2015-08-13T13:45:37-05:00 2014-12-31 KPMG LLP 345 Park Avenue New York NY 101540102 990 2014-01-01 800631734 NEW YORK GENOME CENTER INC % CHRISTOPHER DUIGNAN NEWY 6469777000 101 AVENUE OF THE AMERICAS 7th FLOOR Suite NEW YORK NY 10013 Chris Duignan CONTROLLER & TREASURER 6469777000 2015-08-13 true Devin L Duncan P01249521 2127589700 2014 2016-02-25 16:41:14Z Robert B Darnell MD PhD 101 AVENUE OF THE AMERICAS NEW YORK NY 10013 60274655 false X www.nygenome.org X 2010 DE ESTABLISH A STATE-OF-THE-ART, WORLD CLASS GENOME SEQUENCING, BIOINFORMATICS, AND RESEARCH CENTER IN NEW YORK CITY. FOR MORE INFORMATION SEE SCHEDULE O. 26 23 141 25 41646 -47794 14419687 52034400 4176842 7379559 38569 18460 210216 504146 18845314 59936565 0 0 0 0 8618267 16526784 162500 557494 1329066 27157126 40651482 35937893 57735760 -17092579 2200805 103919877 114312997 103727747 112478799 192130 1834198 X NEW YORK GENOME CENTER, INC. IS ORGANIZED AND SHALL BE OPERATED AS AN INDEPENDENT, NON-PROFIT CORPORATION BY LEADING ACADEMIC, MEDICAL, AND RESEARCH INSTITUTIONS. FOR MORE INFORMATION SEE SCHEDULE O. false false 28970162 7379559 THE NEW YORK GENOME CENTER, INC. STARTED ITS RESEARCH SEQUENCING SERVICES IN 2012 WITH FIVE SEQUENCING MACHINES IN A TEMPORARY PILOT LAB SPACE. IN 2013, THE CENTER OPENED ITS HEADQUARTERS AT 101 AVENUE OF THE AMERICAS IN NEW YORK CITY. FOR MORE INFORMATION, SEE SCHEDULE O. 623899 NYGC IS IN THE PROCESS OF ESTABLISHING A CLIA (CLINICAL LABORATORY IMPROVEMENT AMENDMENTS) LAB WHICH WILL OFFER NEXT GENERATION SEQUENCING (NGS) BASED TESTING THAT MAY BE USED TO VALIDATE CLINICALLY SIGNIFICANT RESEARCH FINDINGS FOR RARE DISEASES, CANCER, AND OTHER CLINICALLY RELEVANT DIAGNOSTIC SERVICES OR AS MAY BE PRESCRIBED BY PHYSICIANS ON BEHALF OF THEIR PATIENTS. 2216450 New York Genome Center conducts innovative research and methods development and improvement. Several key areas of disease focus include cancer, autoimmune disease and neurological disorders. In support of the latter, NYGC's Center for Genomics of Neurodegenerative Disease (CGND) is dedicated to studying neurodegenerative diseases such as ALS and Alzheimer's. The CGND's partners include our IFMs, the Perelman School of Medicine at the University of Pennsylvania, the Northeast ALS Consortium, Mass General Hospital/Harvard Medical School and UMass Medical School. FOR MORE INFORMATION, SEE SCHEDULE O. 31810511 true true false true false false false false false false true false false true true true true false false false false false false true false false false false false true false false false false false false false true true false false false false false false false false true 54 0 true 141 true true true false false false false false false false false false X 26 23 false false true false true true true true true false false true true true true false true true true false CT NJ NY X CHRISTOPHER DUIGNAN 6469777000 101 AVENUE OF THE AMERICAS 7TH FLO NEW YORK NY 10013 DAFNA BAR-SAGI PHD DIRECTOR 2.0 0.0 X 0 0 0 RUSSELL L CARSON MBA DIRECTOR & CO-CHAIR 2.0 0.0 X X 0 0 0 DENNIS S CHARNEY MD DIRECTOR 2.0 0.0 X 0 0 0 ROBERT B DARNELL MD PHD President/SCIENCE DIRECTOR 10.0 0.0 X X 304093 0 0 NICHOLAS DONOFRIO DIRECTOR 2.0 0.0 X 0 0 0 JOHN EHRENKRANZ DIRECTOR 2.0 0.0 X 0 0 0 ANTHONY E EVNIN PHD DIRECTOR 2.0 0.0 X 0 0 0 WILLIAM FORD DIRECTOR 2.0 0.0 X 0 0 0 LAURIE H GLIMCHER MD DIRECTOR 2.0 0.0 X 0 0 0 LEE GOLDMAN MD MPH DIRECTOR 2.0 0.0 X 0 0 0 JOHN HAVENS DIRECTOR / COMMITTEE CHAIR 2.0 0.0 X 0 0 0 CHARLES KAYE DIRECTOR 2.0 0.0 X 0 0 0 EDISON T LIU MD DIRECTOR 2.0 0.0 X 0 0 0 TOM MANIATIS PHD DIRECTOR 2.0 0.0 X 0 0 0 HERBERT PARDES MD DIRECTOR 2.0 0.0 X 0 0 0 FRANK RICHARDSON DIRECTOR 2.0 0.0 X 0 0 0 ARTHUR SAMBERG DIRECTOR 2.0 0.0 X 0 0 0 IVAN G SEIDENBERG MBA DIRECTOR & CO-CHAIR 2.0 0.0 X X 0 0 0 JAMES SIMONS PHD DIRECTOR 2.0 0.0 X 0 0 0 STEVEN SINGER ESQ DIRECTOR 2.0 0.0 X 0 0 0 ALLEN SPIEGEL MD DIRECTOR 2.0 0.0 X 0 0 0 SAMUEL L STANLEY Jr MD DIRECTOR 2.0 0.0 X 0 0 0 BRUCE STILLMAN PhD DIRECTOR 2.0 0.0 X 0 0 0 MARC TESSIER-LAVIGNE PHD DIRECTOR 2.0 0.0 X 0 0 0 CRAIG B THOMPSON MD DIRECTOR 2.0 0.0 X 0 0 0 KEVIN J TRACEY MD DIRECTOR 2.0 0.0 X 0 0 0 CHRIS DUIGNAN CONTROLLER & TREASURER 40.0 0.0 X 251361 0 28543 PAULA D LECA General Counsel & SECRETARY 40.0 0.0 X 331077 0 13159 SAMUEL SERVELLO DEPUTY GENERAL COUNSEL & SEC 40.0 0.0 X 135385 0 7666 PATRICIA GRACE ARLIN BRADLEY CHIEF HUMAN RESOURCES OFFICER 40.0 0.0 X 327948 0 9674 ANDREA ARMSTRONG CHIEF HR OFFICER & VP, ADMIN. 40.0 0.0 X 329469 0 14174 CAROL ASHE CHIEF BUSINESS OFFICER 40.0 0.0 X 382645 0 3781 SARAH AVINS VP,EXT AFR & CHIEF DEV OFFICER 40.0 0.0 X 534074 0 21003 JENNIFER BALDWIN CHIEF OPERATING OFFICER 40.0 0.0 X 450918 0 17260 TOBY BLOOM DEPUTY SCIENTIFIC DIRECTOR 40.0 0.0 X 313155 0 36446 WILLIAM R FAIR VP STRATEGIC OPERATIONS 40.0 0.0 X 212101 0 20034 SOREN GERMER SCI DIR, SEQUENCING OPS 40.0 0.0 X 179067 0 27021 DAYANA M OSCHWALD SNR DIR, INFO PGM MGMT 40.0 0.0 X 188400 0 27499 MATTHEW J PELO VP FIN STRATEGY & OPS 40.0 0.0 X 222142 0 22854 HAROLD SWERDLOW VICE PRESIDENT OF SEQUENCING 40.0 0.0 X 269292 0 12722 CHRISTOPHER BLACK ASSO. 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The activities include, and are not limited, to New York State and New York City Governments. 53262554 3812221 49450333 34949672 12108130 22841542 1312503 84284 1228219 73520094 SECURITY DEPOSITS 11052187 11052187 0 ACCRUED INTEREST PAYABLE 349095 DEFERRED RENT 25535333 25884428 X 59797234 81316 -558737 -477421 60274655 -338090 -338090 59936565 58155166 81316 338090 419406 57735760 57735760 INCOME TAXES PART X, LINE 2 THE CENTER IS SUBJECT TO THE PROVISIONS OF FASB ASC 740-10-05, INCOME TAXES- OVERALL, RELATING TO ACCOUNTING AND REPORTING FOR UNCERTAINTY IN INCOME TAXES. THE CENTER RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT OF BEING SUSTAINED AND HAS DETERMINED IT DID NOT HAVE ANY EXPORSURE TO UNCERTAIN TAX POSITIONS DURING 2014. REVENUE AND EXPENSE RECONCILIATION PART XI, LINE 2D ($558,737) - NEW YORK STATE URBAN DEVELOPMENT CORPORATION COMMITMENT FEE PART XI, LINE 4B AND PART XII, LINE 2D $338,090 - RENTAL EXPENSES ALLOCABLE TO 990, PART VIII X true COMMUNITY COUNSELLING SERVICE 461 FIFTH AVENUE 3RD FLOOR NEW YORK NY 10017 CAMPAIGN SERVICES false 85000 -85000 85000 -85000 Schedule G, Part I, Line 2b Community Counselling Service's Address: 461 Fifth Avenue, 3rd Floor, New York, NY 10017 X X true true X X X X true false false false false false false true false PATRICIA GRACE ARLIN BRADLEY CHIEF HUMAN RESOURCES OFFICER 50071 0 0 0 277877 0 2604 0 7070 0 337622 0 0 0 ANDREA ARMSTRONG CHIEF HR OFFICER & VP, ADMIN. 304469 0 25000 0 0 0 13000 0 1174 0 343643 0 0 0 CAROL ASHE CHIEF BUSINESS OFFICER 165384 0 50000 0 167261 0 3333 0 448 0 386426 0 0 0 SARAH AVINS VP,EXT AFR & CHIEF DEV OFFICER 459074 0 75000 0 0 0 13000 0 8003 0 555077 0 0 0 JENNIFER BALDWIN CHIEF OPERATING OFFICER 302462 0 25000 0 123456 0 11373 0 5887 0 468178 0 0 0 CHRISTOPHER BLACK ASSO. DIR, RESEARCH COMPUTING 129145 0 2500 0 57068 0 5000 0 16624 0 210337 0 0 0 TOBY BLOOM DEPUTY SCIENTIFIC DIRECTOR 313155 0 0 0 0 0 13000 0 23446 0 349601 0 0 0 ROBERT B DARNELL MD PHD President/SCIENCE DIRECTOR 301645 0 0 0 2448 0 0 0 0 0 304093 0 0 0 CHRIS DUIGNAN CONTROLLER & TREASURER 251361 0 0 0 0 0 11500 0 17043 0 279904 0 0 0 WILLIAM R FAIR VP STRATEGIC OPERATIONS 160468 0 0 0 51633 0 8096 0 11938 0 232135 0 0 0 SHAILAJA GARGEYA SR. DIR. SOFTWARE ENGINEERING 174182 0 0 0 36007 0 5875 0 11813 0 227877 0 0 0 SOREN GERMER SCI DIR, SEQUENCING OPS 179067 0 0 0 0 0 9033 0 17988 0 206088 0 0 0 CRISTYN KELLS PRINCIPAL SOFTWARE ENGINEER 147680 0 0 0 37739 0 4725 0 9036 0 199180 0 0 0 PAULA D LECA General Counsel & SECRETARY 222744 0 0 0 108333 0 11146 0 2013 0 344236 0 0 0 ANDREW NORDQUIST DIRECTOR ENTERPRISE COMPUTING 168935 0 0 0 0 0 8750 0 28368 0 206053 0 0 0 DAYANA M OSCHWALD SNR DIR, INFO PGM MGMT 188400 0 0 0 0 0 9500 0 17999 0 215899 0 0 0 MATTHEW J PELO VP FIN STRATEGY & OPS 222142 0 0 0 0 0 11187 0 11667 0 244996 0 0 0 JOSEPH PICKRELL JR INVESTIGATOR & CORE MEMBER 152000 0 0 0 34829 0 5813 0 19173 0 211815 0 0 0 HAROLD SWERDLOW VICE PRESIDENT OF SEQUENCING 194222 0 25000 0 50070 0 6003 0 6719 0 282014 0 0 0 HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE PART I, LINE 1 THE FOLLOWING EMPLOYEES RECEIVED A TAXABLE HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE: JOSEPH PICKRELL. NYGC PROVIDES RELOCATION SERVICES FOR THE FOLLOWING EMPLOYEES HIRED FROM OUTSIDE OF NEW YORK CITY: JENNIFER BALDWIN, CAROL ASHE, SHAILAJA GARGEYA, CHRISTOPHER BLACK, JOSPEH PICKRELL, CRISTYN KELLS, AND HAROLD SWERDLOW. THE VALUE OF THESE RELOCATION SERVICES IS CONSIDERED COMPENSATION TO THE EMPLOYEE FOR WHICH NYGC MAKES GROSS-UP PAYMENTS TO ALLEVIATE THE TAX BURDEN ON THE EMPLOYEE. EXECUTIVE COMPENSATION PART I, LINE 3 IN 2012, THE BOARD APPROVED BOB DARNELL'S COMPENSATION; in 2014, the executive compensation committee approved Bob Darnell's salary increase. SEVERANCE PAYMENTS PART I, LINE 4A THE FOLLOWING EMPLOYEES RECEIVED SEVERANCE PAYMENTS IN 2014: PAULA LECA - $108,333 PATRICIA ARLIN BRADLEY - $277,877 WILLIAM FAIR - $51,633 NON-FIXED PAYMENTS SCHEDULE J, PART I, LINE 7 & PART II, COLUMN B(II) THE FOLLOWING EMPLOYEES RECEIVED NON-FIXED PAYMENTS IN 2014: SARAH AVINS, JENNIFER BALDWIN, AND ANDREA ARMSTRONG. 0 Wilmer Hale S. SINGER, DIRECTOR 242644 LEGAL SERVICES false INTERNATIONAL BUSINESS MACHINE CORP FOUNDING TECH. MEMBER 200000 RESEARCH AGREEMENT false X 1 175538 FMV false true false NUMBER OF CONTRIBUTORS SCHEDULE M, PART I, COLUMN (B) THE AMOUNT IN COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTORS. The Organization's Mission Form 990, Part I, Line 1 & Part III, Line 1: NEW YORK GENOME CENTER, INC. IS ORGANIZED AND SHALL BE OPERATED AS AN INDEPENDENT, NON-PROFIT CORPORATION BY LEADING ACADEMIC, MEDICAL, AND RESEARCH INSTITUTIONS FOR THE PURPOSE OF ESTABLISHING A STATE-OF-THE- ART, WORLD CLASS GENOME SEQUENCING, BIOINFORMATICS AND RESEARCH CENTER IN NEW YORK CITY, WITH THE FOLLOWING KEY OBJECTIVES: (I) CREATING AN INTELLECTUALLY VIBRANT COLLABORATION AMONGST THE ACADEMIC AND SCIENTIFIC COMMUNITY IN NEW YORK CITY; (II) RECRUITING WORLD CLASS SCIENTIFIC LEADERSHIP TO DIRECT THE SCIENTIFIC DEVELOPMENT OF THE CORPORATION, TOGETHER WITH THE MEMBERS OF THE CORPORATION; (III) OBTAINING COMMITMENTS FROM THE INSTITUTIONAL FOUNDING MEMBERS, OTHER ACADEMIC, RESEARCH AND MEDICAL INSTITUTIONS AND THE BIOTECHNOLOGY/PHARMACEUTICAL INDUSTRY TO AFFILIATE WITH AND USE SERVICES PROVIDED BY THE CORPORATION; (IV) PROVIDING SEQUENCING AND BIOINFORMATICS SERVICES TO THE ACADEMIC AND SCIENTIFIC COMMUNITIES, INCLUDING THE INSTITUTIONAL FOUNDING MEMBERS; (V) DEVELOPING ADVANCED BIOINFORMATICS CAPABILITIES BASED UPON THE RESEARCH AND SEQUENCING ACTIVITIES CONDUCTED AT THE CORPORATION'S FACILITIES; (VI) ADVANCING THE DEVELOPMENT OF NEW TREATMENTS, THERAPIES AND THERAPEUTICS TO TREAT HUMAN DISEASE; AND (VII) CONDUCTING ACTIVITIES ANCILLARY TO THESE OBJECTIVES. PROGRAM SERVICE ACCOMPLISHMENT - SEQUENCING FORM 990, PART III, LINE 4A: THE NEW YORK GENOME CENTER, INC. STARTED ITS RESEARCH SEQUENCING SERVICES IN 2012 WITH FIVE SEQUENCING MACHINES IN A TEMPORARY PILOT LAB SPACE. IN 2013, THE CENTER OPENED ITS HEADQUARTERS AT 101 AVENUE OF THE AMERICAS IN NEW YORK CITY. THE NEW FACILITY INCLUDES: 30,000 SQUARE FEET OF SEQUENCING LAB SPACE; THIS IS MORE SEQUENCING CAPACITY THAN ANY OTHER SINGLE INSTITUTION IN THE CITY AND SERVES AS A STATE OF THE ART SEQUENCING CENTER TO THE ACADEMIC AND SCIENTIFIC COMMUNITIES IN NEW YORK CITY TO AID THEM IN RESEARCH, INCLUDING COLLABORATIVE RESEARCH WITH THE CENTER, TO ADVANCE THE DEVELOPMENT OF NEW TREATMENTS, THERAPIES, AND THERAPUTICS TO TREAT HUMAN DISEASE A DEDICATED OPEN-PLAN BIOINFORMATICS FLOOR TO ENCOURAGE DISCUSSION AND COLLABORATION AMONG RESEARCHERS AND SCIENTISTS A DATA STORAGE ANNEX TO SAFELY STORE THE IMMENSE AMOUNTS OF DATA PRODUCED AND FACILITATE RESEARCH STUDIES ACROSS A LARGE NUMBER OF PEOPLE TRANSLATIONAL RESEARCH LABS WITH SPACE TO HOST A NUMBER OF PRINCIPAL INVESTIGATORS AND THEIR TEAMS FROM VARIOUS MEMBER INSTITUTIONS AN INNOVATION LAB TO TEST AND EVALUATE NEW SEQUENCING TECHNOLOGIES A CLIA LAB (APPLICATION PENDING) TO SERVICE CLINICAL LABORATORY TESTING NEEDS In 2014, purchased the Illumina HiSeq X ten system. NYGC is the only institution in the Tri-State Area to acquire the HiSeq X Ten, the fastest and most advanced sequencing technology available. At December 31, 2014, NYGC's facility contained 10 Illumina HiSeq X instruments to enable sequencing of up to 18,000 30x human whole genomes or 4,500 tumor/normal pairs at 80x/40x each year, and 12 Illumina HiSeq 2500s to allow annual sequencing of tens of thousands of whole exome, RNA, methylation, or custom samples. SEQUENCING IS A LABORATORY PROCESS THAT DETERMINES THE COMPLETE DNA SEQUENCE OF AN ORGANISM'S GENOME AT A SINGLE TIME. A SINGLE HUMAN GENOME YIELDS APPROXIMATELY 750 KILOBYTES OF DATA. THIS DATA IS THEN PUT THROUGH A COMPUTATION ANALYSIS TO GENERATE BIOINFORMATICS ACCORDING TO THE RESEARCHER'S SPECIFICATIONS. BIOINFORMATICS IS A BRANCH OF BIOLOGICAL SCIENCE WHICH DEALS WITH ANALYZING BIOLOGICAL DATA AND EXPRESSING IT GRAPHICALLY USING SPECIALIZED SOFTWARE AND COMPUTATIONAL METHODS. THROUGH BIOINFORMATICS, GENOMIC VARIATIONS CAN BE DETECTED AND ANALYZED. IN HUMANS, GENETIC VARIATION CAN HAVE MEDICAL CONSEQUENCES AFFECTING DISEASE SUSCEPTIBILITY, INCLUDING PREDISPOSITION TO COMPLEX GENETIC DISEASES SUCH AS CANCER, DIABETES, CARDIOVASCULAR DISEASE, AND ALZHEIMER'S DISEASE. THEY CAN ALSO IMPACT AN INDIVIDUAL'S RESPONSE TO CERTAIN DRUG TREATMENTS, CAUSING THEM TO RESPOND WELL, NOT RESPOND AT ALL, OR EXPERIENCE ADVERSE SIDE EFFECTS. PROGRAM SERVICE ACCOMPLISHMENT - RESEARCH FORM 990, PART III, LINE 4C: New York Genome Center conducts innovative research and methods development and improvement. Several key areas of disease focus include cancer, autoimmune disease and neurological disorders. In support of the latter, NYGC's Center for Genomics of Neurodegenerative Disease (CGND) is dedicated to studying neurodegenerative diseases such as ALS and Alzheimer's. The CGND's partners include our IFMs, the Perelman School of Medicine at the University of Pennsylvania, the Northeast ALS Consortium, Mass General Hospital/Harvard Medical School and UMass Medical School. In addition to the CGND, NYGC has initiated several collaborative clinical studies, including those focused on rheumatoid arthritis and pediatric leukemia and neuroblastoma. NYGC also launched a multiinstitutional trial in which we are partnering with IBM to explore whether their Watson artificial intelligence technology can help create personalized treatments for patients with glioblastoma, a deadly form of brain cancer. NYGC's faculty members, who each hold a joint appointment at a Member Institution, are leading complementary research in areas including schizophrenia, population genomics, evolutionary mechanisms and disease risk, single cell genomics, and more. NYGC also has an Innovation Lab dedicated to protocol development, equipment evaluation, and informatics tool development and integration. SIGNIFICANT CHANGE TO GOVERNING DOCUMENTS FORM 990, PART VI, SECTION A, LINE 4: IN 2014, THE ORGANIZATION'S BYLAWS WERE AMENDED. The changes included expanded decision making for the IFM directors requiring 2/3 vote, increase from 10 to 17 of non-IFM directors, and elimination of the executive committee. ORGANIZATION MEMBERS FORM 990, PART VI, SECTION A, LINE 6: THERE ARE FOUR (4) CATEGORIES OF MEMBERS OF THE CENTER: INSTITUTIONAL FOUNDING MEMBERS, ASSOCIATE MEMBERS, PHARMA/TECHNOLOGY MEMBERS AND OTHER MEMBERS. *THE INSTITUTIONAL FOUNDING MEMBERS OF THE CENTER ARE THE FOLLOWING RECOGNIZED ACADEMIC, MEDICAL AND RESEARCH INSTITUTIONS: (1) COLD SPRING HARBOR LABORATORY, (2) CORNELL UNIVERSITY/WEILL CORNELL MEDICAL COLLEGE, (3) THE JACKSON LABORATORY, (4) MEMORIAL SLOAN-KETTERING CANCER CENTER, (5) MOUNT SINAI SCHOOL OF MEDICINE, (6) NEW YORK-PRESBYTERIAN HOSPITAL, (7) NEW YORK UNIVERSITY, (8) NORTH SHORE LONG ISLAND JEWISH HEALTH SYSTEM, (9) THE RESEARCH FOUNDATION OF STATE UNIVERSITY OF NEW YORK, ON BEHALF OF STONY BROOK UNIVERSITY, (10) THE ROCKEFELLER UNIVERSITY, (11) THE TRUSTEES OF COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK, AND (12) Albert Einstein School of Medicine of Yeshiva University *ASSOCIATE MEMBERS: (1) American Museum of Natural History (2) Hospital for Special Surgery (3) The New York Stem Cell Foundation (4) Roswell Park Cancer Institute *PHARMACEUTICAL/TECHNOLOGY MEMBERS: (1) International Business Machines (IBM) *OTHER MEMBERS - NONE ORGANIZATION MEMBERS - DECISION MAKING FORM 990, PART VI, SECTION A, LINE 7A & 7B: EACH INSTITUTIONAL FOUNDING MEMBER WILL APPOINT ONE REPRESENTATIVE TO SERVE ON THE BOARD OF DIRECTORS. THE EXECUTIVE DIRECTOR ALSO SERVES ON THE BOARD. MANAGEMENT OBTAINS APPROVAL FROM THE BOARD PRIOR TO MAKING OPERATIONAL DECISIONS, INCLUDING APPROVAL OF THE OPERATING BUDGET, CERTAIN HIRING AND TERMINATION MATTERS, ETC. FORM 990 REVIEW FORM 990, PART VI, SECTION B, LINE 11: THE FORM 990 IS PREPARED BY AN INDEPENDENT PUBLIC ACCOUNTING FIRM, UTILIZING INFORMATION PROVIDED BY MANAGEMENT. UPON RECEIPT OF THE DRAFT 990, MANAGEMENT (VP OF FINANCE, Chief of Staff, AND PRESIDENT) WILL REVIEW THE 990. MANAGEMENT WILL THEN PRESENT THE 990 TO THE FINANCE AND AUDIT COMMITTEE. AFTER ALL COMMENTS AND REVISIONS ARE ADDRESSED, THE FINANCE AND AUDIT COMMITTEE AND NYGC EXECUTIVE TEAM WILL RECOMMEND THE BOARD OF DIRECTORS TO APPROVE THE 990. THE BOARD OF DIRECTORS WILL THEN REVIEW AND APPROVE THE FINAL 990. CONFLICT OF INTEREST POLICY & REVIEW FORM 990, PART VI, SECTION B, LINE 12C: THE CENTER REQUIRES ALL INTERESTED PERSONS (DEFINED AS BOARD MEMBERS, PRINCIPAL OFFICERS, OR MEMBERS OF A COMMITTEE IN WHICH THE BOARD HAS DELEGATED POWERS) TO DISCLOSE CONFLICTS OF INTEREST AS REQUIRED BY THE CONFLICT OF INTEREST POLICY. ADDITIONALLY, OTHER INDIVIDUALS LISTED ON THE FORM 990 COMPLETE THE QUESTIONNAIRE. THE CENTER FOLLOWS A PROCEDURE FOR OBTAINING SUCH DISCLOSURES ANNUALLY, COMMENCING WITH DECEMBER 2013. IF An interested person HAS A POTENTIAL CONFLICT OF INTEREST, HE OR SHE may make a presentation at the board or committee meeting, but after such presentation, he/she shall leave the meeting during the discussion of, and the vote on, the transaction or arrangement that results in the conflict of interest. WHISTLEBLOWER POLICY FORM 990, PART VI, SECTION B, LINE 13: THE ORGANIZATION'S GOVERNING BODY ADOPTED A WRITTEN WHISTLEBLOWER POLICY IN 2015. DOCUMENT RETENTION AND DESTRUCTION POLICY FORM 990, PART VI, SECTION B, LINE 14: THE ORGANIZATION'S GOVERNING BODY ADOPTED A WRITTEN DOCUMENT RETENTION AND DESTRUCTION POLICY IN 2014. COMPENSATION REVIEW FORM 990, PART VI, SECTION B, LINE 15: NYGC bases SALARIES ON MARKET SURVEYS. IN 2012, THE INDEPENDENT BOARD APPROVED BOB DARNELL'S COMPENSATION; THE BOARD ALSO WORKED CLOSELY WITH THE PRESIDENT AND A THIRD PARTY RECRUITING FIRM TO DETERMINE SENIOR MANAGEMENT COMPENSATION. When determining the salary amount for top management positions, NYGC utilizes an independent third-party provider for compensation data (e.g. Radford). NYGC also obtains compensation data for similar positions at similar sized not-for-profit companies, in the relevant field (from 990s). If other documentation is available during the time when salary is determined, NYGC will include for consideration (e.g. other offers). In 2014, NYGC established an INDEPENDENT Executive Compensation Committee. Utilizing comparability data, the compensation committee reviewed salaries of all members of the senior management team, AND SUCH REVIEW WAS DOCUMENTED. DOCUMENT DISCLOSURE FORM 990, PART VI, SECTION C, LINE 19: THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. OTHER CHANGE IN NET ASSETS FORM 990, PART XI, LINE 9: New York State Urban Development Corporation COMMITMENT FEE $ (558,737)