2020-11-13T11:55:12-06:00 2019-12-31 ERNST & YOUNG US LLP 560 MISSION ST STE 1600 SAN FRANCISCO CA 94105 990 2019-01-01 942992642 SAMUEL MERRITT UNIVERSITY % GREG GINGRAS SAMU 9162866665 450 30TH STREET SUITE 2840 OAKLAND CA 94609 GREG GINGRAS CFO 9162866665 2020-11-04 true EVA NITTA P01286320 4158948000 67.188.183.127 68127220203185000004 2020-11-13 P 1F6F3F3DA3AD876B07F4A878257AA342363C2FE9 C1C638E0901FC185E61527D21D181FDE54D902F0 2019 2021-01-29 14:40:06Z CHING-HUA WANG 450 30TH STREET SUITE 2840 OAKLAND CA 94609 104154773 false X WWW.SAMUELMERRITT.EDU X 1984 CA SEE SCHEDULE O 19 15 1050 15 0 0 2352802 3148493 85174893 82718605 6135957 8427298 943662 1501689 94607314 95796085 10620785 5941761 0 0 51116804 53197344 0 0 703214 25970867 26113292 87708456 85252397 6898858 10543688 242607496 263854722 46027953 32594410 196579543 231260312 X SEE SCHEDULE O false false 66587020 5941761 84211525 SEE SCHEDULE O 66587020 true true false false false false false false false true true false false false true true true true true false false false false false false false false false true true false false false false false false false false true false false false false true true true false false true 393 0 true 1050 true false false false false false false false false false false false false X 19 15 false false false false true true true true true false false true true true true true true true true false CA X X GREG GINGRAS 9162866665 3300 WEBSTER STREET SUITE 320 OAKLAND CA 94609 X JEFF GERARD SH SVP/STRATEGIC SERVICES CSO 1.0 40.0 X 0 1542233 162899 JULIE PETRINI CEO, BAY AREA HOSPITALS 1.0 40.0 X 0 1256626 118826 ANNA KIGER CHIEF NURSING OFFICER 1.0 40.0 X 0 785483 164827 GREG BROWN VP LEGAL TRANSACTIONS/SEC. 1.0 40.0 X 0 511499 88479 CHING-HUA WANG REGENT/PRESIDENT 40.0 0.0 X X 421473 0 24789 JOSEPH JANAKES PROGRAM DIRECTOR 40.0 0.0 X 297798 0 60951 KEVIN A HAMBY Assistant Professor 40.0 0.0 X 266038 0 62223 NANCY S HAUGEN Associate Dean 40.0 0.0 X 269223 0 50335 GREG GINGRAS CFO SMU 40.0 0.0 X 264312 0 52480 RENE ENGELHART ASSISTANT PROFESSOR 40.0 0.0 X 253720 0 56833 CELESTE VILLANUEVA ASSISTANT ACADEMIC VP 40.0 0.0 X 251842 0 51640 TERRENCE NORDSTROM VP/ENROLLMENT & STUDENT SRVCS 40.0 0.0 X 259167 0 32237 CYNTHIA ULMAN INTERIM CHIEF OF STAFF 40.0 0.0 X 212465 0 59839 AUDREY BERMAN DEAN OF NURSING SMU 40.0 0.0 X 235018 0 33684 SCOT FOSTER ACADEMIC VP/PROVOST SMU 40.0 0.0 X 184816 0 22090 FRED BALDINI Provost,VP Academic Affairs 40.0 0.0 X 165534 0 17210 ENITAN ADESANYA CHAIR OF FINANCE & PLANNING 2.0 0.0 X X 0 0 0 BRAD BARBER REGENT 1.0 0.0 X 0 0 0 MELANIE BELL-MAYEDA REGENT 1.0 0.0 X 0 0 0 JONATHAN BROWN REGENT/CHAIR 2.0 0.0 X X 0 0 0 ELIZABETH CHANEY REGENT 1.0 0.0 X 0 0 0 SAM DAVIS REGENT 1.0 0.0 X 0 0 0 OWEN GARRICK MD REGENT 1.0 0.0 X 0 0 0 GLORIA HARMON REGENT 1.0 0.0 X 0 0 0 LLOYD LEANSE REGENT 1.0 0.0 X 0 0 0 AMBER LUTHER Regent 1.0 0.0 X 0 0 0 ALVIN MCLEAN JR PHD REGENT 1.0 0.0 X 0 0 0 GARY MORRISON ESQ REGENT 1.0 0.0 X 0 0 0 DENNIS 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X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 48276219 250560 7039052 1304655 54261176 51418871 164640 -2064921 1242371 48276219 44784614 284497 8085080 1735320 51418871 43309658 1059809 3203991 2788844 44784614 46060129 1136584 -2022962 1864093 43309658 0.01910 0.56490 0.41600 false true true 17583379 10404614 7178765 17941555 10790578 7150977 1933183 1933183 16262925 0 FEDERAL STUDENT LOAN FUNDS 7360501 OPERATING LEASE LIABILITIES 10624230 OTHER LIABILITIES 547055 18531786 X 113950259 24137081 11187 24148268 89801991 270407 5723687 5994094 95796085 79269490 11187 11187 79258303 270407 5723687 5994094 85252397 SCHEDULE D, PART V, LINE 4 INTENDED USES OF THE ORGANIZATION'S ENDOWMENT FUNDS THE MAJORITY OF THE ENDOWMENTS ARE USED AS SCHOLARSHIPS OR GRANTS FOR STUDENTS ATTENDING THE UNIVERSITY. A RELATED ORGANIZATION HOLDS A CHARITABLE REMAINDER TRUST WITH FUNDS FOR CARDIOLOGY NURSING SCHOLARSHIPS FOR SMU STUDENTS. SCHEDULE D, PART X, LINE 2 ASC 740 AUDIT FOOTNOTE: THIS ORGANIZATION WAS PART OF A CONSOLIDATED FINANCIAL SYSTEM AUDIT. THE ASC 740 AUDIT FOOTNOTE DISCLOSURE FOR THE SUTTER SYSTEM IS AS FOLLOWS: SUTTER HEALTH, THE LEGAL ENTITY, AND MANY AFFILIATES HAVE BEEN DETERMINED TO BE EXEMPT ORGANIZATIONS BY THE INTERNAL REVENUE SERVICE AND THE CALIFORNIA FRANCHISE TAX BOARD AND GENERALLY ARE NOT SUBJECT TO TAXES ON INCOME. CERTAIN ACTIVITIES OF SUTTER ARE SUBJECT TO INCOME TAXES; HOWEVER, SUCH ACTIVITIES ARE NOT SIGNIFICANT TO THE CONSOLIDATED FINANCIAL STATEMENTS. WITH RESPECT TO ITS TAXABLE ACTIVITIES, SUTTER RECORDS INCOME TAXES USING THE LIABILITY METHOD, UNDER WHICH DEFERRED TAX ASSETS AND LIABILITIES ARE DETERMINED BASED ON THE DIFFERENCES BETWEEN THE FINANCIAL ACCOUNTING AND TAX BASIS OF ASSETS AND LIABILITIES. DEFERRED TAX ASSETS OR LIABILITIES AT THE END OF EACH PERIOD ARE DETERMINED USING THE CURRENTLY ENACTED TAX RATE EXPECTED TO APPLY TO TAXABLE INCOME IN THE PERIODS THAT THE DEFERRED TAX ASSET OR LIABILITY IS EXPECTED TO BE REALIZED OR SETTLED. SUTTER RECOGNIZES THE TAX BENEFIT FROM UNCERTAIN TAX POSITIONS, ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITIONS WILL BE SUSTAINED ON EXAMINATION BY THE TAX AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. THE TAX BENEFIT IS MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50% LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE STATUTE OF LIMITATIONS FOR TAX YEARS 2016 THROUGH 2018 REMAIN OPEN IN U.S. TAX JURISDICTIONS IN WHICH SUTTER AND ITS AFFILIATES ARE SUBJECT TO TAXATION. SUTTER RECOGNIZES INTEREST AND PENALTIES RELATED TO INCOME TAX MATTERS IN OPERATING EXPENSES. AT DECEMBER 31, 2019 AND 2018, THERE WERE NO SUCH UNCERTAIN TAX POSITIONS. SCHEDULE D, PART XI, LINE 2D RECONCILIATION - OTHER ITEMS SPECIAL EVENT EXPENSE $ 11,187 -------- TOTAL $ 11,187 ======== SCHEDULE D, PART XI, LINE 4B RECONCILIATION - OTHER ITEMS SCHOLARSHIPS AND RELATED EXPENSES $ 9,343,479 TUITION DEPOSITS RETAINED $ 55,850 BAD DEBT PROVISION $ (218,075) SERVICE CONTRACT PERCENTAGE OF $ (3,457,568) REDUCTION OF REVENUE ROUNDING $ (1) ------------- TOTAL $ 5,723,687 ============= SCHEDULE D, PART XII, LINE 2D RECONCILIATION - OTHER ITEMS SPECIAL EVENT EXPENSE $ 11,187 -------- TOTAL $ 11,187 ======== SCHEDULE D, PART XII, LINE 4B RECONCILIATION - OTHER ITEMS SCHOLARSHIPS AND RELATED EXPENSES $ 9,343,479 TUITION DEPOSITS RETAINED $ 55,850 BAD DEBT PROVISION $ (218,075) SERVICE CONTRACT PERCENTAGE OF $ (3,457,568) REDUCTION OF REVENUE ROUNDING $ (1) -------------- TOTAL $ 5,723,687 ============== true true true true true true true false false false false false false false false true false true SCHEDULE E, PART I, LINE 3 THROUGH BROCHURES AND APPLICATIONS. SCHEDULE E, PART I, LINE 6A SAMUEL MERRITT UNIVERSITY RECEIVES GOVERNMENT AID THROUGH FEDERAL STUDENT AID PROGRAMS. true CSPM MERRITT SCHOLARSHIP 9 45000 DEAN SCHOLARSHIP 19 82500 DIAZ SC SCHOLARSHIP 30 79056 THE HOPE SCHOLARSHIP 40 178330 THE HOPE BSN SCHOLARSHIP 166 512500 PRESIDENT PODIATRY SCHOLARSHIP 52 322500 REGENTS SCHOLARSHIP 9 84500 SAMUEL MERRITT SCHOLARSHIP 450 1459500 RN TO BSN 461 1987317 SPECIAL PURPOSE SCHOLARSHIP 165 251587 ENDOWMENT FUND SCHOLARSHIP 373 827469 SMU Alumni 29 63220 Faculty Benefit Scholarship 13 48282 SCHEDULE I, PART I, LINE 2 STUDENT FINANCIAL AID APPLICATIONS ARE REVIEWED ANNUALLY IN ORDER TO ENSURE GRANT FUNDS ARE AWARDED APPROPRIATELY BASED ON THE INDIVIDUAL AWARD CRITERIA. X X X X false true false false false false false true false JEFF GERARD SH SVP/STRATEGIC SERVICES CSO 0 749907 0 644165 0 148161 0 143372 0 19527 0 1705132 0 289066 JULIE PETRINI CEO, BAY AREA HOSPITALS 0 689838 0 469588 0 97200 0 107972 0 10854 0 1375452 0 187720 ANNA KIGER CHIEF NURSING OFFICER 0 446008 0 265704 0 73771 0 148106 0 16721 0 950310 0 101416 GREG BROWN VP LEGAL TRANSACTIONS/SEC. 0 284379 0 171387 0 55733 0 63008 0 25471 0 599978 0 89246 CHING-HUA WANG REGENT/PRESIDENT 404185 0 0 0 17288 0 18872 0 5917 0 446262 0 0 0 JOSEPH JANAKES PROGRAM DIRECTOR 297285 0 0 0 513 0 18872 0 42079 0 358749 0 0 0 KEVIN A HAMBY Assistant Professor 265374 0 0 0 664 0 17886 0 44337 0 328261 0 0 0 NANCY S HAUGEN Associate Dean 267571 0 0 0 1652 0 18034 0 32301 0 319558 0 0 0 GREG GINGRAS CFO SMU 260748 0 0 0 3564 0 17574 0 34906 0 316792 0 0 0 RENE ENGELHART ASSISTANT PROFESSOR 253289 0 0 0 431 0 17072 0 39761 0 310553 0 0 0 CELESTE VILLANUEVA ASSISTANT ACADEMIC VP 248571 0 0 0 3271 0 16754 0 34886 0 303482 0 0 0 TERRENCE NORDSTROM VP/ENROLLMENT & STUDENT SRVCS 252852 0 0 0 6315 0 17042 0 15195 0 291404 0 0 0 CYNTHIA ULMAN INTERIM CHIEF OF STAFF 206716 0 0 0 5749 0 13933 0 45906 0 272304 0 0 0 AUDREY BERMAN DEAN OF NURSING SMU 175049 0 0 0 59969 0 11798 0 21886 0 268702 0 0 0 SCOT FOSTER ACADEMIC VP/PROVOST SMU 182329 0 0 0 2487 0 12289 0 9801 0 206906 0 0 0 FRED BALDINI Provost,VP Academic Affairs 147437 0 17000 0 1097 0 9937 0 7273 0 182744 0 0 0 SCHEDULE J, PART I, LINE 3 SUPPLEMENTAL COMPENSATION INFORMATION: THE Executive COMMITTEE OF THE Samuel Merritt University Board of Regents RETAINS ULTIMATE DISCRETIONARY AUTHORITY OVER ALL ELEMENTS OF COMPENSATION TO ASSURE THAT ORGANIZATIONAL PURPOSES ARE APPROPRIATELY BEING SERVED. THE Executive COMMITTEE USES CREDIBLE DATA SOURCES AND MAINTAINS AN OBJECTIVE "ARM'S LENGTH" DECISION-MAKING PROCESS, ensuring the integrity of Samuel Merritt's executive programs AND CONSISTENCY WITH THE ORGANIZATION'S OVERALL MISSION. SEE SCHEDULE O NARRATIVE FOR PART VI, LINE 15 FOR A FULL DESCRIPTION OF THE COMPENSATION APPROVAL PROCESS COMPLETED BY Samuel Merritt. SCHEDULE J, PART I, LINE 4B NONQUALIFIED RETIREMENT PLAN: THE PURPOSE OF THE NONQUALIFIED RETIREMENT PLAN IS TO PROVIDE SUTTER HEALTH EXECUTIVES WITH A COMPETITIVE RETIREMENT BENEFIT CONSISTENT WITH SUTTER HEALTH'S OVERALL COMPENSATION PHILOSOPHY FOR ALL EMPLOYEES. CONTRIBUTIONS ARE DESIGNED TAKING INTO CONSIDERATION LOST RETIREMENT BENEFITS THAT WOULD OTHERWISE BE OBTAINED THROUGH THE QUALIFIED PENSION PLAN. SUTTER'S PLANS ARE DESIGNED CONSISTENT WITH COMPETITIVE INDUSTRY PRACTICES. THE RETIREMENT PLAN FOR SUTTER HEALTH EMPLOYEES IS A COMBINATION OF 403(B) EMPLOYER MATCH CONTRIBUTIONS AND QUALIFIED PENSION PLAN BENEFITS. SUTTER HEALTH EXECUTIVES ARE GENERALLY INELIGIBLE FOR EMPLOYER MATCH CONTRIBUTIONS. TO ENSURE A COMPETITIVE RETIREMENT BENEFIT, SUTTER HEALTH MAKES AN ANNUAL CONTRIBUTION TO A NON-QUALIFIED 457(F) PLAN FOR ITS EXECUTIVES. THE FORMULA PROVIDES 6% TO 12%OF BASE SALARY PLUS ANNUAL INCENTIVE PLAN AWARD (COMMENSURATE WITH MANAGEMENT LEVEL). CONTRIBUTIONS ARE ALSO MADE FOR A SMALL GROUP OF SENIOR LEVEL EXECUTIVES WHOSE ESTIMATED RETIREMENT BENEFIT (SOCIAL SECURITY PLUS QUALIFIED PLAN BENEFITS PLUS 457(F) FALLS BELOW 50% - 65% OF FINAL 4-YEAR AVERAGE BASE SALARY WHEN RETIRING AT AGE 65 WITH 22.5 YEARS OF SERVICE. TARGET BENEFIT LEVELS ARE DISCOUNTED FOR YEARS OF SERVICE LESS THAN 22.5 AT AGE 65. UNLIKE SUTTER HEALTH'S QUALIFIED PENSION PLAN WHERE EMPLOYEE BENEFITS ARE GUARANTEED (I.E., A DEFINED BENEFIT), SUTTER'S NON-QUALIFIED PLAN BENEFITS ARE NOT GUARANTEED BY SUTTER HEALTH. INVESTMENT RISK IS BORNE BY PARTICIPANTS AND BENEFITS ARE NOT PROTECTED SHOULD SUTTER HEALTH BECOME INSOLVENT. THE FOLLOWING INDIVIDUAL RECEIVED 457(F) NON-QUALIFIED PAYMENTS DURING THE YEAR: Anna Kiger - $24,752 SCHEDULE J, PART I, LINE 7 NON-FIXED PAYMENTS: SPOT AWARDS ARE INFREQUENTLY USED TO REWARD EMPLOYEES. THERE ARE NO SPECIFIC GUIDELINES FOR THE AMOUNT OF THE SPOT AWARD BUT THE AMOUNT TENDS TO NOT EXCEED 5% TO 15% OF GROSS ANNUAL SALARY. ANNUAL INCENTIVE PLAN (AIP): THE PURPOSE OF THE PLAN IS TO FOCUS EXECUTIVES ON SPECIFIC, SHORTER-TERM GOALS THAT ARE CRITICAL TO THE ACHIEVEMENT OF AFFILIATE, OPERATING UNIT AND SYSTEM-WIDE OBJECTIVES THAT DRIVE OVERALL ORGANIZATION PERFORMANCE. LONG TERM PERFORMANCE PLANS: SUTTER HEALTH ALSO EMPLOYS LONG TERM PERFORMANCE PLANS WHICH ARE DESIGNED TO FOCUS ON LONGER TERM STRATEGIC OBJECTIVES OF THE ORGANIZATION. SUTTER'S LONG TERM PERFORMANCE PLAN APPROACH IS A COMBINATION OF BOTH LONGER TERM MEASURES OF ORGANIZATION SUCCESS AND KEY ORGANIZATION STRATEGIES WHICH REQUIRE THE COMBINED EFFORT OF ALL LEADERSHIP TO ACHIEVE SUCCESS. SUTTER USES A COMMON FATE APPROACH IN THAT ALL LONG TERM PERFORMANCE PLAN PARTICIPANTS ARE MEASURED AGAINST THE SAME, ORGANIZATION-WIDE CRITERIA VS. INDIVIDUAL EFFORTS. THIS FOSTERS A COMMON PURPOSE ACROSS LEADERSHIP AND A SHARED SENSE OF ACCOUNTABILITY FOR THE OVERALL SUCCESS OF SUTTER HEALTH. IN ALL CASES, THE Executive COMMITTEE OF THE BOARD DETERMINES ACHIEVEMENT OF ORGANIZATION GOALS AND MAKES FINAL AWARD DETERMINATION WHICH MAY RESULT IN A REDUCTION OF AWARD IF APPROPRIATE. ALL SENIOR EXECUTIVE AWARDS ARE REVIEWED FOR COMPENSATION REASONABLENESS AND APPROVED BY THE Executive COMMITTEE PRIOR TO PAYMENT. X 5000 FMV X 1 41986 FMV X Food/Beverage 19 4239 FMV false true false PART I, COLUMN (B) COLUMN (B) REPRESENTS THE NUMBER OF CONTRIBUTIONS RECEIVED. FORM 990, PART I, LINE 1 AND PART III, LINE 1 MISSION STATEMENT: SAMUEL MERRITT UNIVERSITY EDUCATES STUDENTS TO BECOME HIGHLY SKILLED AND COMPASSIONATE HEALTH CARE PROFESSIONALS WHO POSITIVELY TRANSFORM THE EXPERIENCE OF CARE IN DIVERSE COMMUNITIES. FORM 990, PART III, LINE 4A PROGRAM SERVICE ACCOMPLISHMENTS: SAMUEL MERRITT UNIVERSITY, ORIGINALLY FOUNDED IN 1909, IS A FULLY ACCREDITED HEALTH SCIENCES INSTITUTION LOCATED IN OAKLAND, CALIFORNIA WITH LOCAL LEARNING CENTERS IN SACRAMENTO AND SAN MATEO. THE UNIVERSITY ALSO OFFERS SELECT DEGREES ONLINE. VALUES: A LEARNING ENVIRONMENT WHERE WE CHALLENGE OURSELVES AND OUR STUDENTS TO THINK CRITICALLY, SEEK MASTERY AND ACT COMPASSIONATELY. A COLLEGIAL ENVIRONMENT WHERE WE ARE FAIR, RESPECTFUL AND BEHAVE WITH INTEGRITY. A COLLABORATIVE ENVIRONMENT WHERE WE PARTNER WITH ONE ANOTHER AND WITH OTHERS IN THE COMMUNITY. AN INNOVATIVE ENVIRONMENT WHERE WE TAKE REASONED RISKS AND MOVE NIMBLY. A RESULTS-ORIENTED ENVIRONMENT WHERE WE PROVIDE AND EXPECT EXCEPTIONAL PERFORMANCE AND SERVICE. PROGRAMS UNDERGRADUATE DEGREE PROGRAM: THE UNIVERSITY OFFERS A BACHELOR OF SCIENCE IN NURSING (BSN). IN ADDITION, SMU OFFERS AN ACCELERATED BACHELOR OF SCIENCE IN NURSING (ABSN). GRADUATE DEGREE PROGRAMS - MASTER'S LEVEL: SMU OFFERS THREE ENTRY-LEVEL MASTER'S DEGREE PROGRAMS: MASTER OF OCCUPATIONAL THERAPY, MASTER OF SCIENCE IN NURSING, AND MASTER PHYSICIAN ASSISTANT. POST-PROFESSIONAL GRADUATE DEGREES IN NURSING INCLUDE PROGRAMS IN NURSE ANESTHESIA(CRNA), CASE MANAGEMENT(CM), AND FAMILY NURSE PRACTITIONER (FNP). GRADUATE DEGREE PROGRAMS - DOCTORAL LEVEL: THE UNIVERSITY OFFERS FOUR DOCTORAL DEGREES: DOCTOR OF PODIATRIC MEDICINE, DOCTOR OF PHYSICAL THERAPY, DOCTOR OF NURSING PRACTICE, AND DOCTOR OF OCCUPATIONAL THERAPY. ONLINE DEGREE PROGRAMS: SMU OFFERS TWO OF ITS DEGREES IN THE ONLINE MODALITY: MASTER OF SCIENCE IN NURSING (POST-PROFESSIONAL FNP, AND DOCTOR OF NURSING PRACTICE). FACULTY AND STUDENTS (FALL 2019) NUMBER OF FULL-TIME FACULTY: 173 STUDENT/FACULTY CLINICAL RATIO: 8.0 TO 1 SAMUEL MERRITT STUDENTS: TOTAL STUDENTS: 2,029 UNDERGRADUATE STUDENTS: 768 GRADUATE STUDENTS: 1,238 MEN: 24 % / WOMEN: 76% CLINICAL PARTNERS: OVER 2,000 IN THE BAY AREA AND U.S. ACCREDITATION: REGIONAL ACCREDITATION: WASC SENIOR COLLEGE AND UNIVERSITY COMMISSION (WSCUC). SPECIALIZED ACCREDITATION: ACCREDITATION REVIEW COMMISSION ON EDUCATION FOR THE PHYSICIAN ASSISTANT (ARCPA), ACCREDITATION COUNCIL FOR OCCUPATIONAL THERAPY EDUCATION (ACOTE), COMMISSION ON ACCREDITATION IN PHYSICAL THERAPY EDUCATION (CAPTE), COUNCIL ON ACCREDITATION OF NURSE ANESTHESIA EDUCATIONAL PROGRAMS (COA), COMMISSION ON COLLEGIATE NURSING EDUCATION (CCNE), COUNCIL ON PODIATRIC MEDICAL EDUCATION (CPME), BOARD OF REGISTERED NURSING (BRN). FACILITIES: INSTRUCTIONAL FACILITIES John A. Graziano Memorial Library including study rooms and computer labs; Motion Analysis Resource Center (MARC). Other laboratories include therapeutic exercise, exercise physiology, occupational therapy, anatomy, nursing, podiatric medicine, biomechanics, physical diagnosis and Health Sciences Simulation Center (HSSC). OTHER FACILITIES STUDENT LOUNGES, STUDY SPACE AND EXERCISE FACILITIES. FORM 990, PART VI, LINE 6 & 7A CLASSES OF PERSONS AND THE NATURE OF THEIR RIGHTS: THIS CORPORATION IS AN AFFILIATE OF SUTTER HEALTH, A CALIFORNIA NONPROFIT PUBLIC BENEFIT CORPORATION. SUTTER HEALTH IS THE SOLE MEMBER WITH THE RIGHT TO ELECT AT LEAST A MAJORITY OF THE MEMBERS OF THE BOARD OF DIRECTORS. FORM 990, PART VI, LINE 7B CLASSES OF PERSONS, DECISIONS REQUIRING APPROVAL & TYPE OF VOTING RIGHTS: SUTTER BAY HOSPITALS, AS THE SOLE MEMBER OF THE ORGANIZATION IS ENTITLED TO EXERCISE FULLY ALL RIGHTS AND PRIVILEGES OF MEMBERS OF NONPROFIT CORPORATIONS UNDER THE CALIFORNIA NONPROFIT PUBLIC BENEFIT CORPORATION LAW, AND ALL OTHER APPLICABLE LAWS. THE MEMBER HAS THE RIGHTS AND POWERS TO APPOINT (AND REMOVE) MEMBERS OF THE CORPORATION'S BOARD OF DIRECTORS, SUBJECT TO THE PROVISIONS OF THE BYLAWS. IN ADDITION, THE MEMBER HAS THE RIGHT TO APPROVE THE FOLLOWING ACTIONS OF THE CORPORATION'S BOARD OF Regents: A. MERGER, CONSOLIDATION, REORGANIZATION, OR DISSOLUTION OF THE UNIVERSITY OR ANY SUBSIDIARY OR AFFILIATE ENTITY UNDER ITS CONTROL; B. AMENDMENT OR RESTATEMENT OF THE ARTICLES OF INCORPORATION OR THE BYLAWS OF THE UNIVERSITY OR ANY SUBSIDIARY OR AFFILIATE ENTITY UNDER ITS CONTROL; C. ANY SELF-DEALING TRANSACTION BETWEEN A REGENT OF THE UNIVERSITY AND THE UNIVERSITY OR A SUBSIDIARY OF THE UNIVERSITY; D. THE CREATION OR ACQUISITION OF ANY SUBSIDIARY OR AFFILIATE ENTITY; E. CONTRACTING WITH ANY THIRD PARTY FOR ALL OR SUBSTANTIALLY ALL OF THE MANAGEMENT OF THE ASSETS OR OPERATIONS OF THE UNIVERSITY OR ANY SUBSIDIARY OR AFFILIATE ENTITY; F. REHIRING, CONTRACTING WITH, OR OTHERWISE COMPENSATING A SUTTER HEALTH EXECUTIVE, OR ANY OFFICER, DIRECTOR OR KEY EMPLOYEE OF THE UNIVERSITY OR ANY SUBSIDIARY OR AFFILIATE ENTITY AFTER THEIR EMPLOYMENT HAS ENDED; G. APPROVAL OF (I) THE UNIVERSITY'S LONG TERM OPERATING AND CAPITAL PLAN, (II) A CAPITAL BUDGET THAT MATERIALLY EXCEEDS AVERAGE ANNUAL CASH FLOW OF THE PRECEDING THREE FISCAL YEARS, (III) AN ANNUAL OPERATING BUDGET THAT FALLS MATERIALLY SHORT OF MOODY'S "BAA" RATED MEDIAN PERFORMANCE FOR PRIVATE UNIVERSITIES AND COLLEGES RELATED TO OPERATING INCOME AND EBITDAR OR (IV) AN ANNUAL BUDGET THAT FOLLOWS SUCCESSIVE YEARS OF ACTUAL PERFORMANCE MATERIALLY BELOW BUDGETED PERFORMANCE; AND H. THE HIRING OF INDEPENDENT COUNSEL BY THE UNIVERSITY OR ANY SUBSIDIARY OR AFFILIATE ENTITY UNDER ITS CONTROL, UNLESS AT LEAST TWO-THIRDS (2/3) OF THE INDEPENDENT REGENTS IN OFFICE ON THE DAY OF A VOTE APPROVE THE ENGAGEMENT OF SUCH COUNSEL. TO PRESERVE THE INDEPENDENCE OF COUNSEL RETAINED PURSUANT TO THIS PROVISION, THE GENERAL MEMBER OR SUTTER HEALTH SHALL NOT CLAIM THAT ANY COMMUNICATION BETWEEN SUCH INDEPENDENT COUNSEL AND ANY PERSON ACTING ON BEHALF OF THE UNIVERSITY, EVEN IF THAT PERSON IS ALSO AN EMPLOYEE, OFFICER OR AGENT OF THE GENERAL MEMBER OR SUTTER HEALTH, CONSTITUTES A WAIVER OF THE ATTORNEY-CLIENT PRIVILEGE OR WORK-PRODUCT PROTECTION. FORM 990, PART VI, LINE 11B PROCESS USED BY MANAGEMENT &/OR GOVERNING BODY TO REVIEW FORM 990: SUTTER HEALTH HAS A CENTRALIZED TAX DEPARTMENT RESPONSIBLE FOR THE PREPARATION OF THE FORM 990. ANNUALLY THE TAX DEPARTMENT PROVIDES TRAINING AND EDUCATION TO AFFILIATE PERSONNEL WHO ASSIST THE TAX DEPARTMENT IN COLLECTING AND REVIEWING DATA TO BE REPORTED ON THE FORM 990. THE PREPARATION MATERIAL IS REVIEWED BY VARIOUS DEPARTMENTS INCLUDING TAX, FINANCE, LEGAL, AND HUMAN RESOURCES. A NATIONAL ACCOUNTING FIRM PREPARES AND/OR REVIEWS THE RETURN. A COMPLETED RETURN IS THEN REVIEWED BY THE TAX DEPARTMENT, THE AFFILIATE, AND THE CFO BEFORE THE RETURN IS FILED. FORM 990, PART VI, LINE 12 PROCESS TO MONITOR TRANSACTIONS FOR CONFLICTS OF INTEREST: EMPLOYEES ARE EDUCATED ON THE CONFLICT OF INTEREST POLICY AND THE NEED TO MAKE DISCLOSURE AS PART OF ANNUAL COMPLIANCE EDUCATION. IN ADDITION, ANNUALLY A DISCLOSURE STATEMENT IS COMPLETED BY ALL DIRECTORS, OFFICERS AND KEY EMPLOYEES. ON THIS STATEMENT THE INDIVIDUAL WILL LIST A WIDE RANGE OF INFORMATION WHICH INCLUDES BUSINESS RELATIONSHIPS, EMPLOYMENT RELATIONSHIPS, PROPERTY INTERESTS, AND THOSE OF RELATED PARTIES. IF THERE IS A POTENTIAL CONFLICT OF INTEREST RELATED TO A PARTICULAR TRANSACTION, THE INTERESTED INDIVIDUAL MUST DISCLOSE THE EXISTENCE AND NATURE OF THE RELATIONSHIP. THE BOARD CHAIR MAY APPOINT A DISINTERESTED PERSON OR COMMITTEE TO INVESTIGATE THE CONFLICT. THE BOARD MAY CONSULT WITH THE OFFICE OF THE GENERAL COUNSEL AS NECESSARY. UNTIL THE POTENTIAL CONFLICT IS RESOLVED, THE BOARD CHAIR (OR COMMITTEE CHAIR AS APPLICABLE) MAY REQUEST THE INDIVIDUAL TO NOT PARTICIPATE DURING RELATED PRESENTATIONS AND DISCUSSIONS. IN ALL CIRCUMSTANCES INVOLVING AN ACTUAL CONFLICT, THE INTERESTED INDIVIDUAL SHALL LEAVE THE ROOM PRIOR TO THE BOARD'S FINAL DISCUSSION AND VOTE. FORM 990, PART VI, LINES 15A & 15B PROCESS FOR DETERMINING COMPENSATION: The Executive Committee of the Samuel Merritt University Board of Regents RETAINS ULTIMATE DISCRETIONARY AUTHORITY OVER ALL ELEMENTS OF COMPENSATION TO ASSURE THAT ORGANIZATIONAL PURPOSES ARE APPROPRIATELY BEING SERVED. The Executive Committee USES CREDIBLE DATA SOURCES AND MAINTAINS AN OBJECTIVE "ARMS LENGTH" DECISION-MAKING PROCESS, ensuring the integrity of Samuel Merritt's executive programs AND CONSISTENCY WITH THE ORGANIZATION'S OVERALL MISSION. IN ORDER TO ENSURE EXTERNAL COMPETITIVENESS, NATIONAL, CALIFORNIA AND LOCAL MARKET AREA COMPENSATION DATA COMPARISONS ARE REVIEWED. COMPETITIVE ANALYSIS INCLUDES: (A) BASE SALARY, (B) TOTAL CASH (BASE SALARY + ANNUAL INCENTIVE), (C) TOTAL DIRECT CASH (BASE SALARY + ANNUAL INCENTIVE + LONG TERM INCENTIVE) AND (D) TOTAL REMUNERATION (BASE SALARY + ANNUAL INCENTIVE + BENEFITS AND LONG TERM INCENTIVE). THIS ANALYSIS INCLUDES COMPARABLE ORGANIZATIONS AND GEOGRAPHIC CONSIDERATIONS. FOR THE MOST SENIOR EXECUTIVE POSITIONS, NATIONAL COMPARISONS FOR ORGANIZATIONS SIMILAR IN SIZE, SCOPE AND COMPLEXITY AS SUTTER HEALTH ARE MOST APPROPRIATE SINCE IT IS A NATIONAL MARKETPLACE in which Samuel Merritt competes for executive talent. ON THE OTHER HAND, BECAUSE CALIFORNIA'S UNDERLYING COMPENSATION STRUCTURE IS HIGHER THAN NATIONAL DATA (ESPECIALLY IN THE BAY AREA), REGIONAL PAY ADJUSTMENTS MAY BE MADE. OFFICERS AND KEY EMPLOYEES OF THIS ORGANIZATION UNDERGO A REVIEW AND COMPENSATION COMMITTEE APPROVAL ANNUALLY, AND SUCH APPROVAL IS RECORDED IN THE MINUTES. THE 2019 EXECUTIVE COMPENSATION APPROVAL WAS COMPLETED IN FEBRURARY 2019. FORM 990, PART VI, LINE 19 AVAILABILITY OF GOVERNING DOCUMENTS, COI POLICY & FINANCIAL STATEMENTS: THE SUTTER HEALTH SYSTEM POSTS ITS CURRENT AND PAST AUDITED FINANCIAL STATEMENTS AT SUTTERHEALTH.ORG. OTHER DOCUMENTS ARE ALSO LOCATED AT THIS WEBSITE INCLUDING THE ANNUAL REPORT, MISSION STATEMENT, HISTORY, AND LINKS TO AFFILIATE WEBSITES. THE GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE NOT AVAILABLE TO THE PUBLIC AT THIS TIME. FORM 990, PART VII, SECTION A COMPENSATION OF BOARD MEMBERS: THE FOLLOWING BOARD MEMBERS OF SAMUEL MERRITT UNIVERSITY ARE FULL-TIME EMPLOYEES (40 HOURS PER WEEK) OF SUTTER HEALTH AND THEIR SUTTER HEALTH SALARY IS REPORTED HEREIN. THE FOLLOWING INDIVIDUALS RECEIVED NO COMPENSATION FOR THEIR SERVICE AS BOARD MEMBERS OF THIS ORGANIZATION. - JEFF GERARD - GREG BROWN - JULIE PETRINI - ANNA KIGER COMMON LAW EMPLOYEES: INDIVIDUALS LISTED AS OFFICERS AND KEY EMPLOYEES OF THE ORGANIZATION THAT ARE PAID FULLTIME BY A RELATED ORGANIZATION ARE COMMON LAW EMPLOYEES OF SUTTER HEALTH, A SEPARATE LEGAL ENTITY. IT IS THE INTENTION OF SUTTER HEALTH AND THE FILING ORGANIZATION TO MAKE INFORMATION ACCESSIBLE AND TRANSPARENT, REPORTING THOSE SUTTER HEALTH EMPLOYEES WHO HAVE OFFICER AND KEY EMPLOYEE RESPONSIBILITIES TO THE FILING ORGANIZATION. 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