0 W Dillaway Ayres thru 1118 Chief Operating Officer 450295 0 0 0 53730 0 33931 0 37389 0 575345 0 0 0 Lari C Russo Chief Financial Officer 300000 0 0 0 4351 0 33931 0 1425 0 339707 0 1140 0 Arthur Brings VP, Chief Facilities Officer 284250 0 0 0 4600 0 33931 0 41536 0 364317 0 0 0 Walter Goldschmidts VP, Sponsored Programs 297161 0 30000 0 16642 0 33931 0 26596 0 404330 0 0 0 David Spector Director of Research 400969 0 0 0 12607 0 71407 0 25679 0 510662 0 0 0 David Tuveson Scientist 360477 0 0 0 5555 0 33931 0 26767 0 426730 0 0 0 Charles V Prizzi VP Development 339615 0 0 0 392 0 33931 0 26713 0 400651 0 0 0 Dr James D Watson Chancellor Emeritus 375000 0 0 0 903425 0 33931 0 148107 0 1460463 0 403931 0 Michael Wigler Scientist 367095 0 0 0 581986 0 33931 0 25255 0 1008267 0 210633 0 Nicholas Tonks Scientist 325875 0 0 0 14441 0 33931 0 26674 0 400921 0 0 0 SCHEDULE J, PART I, LINE 4B SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN THE LABORATORY PROVIDES SENIOR STAFF MEETING CERTAIN REQUIREMENTS SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLANS. AMOUNTS REPORTED REPRESENT PAYMENTS TO THESE PLANS WHICH ARE NOT VESTED AND REMAIN SUBJECT TO SUBSTANTIAL SERVICE REQUIREMENTS AND RISK OF FORFEITURE UPON EARLY TERMINATION. THE FOLLOWING PAYMENTS WERE MADE IN 2018: BRUCE STILLMAN $107,858 DAVID SPECTOR $37,476 W. DILLAWAY AYRES $51,691 (PAID DIRECTLY TO EMPLOYEE) SCHEDULE J, PART I, LINE 7 A BONUS OF $30,000 WAS PAID TO WALTER GOLDSCHMIDTS, THE EXECUTIVE DIRECTOR OF SPONSORED PROGRAMS FOR OUTSTANDING PERFORMANCE. SCHEDULE J, PART II, COLUMN B (III) OTHER REPORTABLE COMPENSATION OF W. DILLAWAY AYRES, AND DR. BRUCE STILLMAN INCLUDES CLUB DUES AND THE TAXABLE PORTION OF A GROUP TERM LIFE POLICY. THE DUES ARE FOR MEMBERSHIP FEES IN CLUBS REQUIRED BY THE ORGANIZATION FOR FURTHERANCE OF BUSINESS RELATIONSHIPS AND MEETINGS. SCHEDULE J, PART II, COLUMN D ADDITIONAL DISCLOSURE COLD SPRING HARBOR LABORATORY PROVIDES DR. STILLMAN, CEO/PRESIDENT, DR. WATSON, CHANCELLOR EMERITUS, AND ARTHUR BRINGS, VP CHIEF FACILITIES OFFICER, WITH HOMES ON ITS CAMPUS AND REQUIRES THEM TO BE USED AS A CONDITION OF THEIR EMPLOYMENT. BOTH THE PRESIDENT AND VP OF FACILITIES NEED TO BE AVAILABLE TO RESPOND 24/7 TO ANY LABORATORY EMERGENCY. THE PRESIDENT AND CHANCELLOR EMERITUS HOMES ARE AVAILABLE FOR VISITING SCIENTISTS AND SPECIAL EVENTS. THE NON-TAXABLE value OF THE HOMES ALONG WITH OTHER EXPENSES ARE INCLUDED IN COLUMN D. SCHEDULE J, PART II, COLUMN F THE LABORATORY PROVIDES SENIOR STAFF MEETING CERTAIN REQUIREMENTS A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. THE AMOUNTS SHOWN IN COLUMN F REPRESENT CONTRIBUTIONS MADE BY CSHL ON BEHALF OF BRUCE STILLMAN, LARI C. RUSSO, JAMES D. WATSON AND MICHAEL WIGLER. THOSE AMOUNTS, PLUS APPRECIATION, WERE DISTRIBUTED TO THE EMPLOYEES IN 2018 AS REPORTED IN COLUMN (B)(III). THE SERP HAS A TAXABLE MANDATORY LUMP DISTRIBUTION AT AGE 65 FOR ALL PARTICIPANTS. A NASSAU COUNTY IDA 112559657 631657JS3 2006-06-27 55000000 CONSTRUCTION OF RESEARCH BLDG false false false A 0 0 55000000 0 0 0 739727 1003854 0 52709095 547324 0 2009 false false true true A false true true false true false 0.00140 0.00140 false false false false A true true true JP MORGAN 35. false false true PALLAS CAPITAL 1.8 true true false A false SCHEDULE K, PART II, LINE 11 IDA FEE, NYS BOND ISSUANCE CHARGE, AND TITLE INSURANCE $547,324. SCHEDULE K, PART V THE ORGANIZATION HAS NOT ESTABLISHED WRITTEN PROCEDURES TO ENSURE THAT VIOLATIONS OF FEDERAL TAX REQUIREMENTS ARE TIMELY IDENTIFIED AND CORRECTED THROUGH THE VOLUNTARY CLOSING AGREEMENT PROGRAM. IF SELF-REMEDIATION IS NOT AVAILABLE UNDER APPLICABLE REGULATIONS, THE ORGANIZATION DOES COMPLY WITH THE REQUIREMENTS. Charles Prizzi VP of Development mortgage X 400000 378356 false true true 378356 DAVID SPECTOR SEE PART V 201566 JOINT INVESTMENT IN RESIDENCE false JOHN TUKE SEE PART V 352386 JOINT INVESTMENT IN RESIDENCE false SCHEDULE L, PART IV, COLUMN(B) BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS - IN 1996, THE LABORATORY JOINTLY INVESTED IN THE PURCHASE OF A PERSONAL RESIDENCE FOR DAVID SPECTOR (A THEN NON-KEY EMPLOYEE). IN 2007, MR. SPECTOR WAS PROMOTED TO DIRECTOR OF RESEARCH, A KEY POSITION. - IN 2018, THE LABORATORY JOINTLY INVESTED IN THE PURCHASE OF A PERSONAL RESIDENCE FOR JOHN TUKE, CHIEF OPERATING OFFICER, A KEY POSITION. - IN 2018, THE RESIDENCE FOR TERI WILLEY, A HIGHLY COMPENSATED EMPLOYEE WAS SOLD ENDING THE JOINT INVESTMENT IN THE PURCHASE OF THE PROPERTY BY THE LABORATORY. TERI WILLEY NO LONGER WORKS FOR THE LABORATORY. X 23 963886 MEAN VALUE false false false FORM 990, PART III LINE 4A STATEMENT PROGRAM SERVICE ACCOMPLISHMENTS: RESEARCH AT THE LABORATORY IS ENRICHED BY COLLABORATIONS WITH SCIENTISTS AT OTHER UNIVERSITIES, HOSPITALS AND IN THE BIOTECH AND PHARMACEUTICAL SECTORS. THESE PARTNERINGS HAVE INCLUDED NYU, MEMORIAL SLOAN-KETTERING, WEILL CORNELL, YALE AND DANA-FARBER. THE INNOVATIVE SPIRIT, VISION AND TALENT OF THE LABORATORY'S OVER 600 SCIENTISTS CONTINUE TO PLACE CSHL AMONG THE TOP 1% OF LIFE SCIENCE INSTITUTIONS MOST CITED IN PUBLISHED RESEARCH. FOR OVER 25 YEARS THE LABORATORY HAS BEEN A NATIONAL CANCER INSTITUTE-DESIGNATED CANCER CENTER WITH AN NCI "OUTSTANDING" RATING. IT HAS BEEN HOME TO OVER EIGHT NOBEL LAUREATES, INCLUDING DR. JAMES WATSON, CO-DISCOVERER OF THE DNA'S DOUBLE HELIX. THE LABORATORY OFFERS AN ADVANCED DRUG TESTING FACILITY DELIVERING WELL-VALIDATED DRUG CANDIDATES TO BOTH THE BIOTECH AND PHARMACEUTICAL INDUSTRY. IT HAS BEEN AN INCUBATOR FOR MORE THAN 25 BIOTECHNOLOGY START-UP COMPANIES. THE DYNAMIC, COLLABORATIVE ENVIRONMENT AT CSHL ALSO FOSTERS A SUPERB EDUCATIONAL EXPERIENCE FOR AN OUTSTANDING GROUP OF GRADUATE STUDENTS AND POSTDOCTORAL RESEARCHERS. FORM 990, PART III LINE 4C TOGETHER, MEETINGS AND COURSES, BRING SOME 9000 SCIENTISTS TO THE LONG ISLAND CAMPUS EACH YEAR. PARTICIPANTS RANGE FROM THE MOST ACCOMPLISHED SENIOR INVESTIGATORS TO GRADUATE STUDENTS AND POSTDOCS. PROGRAMS ARE PUT TOGETHER ON THE BASIS OF OPENLY SUBMITTED ABSTRACTS AND INCLUDE DISCUSSIONS OF UNPUBLISHED WORK. CSH ASIA, A CSHL-STYLED MEETING PROGRAM, WHICH BEGAN IN 2009, THRIVES IN SUZHOU, CHINA. IN 2018, OVER 3000 PARTICIPANTS ATTENDED THOSE MEETINGS. FORM 990, PART III LINE 4D OTHER PROGRAMS WATSON SCHOOL OF BIOLOGICAL SCIENCES: THE WATSON SCHOOL OF BIOLOGICAL SCIENCES (WSBS) TRAINS THE NEXT GENERATION OF BIOLOGISTS, OFFERING A PH.D. IN BIOLOGY IN AS LITTLE AS 4 YEARS TO A LIMITED NUMBER OF ACCOMPLISHED STUDENTS (APPROXIMATELY 50) DRAWN FROM AROUND THE WORLD. THE CURRICULUM IS DESIGNED TO TRAIN SELF-CONFIDENT, SELF-RELIANT YOUNG SCIENTISTS TO BECOME SCHOLARS AND TO ACQUIRE THE KNOWLEDGE THAT THEIR RESEARCH AND FUTURE CAREERS DEMAND. THE ACCOMPLISMENTS OF WSBS STUDENTS HAVE BEEN SPECTACULAR, WITH MORE THAN 250 PAPERS PUBLISHED IN THE APPROXIMATELY 20 YEARS SINCE THE SCHOOL'S LAUNCH. GRADUATES HAVE MOVED SWIFTLY INTO FACULTY POSITIONS AT LEADING ACADEMIC RESEARCH INSTITUTIONS WORLDWIDE. BANBURY CENTER: BANBURY CENTER, LOCATED ON THE GROUNDS OF THE HISTORIC ROBERTSON HOUSE, PROVIDES OPPORTUNITIES FOR SCIENTISTS AND OTHER LEADERS IN SOCIETY TO DISCUSS TOPICS OF COMMON INTEREST. APPROXIMATELY TWENTY MEETINGS ARE ORGANIZED EACH YEAR, FOR GROUPS OF UP TO 40 PARTICIPANTS. THE CONFERENCES ARE RECOGNIZED INTERNATIONALLY AS BEING AMONG THE BEST DISCUSSION WORKSHOPS FOR TOPICS IN MOLECULAR BIOLOGY, MOLECULAR GENETICS, HUMAN GENETICS, NEUROSCIENCE AND SCIENCE POLICY. DNA LEARNING CENTER: THE DNA LEARNING CENTER (DNALC) HAS A MAJOR IMPACT NOT ONLY IN THE NEW YORK METROPOLITAN AREA, BUT ALSO GLOBALLY IN PIONEERING PUBLIC SCIENCE EDUCATION FOR THE GENOME AGE. WITH TEACHING FACILITIES ON LONG ISLAND AND NEW YORK CITY, IT BRINGS A HANDS-ON APPROACH TO LEARNING ABOUT BIOLOGY AND GENOMES TO CLASSROOMS AND HOMES OF CHILDREN IN PRIMARY SCHOOLS, MIDDLE SCHOOLS AND HIGH SCHOOLS. RENOWNED FOR DEVISING MEANS FOR YOUNG PEOPLE, TEACHERS AND PARENTS TO CONDUCT SOPHISTICATED EXPERIMENTS WITH DNA, THE DNALC ALSO HAS A ROBUST PRESENCE ON THE INTERNET, POWERED BY A TEAM OF MULTIMEDIA INNOVATORS WHO BRING KNOWLEDGE OF THE LIFE SCIENCES TO COMPUTER, TABLET AND CELL PHONE USERS. FORM 990, PART VI, SECTION A, LINE 2 BOARD RELATIONSHIPS MR. LEO GUTHART, A Board member, IS THE FOUNDER AND MANAGER OF TOPSPIN FUND LP, A FUND THAT INVESTS IN BUSINESSES WHICH HAVE THEIR BASIS IN PROVEN SCIENTIFIC RESEARCH. TOPSPIN HAS SUPPORTED AND CONTINUES TO SUPPORT THE FUNDING OF SEVERAL START-UP BIOTECH COMPANIES that license technology from CSHL. CSHL's Chairman, DR. MARILYN SIMONS, IS AN INVESTOR IN topspin. BOARD MEMBERS WILLIAM ROBERTSON and GEOFF ROBERTSON ARE FAMILY MEMBERS. FORM 990, PART VI, SECTION B, LINE 11 990 REVIEW THE CONSOLIDATED FINANCIAL STATEMENTS AND THE 990 OF THE ORGANIZATION ARE PREPARED BY THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY. THE FINANCE OFFICE USES THE BOOKS AND RECORDS OF THE ORGANIZATION TO PREPARE THE FINANCIAL STATEMENTS AND THE 990. THESE RECORDS ARE LARGELY INCLUDED IN THE AUDITED DOCUMENTS BY AN INDEPENDENT AUDITOR. UPON COMPLETION OF THE AUDITED FINANCIAL STATEMENTS, THE REMAINING DOCUMENTATION NEEDED TO PREPARE THE 990 IS FINALIZED. THE CFO THEN PROCEEDS WITH A DETAILED REVIEW OF THE 990, WITH ADDITIONAL DOCUMENTATION AND SCHEDULES. THESE DOCUMENTS ARE FORWARDED TO GRANT THORNTON, LLP WHO REVIEWS THE DRAFT RETURN AND SUPPORTING INFORMATION AND PREPARES THE RETURN FOR ELECTRONIC FILING TO THE IRS. COPIES OF THE RETURN ARE REVIEWED BY THE AUDIT COMMITTEE AND PROVIDED TO MEMBERS OF THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY THE ORGANIZATION REQUIRES ALL SENIOR STAFF TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE ORGANIZATION ALSO REQUIRES ALL MEMBERS OF THE BOARD OF TRUSTEES TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE BOARD OF TRUSTEES IS MADE UP OF A LARGE GROUP OF LEADERS WITHIN THE SCIENTIFIC AND FINANCIAL COMMUNITIES. ANY MEMBER WITH A PERCEIVED OR ACTUAL CONFLICT WITH RESPECT TO A CONTEMPLATED TRANSACTION SHALL RECUSE THEMSELVES FROM ANY DELIBERATION OR DETERMINATION OF THE TRANSACTION CONSIDERED. REPORTING IS MANAGED BY THE OFFICE OF THE CHIEF OPERATING OFFICER and the office of the general counsel FOR MEMBERS OF THE BOARD OF TRUSTEES AND THE conflict of interest and compliance coordinator AND the office of the general COUNSEL FOR SENIOR STAFF. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION THE COMPENSATION OF ALL STAFF MEMBERS EARNING WAGES IN EXCESS OF $250,000, INCLUDING THE PRESIDENT AND CHIEF OPERATING OFFICER, IS DETERMINED BY AN EXECUTIVE COMMITEE OF THE BOARD OF TRUSTEES. THE VP HUMAN RESOURCES REPORTS DIRECTLY TO THE COMMITTEE WHICH IS MADE UP OF INDEPENDENT MEMBERS OF THE BOARD OF TRUSTEES. REPORTING INCLUDES COMPARABILITY DATA AND OTHER INFORMATION GATHERED AT THE REQUEST OF THE COMMITTEE. CONTEMPORANEOUS SUBSTANTIATION OF THE DELIBERATION AND DISCUSSION IS MAINTAINED BY THE VP OF HUMAN RESOURCES. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS THE ORGANIZATION MAINTAINS ALL DOCUMENTS INCLUDING GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICIES, ANNUAL REPORTS, FINANCIAL STATEMENTS AND TAX RETURNS FOR PUBLIC INSPECTION AT THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY, LOCATED AT 1 BUNGTOWN ROAD, COLD SPRING HARBOR, NEW YORK 11724. IN ADDITION MANY OF THESE DOCUMENTS ARE AVAILABLE ONLINE AT WWW.CSHL.EDU. 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