2014-11-14T15:00:33-06:00 2013-12-31 141555429 UHY ADVISORS NY INC 66 SOUTH PEARL STREET SUITE 400 ALBANY NY 12207 990 2013-01-01 146022409 HEALTHCARE EDUCATIONAL AND RESEARCH FUND INC HEAL 5184317600 ONE EMPIRE DRIVE RENSSELAER NY 121449315 DANIEL J DEL POZZO VP/CFO 5184317600 2014-11-12 1 XIAOQIANG ZHANG P01577994 5184493166 2013 2015-11-30 17:44:51Z DENNIS WHALEN ONE EMPIRE DRIVE RENSSELAER NY 121449315 766253 0 X N/A X 1960 NY OFFER EDUCATION, RESEARCH, & GRANTS TO SUPPORT THE MISSION OF THE HEALTHCARE ASSOCIATION OF NYS. 9 9 6 0 0 0 607548 394882 375710 371371 0 0 0 0 983258 766253 0 0 0 0 636425 527414 0 0 0 339180 231825 975605 759239 7653 7014 154259 242330 4231559 4315705 -4077300 -4073375 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 214684 200960 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 WORKFORCE RECRUITMENT AND RETENTION, 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. 372377 394882 HERF ADMINISTERED A GRANT OBTAINED THROUGH THE NEW YORK STATE HEALTH FOUNDATION FOR THE PURPOSE OF FUNDING ACTIVITIES TO IMPROVE BOTH THE OPERATIONAL PROCESSES AND CLINICAL OUTCOMES SURROUNDING THE TREATMENT OF INDIVIDUALS WITH DIABETES. THE GOAL WAS TO IMPROVE DIABETES CARE EXCELLENCE, REDUCE ADMISSIONS AND READMISSIONS, AND REDUCE COMPLICATIONS DURING HOSPITAL VISITS. 100638 110522 IN DECEMBER 2011, HERF'S AFFILIATE THE HEALTHCARE ASSOCIATION OF NEW YORK STATE ENTERED INTO A FEDERAL CONTRACT WITH THE CENTERS FOR MEDICARE AND MEDICAID SERVICES (CMS) UNDER A TWO-YEAR NATIONWIDE INITIATIVE ENTITLED PARTNERSHIP FOR PATIENTS. 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. IN DECEMBER 2013, CMS AWARDED A ONE-YEAR CONTRACT EXTENSION TO HANYS, AND HERF'S SUBCONTRACT WAS EXTENDED FOR THE ONE-YEAR EXTENSION PERIOD. 2911 59889 OTHER PROGRAM SERVICES: CONTINUOUS SURVEY READINESS, CARE LEARNING EDUCATIONAL PROGRAMS, AND OTHER CONSULTING. 2911 59889 690610 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 9 9 0 0 0 0 1 1 1 1 1 0 0 0 1 1 1 0 0 1 1 0 NY X DANIEL J DEL POZZO VP & CFO 5184317787 ONE EMPIRE DRIVE RENSSELAER NY 121449315 JOSEPH MCDONALD CHAIRMAN 0.20 X X 0 0 0 LINDA BRADY MD CHAIR ELECT 0.20 X X 0 0 0 SCOTT COOPER MD SECRETARY 0.20 X X 0 0 0 STEPHENS MUNDY TREASURER 0.20 X X 0 0 0 HERBERT PARDES MD IMMEDIATE PAST-CHAIRMAN 0.20 X 0 0 0 MICHAEL DOWLING PAST-CHAIRMAN 0.20 X 0 0 0 JOSEPH QUAGLIATA PAST CHAIRMAN 0.20 X 0 0 0 WARREN HERN TRUSTEE 0.20 X 0 0 0 JOHN LANE TRUSTEE 0.20 X 0 0 0 DENNIS WHALEN COO/PRESIDENT (FROM 07/01/13) 0.30 49.70 X 2700 537228 118396 DANIEL SISTO PRESIDENT (TO 07/31/13) 0.20 49.80 X 6910 1425126 114410 VALERIE GREY EXECUTIVE VICE PRESIDENT 0.30 49.70 X 1499 298182 17996 RICHARD COOK CHIEF OPERATING OFFICER 0.10 49.90 X 356 236886 17407 DANIEL DEL POZZO VP/CFO 1.90 48.10 X 8858 220092 27548 20323 2717514 295757 0 0 1 0 0 394882 394882 EVENT PLANNING 541900 200960 200960 CMS PARTNERSHIP FOR PA 541900 110522 110522 ADMINISTRATIVE PROGRAM 541990 59889 59889 371371 766253 371371 0 0 X 22600 22600 406433 378585 27848 26730 23527 3203 36930 33515 3415 34721 32145 2576 6779 6779 143600 143600 338 321 17 12448 11505 943 2820 2747 73 36933 36302 631 20798 20798 4405 4399 6 104 99 5 2816 2675 141 OTHER MISCELLANEOUS 784 392 392 759239 690610 68629 0 153754 40400 201529 1731 1330 505 401 154259 242330 203753 90400 4027806 4225305 4231559 4315705 X -4077300 -4073375 -4077300 -4073375 154259 242330 X 7014 -3089 X X 0 1 X 1 0 X X X 0 0 0 HEALTHCARE ASSOCIATION OF NEW YORK STATE INC 141405826 501(C)(6) 0 1 1 0 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1731 1330 401 401 DUE TO AFFILIATES 4198603 ACCRUED VACATION 16317 POST RETIREMENT LIABILITY 10385 4225305 X PART X, LINE 2: 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 DENNIS WHALEN COO/PRESIDENT (FROM 07/01/13) 2250 447655 375 74723 75 14850 503 100022 89 17782 3292 655032 0 0 DANIEL SISTO PRESIDENT (TO 07/31/13) 1788 405819 2102 418393 3020 600914 396 78890 176 34948 7482 1538964 2869 570976 VALERIE GREY EXECUTIVE VICE PRESIDENT 1486 295668 6 1186 7 1328 84 16646 6 1260 1589 316088 0 0 RICHARD COOK CHIEF OPERATING OFFICER 352 234160 0 0 4 2726 17 11379 9 6002 382 254267 0 0 DANIEL DEL POZZO VP/CFO 8689 203379 150 14850 19 1863 769 20438 230 6111 9857 246641 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. DANIEL SISTO, SECTION 457(F) DEFERRED COMPENSATION ARRANGEMENT. DANIEL SISTO, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. DENNIS WHALEN, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. VALERIE GREY, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. RICHARD COOK, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN DURING 2013 DANIEL SISTO VESTED IN THE SECTION 457(F) SUPPLEMENTAL LONG-TERM RETIREMENT PLAN AND RECEIVED A DISTRIBUTION IN THE AMOUNT OF $781,645. THIS AMOUNT IS INCLUDED IN THE COMPENSATION REPORTED FOR MR. SISTO IN PART VII, SECTION A, AND IN SCHEDULE J, PART II. NO OTHER PAYMENTS WERE MADE TO THE PARTICIPANTS DURING THE YEAR. EFFECTIVE JULY 2013, DANIEL SISTO RETIRED FROM THE ROLE OF PRESIDENT OF HANYS AND HERF. FOLLOWING MR. SISTO'S RETIREMENT, HE WAS ENGAGED BY HANYS AS AN INDEPENDENT CONTRACTOR ON A PART-TIME BASIS TO PROVIDE POLICY AND ADVISORY SERVICES TO HANYS AND HERF. THE COMPENSATION REPORTED FOR MR. SISTO IN PART VII, SECTION A, AND IN SCHEDULE J, PART II INCLUDES HIS COMPENSATION EARNED WHILE EMPLOYED AS PRESIDENT THROUGH JULY, 2013, THE RETIREMENT PLAN DISTRIBUTION DESCRIBED ABOVE, AND COMPENSATION PAID AS AN INDEPENDENT CONSULTANT FOLLOWING HIS RETIREMENT. DENNIS WHALEN WAS APPOINTED PRESIDENT OF HANYS AND HERF EFFECTIVE JULY 2013. PRIOR TO HIS APPOINTMENT, MR. WHALEN SERVED AS CHIEF OPERATING OFFICER. THE COMPENSATION REPORTED FOR MR. WHALEN IN PART VII, SECTION A, AND IN SCHEDULE J, PART II INCLUDES HIS COMPENSATION EARNED WHILE SERVING AS CHIEF OPERATING OFFICER THROUGH JUNE, 2013 AND HIS COMPENSATION WHILE SERVING AS PRESIDENT BEGINNING IN JULY, 2013. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS ONE CLASS OF MEMBERS, WHICH CONSISTS OF THE BOARD OF TRUSTEES OF THE HEALTHCARE ASSOCIATION OF NEW YORK STATE, INC. 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 PLEASE SEE EXPLANATION FOR LINE 6 ABOVE. FORM 990, PART VI, SECTION A, LINE 7B PLEASE SEE EXPLANATION FOR LINE 6 ABOVE. FORM 990, PART VI, SECTION B, LINE 11 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. THE SECOND REVIEW IS PERFORMED BY THE CHIEF FINANCIAL OFFICER. THE FINAL REVIEW IS PERFORMED BY THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. THE BOARD OF TRUSTEES 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 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 FOR REVIEWING POTENTIAL CONFLICTS THAT INVOLVE INDEPENDENT LEGAL COUNSEL, BOARD LEADERSHIP, AND THE AUDIT COMMITTEE. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR THE OFFICERS OF THE ORGANIZATION IS ESTABLISHED BY THE HEALTHCARE ASSOCIATION OF NEW YORK STATE, INC. (HANYS), A RELATED ORGANIZATION, USING THE FOLLOWING PROCESS: A COMPENSATION COMMITTEE MADE UP OF INDEPENDENT MEMBERS OF THE BOARD OF TRUSTEES OVERSEES AND DETERMINES COMPENSATION FOR THE PRESIDENT (OFFICER), CHIEF FINANCIAL OFFICER (OFFICER), EXECUTIVE VP (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, THE EXECUTIVE VICE PRESIDENT 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 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 THE ORGANIZATION DOES NOT MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC EXCEPT TO THE EXTENT INFORMATION FROM THESE DOCUMENTS IS PROVIDED IN FORM 990. FORM 990, PART IX, LINE 11G OTHER FEES: PROGRAM SERVICE EXPENSES 143,600. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 143,600. FORM 990, PART XI, LINE 9: UNFUNDED POST RETIREMENT LIABILITY -3,089. FORM 990, PART XII, LINE 2C: FORM 990, PART IV, LINE 12 AND PART XII, LINE 2B & 2C THE ORGANIZATION'S FINANCIAL STATEMENTS ARE CONSOLIDATED WITH THE FINANCIAL STATEMENTS OF THE MEMBER. THE MEMBER'S CONSOLIDATED FINANCIAL STATEMENTS ARE AUDITED BY AN INDEPENDENT CPA FIRM AND REVIEWED BY THE AUDIT COMMITTEE OF THE MEMBER'S 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) 0 HANYS SERVICES INC 1 EMPIRE DRIVE RENSSELAER NY 12144 141655556 HOLDING COMPANY 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 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 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 70997 AMOUNTS PAID HEALTHCARE ASSOCIATION OF NEW YORK STATE INC Q 293357 AMOUNTS PAID