2021-08-02T14:20:03-05:00 2020-09-30 390859910 BAKER TILLY US LLP 1570 FRUITVILLE PIKE SUITE 400 LANCASTER PA 17601 990 2019-10-01 061504725 CHILD HEALTH AND DEVELOPMENT INSTITUTE OF CONNECTICUT INC CHIL 8606791516 270 FARMINGTON AVE NO 367 FARMINGTON CT 06032 PAUL SUTER VP FOR FINANCE AND OPS 8606791516 2021-08-02 1 KERRI N BOGDA CPA P00760402 7177404863 X 2019 2022-09-23 18:48:47Z JEFFREY J VANDERPLOEG 270 FARMINGTON AVE NO 367 FARMINGTON CT 06032 6189824 0 X WWW.CHDI.ORG X 1997 CT TO ENSURE HEALTHY OUTCOMES FOR ALL CHILDREN IN CONNECTICUT BY ADVANCING EFFECTIVE POLICIES, STRONGER SYSTEMS, AND INNOVATIVE PRACTICES. 17 9 40 17 0 0 6207766 6089824 0 0 -639 0 100000 100000 6307127 6189824 87495 91000 0 0 2926280 3584262 0 0 10098 3156035 2455989 6169810 6131251 137317 58573 1551319 1566608 747597 704313 803722 862295 X TO ENSURE HEALTHY OUTCOMES FOR ALL CHILDREN IN CONNECTICUT BY ADVANCING EFFECTIVE POLICIES STRONGER SYSTEMS, AND INNOVATIVE PRACTICES. 0 0 4988995 83000 MENTAL HEALTH CARE - IN ADDITION TO THEIR PHYSICAL HEALTH, CHILDREN'S POSITIVE DEVELOPMENT DEPENDS ON THEIR SOCIAL AND EMOTIONAL WELL-BEING. CHDI FOCUSES ON PREVENTION, EARLY INTERVENTION AND PROVIDING ACCESS TO QUALITY CHILDREN'S MENTAL HEALTH SERVICES AND TRAUMA-INFORMED CARE FOR CHILDREN WITH BEHAVIORAL HEALTH NEEDS. WE COLLABORATE WITH STATE AGENCIES, COMMUNITY-BASED PROVIDERS, SCHOOLS, AND ACADEMIC INSTITUTIONS TO IDENTIFY, IMPLEMENT, AND EVALUATE EFFECTIVE MODELS OF TREATMENT, AND HAVE DEVELOPED AN APPROACH TO ENSURE THESE RESEARCH-BASED MODELS WORK IN REAL-WORLD SETTINGS, RESULTING IN BETTER OUTCOMES FOR CHILDREN AND FAMILIES. OUR WORK HAS RESULTED IN MORE THAN 12,000 CHILDREN RECEIVING AN EVIDENCED-BASED TREATMENT FOR TRAUMA AND OTHER BEHAVIORAL HEALTH CONDITIONS SINCE 2008. WE HAVE HELPED CONNECTICUT BUILD TRAUMA-INFORMED SYSTEMS OF CARE AND ADVANCED STATEWIDE BEHAVIORAL HEALTH POLICY AND SYSTEM CHANGES SO CHILDREN CAN THRIVE. CHDI CO-DEVELOPED AND COORDINATES THE CONNECTICUT SCHOOL-BASED DIVERSION INITIATIVE (SBDI), WHICH HELPS SCHOOLS IDENTIFY AND CONNECT STUDENTS WITH BEHAVIORAL HEALTH CONCERNS TO COMMUNITY-BASED SERVICES, DECREASING THE LIKELIHOOD OF SUSPENSION, EXPULSION OR ARREST, AND PROMOTING BETTER ACADEMIC OUTCOMES AND OVERALL WELL-BEING. 600424 8000 HEALTH CARE: CHDI IS ADVANCING AND INFORMING EFFECTIVE, SUSTAINABLE IMPROVEMENTS IN HEALTH POLICY, SYSTEMS AND PRACTICE TO PROMOTE CHILDREN'S OPTIMAL HEALTHY DEVELOPMENT. WE IDENTIFY, TEST, AND IMPLEMENT NEW AND IMPROVED WAYS TO DELIVER CHILD HEALTH SERVICES, SO SYSTEMS ARE MORE EFFICIENT AND EFFECTIVE. CHDI INITIATED AND SUPPORTED THE DEVELOPMENT OF SEVERAL INNOVATIONS INCLUDING CARE COORDINATION COLLABORATIVES, MID-LEVEL DEVELOPMENTAL ASSESSMENT, AND PRIMARY CARE AND SUBSPECIALTY CO-MANAGEMENT. OUR EDUCATING PRACTICES PROGRAM PROVIDES TRAINING TO PEDIATRIC PRIMARY CARE PROVIDERS ON 19 TOPICS, SUCH AS MANAGING BEHAVIORAL HEALTH ISSUES, ORAL HEALTH SERVICES, TRAUMA, DEVELOPMENTAL SCREENING AND PROMOTING SOCIO-EMOTIONAL HEALTH IN YOUNG CHILDREN. AS A RESULT OF OUR WORK, MORE CHILDREN ARE RECEIVING DEVELOPMENTAL AND MENTAL HEALTH SCREENINGS IN PEDIATRIC PRIMARY CARE AND ARE BEING CONNECTED TO EARLY INTERVENTION SERVICES, CARE COORDINATION SERVICES, AND OTHER SUPPORTS. WE ALSO PROVIDE OPPORTUNITIES FOR CHILD HEALTH SITES TO IMPROVE THE CARE THEY PROVIDE BY USING DATA DRIVEN, QUALITY IMPROVEMENT METHODOLOGIES, AND CONNECT THEM TO OTHER SECTORS OF CARE THAT CONTRIBUTE TO CHILDREN'S DEVELOPMENT, SUCH AS CHILDCARE PROGRAMS AND SCHOOLS. WE ALSO REPRESENT CHILD HEALTH ISSUES IN THE STATE'S LARGER REFORM EFFORTS. OUR GOAL IS TO ENSURE THAT CHILDREN AND FAMILIES AND CHILD HEALTH SERVICES BENEFIT FROM HEALTH CARE REFORMS AND STATE INITIATIVES. 192775 EARLY CHILDHOOD - CHDI IS WORKING TO ENSURE ALL CHILDREN IN CONNECTICUT ARE OFF TO A HEALTHY START BY INTEGRATING EARLY CHILDHOOD HEALTH AND MENTAL HEALTH INTO SETTINGS WHERE YOUNG CHILDREN LIVE, LEARN AND PLAY AND BY PROMOTING HEALTHY EATING AND FEEDING FOR CHILDREN AGES BIRTH TO 2. WE USE THE AVAILABLE EVIDENCE ON THE IMPORTANCE OF THE EARLY YEARS AND EARLY BRAIN DEVELOPMENT TO ADVANCE POLICIES AND BUILD SYSTEMS OF CARE FOR YOUNG CHILDREN. OUR WORK, BASED ON SCIENTIFIC RESEARCH, INPUT FROM CONNECTICUT STAKEHOLDERS, AND EXAMPLES FROM OTHER STATES, INFORMS EARLY CHILDHOOD POLICIES AND PROMOTES BETTER PRACTICES TO PREVENT THE GROWING PROBLEMS OF SOCIO-EMOTIONAL DEVELOPMENT AND CHILDHOOD OBESITY. RESEARCH HAS ALSO CLEARLY DOCUMENTED THE IMPORTANCE OF SOCIAL-EMOTIONAL HEALTH AND PHYSICAL DEVELOPMENT IN THE FIRST YEARS OF LIFE AS THE GROUNDING FOR LIFELONG WELL-BEING. CHDI IS TRANSLATING INFANT ATTACHMENT RESEARCH INTO PRACTICE CHANGES AND POLICY SOLUTIONS BY SUPPORTING THE DEVELOPMENT OF A WORKFORCE TRAINED TO ADVANCE THE SOCIAL AND EMOTIONAL DEVELOPMENT OF CHILDREN BEGINNING IN THEIR EARLIEST YEARS. CHDI COLLABORATED WITH STATE AGENCIES TO DESIGN A SYSTEM FOR MONITORING CHILDREN'S DEVELOPMENT AND LINKING CHILDREN TO HELPFUL INTERVENTION SERVICES AS EARLY AS POSSIBLE. WE ARE ALSO SUPPORTING WAYS TO INTEGRATE CHILD CARE HEALTH CONSULTANTS, AND OTHER PROFESSIONALS THAT CONTRIBUTE TO CHILDREN'S HEALTH, SAFETY AND DEVELOPMENT, INTO THE LARGER HEALTH SYSTEM THROUGH STATEWIDE HEALTH REFORM EFFORTS. 5782194 1 1 0 1 0 0 0 0 0 0 1 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 45 0 40 1 0 0 0 0 0 0 0 0 0 0 0 0 X 17 9 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 CT X PAUL SUTER VP FOR FINANCE & OPERATIONS 8606791533 270 FARMINGTON AVE NO 367 FARMINGTON CT 06032 JIM SHMERLING BOARD MEMBER/CCMC PRESIDENT/CEO 0.50 50.00 X 0 1358934 222969 GIL PERI CHAIR/CCMC PRESIDENT & COO 0.50 50.00 X 0 861753 128594 GLENN FOCHT BOARD MEMBER/CCMC PRESIDENT/CEO/CEO 0.50 50.00 X 0 639308 99228 MOSES VARGAS SECRETARY/CCMC VP & GEN'L COUNSEL 0.50 50.00 X 0 415455 87237 JEFFREY J VANDERPLOEG PRESIDENT 42.00 8.00 X X 227558 0 41564 ALYSSA BENNETT BOARD MEMBER/CCMC DIV HEAD OF ADOLES MED 0.50 50.00 X X 0 214509 763007 CYNTHIA FITZGERALD BOARD MEMBER AS OF 3/20/CCMC SR DIR REV CYCLE 0.50 50.00 X 0 226318 10142 PAUL SUTER VP FOR FINANCE & OPERATIONS 8.00 42.00 X 159943 0 34802 AIMEE MONROY SMITH BOARD MEMBER AS OF 12/19/CCMC SVP GOVT REL 0.50 50.00 X 0 135207 40634 LISA HONIGFLED VP HEALTH 50.00 0.00 X 140902 0 28396 JASON LANG VP MENTAL HEALTH 50.00 0.00 X 132538 0 32062 JEANA BRACEY ASSOC. VP SCHOOL & COMMUNITY INITIATIVES 50.00 0.00 X 108666 0 29675 JULIE TACINELLI VP FOR COMMUNICATIONS 50.00 0.00 X 111397 0 14316 MARGARET GREY CHAIR 0.50 0.00 X X 0 0 0 TOM BARNES TREASURER 0.50 0.00 X X 0 0 0 JEN CARROLL SECRETARY 0.50 0.00 X X 0 0 0 ANDY AGWUNOBI BOARD MEMBER 0.50 0.00 X 0 0 0 GEORGE LISTER BOARD MEMBER 0.50 0.00 X 0 0 0 LINDA MAYES BOARD MEMBER 0.50 0.00 X 0 0 0 GALO RODRIGUEZ BOARD MEMBER 0.50 0.00 X 0 0 0 CHARLENE RUSSELL-TUCKER BOARD MEMBER 0.50 0.00 X 0 0 0 KEN SPIEGELMAN BOARD MEMBER 0.50 0.00 X 0 0 0 881004 3851484 1532626 6 0 1 0 KJMB SOLUTION INC 3001 S HARDIN BLVD STE 110-331 MCKINNEY TX 75070 DEVELOP DATA SYSTEM 270760 YALE UNIVERSITY PO BOX 1873 NEW HAVEN CT 06508 EVALUATION AND CONSULTATION SERVICES 194448 WHEELER CLINIC INC 91 NORTHWEST DRIVE PLAINVILLE CT 06062 TRAINING AND COORDINATION SERVICES 179539 FAVOR INC 185 SILAS DEANE AVENUE WETHERSFIELD CT 06109 CONSULTATION SERVICES FOR YOUTH & FAMILY 129100 UNIV OF NEW HAVEN 300 BOSTON POST RD W HAVEN CT 06516 CONSULTATION FOR SCHOOL-BASED DIVERSION 119350 5 1255790 4650413 183621 6089824 MANAGEMENT FEE 900099 100000 100000 100000 6189824 0 0 100000 91000 91000 527445 236351 285825 5269 2321819 2151539 167040 3240 303 303 533401 492236 40651 514 201294 171355 29398 541 8870 8870 20841 20841 714031 669538 44493 160978 103599 57379 182460 153601 28628 231 59331 54463 4868 23968 23968 9538 9538 SUBCONTRACT DEMONSTRATI 1271693 1271693 OTHER EXPENSES 4279 1231 3048 INDIRECT COST ALLOCATIO 0 385588 -385588 6131251 5782194 338959 10098 767571 884561 725172 584316 1226 10184 27694 280898 217580 42899 63318 5493 5493 1551319 1566608 503920 599934 124995 26500 118682 77879 747597 704313 X 771117 856295 32605 6000 803722 862295 1551319 1566608 58573 0 X 0 1 X 1 1 1 X 5983569 6144565 6031778 6207766 6089824 30457502 5983569 6144565 6031778 6207766 6089824 30457502 30457502 21 9 30 55000 100000 100000 100000 355000 30812532 0.98850 0.98990 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MANAGEMENT FEE - 2017 AMOUNT: $ 100,000. 2018 AMOUNT: $ 100,000. 2019 AMOUNT: $ 100,000. MISCELLANEOUS - 2015 AMOUNT: $ 55,000. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 444617 459295 458491 1362403 2043605 111154 114824 114623 340601 510902 27882 23019 4863 211016 158561 52455 42000 36000 6000 63318 X 6189824 0 6189824 0 6189824 6131251 0 6131251 0 6131251 PART X, LINE 2: THE ORGANIZATIONS HAVE NO UNRECOGNIZED TAX BENEFITS AT SEPTEMBER 30, 2020 AND 2019. THE ORGANIZATIONS' FEDERAL INFORMATION RETURNS PRIOR TO FISCAL YEAR 2017 ARE CLOSED AND MANAGEMENT CONTINUALLY EVALUATES EXPIRING STATUTES OF LIMITATIONS, AUDITS, PROPOSED SETTLEMENTS, CHANGES IN TAX LAW AND NEW AUTHORITATIVE RULINGS. IF THE ORGANIZATIONS HAD UNRELATED BUSINESS INCOME TAXES, THEY WOULD RECOGNIZE INTEREST AND PENALTIES ASSOCIATED WITH ANY TAX MATTERS AS PART OF THE INCOME TAX PROVISION AND INCLUDE ACCRUED INTEREST AND PENALTIES WITH THE RELATED TAX LIABILITY IN THE CONSOLIDATED STATEMENTS OF FINANCIAL POSITION. 1 CONNECTICUT CHILDREN'S MEDICAL CENTER 282 WASHINGTON STREET HARTFORD CT 06106 060646755 501(C)(3) 30000 SUPPORT OOCH PROSPERITY LAB & HELP ME GROW PROGRAM YALE NEW HAVEN HOSPITAL 1 CHURCH STREET 5TH FL NEW HAVEN CT 06510 060646652 501(C)(3) 15000 SUPPORT THE REDUCTION OF EMERGENCY DEPARTMENT USE FOR CHILD/ADOLESCENT BEHAVIORAL HEALTH. CT ASSOCIATION OF SCHOOL BASED HEALTH CENTERS PO BOX 771 NEW HAVEN CT 06473 061454857 501(C)(3) 10000 SUPPORT INNOVATIONS DEPLOYED IN CHILDREN'S BEHAVIORAL HEALTH TREATMENT DURING THE COVID-19 PANDEMIC CT COMMUNITY NON-PROFIT ALLIANCE 75 COMMUNITY NONPROFIT ALLIANCE INC INC HARTFORD CT 06106 060998831 501(C)(3) 20000 SUPPORT INNOVATIONS DEPLOYED IN CHILDREN'S BEHAVIORAL HEALTH TREATMENT DURING THE COVID-19 PANDEMIC UNIVERSITY OF CONNECTICUT HEALTH CENTER 263 FARMINGTON AVE FARMINGTON CT 06030 521725543 501(C)(3) 8000 SUPPORT EFFORTS TO INVENTORY AND UNDERSTAND INCREMENTAL AND TRANSFORMATIVE INNOVATIONS DEPLOYED WITHIN K-12 SCHOOLS TO SUPPORT SOCIAL, EMOTIONAL, AND BEHAVIORAL HEALTH DURING THE COVID-19 PANDEMIC. 5 PART I, LINE 2: WHEN SEEKING FUNDING POTENTIAL GRANTEES MUST SUBMIT DETAIL FINANCIAL BUDGETS THAT LIST THE EXPENSES THEY ANTICIPATE THAT THEY WILL INCUR OVER THE TERM OF THEIR PROJECT. IF SELECTED FOR FUNDING, GRANTEES ARE REQUIRED TO SUBMIT A FINAL FINANCIAL REPORT THAT COMPARES THE BUDGET SUBMITTED WITH THE ORIGINAL PROPOSAL TO THE GRANTEE'S ACTUAL EXPENSES. THE GRANTEES ARE TO SHOW ONLY THE BUDGET AMOUNTS ATTRIBUTED TO THE CHILD HEALTH AND DEVELOPMENT INSTITUTE OF CONNECTICUT, INC. FUNDING AND HOW CHILD HEALTH AND DEVELOPMENT INSTITUTE OF CONNECTICUT, INC. FUNDS WERE SPENT. GRANTEES ARE REQUIRED TO EXPLAIN ANY SIGNIFICANT VARIATIONS BETWEEN THE ORIGINAL BUDGET AND ACTUAL EXPENSES. GRANTS THAT ARE LONG-TERM IN NATURE MAY HAVE INTERIM FINANCIAL REPORTING REQUIREMENTS. X X X X 0 0 0 0 0 0 0 0 0 JIM SHMERLING BOARD MEMBER/CCMC PRESIDENT/CEO 0 1022702 0 318938 0 17294 0 198670 0 24299 0 1581903 0 318938 GIL PERI CHAIR/CCMC PRESIDENT & COO 0 650265 0 191570 0 19918 0 94521 0 34073 0 990347 0 191570 GLENN FOCHT BOARD MEMBER/CCMC PRESIDENT/CEO/CEO 0 522465 0 114211 0 2632 0 68705 0 30523 0 738536 0 114211 MOSES VARGAS SECRETARY/CCMC VP & GEN'L COUNSEL 0 355387 0 59456 0 612 0 55067 0 32170 0 502692 0 59456 JEFFREY J VANDERPLOEG PRESIDENT 206558 0 21000 0 0 0 22756 0 18808 0 269122 0 21000 0 ALYSSA BENNETT BOARD MEMBER/CCMC DIV HEAD OF ADOLES 0 204000 0 10112 0 397 0 24249 0 738758 0 977516 0 1733 CYNTHIA FITZGERALD BOARD MEMBER AS OF 3/20/CCMC SR DIR 0 207621 0 18065 0 632 0 10142 0 0 0 236460 0 0 PAUL SUTER VP FOR FINANCE & OPERATIONS 159943 0 0 0 0 0 15994 0 18808 0 194745 0 0 0 AIMEE MONROY SMITH BOARD MEMBER AS OF 12/19/CCMC SVP GO 0 134876 0 0 0 331 0 26729 0 13905 0 175841 0 0 LISA HONIGFLED VP HEALTH 140902 0 0 0 0 0 14090 0 14306 0 169298 0 0 0 JASON LANG VP MENTAL HEALTH 132538 0 0 0 0 0 13254 0 18808 0 164600 0 0 0 SCHEDULE J, PART II; COLUMN F THE AMOUNTS REPORTED WITHIN SCHEDULE J, PART II, COLUMN F INCLUDES EMPLOYEE INCENTIVE AWARDS AS THESE AMOUNTS WERE NO LONGER SUBJECT TO A SUBSTANTIAL RISK OF COMPLETE FORFEITURE. THESE AMOUNTS WERE PREVIOUSLY REPORTED WITHIN SCHEDULE J, PART II, COLUMN C AS RETIREMENT AND OTHER DEFERRED COMPENSATION ON PRIOR YEARS FORMS 990. THESE AMOUNTS WERE TREATED AS TAXABLE INCOME AND REPORTED IN EACH INDIVIDUAL'S 2019 FORM W-2, BOX 5, AS TAXABLE MEDICARE WAGES. FORM 990, PART VI, SECTION A, LINE 6 THE CHILDREN'S FUND OF CONNECTICUT, INC. (THE "MEMBER"), ACTING THROUGH ITS BOARD OF DIRECTORS, SHALL BE THE SOLE MEMBER OF CHILD HEALTH AND DEVELOPMENT INSTITUTE OF CONNECTICUT, INC. (THE "CORPORATION"). FORM 990, PART VI, SECTION A, LINE 7A ELECTED DIRECTORS SHALL BE ELECTED BY THE MEMBER AT THE ANNUAL MEETING OF THE CORPORATION, OR AT ANY SPECIAL MEETING OF THE CORPORATION DULY WARNED AND HELD, TO SERVE STAGGERED TERMS, AS PROVIDED IN THE CERTIFICATE OF INCORPORATION. THE MEMBER WILL DESIGN A BOARD OF DIRECTORS WITH APPROPRIATE GEOGRAPHIC, ETHNIC, ACADEMIC AFFILIATION AND SKILL-SET DIVERSITY. FORM 990, PART VI, SECTION A, LINE 7B SUBJECT TO THE APPROVAL OF THE MEMBER, THE BOARD OF DIRECTORS AT A MEETING DULY WARNED AND HELD, BY A VOTE OF AT LEAST TWO-THIRDS OF ALL DIRECTORS THEN SERVING, MAY REMOVE ANY DIRECTOR WITH OR WITHOUT CAUSE, PROVIDED THAT THE NOTICE OF SUCH MEETING SHALL INCLUDE NOTICE OF THE PROPOSED REMOVAL. THE DIRECTOR SOUGHT TO BE REMOVED SHALL HAVE NO RIGHT TO VOTE WITH RESPECT TO ANY SUCH ACTION. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 (TAX RETURN) WILL BE PREPARED ANNUALLY. COPIES OF THE COMPLETED FORM 990, WITH SUPPORTING SCHEDULES, WILL BE DISTRIBUTED BY THE VP FOR FINANCE AND OPERATIONS TO THE PRESIDENT AND CEO AND THE AUDIT COMMITTEE FOR THEIR REVIEW AND APPROVAL. ANY CORRECTIONS OR CHANGES WILL BE NOTED AND ADDRESSED. ONCE APPROVED BY THE PRESIDENT AND CEO AND THE AUDIT COMMITTEE, THE VP FOR FINANCE AND OPERATIONS WILL PROVIDE THE FORM 990 WITH SUPPORTING SCHEDULES TO THE BOARD OF DIRECTORS. ONCE THE BOARD OF DIRECTORS HAS HAD AN OPPORTUNITY TO REVIEW THE FORM 990, ANY CORRECTIONS OR CHANGES WILL BE NOTED AND ADDRESSED, THE FORM 990 WILL BE FILED. FORM 990, PART VI, SECTION B, LINE 12C THE FOLLOWING IS THE DISCLOSURE SECTION OF THE CHILD HEALTH AND DEVELOPMENT INSTITUTE OF CONNECTICUT, INC.'S CONFLICT OF INTEREST POLICY - TO PROMOTE THE SOUND ADMINISTRATION OF THIS POLICY, ALL DIRECTORS AND OFFICERS OF THE CORPORATION COMPLETE ANNUALLY (AND UPDATE AS APPROPRIATE), A DISCLOSURE STATEMENT THAT DESCRIBES A TRANSACTION OR ARRANGEMENT THAT COULD REASONABLY GIVE RISE TO A CONFLICT OF INTEREST. THE STATEMENT INCLUDES AN ITEMIZATION AND DESCRIPTION OF THE NATURE OF ANY ACTUAL OR POTENTIAL CONFLICT OF INTEREST AND ALL MATERIAL FACTS RELATED THERETO. DIRECTORS AND OFFICERS ARE URGED TO BE INCLUSIVE IN THIS DISCLOSURE SINCE THE DISCLOSURE OF POTENTIAL CONFLICTS IS ESSENTIAL TO ENSURING APPROPRIATE, OPEN DISCUSSION, EVEN IF A CONFLICT OF INTEREST IS EVENTUALLY DETERMINED NOT TO EXIST. IF, AFTER SUBMITTING AN ANNUAL DISCLOSURE STATEMENT, AN APPARENT OR POTENTIAL CONFLICT ARISES WITHIN THE SPIRIT OF THIS POLICY, DIRECTORS AND OFFICERS IMMEDIATELY DISCLOSE THE SITUATION IN WRITING TO THE PRESIDENT. DISCLOSURE STATEMENTS ARE PROVIDED BY AND RETURNED TO THE PRESIDENT. IF A POTENTIAL CONFLICT OF INTEREST SITUATION INVOLVES A PENDING TRANSACTION OR ARRANGEMENT ON THE PART OF THE CORPORATION, SUCH POTENTIAL CONFLICT IS BROUGHT TO THE ATTENTION OF THE PRESIDENT PRIOR TO ANY ACTION ON THE PART OF THE CORPORATION. THE PRESIDENT CONSULTS WITH THE DIRECTOR OR OFFICER WITH THE POTENTIAL CONFLICT AND OBTAINS INFORMATION NECESSARY FOR AN ORDINARILY PRUDENT PERSON TO MAKE A JUDGMENT AS TO WHETHER A CONFLICT EXISTS. THE PRESIDENT EXERCISES GOOD FAITH JUDGMENT IN DETERMINING WHETHER AN ACTUAL CONFLICT OF INTEREST EXISTS, AND PROVIDES GUIDANCE TO THE DIRECTOR OR OFFICER WITH THE POTENTIAL CONFLICT AND/OR TO THE BOARD, AS APPLICABLE, AS TO THE APPROPRIATE COURSE OF ACTION. IF A CONFLICT EXISTS OR IF THE PRESIDENT DETERMINES THAT FURTHER REVIEW WOULD BE PRUDENT, HE OR SHE SHALL SEEK THE ADVICE AND APPROVAL OF THE BOARD IN DETERMINING WHETHER THE SITUATION OR TRANSACTION IS FAIR AND SERVES THE CORPORATION'S BEST INTERESTS. DIRECTORS AND OFFICERS WHO HAVE DECLARED OR HAVE BEEN DEEMED TO HAVE A CONFLICT OF INTEREST ("INTERESTED PERSONS") REFRAIN FROM CONSIDERATION OF PROPOSED TRANSACTIONS OR ARRANGEMENTS, UNLESS FOR SPECIAL REASON THE BOARD REQUESTS INFORMATION OR INTERPRETATIONS. THE CORPORATION MAKES ITS DECISION AS TO WHETHER TO ENTER INTO A TRANSACTION OR ARRANGEMENT IN CONFORMITY WITH THE FOLLOWING DETERMINATION PROCESS. A) AN INTERESTED PERSON MAY UPON INVITATION MAKE A PRESENTATION AT THE BOARD MEETING, BUT AFTER THE PRESENTATION, HE/SHE SHALL LEAVE THE MEETING DURING THE DISCUSSION OF, AND THE VOTE ON, THE TRANSACTION OR ARRANGEMENT INVOLVING THE POSSIBLE CONFLICT OF INTEREST. B) IN THE CONTEXT OF A TRANSACTION OR ARRANGEMENT, THE PRESIDENT SHALL, IF APPROPRIATE, APPOINT A DISINTERESTED DIRECTOR OR COMMITTEE OF DISINTERESTED DIRECTORS TO INVESTIGATE ALTERNATIVES TO THE PROPOSED TRANSACTION OR ARRANGEMENT. C) AFTER EXERCISING DUE DILIGENCE, THE BOARD SHALL DETERMINE, IF APPROPRIATE, WHETHER THE CORPORATION CAN OBTAIN WITH REASONABLE EFFORTS A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT FROM A PERSON OR ENTITY THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST. D) IF A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT IS NOT REASONABLY POSSIBLE OR APPROPRIATE UNDER CIRCUMSTANCES NOT PRODUCING A CONFLICT OF INTEREST, THE BOARD SHALL DETERMINE BY A MAJORITY VOTE, BUT NOT FEWER THAN TWO, OF THE DISINTERESTED DIRECTORS, OR AS OTHERWISE PERMITTED BY LAW, WHETHER THE TRANSACTION OR ARRANGEMENT IS IN THE CORPORATION'S BEST INTEREST AND IS FAIR AND REASONABLE; PROVIDED, HOWEVER, IF SUCH CONFLICTING INTEREST TRANSACTION IS APPROVED BY DISINTERESTED DIRECTORS WHO DO NOT SATISFY A QUORUM OR VOTING REQUIREMENT APPLICABLE TO THE AUTHORIZATION OF THE ACTION BY REASON OF THE CORPORATION'S CERTIFICATE OF INCORPORATION, BYLAWS OR A PROVISION OF LAW, THE ACTION MUST BE INDEPENDENTLY APPROVED BY SUCH INTERESTED AND DISINTERESTED DIRECTORS AS TO SATISFY THE APPLICABLE QUORUM OR VOTING REQUIREMENT. THE BOARD WILL RETAIN DETAILED MINUTES OF ANY PROCEEDINGS INVOLVING A POTENTIAL CONFLICT OF INTEREST TRANSACTION. FORM 990, PART VI, SECTION B, LINE 15 THE FOLLOWING IS THE CHILD HEALTH AND DEVELOPMENT INSTITUTE OF CONNECTICUT OF CONNECTICUT, INC.'S COMPENSATION POLICY - THIS POLICY APPLIES TO THE PROCESS FOR DETERMINING COMPENSATION IN COMPLIANCE WITH IRS INSTRUCTIONS FOR THE CFC'S CEO, TOP MANAGEMENT OFFICIAL, OTHER OFFICERS OR KEY EMPLOYEES. THE PROCESS INCLUDES ALL OF THESE ELEMENTS: (1) REVIEW AND APPROVAL BY THE BOARD OF DIRECTORS OR EXECUTIVE COMMITTEE OF THE CHILD HEALTH AND DEVELOPMENT INSTITUTE OF CONNECTICUT (CFC); (2) USE OF DATA AS TO COMPARABLE COMPENSATION; AND (3) CONTEMPORANEOUS DOCUMENTATION AND RECORDKEEPING. 1. REVIEW AND APPROVAL. THE COMPENSATION OF THE PERSON IS REVIEWED AND APPROVED BY THE BOARD OF DIRECTORS OR EXECUTIVE COMMITTEE OF CFC, PROVIDED THAT PERSONS WITH CONFLICTS OF INTEREST WITH RESPECT TO THE COMPENSATION ARRANGEMENT AT ISSUE ARE NOT INVOLVED IN THIS REVIEW AND APPROVAL. 2. USE OF DATA AS TO COMPARABLE COMPENSATION. THE COMPENSATION OF THE PERSON IS REVIEWED AND APPROVED USING DATA AS TO COMPARABLE COMPENSATION FOR SIMILARLY QUALIFIED PERSONS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS. 3. CONTEMPORANEOUS DOCUMENTATION AND RECORDKEEPING. THERE IS CONTEMPORANEOUS DOCUMENTATION AND RECORDKEEPING WITH RESPECT TO THE DELIBERATIONS AND DECISIONS REGARDING THE COMPENSATION ARRANGEMENT. FORM 990, PART VI, SECTION C, LINE 19 THE CHILD HEALTH AND DEVELOPMENT INSTITUTE OF CONNECTICUT, INC. MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. COPIES ARE PROVIDED TO THE PUBLIC OR THE PUBLIC MAY INSPECT THE DOCUMENTS AT CHILD HEALTH AND DEVELOPMENT INSTITUTE OF CONNECTICUT, INC.'S OFFICE LOCATED AT 270 FARMINGTON AVENUE, SUITE 367, FARMINGTON, CT 06032. CONNECTICUT CHILDREN'S MEDICAL CENTER INC 282 WASHINGTON STREET HARTFORD CT 06106 060646755 CHILDRENS HOSPITAL CT 501(C)(3) LINE 3 N/A 0 CONNECTICUT CHILDREN 'S MEDICAL CENTER FOUNDATION INC 282 WASHINGTON STREET HARTFORD CT 06106 222619869 MANAGE ENDOWMENT FUND & SOLICIT/RECEIVE CONTRIBUTIONS FOR CCMC CT 501(C)(3) LINE 7 CCMC 0 CCMC AFFILIATES INC 282 WASHINGTON STREET HARTFORD CT 06106 222619870 CHILD DEVELOPMENT AND SPECIAL EDUCATION CT 501(C)(3) LINE 10 CCMC 0 CONNECTICUT CHILDREN'S SPECIALTY GROUP 282 WASHINGTON STREET HARTFORD CT 06106 061446900 TO PROVIDE MEDICAL CARE TO THE PATIENTS OF CCMC CT 501(C)(3) LINE 10 CCMC 0 CCMC CORPORATION INC 282 WASHINGTON STREET HARTFORD CT 06106 222619876 FURTHER THE PROGRAMS AND ACTIVITIES OF CCMC CT 501(C)(3) LINE 3 CCMC 0 CHILDRENS FUND OF CONNECTICUT 270 FARMINGTON AVE SUITE 367 FARMINGTON CT 06032 061364513 FUNDS INNOVATIVE COMMUNITY - BASED CT 501(C)(3) LINE 12A, I N/A 0 CCMC VENTURES INC 282 WASHINGTON STREET HARTFORD CT 06106 222619873 HEALTH CARE SUPPORT AND SERVICES CT N/A C 0 0 1 1 0 1 0 0 0 0 0 0 1 0 1 1 0 1 0 0