2012-11-14T10:08:10-06:00 2011-12-31 KPMG LLP 345 Park Avenue New York NY 101540102 990 2011-01-01 112013303 COLD SPRING HARBOR LABORATORY % LARI C RUSSO CFO COLD 5163678448 PO BOX 100 ONE BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 LARI C RUSSO 5163678446 2012-11-13 true KPMG LLP 2127589700 2011 2016-02-24 21:20:13Z BRUCE STILLMAN PO BOX 100 ONE BUNGTOWN ROAD CSH NY 11724 228465985 false X WWW.CSHL.EDU X 1924 NY THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. 27 25 1267 43 709944 -32212 112619962 179151906 21907302 21931783 6452732 5991493 2036828 3745187 143016824 210820369 5736713 5265793 0 0 62882051 67891583 0 0 2206849 71031790 70688690 139650554 143846066 3366270 66974303 597656840 660546289 130033462 152210328 467623378 508335961 X THE ORGANIZATION CONDUCTS RESEARCH IN THE BIOLOGICAL SCIENCES WITH A PARTICULAR EMPHASIS ON BASIC RESEARCH IN MOLECULAR BIOLOGY AND GENETICS. false false 98560610 5265793 937656 RESEARCH: THE LABORATORY BENEFITS THE COMMUNITY BY CONDUCTING RESEARCH IN THE AREAS OF BIOLOGY, MOLECULAR BIOLOGY AND GENETICS. OBJECTIVES INCLUDE BASIC CANCER RESEARCH TO DETERMINE THE MOLECULAR, GENETIC AND CHEMICAL BASIS OF CANCER; PIONEERING RESEARCH METHODS IN NEUROSCIENCE TO DETERMINE THE ROLE GENES PLAY IN VARIOUS NEURAL FUNCTIONS AND DISORDERS; AND THE DEVELOPMENT OF TECHNOLOGIES FOR MOLECULAR BIOLOGY AND GENETICS TO IMPACT BIOMEDICAL RESEARCH THROUGHOUT THE WORLD. 8815719 9848446 PUBLICATIONS: THE COLD SPRING HARBOR PRESS IS RESPONSIBLE FOR PUBLISHING THE PROCEEDINGS OF THE LABORATORY'S MEETINGS PROGRAM AS WELL AS THE TECHNICAL MANUALS FROM ITS COURSES. IN ADDITION, THE PRESS PUBLISHES CLOSE TO 200 OTHER BOOKS AND ELECTRONIC MEDIA, INCLUDING 17 NEW TITLES IN 2011. THE PRESS ALSO PUBLISHES 6 SCIENTIFIC JOURNALS BOTH IN PRINT AND ONLINE. 15096748 9229794 EDUCATIONAL PROGRAMS: THE LABORATORY OFFERED A SERIES OF MEETINGS (28) IN 2011 WHICH ARE ATTENDED BY OVER 6,000 SCIENTISTS AND FOCUS ON THE DISSEMINATION OF RESEARCH FINDINGS ON TOPICS OF CURRENT INTEREST IN BIOLOGY AND GENETICS. IN ADDITION, SCIENTIFIC COURSES FOCUS ON THE NEED FOR TRAINING IN SUBJECTS THAT ARE EITHER SO NEW OR EXTREMELY SPECIALIZED THEY ARE NOT OFFERED IN UNIVERSITIES. THE AIM IS TO PREPARE STUDENTS WHO PLAN TO ENTER INTO RESEARCH IN THESE AREAS. CLOSE TO 1,000 PARTICIPANTS ATTENDED THE COURSES GIVEN IN 2011. 5228260 1915887 127701337 true true false false false false true false false true true true false false true true false true false true true true false false true false false true false true true true false false false false false false false false true true false false false false true true true false false true 657 0 true 1267 true true true true CH CJ BD EI false false false true true false false false false X 27 25 false false false false false false false true true false false true true true true true true true true false NY X LARI C RUSSO CFO 5163678446 PO BOX 100 ONE BUNGTOWN ROAD COLD SPRING HARBOR NY 11724 X TANYA BAKER PHD 1.0 X 0 0 0 DAVID BOIES 1.0 X 0 0 0 MICHAEL BOTCHAN PHD 1.0 X 0 0 0 JACOB GOLDFIELD 1.0 X 0 0 0 LEO GUTHART 1.0 X 0 0 0 LAURIE LANDEAU VMD 1.0 X 0 0 0 THOMAS LEHRMAN 1.0 X 0 0 0 STEPHEN LESSING 1.0 X 0 0 0 ROBERT D LINDSAY 1.0 X 0 0 0 HOWARD MORGAN 1.0 X 0 0 0 JAMIE C NICHOLLS 1.0 X 0 0 0 LOUISE M PARENT 1.0 X 0 0 0 JOHN C PHELAN 1.0 X 0 0 0 THOMAS C QUICK 1.0 X 0 0 0 WILLIAM ROBERTSON 1.0 X 0 0 0 GEORGE SARD 1.0 X 0 0 0 ALAN SELIGSON 1.0 X 0 0 0 CHARLES L SAWYERS PHD 1.0 X 0 0 0 MARILYN SIMONS 1.0 X 0 0 0 DINAKAR SINGH 1.0 X 0 0 0 ANDREW SOLOMON 1.0 X 0 0 0 SAMUEL STANLEY JR MD 1.0 X 0 0 0 BRUCE STILLMAN 39.0 X X 518221 0 227331 JEROME SWARTZ PHD 1.0 X 0 0 0 PAUL TAUBMAN 1.0 X 0 0 0 EDWARD TRAVAGLIANTI 1.0 X 0 0 0 SANDRA TYTEL 1.0 X 0 0 0 ROY J ZUCKERBERG 1.0 X 0 0 0 DAVID BOTSTEIN 1.0 X 0 0 0 TIMOTHY BROADBENT 1.0 X 0 0 0 DAVID RUBENSTEIN 1.0 X 0 0 0 ALAN STEPHENSON 1.0 X 0 0 0 JAMES STONE 1.0 X 0 0 0 W DILLAWAY AYRES 39.0 X 422835 0 199375 LARI C RUSSO 39.0 X 227013 0 28546 ARTHUR BRINGS 40.0 X 215429 0 64253 WALTER GOLDSCHMIDTS 39.0 X 282288 0 58260 DAVID SPECTOR 40.0 X 346388 0 61160 THOMAS GINGERAS 40.0 X 282358 0 37916 ADRIAN KRAINER 40.0 X 268052 0 53464 NICHOLAS TONKS 40.0 X 267090 0 53312 DR JAMES D WATSON 40.0 X 390912 0 184711 MICHAEL WIGLER 40.0 X 326450 0 58820 3547036 0 1027148 86 false true false CENTERBROOK ARCHITECTS PO BOX 955 CENTERBROOK CT 06409 ARCHITECTURAL 782559 WILMER CUTLERPICKERINGHALE PO BOX 7247-8760 PHILADELPHIA PA 19170 LEGAL-PATENT 509440 SCULLY SCOTT MURPHY PRESSER 400 GARDEN CITY PLAZA SUITE 300 GARDEN CITY NY 11530 LEGAL 251752 KPMG LLP ROUTE 100 MELVILLE NY 11375 ACCOUNTING/AUDIT 291900 EXECUTIVE CLEANING SERVICES 460 NEW YORK AVENUE HUNTINGTON NY 11743 HOUSEKEEPING 263827 5 3672326 5089600 54464404 115925576 1981490 179151906 MEETINGS AND COURSES 611600 4648146 4648146 CO-PARTICIPANT PROJECTS 541700 937656 937656 PUBLICATIONS 713110 9848446 9180276 668170 DINING 611710 4049129 4049129 HOUSING 611710 2448406 2448406 21931783 3466615 41774 3424841 0 2521963 2521963 132694 58002 74692 74692 74692 19543425 120959 17039506 100000 2503919 20959 2524878 2524878 303670 3672326 448108 -144438 -144438 0 0 EMPLOYEE DINING 611710 260565 260565 YEAR ROUND HOUSING 611710 896867 896867 MISCELLANEOUS 541900 135538 135538 1292970 210820369 21263613 709944 9694906 4915266 4915266 0 350527 350527 0 4564184 2468334 1520227 575623 0 48033986 43155684 4060725 817577 3032843 2724829 256393 51621 9027091 8369013 498221 159857 3233479 2840521 340546 52412 0 1109995 862336 182092 65567 368174 368174 0 0 541945 541945 1159254 914080 178683 66491 277342 275211 2131 22194278 20919786 1245652 28840 1269850 1220064 49414 372 842417 842417 7702142 6705333 996802 7 1925771 1864438 36146 25187 0 3830437 3828990 1447 4384435 3915520 468915 0 14683103 12975101 1679116 28886 727657 727657 PRINTING AND PUBLICATIONS 4454790 4414096 31017 9677 SERVICE CONTRACTS & REPAIRS 2859311 2590687 268624 MISCELLANEOUS 2357789 1549104 486084 322601 143846066 127701337 13937880 2206849 6410 7110 57594205 56193478 111998250 168877749 1999074 4695170 0 0 0 0 0 0 3555193 3292898 4086276 6132791 350444029 108677533 238704793 241766496 92605824 81811151 80276802 90539920 0 0 0 0 6830013 7229526 597656840 660546289 9152129 11129291 0 0 5605677 4575848 97200000 97200000 0 0 0 0 0 0 0 0 18075656 39305189 130033462 152210328 X 227814588 205927703 147464506 208696203 92344284 93712055 467623378 508335961 597656840 660546289 X 66974303 -26261720 X false true true X true true X 127999745 158856060 123621810 112619962 179151906 702249483 127999745 158856060 123621810 112619962 179151906 702249483 71349005 630900478 8665479 9077401 5798391 4282361 7018139 34841771 0 131102 156192 0 0 287294 249203 149154 124453 168383 135538 826731 738205279 108758272 0.85464 0.86174 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X 3 125.00 1 0 1 false 100.00 3500 204749076 5325021 491507 16793937 751116 193020551 183810446 16281808 17839551 12440512 742217 204749076 158727484 11528721 26263315 12215524 493550 183810446 189938403 21951641 -42369674 10061971 730915 158727484 0.39470 0.48590 0.11940 false false 16059324 16059324 249362253 61855766 187506487 584844 275367 309477 74588034 46186872 28401162 9849575 359529 9490046 241766496 ALTERNATIVE INVESTMENTS 90539920 F 90539920 0 ACCRUED SWAP FMV 37726697 OTHER NOTES PAYABLE 1578492 39305189 CONSERVATION EASEMENTS SCHEDULE D, PART II, LINE 9 THE LABORATORY INCLUDES ANY EXPENSES FROM THE CONSERVATION EASEMENTS IN ITS GENERAL EXPENSES. THE EASEMENTS DO NOT GENERATE ANY OTHER MATERIAL EXPENSES OR LIABILITIES AND ARE THEREFORE NOT SEPARATELY DISCLOSED IN THE NOTES TO THE FINANCIAL STATEMENTS. ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE LABORATORY'S ENDOWMENT CONSISTS OF APPROXIMATELY 120 INDIVIDUAL FUNDS ESTABLISHED FOR A VARIETY OF PURPOSES INCLUDING PRIMARY PROGRAM SERVICES FOR BOTH RESEARCH AND EDUCATION, AND OPERATIONS AND FACILITIES COSTS. ITS ENDOWMENT INCLUDES BOTH DONOR-RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS. OTHER LIABILITIES SCHEDULE D, PART X NOTE PAYABLE - REPRESENTS A NOTE BETWEEN COLD SPRING HARBOR LABORATORY AND THE ROBERTSON RESEARCH FUND, INC. A RELATED 501(C)(3) ORGANIZATION OF THE LABORATORY WHICH WAS ORIGINATED IN 1996. THE NOTE IS PAYABLE IN 30 ANNUAL INSTALLMENTS AND BEARS INTEREST AT A RATE OF 6% PER ANNUM. ACCRUED SWAP FAIR MARKET VALUE - IN APRIL 2006, THE LABORATORY ENTERED INTO AN INTEREST RATE SWAP AGREEMENT TO MITIGATE THE RISK OF INTEREST RATES ASSOCIATED WITH THE SERIES 1999 AND SERIES 2006 BOND ISSUES. UNDER THE TERMS OF THE AGREEMENT, THE LABORATORY PAYS INTEREST AT A PREDETERMINED FIXED RATE OF 3.802% AND RECEIVES 68% OF 3-MONTH LIBOR ON THE NOTIONAL PRINCIPAL AMOUNT OF $97.2 MILLION. THE SWAP AGREEMENT HAS AN EFFECTIVE DATE OF OCTOBER 1, 2006 AND A TERMINATION DATE OF JANUARY 1, 2042. THE FAIR VALUE OF THE INTEREST RATE SWAP WAS A LIABILITY OF $37,726,697 AT DECEMBER 31, 2011. FIN 48 SCHEDULE D, PART X THE LABORATORY AND ROBERTSON ARE EXEMPT FROM FEDERAL INCOME TAXES UNDER 501(C)(3) OF THE INTERNAL REVENUE CODE. ACCORDINGLY, THEY ARE NOT SUBJECT TO INCOME TAXES EXCEPT TO THE EXTENT THERE IS TAXABLE INCOME FROM ACTIVITIES THAT ARE NOT RELATED TO THE EXEMPT PURPOSES. THE LABORATORY RECOGNIZES THE EFFECTS OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. CSH ASIA WAS ESTABLISHED AS A TAXABLE ORGANIZATION WHERE THE LABORATORY HAS BEGUN EFFORTS TO CONVERT THE ORGANIZATION TO A NOT-FOR-PROFIT ORGANIZATION IN CHINA. PROVISIONS FOR UNRELATED BUSINESS INCOME TAXES ARE INCLUDED IN ACCOUNTS PAYABLE AND ACCRUED EXPENSES. true Central America and the Caribbean 0 0 Investments 31815804 Europe (Including Iceland and Greenland) 0 0 Investments 6726301 East Asia and the Pacific 0 0 Grantmaking 140465 Europe (Including Iceland and Greenland) 0 0 Grantmaking 189187 North America 0 0 Grantmaking 20875 East Asia and the Pacific 1 1 Program Services 2311773 1 1 1 1 41204405 41204405 East Asia/Pacific 140465 CHECK Europe/Iceland/Greenland 189187 CHECK North America 20875 CHECK 5 0 true false true true true false SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES SCHEDULE F, PART I, LINE 2 SEE SCHEDULE O FOR SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES DISCLOSURE. ACCOUNTING METHOD PART I, SECTION 3, COLUMN (F) AND PART II, SECTION 1 ACCOUNTING METHOD FOR INVESTMENTS: FMV ACCOUNTING METHOD FOR GRANTS: ACCRUAL AWARD DINNER 3439230 3328230 111000 0 0 23378 141516 4850 89755 GOLF OUTING 224940 102820 122120 0 0 60587 23628 0 6390 2 311826 241276 70550 0 0 0 51057 5000 41947 3975996 3672326 303670 0 0 83965 216201 9850 138092 448108 -144438 true ALBERT EINSTEIN COLLEGE OF MEDICINE JACK PEARL RESNICK CAMPUS BELFER BLDG RM 1108 1300 MORRIS P BRONX NY 10461 131624225 501(C)(3) 46842 BOOK VALUE RESEARCH BRANDEIS UNIVERSITY 415 SOUTH STREET WALTHAM MA 02454 042103552 501(C)(3) 277523 BOOK VALUE RESEARCH BRIGHAM AND WOMEN'S HOSPITAL 75 FRANCIS ST BOSTON MA 02115 042312909 501(C)(3) 181577 BOOK VALUE RESEARCH BRIGHAM YOUNG UNIVERSITY PO BOX 21128 PROVO UT 846021128 870533795 501(C)(3) 79188 BOOK VALUE RESEARCH CORNELL UNIVERSITY MEDICAL COLLEGE PO BOX 22 ITHACA NY 14851 150532082 501(C)(3) 772639 BOOK VALUE RESEARCH COLUMBIA UNIVERSITY PO BOX 29789 NEW YORK NY 10087 135598093 501(C)(3) 32518 BOOK VALUE RESEARCH ALLEN INSTITUTE FOR BRAIN 551 N 34TH STREET SEATTLE WA 98103 912155317 501(C)(3) 11951 BOOK VALUE RESEARCH BOSTON UNIVERSITY 25 BUICK ST BOSTON MA 02215 042103547 501(C)(3) 44681 BOOK VALUE RESEARCH BROOKHAVEN NATIONAL LAB 2 CENTER STREET UPTON NY 119731197 113403915 N/A 348563 BOOK VALUE RESEARCH MEMORIAL SLOAN-KETTERING GENERAL POST OFFICE PO BOX 26338 NEW YORK NY 10087 912154267 501(C)(3) 203914 BOOK VALUE RESEARCH OREGON STATE UNIVERSITY OFFICE OF POST AWARD ADMIN PO B CORVALLIS OR 973391086 936022772 501(C)(3) 128016 BOOK VALUE RESEARCH RESEARCH FOUNDATION OF SUNY W-5510 MELVILLE LIBRARY STONY BROOK NY 117943366 141368361 501(C)(3) 76839 BOOK VALUE RESEARCH ST JUDE'S CHILDRENS RESEARCH HOSPITAL 501 ST JUDE PLACE MEMPHIS TN 38105 067711789 501(C)(3) 71114 BOOK VALUE RESEARCH UNIVERSITY OF CAL SAN FRANCISCO 1855 FOLSOM ST425 SAN FRANCISCO CA 94143 946036493 501(C)(3) 304000 BOOK VALUE RESEARCH UNIVERSITY OF CALIFORNIA BERKELEY 481 UNIVERSITY HALL BERKELEY CA 94720 194600212 501(C)(3) 40000 BOOK VALUE RESEARCH UNIVERITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DRIVE LJOLLA CA 92093 943067788 501(C)(3) 68087 BOOK VALUE RESEARCH UNIVERSITY OF CHICAGO 5847 S MARYLAND AVE CHICAGO IL 60637 362177139 501(C)(3) 195624 BOOK VALUE RESEARCH JCRAIG VENTER INSTITUTE INC 9704 MEDICAL CTR DR ROCKVILLE MD 20850 521842938 501(C)(3) 78412 BOOK VALUE RESEARCH UNIVERSITY OF MICHIGAN 3003 S STATE ST ANN ARBOR MI 48109 386006309 501(C)(3) 225470 BOOK VALUE RESEARCH UNIVERSITY OF MINNESOTA 555 ESSEX ST SE MINNEAPOLIS MN 55455 416007513 501(C)(3) 221566 BOOK VALUE RESEARCH UNIVERSITY OF SOUTHERN CALIFORNIA 3500 S FIGUEROA ST102 LA CA 90089 951642394 501(C)(3) 307556 BOOK VALUE RESEARCH UNIVERSITY OF TEXAS AT DALLAS 800W CAMPBELL RD AD37 RICHARDSON TX 75080 751305566 501(C)(3) 105974 BOOK VALUE RESEARCH UNIVERSITY OF WYOMING DEPT OF SPONSORED PROGRAMS 1000 E UNIVERSITY AVE LARAMIE WY 82071 836000331 501(C)(3) 532286 BOOK VALUE RESEARCH VANDERBILT UNIVERSITY MEDICAL CENTER SEPT OF FINANCE DEPT 40303 ATLANTA GA 311920303 620476822 501(C)(3) 264760 BOOK VALUE RESEARCH WEILL CORNELL MEDICAL COLLEGE 100 BROADWAY 8TH FL NEW YORK NY 10005 133376695 501(C)(3) 296164 BOOK VALUE RESEARCH 25 0 SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES SCHEDULE F, PART I, LINE 2 SEE SCHEDULE O FOR SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES DISCLOSURE. X X true true X X X X false true false false false false false true false BRUCE STILLMAN 504025 0 0 0 14196 0 112196 0 115135 0 745552 0 0 0 W DILLAWAY AYRES 394006 0 0 0 28829 0 175456 0 23919 0 622210 0 0 0 LARI C RUSSO 217013 0 10000 0 0 26638 0 1908 0 255559 0 0 0 ARTHUR BRINGS 212221 0 0 0 3208 25746 0 38507 0 279682 0 0 0 WALTER GOLDSCHMIDTS 257288 0 25000 0 0 36295 0 21965 0 340548 0 0 0 DAVID SPECTOR 336375 0 0 0 10013 0 44369 0 16791 0 407548 0 0 0 THOMAS GINGERAS 277267 0 0 0 5091 0 35502 0 2414 0 320274 0 0 0 ADRIAN KRAINER 243750 0 0 0 24302 0 30475 0 22989 0 321516 0 0 0 NICHOLAS TONKS 250000 0 0 0 17090 0 31412 0 21900 0 320402 0 0 0 DR JAMES D WATSON 375000 0 0 0 15912 0 50162 0 134549 0 575623 0 0 0 MICHAEL WIGLER 321230 0 0 0 5220 0 42097 0 16723 0 385270 0 0 0 ADDITIONAL DISCLOSURE SCHEDULE J, PART II, COLUMN D COLD SPRING HARBOR LABORATORY PROVIDES DR. STILLMAN, CEO/PRESIDENT, DR. WATSON, CHANCELLOR EMERITUS, AND ARTHUR BRINGS, VP CHIEF FACILITIES OFFICER, WITH HOMES ON ITS CAMPUS AND REQUIRES THEM TO BE USED AS A CONDITION OF THEIR EMPLOYMENT FOR THE CONVENIENCE OF THE LABORATORY. THE VALUE OF THE NON-TAXABLE PERSONAL USE OF THE HOMES ALONG WITH OTHER EXPENSES ARE INCLUDED IN COLUMN D. SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART I, LINE 4B THE FOLLOWING INDIVIDUALS PARTICIPATED IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN: NAME OF PARTICIPANT AMOUNT NAME OF PARTICIPANT AMOUNT BRUCE STILLMAN 81,534 WALTER GOLDSCHMIDTS 5,633 DR JAMES D. WATSON 19,500 MIKE WIGLER 11,435 DILL AYRES 144,794 THOMAS GINGERAS 4,840 DAVID SPECTOR 13,706 NICHOLAS TONKS 750 THE LABORATORY PROVIDES SENIOR STAFF MEETING CERTAIN REQUIREMENTS SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLANS. AMOUNTS REPORTED REPRESENT PAYMENTS TO THESE PLANS WHICH ARE NOT VESTED AND REMAIN SUBJECT TO SUBSTANTIAL SERVICE REQUIREMENTS AND RISK OF FORFEITURE UPON EARLY TERMINATION. SCHEDULE J, PART I, LINE 7 A BONUS OF $25,000 WAS PAID TO WALTER GOLDSCHMIDTS, THE EXECUTIVE DIRECTOR OF SPONSORED PROGRAMS FOR PERFORMANCE. A BONUS OF $10,000 WAS PAID TO LARI C. RUSSO, CFO, BY COLD SPRING HARBOR ASIA, A WHOLLY OWNED SUBSIDIARY OF COLD SPRING HARBOR LABORATORY, ALSO FOR PERFORMANCE. SCHEDULE J, PART II, COLUMN B (III) OTHER REPORTABLE COMPENSATION OF W. DILLAWAY AYRES, JR AND DR. BRUCE STILLMAN INCLUDES TUITION REIMBURSEMENT AND CLUB DUES. THE DUES ARE FOR MEMBERSHIP FEES IN CLUBS REQUIRED BY THE ORGANIZATION FOR FURTHERANCE OF BUSINESS RELATIONSHIPS AND MEETINGS. NASSAU COUNTY IDA 112559657 631657KT9 2006-06-27 55000000 CONSTRUCTION OF RESEARCH BUILDINGS false false false 0 0 55000000 0 0 0 1743581 0 547324 52709095 0 0 2009 false false true true false false false false false 0.00300 0.00000 0.00300 true true true true JP MORGAN 35. false false true PALLAS CAPITAL 1.8 true true false TD BANK SEE PART V 248106 BANK FEES false PART IV BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS COLUMN (B): ---------- BOARD MEMBER IS THE PRESIDENT OF TD BANK, LONG ISLAND. ADDITIONAL DISCLOSURE: ---------------------- THE SECRETARY OF THE COLD SPRING HARBOR LABORATORY'S BOARD OF TRUSTEES, EDWARD TRAVAGLIANTI, IS EMPLOYED AS THE PRESIDENT OF TD BANK LONG ISLAND. IN ADDITION TO FUNCTIONING AS SECRETARY, MR. TRAVAGLIANTI IS AN ACTIVE MEMBER OF MANY OF THE BOARD COMMITTEES, INCLUDING THE EXECUTIVE, INVESTMENT AND FINANCE COMMITTEES. THE LABORATORY'S MAIN OPERATING BANK ACCOUNTS ARE HELD AT BOTH JP MORGAN CHASE AND TD BANK. THE LABORATORY USES STANDBY LETTERS OF CREDIT WHICH SUPPORT ITS MUNICIPAL BOND ISSUES FROM JP MORGAN CHASE AND TD BANK. THE ACCOUNT REPORT ON SCHEDULE L REPRESENTS THE STANDBY FEE PAID TO TD BANK. MR. TRAVAGLIANTI HAS BILATERALLY RECUSED HIMSELF FROM ANY DISCUSSIONS, NEGOTIATIONS, APPROVAL, VOTES, ETC. WITH REGARD TO THE RELATIONSHIP WITH TD BANK. X 32 1481490 MEAN VALUE X 1 500000 COST TO DONOR 1 false false true STATEMENT OF OTHER PROGRAM SERVICE ACCOMPLISHMENTS Form 990, PART III, LINE 4D WATSON SCHOOL OF BIOLOGICAL SCIENCES: THE GOALS OF THE WSBS INCLUDE PROVIDING BROAD EDUCATION IN THE BIOLOGICAL SCIENCES AND TEACHING THE STUDENTS THAT LEARNING IS A LIFE LONG PROCESS THAT GOES HAND IN HAND WITH RESEARCH. A WSBS EDUCATION FOCUSES ON PLANT GENETICS, CANCER, NEUROSCIENCE AND BIOINFORMATICS. THERE WERE APPROXIMATELY 50 GRADUATE STUDENTS ATTENDING THE SCHOOL IN 2011 WITH 14 EARNING THEIR PHD'S. BANBURY CENTER: THE OBJECTIVE OF THE BANBURY CENTER IS TO HOLD WORKSHOPS COVERING FUNDAMENTAL RESEARCH AND TOPICS OF SPECIAL INTEREST IN BIOTECHNOLOGY AS WELL AS SCIENTIFIC EDUCATION. IN 2011, 21 MEETINGS WERE HELD. OVER 500 PARTICIPANTS FROM BOTH THE SCIENTIFIC AND BUSINESS COMMUNITIES ATTENDED THESE MEETINGS. SPECIFIC TOPICS IN 2011 INCLUDED MELANOMA, LYME DISEASES, AND PSYCHIATRIC GENOMICS DNA LEARNING CENTER: THE MAIN OBJECTIVE OF THE LEARNING CENTER INCLUDES TRAINING TEACHERS AT THE PRE-COLLEGE LEVEL IN BIOTECHNOLOGY LAB INSTRUCTION. STUDENTS INTRODUCED TO BIOTECHNOLOGY AT LOCAL AREA SCHOOLS ARE NOW PURSUING ADVANCED DEGREES IN SCIENCE. THE CENTER OFFERS IN-HOUSE SUMMER CAMPS AND WORKSHOPS, FIELD TRIPS TO THE CENTER (INCLUDING MEMBERSHIP IN THE "CURRICULUM STUDY PROGRAM") AND A CUSTOMIZED SCHOOL SITE. OVER 50,000 STUDENTS, TEACHERS AND OTHER VISITORS HAVE ATTENDED DNALC PROGRAMS. CONSOLIDATED FINANCIAL STATEMENTS Form 990, PART IV, LINE 12 THE COLD SPRING HARBOR LABORATORY IS AUDITED IN COMBINATION WITH ITS RELATED ORGANIZATION ROBERTSON RESEARCH FUND,INC. [EIN: 23-7224244], ALTHOUGH SEPARATE AUDITED FINANCIAL STATEMENTS ARE NOT ISSUED FOR THE COLD SPRING HARBOR LABORATORY, A CONSOLIDATED AUDITED FINANCIAL STATEMENT WAS ISSUED FOR THE YEAR 2011 WHICH WAS PREPARED IN ACCORDANCE WITH GAAP. 990 REVIEW FORM 990, PART VI, SECTION B, LINE 11 THE CONSOLIDATED FINANCIAL STATEMENTS AND THE 990 OF THE ORGANIZATION ARE PREPARED BY THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY. THE FINANCE OFFICE USES THE BOOKS AND RECORDS OF THE ORGANIZATION TO PREPARE THE FINANCIAL STATEMENTS AND THE 990. THESE RECORDS ARE LARGELY INCLUDED IN THE AUDITED DOCUMENTS BY AN INDEPENDENT AUDITOR. UPON COMPLETION OF THE AUDITED FINANCIAL STATEMENTS, THE REMAINING DOCUMENTATION NEEDED TO PREPARE THE 990 IS FINALIZED. THE CFO THEN PROCEEDS WITH A DETAILED REVIEW OF THE 990, REQUIRED ADDITIONAL DOCUMENTATION AND SCHEDULES. THESE DOCUMENTS ARE FORWARDED TO KPMG, LLP WHO REVIEWS THE DRAFT RETURN AND SUPPORTING INFORMATION AND PREPARES THE RETURN FOR ELECTRONIC FILING TO THE IRS. COPIES OF THE RETURN ARE REVIEWED BY THE AUDIT COMMITTEE AND PROVIDED TO MEMBERS OF THE BOARD OF TRUSTEES PRIOR TO FILING WITH THE IRS. CONFLICT OF INTEREST POLICY Form 990, PART VI, Section B, LINE 12C THE ORGANIZATION REQUIRES ALL SENIOR STAFF TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE ORGANIZATION ALSO REQUIRES ALL MEMBERS OF THE BOARD OF TRUSTEES TO FILE AN ANNUAL QUESTIONNAIRE DISCLOSING POSSIBLE SOURCES OF CONFLICT OF INTEREST ACCORDING TO THE CONFLICT OF INTEREST POLICY OF THE ORGANIZATION. THE BOARD OF TRUSTEES IS MADE UP OF A LARGE GROUP OF LEADERS WITHIN THE SCIENTIFIC AND FINANCIAL COMMUNITIES. ANY MEMBER WITH A PERCEIVED OR ACTUAL CONFLICT WITH RESPECT TO A CONTEMPLATED TRANSACTION SHALL RECUSE THEMSELVES FROM ANY DELIBERATION OR DETERMINATION OF THE TRANSACTION CONSIDERED. REPORTING IS MANAGED BY THE OFFICE OF THE CHIEF OPERATING OFFICER FOR MEMBERS OF THE BOARD OF TRUSTEES AND THE OFFICE OF THE VP TECHNOLOGY TRANSFER AND IN-HOUSE LEGAL COUNSEL FOR SENIOR STAFF. COMPENSATION Form 990, PART VI, Section B, LINE 15 THE COMPENSATION OF ALL STAFF MEMBERS EARNING WAGES IN EXCESS OF $250,000, INCLUDING THE PRESIDENT AND CHIEF OPERATING OFFICER, IS DETERMINED BY AN EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. THE VP HUMAN RESOURCES REPORTS DIRECTLY TO THE COMMITTEE WHICH IS MADE UP OF INDEPENDENT MEMBERS OF THE BOARD OF TRUSTEES. REPORTING INCLUDES COMPARABILITY DATA AND OTHER INFORMATION GATHERED AT THE REQUEST OF THE COMMITTEE. CONTEMPORANEOUS SUBSTANTIATION OF THE DELIBERATION AND DISCUSSION IS MAINTAINED BY THE VP HUMAN RESOURCES. GOVERNING DOCUMENTS Form 990, PART VI, Section B, LINE 19 THE ORGANIZATION MAINTAINS ALL DOCUMENTS INCLUDING GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICIES, ANNUAL REPORTS, FINANCIAL STATEMENTS AND TAX RETURNS AT THE FINANCE OFFICE OF COLD SPRING HARBOR LABORATORY, LOCATED AT 1 BUNGTOWN ROAD, COLD SPRING HARBOR, NEW YORK 11724. IN ADDITION MANY OF THESE DOCUMENTS ARE AVAILABLE ONLINE AT WWW.CSHL.EDU. RECONCILIATION OF NET ASSETS FROM 990 TO FINANCIAL STATEMENTS PART XI, LINE 5 OTHER CHANGES IN NET ASSETS CONSIST OF: UNREALIZED LOSS (4,974,182) CHANGE IN FMV OF SWAP (21,287,538) ------------ (26,261,720) ============ SUBAWARD/SUBRECIPIENT MONITORING PROCEDURES. SCHEDULE F AND I, PARTS I, LINE 2 A. INTRODUCTION 1. PURPOSE THE PURPOSE OF THIS PROCEDURE IS TO ASSIST PRINCIPAL INVESTIGATORS, RESEARCH ADMINISTRATORS AND OFFICE OF SPONSORED PROGRAMS (OSP) STAFF OF COLD SPRING HARBOR LABORATORY IN MONITORING AND OVERSEEING SUBRECIPIENTS, OR COLLABORATING INSTITUTIONS, AND ENSURING THAT THEIR RESEARCH PROJECTS ARE CONDUCTED IN COMPLIANCE WITH APPLICABLE LAWS AND THE TERMS AND CONDITIONS OF BOTH THE PRIME AWARD AND THE SUBAWARD AGREEMENT. 2. SCOPE APPLIES WHEN COLD SPRING HARBOR LABORATORY (CSHL) IS THE PRIME INSTITUTION, OR THE DIRECT RECIPIENT OF FUNDING FROM A SPONSOR, AND IS ENTERING INTO OR HAS ALREADY ENTERED INTO A SUBAWARD AGREEMENT WITH A SUBRECIPIENT OR COLLABORATING INSTITUTION. B. POLICY 1. GENERAL SUBRECIPIENT MONITORING ENCOMPASSES THE FOLLOWING: ADVISING SUBRECIPIENTS OF APPLICABLE FEDERAL LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS OF THE PRIME AGREEMENT THE ROUTINE RECEIPT AND REVIEW OF TECHNICAL PERFORMANCE REPORTS THE ROUTINE REVIEW OF EXPENSES-TO-BUDGET THE PERIODIC PERFORMANCE OF ON-SITE VISITS, OR REGULAR CONTACT, IF NECESSARY THE OPTION TO PERFORM "AUDITS" IF NECESSARY REVIEW OF A-133 AUDIT REPORTS FILED BY SUBRECIPIENTS AND ANY AUDIT FINDINGS REVIEW OF CORRECTIVE ACTIONS CITED BY SUBRECIPIENTS IN RESPONSE TO THEIR AUDIT FINDINGS CONSIDERATION OF SANCTIONS ON SUBRECIPIENTS IN CASES OF CONTINUED INABILITY OR UNWILLINGNESS TO HAVE REQUIRED AUDITS OR TO CORRECT NON-COMPLIANT ACTIONS CSHL ALSO REQUESTS THAT SUBRECIPIENTS ANNUALLY PROVIDE UPDATED EVIDENCE OF COMPLIANCE WITH SPECIAL MANDATED REQUIREMENTS, SUCH AS ASSURANCES RELATED TO LAB ANIMALS, HUMAN SUBJECTS AND BIOHAZARDS, FOR EXAMPLE. 2. RESPONSIBILITIES OSP IS RESPONSIBLE FOR PREPARING AND EXECUTING SUBAWARD AGREEMENTS, REQUESTING AND OBTAINING ASSURANCES, REVIEWING INVOICES, ASCERTAINING COMPLIANCE WITH AGREEMENTS, REGULATIONS AND AUDIT REQUIREMENTS AND TAKING CORRECTIVE ACTIONS, AS NECESSARY. 3. PROCEDURE PRINCIPAL INVESTIGATORS AND RESEARCH ADMINISTRATORS: MONITOR, WITH THE ASSISTANCE OF OSP STAFF, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. REVIEW AND EVALUATE THE SUBRECIPIENT'S PROGRESS THROUGH TECHNICAL PROGRESS REPORTS AND OTHER PERIODIC COMMUNICATIONS, AS APPROPRIATE. ASSESS THE SUBRECIPIENT'S CONTRIBUTION TO OVERALL PROJECT AIMS. REVIEW, QUESTION AS NECESSARY AND APPROVE THE COSTS CHARGED BY SUBRECIPIENTS FOR THE WORK PERFORMED UNDER THE SUBAWARD. EXPENSES CHARGED ON INVOICES SHOULD BE CONSISTENT WITH THE ESTABLISHED SCOPE OF WORK. OSP ADMINISTRATOR (POST AWARD SENIOR GRANTS MANAGER AND ACCOUNTING ASSISTANT): MONITOR WITH THE ASSISTANCE OF PLS, SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. THROUGH THE USE OF STANDARD SUBRECIPIENT AGREEMENTS, ENSURE ALL AGREEMENTS INCLUDE THE CFDA TITLE AND NUMBER, AWARD NAME AND NUMBER, AWARD YEAR FOR FEDERAL AWARDS; ADVISE SUBRECIPIENTS OF REQUIREMENTS IMPOSED ON THEM BY FEDERAL LAWS, REGULATIONS AND THE PROVISIONS OF CONTRACTS OR GRANT AGREEMENTS, AS WELL AS SUPPLEMENTAL REQUIREMENTS; INCLUDE PRIME AWARD AS PART OF AGREEMENT; REQUIRE SUBRECIPIENT TO CERTIFY INVOICES AND REQUIRE SUBRECIPIENT TO REPORT PROMPTLY TO CSHL ANY ADVERSE FINDINGS RELATED TO CSHL SUBAWARDS IDENTIFIED IN THEIR ANNUAL A-133 AUDITS. ACTIVELY ENGAGE AND RECEIVE CONSULTATION FROM THE CSHL OFFICE OF TECHNOLOGY TRANSFER REGARDING INTELLECTUAL PROPERTY ISSUES AS NEEDED. AT THE SIGNING OF THE SUBAWARD AGREEMENT AND ANNUALLY THEREAFTER REQUEST SUBRECIPIENT PROVIDE UPDATED ASSURANCES RELATED TO LAB ANIMALS AND HUMAN STUDIES, AS NECESSARY. ON AN ONGOING BASIS MONITOR THE INVOICES OF SUBRECIPIENTS. PERIODICALLY COMPARE CUMULATIVE COSTS TO PREVIOUSLY ESTABLISHED BUDGETS AND ENSURE THAT EXPENSES INVOICED ARE FOR THE APPROPRIATE BUDGET PERIOD. MAKE SURE THAT INVOICED COSTS ARE NOT IN EXCESS OF BUDGETED AMOUNTS AND ARE NOT DUPLICATES OF PREVIOUSLY INVOICED COSTS. UPON REVIEW OF INVOICE, FORWARD TO PRINCIPAL INVESTIGATOR FOR FURTHER REVIEW AND ACCEPTANCE. AT LEAST ANNUALLY, REQUEST EVIDENCE THAT SUBRECIPIENTS EXPENDING $500,000 OR MORE IN AWARDS DURING THEIR FISCAL YEAR HAVE MET A-133 AUDIT REQUIREMENTS FOR THAT FISCAL YEAR. IDENTIFY ANY MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS THAT RESULT FROM THE A-133 AUDIT OF NONCOMPLIANCE OR REPORTED FINDINGS TO DETERMINE WHETHER ADJUSTMENTS ARE NEEDED TO CSHL'S RECORDS. FOR SUBRECIPIENTS THAT HAVE REPORTED MATERIAL WEAKNESSES OR REPORTABLE CONDITIONS FROM THE A-133 AUDIT, FOLLOW UP TO MAKE SURE THAT SUBRECIPIENT TAKES APPROPRIATE AND TIMELY CORRECTIVE ACTION. AT CLOSEOUT OF THE SUBAWARD ENSURE THAT THE FINAL INVOICE HAS BEEN RECEIVED AND REVIEWED. OTHER INFORMATION BOARD RELATIONSHIPS THE TREASURER OF THE COLD SPRING HARBOR LABORATORY'S BOARD OF TRUSTEES, LEO GUTHART, IS ALSO THE CHAIRMAN OF THE AUDIT COMMITTEE, A MEMBER OF THE EXECUTIVE COMMITTEE AND INTELLECTUAL PROPERTIES COMMITTEE. IN ADDITION, MR. GUTHART IS THE FOUNDER AND CEO OF TOPSPIN PARTNERS, A FUND WHICH INVESTS IN BUSINESSES WHICH HAVE THEIR BASIS IN PROVEN SCIENTIFIC RESEARCH. TOPSPIN HAS SUPPORTED AND CONTINUES TO SUPPORT THE FOUNDING OF SEVERAL START-UP BIOTECH COMPANIES IN CONJUNCTION WITH CSHL SCIENTISTS. HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:LEO GUTHART TITLE:TREASURER HOURS:1 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:JAMIE C. NICHOLLS TITLE:CHAIRMAN HOURS:1 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:WILLIAM ROBERTSON TITLE:TRUSTEE HOURS:1 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:BRUCE STILLMAN TITLE:CHIEF EXE. OFFICER/PRESIDENT HOURS:1 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:W. DILLAWAY AYRES TITLE:CHIEF OPERATING OFFICER HOURS:1 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:LARI C. RUSSO TITLE:CHIEF FINANCIAL OFFICER HOURS:1 HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:WALTER GOLDSCHMIDTS TITLE:EXEC. DIRECTOR SPONSORED PGMS HOURS:1 ROBERTSON RESEARCH FUND INC PO BOX 100 COLD SPRING HARBOR NEW YORK NY 11724 237224244 SUPPORT DE 501 (C)(3) 11 NA false COLD SPRING HARBOR LABORATORY ASSN PO BOX 100 COLD SPRING HARBOR NY 11724 111631792 SUPPORT NY 501 (C)(3) 11 NA false COLD SPRING HARBOR ASIA (SIP) LTD 218 XIN HU ST SUZHOU CHINA CH 215125 999999999 SCIENTIFIC MT CH NA C CORP 2311773 962601 1.00000 MILLER CHARITABLE REMAINDER TRUST PO BOX 100 COLD SPRING HARBOR NY 11724 INVESTMENT NY CSHL TRUST 1.00000 SYZBALSKI CHARITABLE REMAINDER TRUST PO BOX 100 COLD SPRING HARBOR NY 11724 INVESTMENT NY CSHL TRUST 1.00000 false false true true false false false false false false true true true true false true true true COLD SPRING HARBOR ASIA (SIP) LTD P 243118 CASH BASIS