2018-10-17T16:57:06-07:00 2017-12-31 990 2017-01-01 521736502 The National Center on Addiction and Substance Abuse NATI 2128415200 633 Third Avenue 19th Floor New York NY 100176706 Susan Brown Secretary Treasurer 2128415200 2018-10-18 104.129.64.10 2017 2018-06-14 16:35:46Z Susan Brown 633 Third Avenue 19th Floor New York NY 100017815 11107719 0 X WWW.CENTERONADDICTION.ORG X 1991 DC The National Center on Addiction and Substance Abuse is a not-for-profit organization incorporated on April 11, 1991. Our mission is to connect science with policy and practice to better the lives of all people impacted by addiction and substance abuse. Our pioneering work and collaborative partnerships are grounded in a vision of finding lasting solutions that free communities from the devastation of substance use and addiction. 25 23 71 23 93706 84362 4035330 2958290 2229141 2774059 1162608 2142573 -24188 -56176 7402891 7818746 552898 752913 0 0 5691759 5795091 130000 120000 410271 3563836 4033674 9938493 10701678 -2535602 -2882932 62831960 63916034 16314368 15691536 46517592 48224498 The National Center on Addiction and Substance Abuse is a not-for-profit organization incorporated on April 11, 1991. Our mission is to connect science with policy and practice to better the lives of all people impacted by addiction and substance abuse. Our pioneering work and collaborative partnerships are grounded in a vision of finding lasting solutions that free communities from the devastation of substance use and addiction. 0 0 4775714 718413 2733736 Responsible for conducting studies to identify effective prevention and treatment strategies for individuals involving risky substance use and addiction and for evaluating and developing more cost effective systems of care to address addiction as a chronic disease. The Division works with researchers at several academic institutions, including Columbia University and Yale University, personnel at healthcare facilities, such as Northwell Health (formerly Northshore-LIJ Health Systems), as well as with government agencies, such as the New York State Department of Health, in undertaking this work, most of which is funded by HHS and state agencies. 1574791 0 0 Developing new programs to carry out the Center's exempt purpose. 1021603 0 40323 Responsible for assessing the impact of risky substance use and addiction on American systems and populations; examining the links between substance use, addiction and other health and social problems; and translating scientific knowledge about substance use and addiction into policy and practice. The Division undertakes a broad program of policy research and other practice-based activities targeted to improving health care practice, aligning government policies with science and best practice and educating the general public in order to decrease the prevalence of risky substance use and addiction and reduce related morbidity, mortality and the social and economic consequences and costs. 1108961 34500 0 a) Communications and Outreach; b) Special Projects; 1108961 34500 0 8481069 1 1 0 1 0 0 0 0 1 0 1 1 0 0 0 0 1 0 0 0 1 0 0 1 1 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 23 0 1 71 1 1 1 1 VI 0 0 1 1 1 1 0 0 0 0 X 25 23 0 1 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AK AL AR CA CO CT FL GA HI IL KS KY MA MD ME MI MN MS NC ND NH NJ NM NY OH OK OR PA RI SC TN UT VA WA WI WV X X X Chris Clemens 2128415200 633 Third Avenue 19th Floor New York NY 100178155 X Joseph J Plumeri Executive Chairman 1 0 X X 0 0 0 James G Niven Co-Chairman 1 0 X X 0 0 0 Samuel A Ball PhD President and CEO 35 0 X X 700000 0 0 Joseph A Califano Jr Founder and Chairman Emeritus. Senior Advisor to the President and CEO 25 0 X 199483 0 16249 Lee C Bollinger Board of Directors 1 0 X 0 0 0 Ursula M Burns Board of Directors 1 1 X 0 0 0 Columba Bush Board of Directors 1 0 X 0 0 0 Kenneth I Chenault Board of Directors 1 0 X 0 0 0 Victor F Ganzi Board of Directors 1 X 0 0 0 Melinda B Hildebrand Board of Directors 1 0 X 0 0 0 Gene F Jankowski Board of Directors 1 0 X 0 0 0 Jeffrey B Lane Chairman Emeritus 1 0 X 0 0 0 Rev Edward A Malloy CSC Board of Directors 1 0 X 0 0 0 Nelle P Miller Board of Directors 1 0 X 0 0 0 Doug Morris Board of Directors 1 0 X 0 0 0 Caroline Netchvolodoff Board of Directors 1 0 X 0 0 0 Manuel T Pacheco PhD Board of Directors 1 0 X 0 0 0 Herbert Pardes MD Board of Directors 1 0 X 0 0 0 James M Ramstad Board of Directors 1 0 X 0 0 0 E John Rosenwald Jr Board of Directors 1 0 X 0 0 0 Michael I Roth Board of Directors 1 0 X 0 0 0 Peter Salovey PhD Board of Directors 1 0 X 0 0 0 Louis W Sullivan MD Board of Directors 1 0 X 0 0 0 Clyde C Tuggle Board of Directors 1 0 X 0 0 0 Elizabeth Vargas Board of Directors 1 0 X 0 0 0 Susan P Brown Vice President and Secretary-Treasurer 40 0 X 266545 0 44142 Charles J Neighbors Director of Health Services Research 35 0 X 191370 0 23361 Cathleen A Woods-King General Counsel and Director of Grants, Contracts and Legal Affairs 35 0 X 173704 0 18436 Aaron T Hogue Director of Adolescent and Family Research 35 0 X 158953 0 14488 Linda Richter Director of Policy Research & Analysis 35 0 X 152656 0 18161 Carla Lisio Director of Healthcare Reform Consultation 35 0 X 132869 0 22219 1975580 0 157056 10 0 1 1 Yale University Grant and Contract Finacial Administration PO Box 1873 New Haven CT 065081873 Management and Research 687904 The Boston Consulting Group Inc 1 Prospect Street Summit NJ 07901 Management Consultant 250000 Flightpath Inc 36 West 25th Street 8 Floor New York NY 10010 App & Web Development & Maintenance; Website Design, Development & Security; UX/Digital Design & Str 186488 Cambridge Associates LLC PO Box 83232 Chicago IL 606910232 Investment Consultant 147750 WCA Technologies Inc 1430 Broadway Suite 602 New York NY 10018 IT Consultants 147240 7 0 0 1048306 0 1516971 393013 7234 2958290 Patient-Centered Outcomes Research Institute 541700 690714 690714 0 0 Research Foundation for Mental Hygiene, INC 541700 674419 674419 0 0 Substance Abuse and Mental Health Services 541700 552724 552724 0 0 New York State Department of Health 541700 366599 366599 0 0 NYS Office of Alcoholism and Substance Abuse Services 541700 175517 175517 0 0 314086 314086 0 0 2774059 1014722 0 0 1014722 0 0 0 0 0 0 0 0 392869 0 299163 0 93706 0 93706 0 93706 0 3892766 0 2764915 0 1127851 0 1127851 0 0 1127851 71500 1048306 224895 -153395 0 -153395 0 0 0 0 0 0 0 0 0 0 0 0 Publication Sales 511190 3513 0 0 3513 0 0 0 0 3513 7818746 2774059 93706 1992691 752913 752913 0 0 0 0 0 0 472771 396066 59620 17085 0 0 0 0 3891925 3260472 490803 140650 309404 259476 38669 11259 803146 673544 100375 29227 317845 266556 39723 11566 283314 283314 0 0 20441 0 20441 0 68000 56526 8761 2713 0 0 0 0 120000 120000 243256 202527 31008 9721 933266 902281 25062 5923 29250 27324 1926 0 67770 19214 47548 1008 401087 85343 309147 6597 0 0 0 0 443481 368652 57134 17695 68416 64842 3574 0 0 0 0 0 95777 83748 11895 134 276478 229827 35619 11032 0 0 0 0 320504 266424 41292 12788 90108 74904 11609 3595 Recruitment 136049 134559 1490 0 Dues, Subscription and Publications 61405 34517 20923 5965 Unrelated business income taxes 8300 0 8300 0 Fundraising Expenses 3313 0 0 3313 483459 38040 445419 0 10701678 8481069 1810338 410271 44743 338967 339506 1113430 3886216 3512539 314003 411826 16167548 8015734 8543195 8151814 8067232 6335840 41637065 44051618 62831960 63916034 2232857 1642521 62798 30298 14000000 14000000 18713 18717 16314368 15691536 X 41505808 43324419 5011784 4900079 0 0 46517592 48224498 62831960 63916034 -2882932 4589838 0 0 0 0 X 0 1 X 1 1 1 X 2955291 4727369 6088483 6264471 5732349 25767963 0 0 0 0 0 0 0 0 0 0 0 0 2955291 4727369 6088483 6264471 5732349 25767963 509653 25258310 1245144 1052192 952764 975611 1014722 5240433 158672 156964 131956 93222 93706 634520 1535 2426 6123 4209 3513 17806 31660722 315250 0.79778 0.73348 X Schedule A, Part II, Line 10 The amount of $3,513 represent payments for sale of the Center's publications received from individuals and organizations. 0 62708 62708 10677963 10740671 687034 171759 0 0 0 603642 636804 687034 1927480 2891220 0 33150 96729 62708 192587 0 150911 159201 171759 481871 722807 0 0 0 0 0 Schedule C, Part II-A, Line 2f The organization is not required to complete all five (5) columns as the organization's first 501(h) election was made during the tax year ended December 31, 2015. That election was not revoked before the start of the organization's tax year that began in 2017. 0 1 X 0 0 0 0 14353974 6241707 8112267 0 0 0 0 0 334003 320354 13649 0 1479571 1453673 25898 8151814 0 C 0 C 270,230.8090 VANGUARD TOTAL STOCK MKT IDX INST 5204646 F 122,567.2650 ACADIAN EMERGING MARKETS INSTL CL 2744281 F 223,199.4640 BRIDGEWAY BLUECHIP 35 INDEX 3252016 F 21,132.9600 CLEARBRIDGE AGGRESSIVE GROWTH CL I 4739066 F 163,505.5590 DREYFUS INTL STOCK CL I 3055919 F 10,954.0000 VANGUARD ENERGY ETF 1083898 F 67,998.3880 VANGUARD EMERGING MKTS STK IDX ADM 2398983 F 594,831.2490 VANGUARD DEVELOPED MARKETS IDX IST 6608575 F 47,316.2740 VANGUARD PRECIOUS METALS AND MINING 845542 F 4,780.3402 HBK MULTI-STRATEGY OFFSHORE FUND LTD. CLASS A:SUBCLASS A.1:SERIES LEAD 5479124 F 41,986.9892 DKIL (BVI) CLASS C TRANCHE 3 01JAN17 5829583 F FIR TREE INTERNATIONAL VALUE FUND (USTE), LP. 2-CA2-AN-NR 2521724 F FIR TREE INTERNATIONAL VALUE FUND (USTE), LP. 2-CA2-AN-NR-NM 0317 188423 F FIR TREE INTERNATIONAL VALUE FUND (USTE), LP. 2-CA2-AN-NR-NM 0517 22915 F FIR TREE INTERNATIONAL VALUE FUND (USTE), LP. 2-CA2-AN-NR-NM 0916 2748 F FIR TREE INTERNATIONAL VALUE FUND (USTE), LP. 2-CA2-AN-NR-NM 1016A 34886 F FIR TREE INTERNATIONAL VALUE FUND (USTE), LP. 2-CA2-AN-NR-NM 1016B 39289 F 44051618 12949714 4589838 156339 0 524058 5270235 7679479 0 139267 139267 7818746 11382075 156339 0 0 524058 680397 10701678 0 0 0 10701678 Schedule D, Part IV, Line 2b The National Center on Addiction and Substance Abuse leases a portion of its condominium under an operating lease that expires in September 2020. The amount in the Escrow account represents one month rent deposit plus accrued interest. Schedule D, Part XI, Line 2d Form 990, Part VIII, Line 8b (224,895); Form 990, Part VIII, Line 6b (299,163); Total=(524,058). Schedule D, Part XI, Line 4b Hotel venue costs for Annual Dinner 139,267 . Schedule D, Part XII, Line 2d Form 990, Part VIII, Line 8b (224,895); Form 990, Part VIII, Line 6b (299,163); Total=(524,058). Central America and the Caribbean 0 0 Investments 14118000 Central America and the Caribbean 0 0 Investments -69358 0 0 14048642 0 0 1 1 1 0 Schedule F, Part I, Line 3 The Financial Statements have been prepared on the accrual basis of accounting. X X X X X X X 1 Resource and Event Management Ltd 650 First Avenue Suite 7NW New York NY 10016 Research and Event Fundraising. 1 1119806 120000 999806 1119806 120000 999806 AK AL AR CA CO CT FL GA HI IL KS KY MA MD ME MI MN MS NC ND NH NJ NM NY OH OK OR PA RI SC TN UT VA WA WI WV 25th Anniversary Awards Dinner 1119806 1048306 71500 0 0 0 121146 0 103749 0 0 1119806 1048306 71500 0 0 0 121146 0 103749 224895 -153395 Schedule G, Part I, Line 2b (iii) Fundraiser has possession of dinner patron checks although no authority to cash or deposit, direct the use of, or use the funds. Fundraiser delivers the checks to organization. Schedule G, Part I, Line 2b(v) The agreement provides for a fixed amount in fundraising fees. The agreement also provides for an estimated amount of expenses to be reimbursed - $3,000 - and further provides that the organization will not be responsible to the fundraiser for amounts exceeding the estimate unless prior written consent is obtained by the fundraiser for such expenses. A total of $3,313.29 was invoiced separately by the fundraising firm and reimbursed by the organization as expenses for car service, postage, printing and assembly of event materials. The organization did not enter into any arrangements with any fundraisers under which payments were made exclusively for expenses but not for professional fundraising services. 1 Columbia University PO Box 29789 General Post Office New York NY 100879789 135598093 501(c)(3) 136918 0 Amounts paid in relation to a subcontract resulting from a grant to the Center from the National Institute on Drug Abuse. In tandem with the Center, Columbia University participated in data analysis, interpretation of findings, and presentation of results to scientific and policy audiences of health system-level interventions designed to improve the quality of treatment and health of people living with HIV/AIDS. Sam Houston State University PO Box 2392 Huntsville TX 77341 746001430 501(C)(3) 32753 0 As per this subcontract funded by the National Institute on Drug Abuse, a Co-Investigator at Sam Houston State University worked in tandem with researchers at the Center to develop a psychometrically valid ecological family therapies (EFT) quality assurance toolkit from existing manualized sources. Virginia Commonwealth University Box 843039 Richmond VA 232843039 546001758 33421 0 Amounts paid for work completed in relation to a subcontract resulting from a grant to the Center from the National Institute on Drug Abuse. Co- Investigators at Virginia Commonwealth University assisted Center staff in the development of coding manuals, the selection and adaption of coding instrumentation and the interpretation of preliminary data analyses. Ohio University PO Box 960 Athens OH 45701 316402113 19042 0 Amounts paid to Ohio University were with respect to a research contract from the Patient-Centered Outcomes Research Institute awarded to the Center. A Co-Investigator at Ohio University contributed to the scientific development and execution of the research and is jointly responsible for the design, conduct and progress of results and deliverables. Feinstein Institute for Medical Research-GMO PO Box 95000-7530 Philadelphia PA 191957530 112673595 501(c)(3) 247910 0 Amounts paid relate to subcontracts for services of Jon Morgenstern, PhD, for his time and effort on various Center grants as Principal Investigator. Health Research Incorporated 150 Broadway Suite 560 Menands NY 12204 141402155 501(c)(3) 160132 0 Amounts paid were in relation to a subcontract resulting from a grant to the Center from the National Institute on Drug Abuse. In tandem with the Center, Health Research Incorporated conducted a rigorous analysis of health system-level interventions designed to improve the quality of treatment and health of people living with HIV/AIDS. Research Foundation for Mental Hygiene Inc 150 Broadway Suite 301 Menands NY 12204 141410842 501(c)(3) 88237 0 Amounts paid are with respect to two subcontracts with the Research Foundation for Mental Hygiene (RFMH), one derived from a research grant to the Center from the National Institute on Drug Abuse and another from a Center contract with the Island Peer Review Organization (IPRO) which holds a prime contract awarded by the New York State Department of Health. In each case, RFMH assists the Center with aspects of the research projects including data collection, evaluation and development, data management and analysis, and design implementation of research interventions. _ Research Foundation Of the City University of New York 55 West 125th Street New York NY 10027 131988190 501(c)(3) 34500 0 Funded by a grant from the American Legacy Foundation (now the Truth Initiative) to the Center, the Research Foundation of the City University of New York (CUNY) expanded recruitment for their NYU-CUNY tobacco project to include Center research. CUNY's recruitment efforts included contacting potential participants, evaluating their eligibility status and following up to ensure completed participation. 7 1 Schedule I, Part I, Line 2 This organization monitors the use of grant funds by using specific project codes to track income and expenses of each grant, as well as the recipients are required to submit progress and financial reports periodically for our review. X 1 1 X X X X 1 0 0 0 0 0 0 0 1 1 Samuel A Ball PhD President and CEO 0 0 0 0 700000 0 0 0 0 0 700000 0 0 0 Susan P Brown Vice President and Secretary-Treasurer 263955 0 0 0 2590 0 29456 0 15414 0 311415 0 0 Joseph A Califano Jr Founder and Chairman Emeritus. Senior Advisor to the President and CEO 198309 0 0 0 1174 0 0 0 16702 0 216185 0 0 0 Charles J Neighbors Director of Health Services Research 190854 0 0 0 516 0 19397 0 4884 0 215651 0 0 0 Cathleen A Woods-King General Counsel and Director of Grants, Contracts and Legal Affairs 173428 0 0 0 276 0 16911 0 2445 0 193060 0 0 0 Aaron T Hogue Director of Adolescent and Family Research 158677 0 0 0 276 0 14488 0 921 0 174362 0 0 0 Linda Richter Director of Policy Research & Analysis 152476 0 0 0 180 0 14197 0 4884 0 171737 0 0 0 Schedule J, Part I, Line 1a The Senior Advisor to the President and CEO social club dues are paid by the organization because he uses the club solely for business-related breakfasts and lunches. Schedule J, Part I, Line 4 Receive a severance payment: Samuel A. Ball, PhD $700,000. This amount was treated as taxable compensation. Schedule J, Part I, Line 8 In 2014 Samuel A. Ball, PhD, was hired as President and CEO pursuant to a binding written employment contract setting a fixed payment as annual compensation for the provision of his services. Immediately before entering into the contract Dr. Ball was not a disqualified person with respect to the Center. The rebuttable presumption procedures were followed with respect to Dr. Ball's compensation. The employment contract provided that payment could be made in the future through Yale University where Dr. Ball is a professor. In 2015 an agreement was reached with Yale University and payment for Dr. Ball's compensation was made to Yale University pursuant to the original employment contract provisions. Form 990, Part VI, Section A, Line 3 In furtherance of a Memorandum of Understanding executed in late 2014 establishing an affiliation agreement to explore the development of joint initiatives on addictive behaviors and disorders, a Services Agreement was entered into for Yale personnel, research, and administrative costs. Amounts paid are to support Dr. Samuel Ball, PhD, the Center's President & CEO and researchers engaged in work related to behavioral addictions. Dr. Samuel Ball received from Yale pursue to our agreement: Reportable compensation $207,060, Retirement $18,000, Nontaxable benefits $7,006. Form 990, Part VI, Section B, Line 11b Prior to filing, the Form 990 was reviewed by our Secretary-Treasurer, Board Chairman and Audit Committee of the Board. Copies of the Form 990 are provided to all members of the Board prior to filing. Form 990, Part VI, Section B, Line 12c The Vice President for Finance and Administration distributes the Conflict of Interest Policy and acknowledgement statement to new Board members upon joining the Board and to all members annually. The same process is followed for officers and key employees. The VP reviews each signed statement and discusses any issues arising from conflict disclosures with the Chairman and President. The VP also reports to the Audit Committee of the Board at least annually on the process. To date there have not been any issues to bring to the attention of the full Board. Our independent auditors also review these documents. Form 990, Part VI, Section B, Line 15 To determine the survey results of the President and CEO as well as other officers and key employees, The National Center on Addiction and Substance Abuse policy requires the use of comparables gathered from the Form 990s of other tax-exempt organizations and compiled into a survey. The comparables are then submitted to the audit committee of the Board of Directors - which serves as the compensation committee and consists only of independent members of the Board. The audit committee is authorized to approve officer and key employee compensation except with respect to the President and CEO. In this case, the audit committee makes a recommendation to the full Board of Directors which must approve the President and CEO compensation. Deliberations and discussion are documented contemporaneously in meeting minutes. Form 990, Part VI, Section C, Line 19 Copies of the Form 990 and Audited Financial Statements are regularly provided, on request, to prospective or existing funders and any member of the public who requests a copy and are also available on The National Center on Addiction and Substance Abuse website. Governing documents are provided, on request, and are frequently requested with grant proposals. The conflict of interest policy is available upon request. Form 990, Part VII, Section A, Line 1a In furtherance of a Memorandum of Understanding executed in late 2014 establishing an affiliation agreement to explore the development of joint initiatives on addictive behaviors and disorders, a Services Agreement was entered into for Yale personnel, research, and administrative costs. Amounts paid are to support Dr. Samuel Ball, PhD, the Center's President & CEO and researchers engaged in work related to behavioral addictions. Dr. Samuel Ball received from Yale: Reportable compensation $207,060, Retirement $18,000, Nontaxable benefits $7,006. Severance of $700,000 was paid to Dr. Samuel Ball, PhD, the Center's President and CEO. This amount was reported on Form 1099-MISC, Box 7 for Dr. Samuel Ball.