2018-11-14T12:53:18-06:00 2017-12-31 141555429 UHY ADVISORS NY INC 4 TOWER PLACE EXECUTIVE PARK 7TH FLOOR ALBANY NY 12203 990 2017-01-01 146022409 HEALTHCARE EDUCATIONAL AND RESEARCH FUND INC HEAL 5184317600 ONE EMPIRE DRIVE RENSSELAER NY 121449315 DANIEL J DEL POZZO CHIEF FINANCIAL OFFICER 5184317600 2018-11-12 1 JAMES DANIELS P00603621 5184493166 209.99.101.4 2018-11-12 12:43:39 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 9C90730FC1C45DEE8CC28813E839A960EA8CDAAB 2017 2019-02-21 02:37:17Z MARIE B GRAUSE ONE EMPIRE DRIVE RENSSELAER NY 121449315 528782 0 X N/A X 1960 NY OFFER EDUCATION, RESEARCH, & GRANTS TO SUPPORT THE MISSION OF THE HEALTHCARE ASSOCIATION OF NYS. 8 8 6 8 0 0 163903 7410 415674 521372 0 0 0 0 579577 528782 0 0 0 0 375678 440560 0 0 0 204709 88995 580387 529555 -810 -773 36453 8525 4129341 4087090 -4092888 -4078565 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 361061 294200 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. 119291 155976 IN SEPTEMBER 2016, HERF'S AFFILIATE THE HEALTHCARE ASSOCIATION OF NEW YORK STATE ENTERED INTO A TWO YEAR FEDERAL CONTRACT WITH THE CENTERS FOR MEDICARE AND MEDICAID SERVICES (CMS) UNDER CMS' NATIONAL PARTNERSHIP FOR PATIENTS HEALTH IMPROVEMENT INITIATIVE (PFP). THE CONTRACT COVERED THE CONTINUATION OF WORK PERFORMED UNDER PREVIOUS PFP CONTRACTS AWARDED IN 2011 AND 2015. THE GOAL OF THIS INITIATIVE IS TO DEVELOP AND IMPLEMENT A CAMPAIGN DESIGNED TO DECREASE PATIENT HARM BY 40% AND READMISSIONS BY 20% IN HOSPITALS NATIONWIDE. HANYS HAS SUBCONTRACTED WITH HERF TO PROVIDE EDUCATION AND TRAINING TO ITS MEMBERS TO MEET ITS CONTRACT DELIVERABLES. 8535 62672 HERF, WORKING WITH JOINT COMMISSION RESOURCES, PROVIDED EDUCATION AND TRAINING TO PARTICIPATING HOSPITALS AND HEALTH SYSTEMS IN A CONTINUOUS SERVICE READINESS PROCESS DESIGNED TO IMPROVE QUALITY OF CARE AND BE IN A STATE OF CONTINUOUS READINESS FOR JOINT COMMISSION SURVEYS. 15835 8524 NYS INNOVATION SYMPOSIUM, NURSING HOME AND CARE LEARNING EDUCATIONAL PROGRAMS, AND OTHER CONSULTING. 15835 8524 504722 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 X 8 8 0 0 0 0 1 1 1 1 1 0 0 0 1 1 1 1 1 1 1 0 NY X DANIEL J DEL POZZO VP & CFO 5184317787 ONE EMPIRE DRIVE RENSSELAER NY 121449315 X STEVEN CORWIN MD CHAIRMAN 0.20 1.00 X X 0 0 0 RICHARD MURPHY CHAIR ELECT 0.20 1.00 X X 0 0 0 THOMAS QUATROCHE PHD SECRETARY 0.20 2.00 X X 0 0 0 BRUCE FLANZ TREASURER 0.20 1.00 X X 0 0 0 JOEL SELIGMAN TREASURER 0.02 1.00 X X 0 0 0 STEPHENS MUNDY IMMEDIATE PAST CHAIR 0.20 1.00 X X 0 0 0 LINDA BRADY MD PAST CHAIR (TO JULY 2017) 0.20 1.00 X 0 0 0 JOSEPH MCDONALD PAST CHAIR 0.20 2.00 X 0 0 0 HERBERT PARDES MD PAST CHAIR 0.20 1.00 X 0 0 0 MARIE B GRAUSE PRESIDENT 0.30 49.70 X 4972 989464 169294 DANIEL DEL POZZO CHIEF FINANCIAL OFFICER 1.70 48.30 X 9179 261588 32595 COURTNEY BURKE CHIEF OPERATING OFFICER 0.10 49.90 X 149 98913 7463 ALLISON MANNY VICE PRESIDENT 29.70 20.30 X 66593 45479 33331 80893 1395444 242683 0 0 1 0 0 345 7065 7410 EDUCATIONAL EVENTS 541900 294200 294200 CMS PFP INITIATIVE 541900 155976 155976 ADMINISTRATIVE PROGRAM 541990 71196 71196 521372 528782 521372 0 0 16339 16339 307128 307128 25772 25772 62981 62981 28340 28340 7382 7382 474 474 773 734 39 5820 5358 462 10507 10086 421 34023 34023 11459 11459 14745 14745 87 83 4 3725 3539 186 529555 504722 24833 0 31723 0 4643 8525 1731 1731 87 0 36453 8525 546 1621 39030 45358 4089765 4040111 4129341 4087090 X -4092888 -4078565 -4092888 -4078565 36453 8525 X -773 15096 X X 0 1 X 1 0 X 394882 412721 302398 163903 7410 1281314 394882 412721 302398 163903 7410 1281314 1281314 1281314 2183329 1.00000 1.00000 X 1731 1731 0 0 DUE TO AFFILIATES 4002545 ACCRUED VACATION 8873 POST RETIREMENT LIABILITY 28693 4040111 X PART X, LINE 2: FIN 48 (ASC 740) FINANCIAL STATEMENTS FOOTNOTE REGARDING UNCERTAIN TAX POSITIONS: THE CORPORATIONS FOLLOWS 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 3238 644402 1326 263799 408 81263 753 149783 94 18664 5819 1157911 0 0 DANIEL DEL POZZO CHIEF FINANCIAL OFFICER 8899 233876 250 24750 30 2962 869 23082 313 8331 10361 293001 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. SEE SCHEDULE O FOR ADDITIONAL INFORMATION ON THE PROCEDURES USED TO DETERMINE THE PRESIDENT'S COMPENSATION. SCHEDULE J, PART I, LINE 4B THE FOLLOWING EXECUTIVES OF THE GROUP PARTICIPATE IN NONQUALIFIED RETIREMENT PLANS MAINTAINED BY THE PARENT ORGANIZATION (HANYS) OF WHICH THEY ARE ALSO EXECUTIVES. MARIE B. GRAUSE, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN 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. AFFAIRS OF THE ORGANIZATION SUBJECT TO MEMBERSHIP VOTE INCLUDE THE CREATION OF ONE OR MORE ADDITIONAL CLASSES OF MEMBERSHIP AND ELECTION OF MEMBERS AND CREATION OF VOTING RIGHTS AND RULES FOR SUCH ADDITIONAL CLASSES; THE 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 COMPESATION 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 PHILOSOPY 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 VII, SECTION A THE FOLLOWING MEMBERS OF THE BOARD OF TRUSTEES HELD DIFFERENT TITLES DURING THE YEAR: (1) STEVEN CORWIN, CHAIR-ELECT JANUARY - JUNE, CHAIR JULY - DECEMBER (2) RICHARD MURPHY, SECRETARY JANUARY - JUNE, CHAIR-ELECT JULY - DECEMBER (3) THOMAS QUATROCHE, TRUSTEE JANUARY - JUNE, SECRETARY JULY - DECEMBER (4) BRUCE FLANZ, TRUSTEE JANUARY - JUNE, TREASURER JULY - DECEMBER (5) JOEL SELIGMAN, TREASURER JANUARY - JUNE, TRUSTEE JULY - DECEMBER (6) STEPHENS MUNDY, CHAIR JANUARY - JUNE, IMMEDIATE PAST CHAIR JULY - DECEMBER FORM 990, PART XI, LINE 9: UNFUNDED POST RETIREMENT LIABILITY 15,096. 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 WESTERN NEW YORK HOSPITAL ASSOCIATION 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 Q 308268 AMOUNT RECEIVED HEALTHCARE ASSOCIATION OF NEW YORK STATE INC P 60842 AMOUNT PAID