2013-11-15T15:34:38-06:00 2012-12-31 141555429 UHY ADVISORS NY INC 66 SOUTH PEARL STREET SUITE 400 ALBANY NY 12207 990 2012-01-01 146022409 HEALTHCARE EDUCATIONAL AND RESEARCH FUND INC HEAL 5184317600 ONE EMPIRE DRIVE RENSSELAER NY 121449315 DANIEL DEL POZZO 5184317600 2013-11-15 1 F MICHAEL ZOVISTOSKI P00547760 5184493166 2012 2016-02-25 16:41:14Z DENNIS WHALEN ONE EMPIRE DRIVE RENSSELAER NY 121449315 983258 0 X N/A X 1960 NY OFFER EDUCATION, RESEARCH, & GRANTS TO SUPPORT THE MISSION OF THE HEALTHCARE ASSOCIATION OF NYS. 8 8 4 0 0 0 520323 607548 290140 375710 0 0 0 0 810463 983258 0 0 0 0 434202 636425 0 0 0 354118 339180 788320 975605 22143 7653 167862 154259 4253068 4231559 -4085206 -4077300 THE MISSION OF THE HEALTHCARE EDUCATIONAL AND RESEARCH FUND, INC. IS TO OFFER UNIQUE LEARNING, RESEARCH, AND GRANT OPPORTUNITIES THAT SUPPORT THE HEALTHCARE ASSOCIATION OF NEW YORK STATE'S MISSION TO ADVANCE THE HEALTH OF INDIVIDUALS AND COMMUNITIES IN NEW YORK STATE. 0 0 272204 198560 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. 559969 49197 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. 91685 127953 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. 923858 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 4 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 0 0 1 1 0 NY X DANIEL DEL POZZO VP & CFO 5184317600 ONE EMPIRE DRIVE RENSSELAER NY 121449315 X JOSEPH QUAGLIATA 0.20 0.00 X 0 0 0 HERBERT PARDES MD 0.20 0.00 X 0 0 0 JOSEPH MCDONALD 0.20 0.00 X X 0 0 0 LINDA BRADY MD 0.20 0.00 X X 0 0 0 DAVID KRUCZLNICKI 0.20 0.00 X 0 0 0 MICHAEL DOWLING 0.20 0.00 X 0 0 0 SCOTT COOPER MD 0.20 0.00 X X 0 0 0 STEPHENS MUNDY 0.20 0.00 X X 0 0 0 DANIEL SISTO 0.30 49.70 X 4358 867154 121475 DANIEL DEL POZZO 1.70 48.30 X 7287 210742 26235 DENNIS WHALEN 0.20 49.80 X 1240 411974 87673 12885 1489870 235383 0 0 1 0 0 607548 607548 EVENT PLANNING 541900 198560 198560 CMS PARTNERSHIP FOR PA 541900 127951 127951 ADMINISTRATIVE PROGRAM 541990 49199 49199 375710 983258 375710 0 0 X 14802 14802 489872 468766 21106 29271 26374 2897 60835 58248 2587 41645 39140 2505 238738 232059 6679 50 50 14203 13433 770 1532 1490 42 41942 41259 683 25301 25301 4292 4288 4 15175 15155 20 4195 3985 210 OTHER MISCELLANEOUS 980 940 40 OTHER ADMINISTRATIVE -7228 -6630 -598 975605 923858 51747 0 1 167252 153753 1731 1226 610 505 167862 154259 507534 203753 3745534 4027806 4253068 4231559 X -4085206 -4077300 -4085206 -4077300 167862 154259 X 7653 253 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 1226 505 505 DUE TO AFFILIATES 4009707 ACCRUED VACATION 11907 POST RETIREMENT LIABILITY 6192 4027806 X DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: 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 DANIEL SISTO 2970 591065 1023 203492 365 72597 407 80999 200 39869 4965 988022 0 0 DANIEL DEL POZZO 7143 196505 125 12375 19 1862 739 19626 213 5657 8239 236025 0 0 DENNIS WHALEN 1058 351420 150 49873 32 10681 305 70720 53 16595 1598 499289 0 0 SUPPLEMENTAL INFORMATION PART III SCHEDULE J, PART I, LINE 3 THE ORGANIZATION RELIED ON A RELATED ORGANIZATION TO ESTABLISH COMPENSATION FOR ITS TOP MANAGEMENT OFFICIAL 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 ORGANIZATION PARTICIPATE IN NONQUALIFIED RETIREMENT PLANS MAINTAINED BY THE PARENT ORGANIZATION (HANYS) OF WHICH THEY ARE ALSO EXECUTIVES. NO PAYMENTS WERE MADE TO THE PARTICIPANTS DURING THE YEAR. DANIEL SISTO, SECTION 457(F) DEFERRED COMPENSATION ARRANGEMENT. DANIEL SISTO, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. DENNIS WHALEN, SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN. 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. 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), 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 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. OTHER FEES FORM 990, PART IX, LINE 11G OTHER FEES: PROGRAM SERVICE EXPENSES 232,059. MANAGEMENT AND GENERAL EXPENSES 6,679. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 238,738. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: UNFUNDED POST RETIREMENT LIABILITY 253. 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 78539 AMOUNTS PAID HEALTHCARE ASSOCIATION OF NEW YORK STATE INC Q 298710 AMOUNTS PAID