2019-08-13T08:03:17-05:00 2018-09-30 135565207 KPMG LLP 1601 MARKET STREET PHILADELPHIA PA 19103 990 2017-10-01 222529464 YALE NEW HAVEN HEALTH SERVICES CORPORATION YALE 2036886088 789 HOWARD AVENUE NEW HAVEN CT 06519 VINCENT TAMMARO EXECUTIVE VP & CFO 2036886088 2019-08-13 0 PHILLIP E GROFF P01247783 2672561756 204.60.184.1 2019-08-13 08:03:01 ED P 0EB4CE1ACD44DB279B6C2D9A8476B20948576B96 E9C924457B5D275461852EC86B70A375E5271692 2017 2019-02-21 02:37:17Z MARNA BORGSTROM 789 HOWARD AVE NEW HAVEN CT 06519 632801332 0 X WWW.YNHHS.ORG X 1983 CT TO PROMOTE CHARITABLE, SCIENTIFIC AND EDUCATIONAL ACTIVITIES. 20 18 2940 19 4177676 0 0 0 550654643 619153769 -360423 109631 5994328 6087901 556288548 625351301 434015 300400 0 0 293292890 333215061 0 0 0 258416710 301393689 552143615 634909150 4144933 -9557849 1519773517 1594370881 1060994713 1145150944 458778804 449219937 X TO FURTHER INNOVATION AND EXCELLENCE IN PATIENT CARE, TEACHING, RESEARCH AND SERVICE TO ITS COMMUNITIES AND SUPPORT ITS MEMBER HEALTHCARE ORGANIZATIONS. 0 0 497269629 300400 621063985 SEE SCHEDULE O 497269629 1 0 0 0 0 0 0 0 0 0 1 0 1 0 1 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 1 351 0 0 2940 1 1 1 0 0 0 0 0 0 0 0 0 X 20 18 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 X DENIS DONEGAN 2036886088 789 HOWARD AVE NEW HAVEN CT 06519 MARNA BORGSTROM CEO/TRUSTEE 16.00 24.00 X X 1598581 2397870 752997 VINCENT CALARCO CHAIRMAN/TRUSTEE 1.00 1.00 X X 0 0 0 JOSEPH CRESPO SECRETARY/TRUSTEE 1.00 1.00 X X 0 0 0 JULIA MCNAMARA VICE CHAIR/TRUSTEE 1.00 1.00 X X 0 0 0 JOHN FALCONI TRUSTEE 1.00 1.00 X 0 0 0 MARY FARRELL TRUSTEE 1.00 1.00 X 0 0 0 CARLTON HIGHSMITH TRUSTEE 1.00 0.00 X 0 0 0 THOMAS KETCHUM TRUSTEE 1.00 1.00 X 0 0 0 JOHN LAHEY TRUSTEE 1.00 1.00 X 0 0 0 MARVIN LENDER TRUSTEE 1.00 1.00 X 0 0 0 NEWMAN MARSILIUS III TRUSTEE 1.00 2.00 X 0 0 0 ARTHUR MARTINEZ - EFF 102017 TRUSTEE 1.00 3.00 X 0 0 0 BARBARA MILLER TRUSTEE 1.00 1.00 X 0 0 0 STEPHEN MURPHY TRUSTEE 1.00 1.00 X 0 0 0 BENJAMIN POLAK TRUSTEE 1.00 0.00 X 0 0 0 B MICHAEL RAUH - EFF 102017 TRUSTEE 1.00 5.00 X 0 0 0 MEREDITH REUBEN TRUSTEE 1.00 1.00 X 0 0 0 PETER SALOVEY TRUSTEE 1.00 1.00 X 0 0 0 ELLIOT SUSSMAN TRUSTEE 1.00 1.00 X 0 0 0 JAMES TORGERSON TRUSTEE 1.00 1.00 X 0 0 0 STEPHEN ALLEGRETTO VP 1.00 39.00 X 16841 544555 162880 WILLIAM ASELTYNE SR. VP 8.00 32.00 X 205203 874810 268033 THOMAS BALCEZAK SR. VP 1.00 39.00 X 0 1074368 287017 GAYLE CAPOZZALO - END 62018 EXECUTIVE VP 37.00 3.00 X 1164506 0 96481 EUGENE COLUCCI VP 4.00 36.00 X 64008 576076 103800 RICHARD D'AQUILA PRESIDENT (CURRENT YEAR COMP) 8.00 32.00 X 477616 1910463 310089 RICHARD D'AQUILA PRESIDENT (VESTED DEFERRED 8.00 32.00 X 251980 1007922 0 MICHAEL DIMENSTEIN VP 2.00 38.00 X 32225 696841 98927 DENISE FIORE - EFF 102017 SR. VP (CURRENT YEAR COMP) 1.00 39.00 X 0 682973 100246 DENISE FIORE - EFF 102017 SR. VP (VESTED DEFERRED) 1.00 39.00 X 0 2690538 0 PATRICK GREEN EXECUTIVE VP 8.00 32.00 X 72783 291133 147139 WILLIAM JENNINGS EXECUTIVE VP 8.00 32.00 X 250446 1001784 336766 PATRICK MCCABE SR. VP 38.00 2.00 X 777588 0 237134 JAMES MORRIS VP 1.00 39.00 X 16366 425968 130281 KEVIN MYATT SR. VP (CURRENT YEAR COMP) 16.00 24.00 X 363533 545301 150954 KEVIN MYATT SR. VP (VESTED DEFERRED) 16.00 24.00 X 828760 1243139 0 THOMAS NEWMAN - EFF 112017 SR. VP 16.00 24.00 X 119212 178819 63020 CHRISTOPHER O'CONNOR EXECUTIVE VP/COO 34.00 6.00 X 1412556 0 379201 VINCENT PETRINI SR. VP 1.00 39.00 X 0 685828 199121 NORMAN ROTH EXECUTIVE VP 8.00 32.00 X 370390 1481559 93254 CAROLYN SALSGIVER-KOBSA VP 1.00 39.00 X 0 460089 146147 PAMELA SCAGLIARINI SR. VP 1.00 39.00 X 0 703547 202956 JOHN SKELLY VP 4.00 36.00 X 63747 573723 178947 LISA STUMP SR. VP 8.00 32.00 X 153783 615132 238723 VINCENT TAMMARO EXECUTIVE VP/CFO/TREASURER 16.00 24.00 X 504899 757349 301094 MELISSA TURNER VP 1.00 39.00 X 0 466437 123809 PRATHIBHA VARKEY SR. VP 8.00 32.00 X 187024 748096 226128 DAVID WURCEL VP 1.00 39.00 X 0 643356 41254 JOSEPH BISSON VP 40.00 0.00 X 537274 0 94259 MATTHEW COMERFORD VP 40.00 0.00 X 612928 0 98406 ALAN KLIGER SR. VP 40.00 0.00 X 507023 0 133622 MICHAEL LOFTUS VP 40.00 0.00 X 577698 0 100466 VICTOR MORRIS VP 40.00 0.00 X 607041 0 98414 FRANK CORVINO FORMER OFFICER 0.00 0.00 X 0 139574 0 WILLIAM GEDGE FORMER OFFICER 0.00 0.00 X 1718854 0 0 PETER HERBERT FORMER OFFICER 0.00 0.00 X 0 211098 0 NANCY LEVITT-ROSENTHAL FORMER OFFICER 0.00 0.00 X 343232 0 0 JAMES STATEN FORMER OFFICER 0.00 0.00 X 1677835 0 0 BRUCE CUMMINGS FORMER OFFICER 0.00 0.00 X 0 338239 8293 15513932 23966587 5909858 780 1 1 0 EPIC SYSTEMS CORPORATION 1979 MILKY WAY VERONA WI 53593 CONSULTING 9610093 INFOR (US) INC 641 AVENUE OF THE AMERICAS NEW YORK NY 10011 CONSULTING 6387922 P2P STAFFING CORPORATION 5810 CORAL RIDGE DRIVE SUITE 250 CORAL SPRINGS FL 33076 STAFFING 2675289 TOWERS WATSON DELAWARE INC 901 NORTH GLEBE ROAD SUITE 600 ARLINGTON VA 22203 CONSULTING 2345698 ALLEGIS GROUP HOLDINGS INC PO BOX 198568 ATLANTA GA 303848568 CONSULTING 2212383 125 MANAGEMENT SERVICES 900099 475279684 475279684 SYSTEM SUPPORT SERVICES 900099 55588584 55588584 INSURANCE PREMIUMS 900099 50113444 50113444 EMERGENCY PREPAREDNESS PROGRAM 900099 23313588 23313588 MANAGEMENT SERVICES-EPIC 621990 14858469 14858469 619153769 109592 -9 109601 7450070 7450031 39 39 39 MANAGEMENT SERVICES REVENUE 900099 3439989 3439989 OTHER ANCILLARY INCOME 900099 2606595 2606595 SYSTEM SUPPORT FEES 900099 737696 737696 -696379 -696379 6087901 625351301 621063985 4177676 109640 X 300400 300400 9710116 971012 8739104 244235702 197184321 47051381 14476690 11296242 3180448 47670117 37197257 10472860 17122436 13360732 3761704 4350884 4350884 2460953 2460953 106699576 80092946 26606630 2885149 2251297 633852 85049906 66364914 18684992 2771584 2162682 608902 41336617 32255192 9081425 46706400 46706400 TELEPHONE & DATA COMMUN 7988447 6233430 1755017 DUES, FEES & MEMBERSHIP 1091282 851533 239749 BOOKS & SUBSCRIPTIONS 52891 41271 11620 634909150 497269629 137639521 0 57260232 58270882 892875321 970625656 27330809 17115464 405653501 290373165 106082563 115280336 8443072 7446473 375731415 373581965 52050105 52050105 1519773517 1594370881 92166113 94998360 74831478 70060775 798002585 885607341 95994537 94484468 1060994713 1145150944 X 458778804 413018848 20497152 15703937 458778804 449219937 1519773517 1594370881 -9557849 -1018 0 X 0 1 X 1 1 1 X X 5 YALE NEW HAVEN HOSPITALINC 060646652 3 1 0 0 BRIDGEPORT HOSPITAL 060646554 3 1 0 0 GREENWICH HOSPITAL 060646659 3 1 0 0 NORTHEAST MEDICAL GROUP INC 061330992 10 1 72899874 0 LAWRENCE MEMORIAL HOSPITAL INC 060646704 3 1 0 0 5 72899874 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 PART IV, SECTION A, LINE 1: IN ADDITION TO THE ORGANIZATIONS EXPRESSLY NAMED IN ITS CERTIFICATE OF INCORPORATION, THE ORGANIZATION'S CERTIFICATE OF INCORPORATION PROVIDES THAT IT SHALL SUPPORT SUCH OTHER ORGANIZATIONS AS MAY FROM TIME TO TIME BECOME AFFILIATED WITH THE ORGANIZATION. PART IV, SECTION B, LINE 1 AS THE PARENT ORGANIZATION OF AN INTEGRATED HEALTH CARE DELIVERY SYSTEM, THE ORGANIZATION IS RESPONSIVE TO THE NEEDS AND DEMANDS OF ITS MEMBER HOSPITALS AND OTHER HEALTH CARE PROVIDERS (REFERRED TO AS DELIVERY NETWORKS). THE ORGANIZATION CREATES VALUE FOR THE DELIVERY NETWORKS AND SUPPORTS THEIR OPERATIONS BY CENTRALIZING CERTAIN ADMINISTRATIVE SERVICES WITHIN THE ORGANIZATION AND SPREADING THE COSTS OF THESE SERVICES ACROSS ALL OF THE DELIVERY NETWORKS. IN THIS WAY, THE DELIVERY NETWORKS OBTAIN THE SERVICES, EXPERTISE, INFRASTRUCTURE AND ECONOMIES OF SCALE OF A MUCH LARGER HEALTH SYSTEM. SYSTEM-WIDE SERVICES INCLUDE, IN PART, POPULATION HEALTH TECHNOLOGY, BILLING, INFORMATION TECHNOLOGY INFRASTRUCTURE, COMPLIANCE AND LEGAL AND RISK MANAGEMENT. SUPPORTING THESE "BACK OFFICE" SERVICES AND OTHER VALUE-CREATING ATTRIBUTES ALLOW THE DELIVERY NETWORKS TO FREE UP MEASURABLE RESOURCES, GENERATE NEW REVENUE FOR INVESTMENT IN THEIR RESPECTIVE LOCAL AND REGIONAL MISSIONS AND FOCUS ON PATIENT OUTCOMES AND THE HEALTH OF THE COMMUNITIES THEY SERVE. THE CHAIRS OF YALE NEW HAVEN HOSPITAL, BRIDGEPORT HOSPITAL, GREENWICH HOSPITAL AND LAWRENCE + MEMORIAL HOSPITAL SERVE, EX-OFFICIO, AS VOTING MEMBERS OF THE ORGANIZATION'S BOARD OF TRUSTEES. FURTHER, A NUMBER OF THE ORGANIZATION'S SENIOR EXECUTIVES HAVE DELIVERY NETWORK SPECIFIC ROLES AND RESPONSIBILITIES AND REPRESENT THE INTERESTS OF THOSE DELIVERY NETWORKS. THE DELIVERY NETWORKS HAVE APPROVAL RIGHTS WITH RESPECT TO, IN PART, ARTICULATING THE LOCAL DIMENSIONS OF THE SYSTEM MISSION, VISION AND VALUES AND STRATEGY, OVERSEEING AND ASSURING PERFORMANCE IN CLINICAL QUALITY AND PATIENT SAFETY, DEVELOPING THE OPERATING AND CAPITAL BUDGETS AND OVERSEEING THEM IN THE CONTEXT OF THE OVERALL SYSTEM BUDGET, OVERSEEING PUBLIC RELATIONS, COMMUNITY ENGAGEMENT, AND LOCAL GOVERNMENT RELATIONS AND APPROVING THE LOCAL COMMUNITY HEALTH NEEDS ASSESSMENT AND IMPLEMENTATION PLAN. 7980000 7980000 14818424 1172301 13646123 353745692 289200864 64544828 29109385 29109385 115280336 INVEST. IN L+M CORP 277307150 C INVEST. IN NEPC/VHA 262192 C INVEST. IN TOTAL HEALTH 765186 C INVEST. IN PATIENT WISDOM 296024 C INVEST. IN MCIC VERMONT 1000000 C INVEST. IN N. SHORE LIJ 567567 C MCIC EQUITY 80040587 C MCIC INVESTMENT 10811582 C INVEST. IN PHYSICIAN ONE URGENT CARE 2371427 C INVEST. IN SILVER HILL HOSPITAL 160250 C 373581965 PROFESSIONAL LIABILITY INSURANCE 11775175 ACCRUED SUPPLEMENTAL RETIREMENT 23780241 RETRO INSURANCE CREDIT 17269316 INTEREST RATE SWAP 23802394 CURRENT PORTION OF LONG TERM DEBT 17857342 94484468 X PART X, LINE 2: YALE NEW HAVEN HEALTH SERVICES CORPORATION IS INCLUDED IN THE CONSOLIDATED YALE NEW HAVEN HEALTH SYSTEM AND SUBSIDIARIES AUDITED FINANCIAL STATEMENTS. FOLLOWING IS THE FOOTNOTE FROM THE CONSOLIDATED FINANCIAL STATEMENTS: MOST ENTITIES WITHIN THE SYSTEM ARE NOT FOR PROFIT CORPORATIONS AS DESCRIBED IN SECTION 501(C)(3) OF THE CODE, AND ARE GENERALLY EXEMPT FROM FEDERAL INCOME TAXES PURSUANT TO SECTION 501(A) OF THE CODE. PROVISIONS FOR INCOME TAXES AND DEFERRED TAXES, WHICH ARE NOT MATERIAL TO THE CONSOLIDATED FINANCIAL STATEMENTS, HAVE BEEN MADE FOR THE TAXABLE ENTITIES LISTED ABOVE UNDER THE DESCRIPTION OF THE SYSTEM. U.S. GAAP REQUIRES THE SYSTEM TO EVALUATE TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN THE COURSE OF PREPARING THE SYSTEM'S TAX RETURNS TO DETERMINE WHETHER THE TAX POSITIONS ARE "MORE LIKELY THAN NOT" OF BEING SUSTAINED BY THE APPLICABLE TAX AUTHORITY BASED UPON THE TECHNICAL MERITS OF THE POSITION. THE SYSTEM RECOGNIZES THE EFFECT OF TAX POSITIONS ONLY IF THEY ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. THIS EVALUATION HAD NO IMPACT ON THE OPERATIONS OF THE SYSTEM AS OF AND FOR THE YEAR ENDED SEPTEMBER 30, 2018 AND 2017. 1 ACHIEVEMENT FIRST 495 BLAKE STREET NEW HAVEN CT 06515 651203744 501(C)(3) 10800 FMV SUPPORT MISSION ALBERTUS MAGNUS COLLEGE 700 PROSPECT STREET NEW HAVEN CT 06511 060646520 501(C)(3) 25000 FMV SPONSORSHIP AMERICAN HEART ASSOCIATION 7272 GREENVILLE AVE DALLAS TX 75231 135613797 501(C)(3) 17500 FMV SPONSORSHIP ANTI-DEFAMATION LEAGUE 605 THIRD AVENUE NEW YORK NY 10158 131818723 501(C)(3) 10000 FMV SUPPORT MISSION BEULAH HEIGHTS CHURCH (SOCIAL INTEGRATION) 782 ORCHARD STREET NEW HAVEN CT 06511 061290930 501(C)(3) 6000 FMV SUPPORT MISSION CHRISTIAN COMMUNITY COMMISSION 681 DIXWELL AVENUE NEW HAVEN CT 06511 311609929 501(C)(3) 10000 FMV SUPPORT MISSION LONG WHARF THEATER - CONNECTICUT PLAYERS FOUNDATION INC 222 SARGENT DRIVE NEW HAVEN CT 06511 066073063 501(C)(3) 12500 FMV SUPPORT MISSION CORNELL HILL SCOTT CORPORATION 400-428 COLUMBUS AVE NEW HAVEN CT 06519 060870990 501(C)(3) 20000 FMV SUPPORT MISSION EAST END DEVELOPERS INC PO BOX 9045 BRIDGEPORT CT 06601 460768629 501(C)(3) 10000 FMV SUPPORT MISSION EASTER SEALS GOODWILL 95 HAMILTON STREET NEW HAVEN CT 06511 237431264 501(C)(3) 9000 FMV SUPPORT MISSION GREENWICH HOSPITAL 5 PERRYRIDGE ROAD GREENWICH CT 06830 060646659 501(C)(3) 13900 FMV SUPPORT MISSION JUVENILE DIABETES RESEARCH GREATER CT & WESTERN MA CHAPTER 20 BATTERSON PARK ROAD FARMINGTON CT 06032 231907729 501(C)(3) 15000 FMV SPONSORSHIP JUNIOR ACHIEVEMENT OF SOUTHWEST NEW ENGLAND 70 FARMINGTON AVENUE HARTFORD CT 06105 060665972 501(C)(3) 20300 FMV SPONSORSHIP LAWRENCE MEMORIAL HOSPITAL INC 365 MONTAUK AVENUE NEW LONDON CT 06320 060646704 501(C)(3) 9150 FMV SUPPORT MISSION NEW HAVEN INTERNATIONAL FESTIVAL OF ARTS 195 CHURCH STREET 12TH FLOOR NEW HAVEN CT 06510 061444222 501(C)(3) 26500 FMV SPONSORSHIP NEW HAVEN PUBLIC LIBRARY 133 ELM STREET NEW HAVEN CT 06510 061283798 501(C)(3) 7500 FMV SUPPORT MISSION NEW HAVEN WORKS INC 205 WHITNEY AVENUE 106 NEW HAVEN CT 06511 462662124 501(C)(3) 20000 FMV SUPPORT MISSION PLANNED PARENTHOOD OF SOUTHERN CT 345 WHITNEY AVENUE NEW HAVEN CT 06512 060263565 501(C)(3) 17500 FMV SUPPORT MISSION SILVER HILL HOSPITAL 208 VALLEY ROAD NEW CANAAN CT 06840 060655139 501(C)(3) 10000 FMV SPONSORSHIP VISITING NURSE ASSOCIATION SOUTH ONE LONG WHARF DRIVE NEW HAVEN CT 06511 060646941 501(C)(3) 13000 FMV SUPPORT MISSION WOMEN'S BUSINESS DEVELOPMENT 184 BEDFORD STREET STAMFORD CT 06901 061493737 501(C)(3) 5450 FMV SPONSORSHIP YALE NEW HAVEN HOSPITAL 20 YORK STREET NEW HAVEN CT 06510 060646652 501(C)(3) 11300 FMV SUPPORT MISSION 22 0 PART I, LINE 2: NONE OF THE AMOUNTS REPORTED ON SCHEDULE I, PART II ARE GRANTS. THESE AMOUNTS ARE DONATIONS AND SPONSORSHIPS GIVEN TO ORGANIZATIONS TO ASSIST IN THE FURTHERANCE OF THEIR CHARITABLE MISSION. YALE NEW HAVEN HEALTHCARE SERVICES CORPORATION ("HSC") CARRIES OUT DUE DILIGENCE IN PROVIDING MONETARY ASSISTANCE ONLY TO QUALIFYING 501(C)(3) ORGANIZATIONS THAT COMPLEMENT ITS MISSION OR SUPPORT THE GREATER GOOD IN THE COMMUNITIES SERVED. HSC VERIFIES EACH ORGANIZATION'S EIN AS LISTED ON IRS FORM W-9 THAT HAS BEEN SUBMITTED TO HSC. ASSISTANCE DONATED BY HSC TO THESE QUALIFYING ORGANIZATIONS IS NOT OUTCOMES-BASED AND IS GIVEN IN SUPPORT OF AN INDIVIDUAL ORGANIZATION'S FUNDRAISING EVENTS OR IN SUPPORT OF DIRECT SERVICES. HSC MAINTAINS FULL AND COMPLETE RECORDS OF ALL MONETARY ASSISTANCE PROVIDED, HOWEVER DOES NOT MONITOR SPECIFIC FUNDS. X X X X X 1 1 0 0 0 0 0 1 0 MARNA BORGSTROM CEO/TRUSTEE 782832 1174247 777229 1165843 38520 57780 296437 444656 4762 7142 1899780 2849668 0 0 STEPHEN ALLEGRETTO VP 12825 414688 3164 102315 852 27552 4510 145833 376 12161 21727 702549 402 12994 WILLIAM ASELTYNE SR. VP 134116 571759 41719 177853 29368 125198 47562 202763 3365 14343 256130 1091916 5479 23358 THOMAS BALCEZAK SR. VP 0 719118 0 216375 0 138875 0 268782 0 18235 0 1361385 0 51704 GAYLE CAPOZZALO - END 62018 EXECUTIVE VP 733835 0 279422 0 151249 0 84433 0 12048 0 1260987 0 0 0 EUGENE COLUCCI VP 45668 411014 11007 99063 7333 65999 9414 84725 966 8695 74388 669496 0 0 RICHARD D'AQUILA PRESIDENT (CURRENT YEAR COMP) 311402 1245608 107016 428064 59198 236791 59270 237080 2748 10991 539634 2158534 599 2396 RICHARD D'AQUILA PRESIDENT (VESTED DEFERRED 0 0 0 0 251980 1007922 0 0 0 0 251980 1007922 0 0 MICHAEL DIMENSTEIN VP 16443 355568 4066 87914 11716 253359 3731 80676 642 13878 36598 791395 0 0 DENISE FIORE - EFF 102017 SR. VP (CURRENT YEAR COMP) 0 448268 0 85340 0 149365 0 92871 0 7375 0 783219 0 0 DENISE FIORE - EFF 102017 SR. VP (VESTED DEFERRED) 0 0 0 0 0 2690538 0 0 0 0 0 2690538 0 0 PATRICK GREEN EXECUTIVE VP 62303 249211 9000 36000 1480 5922 28287 113147 1141 4564 102211 408844 0 0 WILLIAM JENNINGS EXECUTIVE VP 160491 641964 61448 245794 28507 114026 63588 254352 3765 15061 317799 1271197 0 0 PATRICK MCCABE SR. VP 577462 0 167402 0 32724 0 225180 0 11954 0 1014722 0 0 0 JAMES MORRIS VP 10977 285704 2981 77581 2408 62683 4195 109171 626 16289 21187 551428 0 0 KEVIN MYATT SR. VP (CURRENT YEAR COMP) 246738 370107 81384 122077 35411 53117 54906 82359 5476 8213 423915 635873 0 0 KEVIN MYATT SR. VP (VESTED DEFERRED) 0 0 0 0 828760 1243139 0 0 0 0 828760 1243139 388339 582508 THOMAS NEWMAN - EFF 112017 SR. VP 52344 78516 65836 98754 1032 1549 23967 35950 1241 1862 144420 216631 0 0 CHRISTOPHER O'CONNOR EXECUTIVE VP/COO 935188 0 341950 0 135418 0 360316 0 18885 0 1791757 0 0 0 VINCENT PETRINI SR. VP 0 452370 0 153147 0 80311 0 182089 0 17032 0 884949 0 0 NORMAN ROTH EXECUTIVE VP 148672 594686 59382 237528 162336 649345 16260 65040 2391 9563 389041 1556162 72 288 CAROLYN SALSGIVER-KOBSA VP 0 319336 0 83570 0 57183 0 128968 0 17179 0 606236 0 4416 PAMELA SCAGLIARINI SR. VP 0 480942 0 128282 0 94323 0 185336 0 17620 0 906503 0 13251 JOHN SKELLY VP 44385 399468 10823 97405 8539 76850 16165 145482 1730 15570 81642 734775 1396 12562 LISA STUMP SR. VP 111940 447759 24327 97308 17516 70065 44169 176675 3576 14303 201528 806110 0 0 VINCENT TAMMARO EXECUTIVE VP/CFO/TREASURER 321099 481649 121424 182136 62376 93564 113345 170017 7093 10639 625337 938005 1254 1881 MELISSA TURNER VP 0 335775 0 80000 0 50662 0 106615 0 17194 0 590246 0 0 PRATHIBHA VARKEY SR. VP 134410 537639 43953 175812 8661 34645 43739 174955 1487 5947 232250 928998 0 0 DAVID WURCEL VP 0 454993 0 110385 0 77978 0 29300 0 11954 0 684610 0 2685 JOSEPH BISSON VP 383448 0 95288 0 58538 0 76700 0 17559 0 631533 0 9408 0 MATTHEW COMERFORD VP 423669 0 132543 0 56716 0 82050 0 16356 0 711334 0 0 0 ALAN KLIGER SR. VP 293780 0 160000 0 53243 0 126058 0 7564 0 640645 0 0 0 MICHAEL LOFTUS VP 428697 0 104076 0 44925 0 82775 0 17691 0 678164 0 0 0 VICTOR MORRIS VP 432548 0 103488 0 71005 0 80999 0 17415 0 705455 0 0 0 FRANK CORVINO FORMER OFFICER 0 0 0 0 0 139574 0 0 0 0 0 139574 0 0 WILLIAM GEDGE FORMER OFFICER 0 0 173928 0 1544926 0 0 0 0 0 1718854 0 575890 0 PETER HERBERT FORMER OFFICER 0 0 0 0 0 211098 0 0 0 0 0 211098 0 113027 NANCY LEVITT-ROSENTHAL FORMER OFFICER 6417 0 88876 0 247939 0 0 0 0 0 343232 0 216446 0 JAMES STATEN FORMER OFFICER 0 0 0 0 1677835 0 0 0 0 0 1677835 0 1145028 0 BRUCE CUMMINGS FORMER OFFICER 0 275175 0 0 0 63064 0 0 0 8293 0 346532 0 35312 PART I, LINES 4A-B LINE 4A, SEVERANCE: THE INDIVIDUAL LISTED BELOW RECEIVED SEVERANCE PAYMENTS VALUED AT THE AMOUNT SUBSEQUENTLY SHOWN DURING THE REPORTING YEAR. THE SEVERANCE PAYMENTS ARE INCLUDED IN THE FIGURE REPORTED IN PART II, COLUMN B(III). SEVERANCE NONQUALIFIED EQUITY-BASED WILLIAM GEDGE $295,000 - - LINE 4B, SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS: THE INDIVIDUALS LISTED BELOW ARE PARTICIPANTS IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN. THESE ACCRUALS ARE INCLUDED IN THE AMOUNTS REPORTED IN PART II, COLUMN C (DEFERRED COMPENSATION) AND REPRESENT BOTH THE REPORTING ENTITY'S AND RELATED ENTITY'S COMBINED AMOUNTS THAT HAVE NOT YET BEEN VESTED CONSISTENT WITH THE COMPENSATION REPORTING PER IRS. SEVERANCE NONQUALIFIED EQUITY-BASED MARNA P. BORGSTROM - $359,055 - CHRISTOPHER O'CONNOR - 157,852 - WILLIAM A. JENNINGS - 137,228 - VINCENT TAMMARO - 133,362 - WILLIAM J. ASELTYNE - 114,533 - THOMAS BALCEZAK - 113,482 - PRATHIBHA VARKEY - 109,754 - PATRICK MCCABE - 92,433 - LISA STUMP - 84,562 - PAMELA SCAGLIARINI - 76,054 - VINCENT PETRINI - 74,202 - JOHN SKELLY - 68,920 - STEPHEN ALLEGRETTO - 66,239 - MELISSA TURNER - 52,915 - CAROLYN SALSGIVER - 50,668 - JAMES B. MORRIS - 47,428 - PATRICK GREEN - 38,543 - THOMAS NEWMAN - 21,699 - THE INDIVIDUALS LISTED BELOW BECAME VESTED IN BENEFITS VALUED AT THE AMOUNTS RESPECTIVELY REPORTED BELOW DURING THE REPORTING YEAR. INCLUDED IN SECTION II, COLUMN B (III) ARE AMOUNTS VESTED DURING THE 2017 CALENDAR YEAR THAT WERE RECOGNIZED AS TAXABLE EVENTS AND REPORTED IN THE INDIVIDUALS' 2017 CALENDAR YEAR FORM W-2. SEVERANCE NONQUALIFIED EQUITY-BASED DENISE FIORE - $2,690,538 - KEVIN MYATT - 2,071,899 - RICHARD D'AQUILA - 1,259,902 - NORMAN ROTH - 704,059 - MICHAEL DIMENSTEIN - 187,130 - WILLIAM GEDGE - 145,897 - GAYLE CAPOZZALO - 71,101 - NANCY LEVITT-ROSENTHAL - 16,979 - THE FORMER OFFICERS BELOW RECEIVED PAYMENTS THROUGHOUT THE YEAR FROM THE NONQUALIFIED PLAN. THE FOLLOWING PAYMENTS WERE MADE DIRECTLY TO THEM FROM THE RABBI TRUST: FRANK CORVINO $139,574 PETER HERBERT 78,071 THE SUPPLEMENTAL RETIREMENT INCOME PLAN (SRIP) IS DESIGNED TO ENSURE THE PAYMENT OF A COMPETITIVE LEVEL OF RETIREMENT INCOME WHEN ADDED TO OTHER SOURCES OF RETIREMENT INCOME IN ORDER TO ATTRACT AND RETAIN KEY MANAGEMENT EMPLOYEES SERVING AS CORPORATE OFFICERS. THE PLAN PROVIDES SUPPLEMENTAL RETIREMENT INCOME THROUGH AN UNFUNDED, NONQUALIFIED DEFERRED COMPENSATION ARRANGEMENT UNDER SECTION 457(F) AND THROUGH A DEFERRED COMPENSATION PLAN UNDER SECTION 409A OF THE INTERNAL REVENUE CODE AND A MANAGEMENT OR HIGHLY COMPENSATED EMPLOYEES' PLAN UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 (ERISA). SEPARATELY, LAWRENCE & MEMORIAL HOSPITAL (A RELATED ORGANIZATION) ESTABLISHED A SECTION 457(F) SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN FOR THE HOSPITAL'S SENIOR MANAGEMENT. AMOUNT FOR BRUCE CUMMINGS IS CREDITED TO THE RETIREMENT ACCOUNT IN MONTHLY INSTALLMENTS THROUGHOUT EACH PLAN YEAR. PLAN AMOUNTS WILL BE PAID ONLY IF CERTAIN CONDITIONS ARE MET, INCLUDING REMAINING EMPLOYED BY THE HOSPITAL THROUGH AGE 65, AS OUTLINED IN THE PLAN AGREEMENT. SECTION 457(F) CONTRIBUTIONS ARE PAID OUT AND REPORTED ON HIS W-2. DURING 2017, THE REQUIRED SECTION 457(F) CONDITIONS WERE MET AND THE FOLLOWING INDIVIDUAL RECEIVED THEIR PAYOUT AS FOLLOWS: BRUCE CUMMINGS $36,700 PART I, LINE 7 THE SHORT TERM INCENTIVE PLAN (STIP) IS A VARIABLE COMPENSATION PLAN WHICH PROVIDES ONE-TIME PAYMENTS TO ELIGIBLE MEMBERS OF MANAGEMENT IN RECOGNITION OF THE ACCOMPLISHMENT OF KEY ORGANIZATIONAL AND INDIVIDUAL PERFORMANCE OBJECTIVES. PERFORMANCE LEVELS ARE ESTABLISHED AND REVIEWED ANNUALLY AT THRESHOLD, TARGET AND MAXIMUM LEVELS, ACCORDING TO PLANNED "STRETCH" GOALS AND OBJECTIVES. INCENTIVE AWARD OPPORTUNITIES ARE ESTABLISHED ACCORDING TO MARKET PRACTICES BASED ON EACH ELIGIBLE POSITION'S RESPONSIBILITIES, PERFORMANCE AND LEVEL OF AUTHORITY. PERFORMANCE RELATIVE TO STIP AWARD OPPORTUNITIES INCORPORATES A BROAD SPECTRUM OF PRE-DEFINED FINANCIAL AND NON-FINANCIAL METRICS THAT ARE ALIGNED WITH ORGANIZATIONAL MISSION AND VALUES. A CHEFA - SERIES A 060806186 20774YQY6 2014-06-23 102300000 REFUND - J-1 0 0 1 B CHEFA - SERIES B 060806186 20774YQP5 2014-06-23 168275000 REFUND - M 0 0 1 C CHEFA - SERIES C 060806186 20774YQM2 2014-06-23 83625000 REFUND - K-1,K-2 0 0 1 D CHEFA - SERIES D 060806186 20774YQN0 2014-06-23 108275000 REFUND - L-1,L-2 0 0 1 A 122999458 1465826 121533632 2014 0 1 1 1 B 176852421 1474421 175378000 2014 0 1 1 1 C 20510000 90442157 680898 36261 89725000 2014 1 0 1 1 D 109094865 771839 43739 108279287 2014 1 0 1 1 A 0 1 1 1 0 0.00030 0.00030 0 0 1 B 0 1 1 1 0 0.00000 0.00000 0 0 1 C 0 1 1 1 0 0.00230 0.00230 0 0 1 D 0 1 1 1 0 0.00030 0.00030 0 0 1 A 0 0 0 1 0 0 0 0 1 B 0 0 0 1 1 0 0 0 1 C 0 1 1 0 1 0 0 0 1 D 0 1 1 0 1 0 0 0 1 A 1 B 1 C 1 D 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: CHEFA - SERIES A DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2015 ISSUER NAME: CHEFA - SERIES B DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2015 ISSUER NAME: CHEFA - SERIES E DATE THE REBATE COMPUTATION WAS PERFORMED: 07/01/2015 PART II LINE 3 THE DIFFERENCE BETWEEN THE ISSUE PRICE REPORTED ON PART I, COLUMN (E) AND TOTAL PROCEEDS REPORTED ON PART II, LINE 3 IS DUE TO EITHER INVESTMENT EARNINGS OR PREMIUM RECEIVED FROM PURCHASER. PART III LINE 3B THE ORGANIZATION HAS IN-HOUSE LEGAL STAFF WHO PROVIDE ROUTINE REVIEW OF MANAGEMENT OR SERVICE CONTRACTS OR RESEARCH AGREEMENTS RELATING TO THE FINANCED PROPERTY TO ENSURE THAT SUCH AGREEMENTS ARE COMPLIANT WITH APPLICABLE SAFE HARBORS. IN-HOUSE COUNSEL CONSULT WITH THE HOSPITAL'S OUTSIDE BOND COUNSEL AS NEEDED, INCLUDING ON NON-ROUTINE ISSUES. PART III, LINE 9 & PART V THE ORGANIZATION HAS POLICIES AND PROCEDURES IN PLACE TO ENSURE COMPLIANCE WITH FEDERAL TAX LAW, AND TO TIMELY IDENTIFY NONCOMPLIANCE. IN THE EVENT OF NON-COMPLIANCE THE ORGANIZATION WOULD INVOLVE ITS LEGAL COUNSEL TO ADVISE REGARDING APPROPRIATE REMEDIATION. A CHEFA - SERIES E 060806186 20774YRV1 2014-06-23 80935000 CONSTRUCTION/EQUIP 0 0 1 A 4120000 92315918 1157121 91158797 2015 0 0 1 1 A 0 0 0 0 0.00430 0.00430 0 0 1 A 0 0 0 1 0 0 0 0 1 A 1 PART I, LINE 7B UNRELATED BUSINESS TAXABLE INCOME FROM FORM 990-T THE AMOUNT REPORTED ON PART I, LINE 7B INCLUDES CERTAIN FRINGE BENEFIT EXPENSES SUBJECT TO UNRELATED BUSINESS TAXABLE INCOME UNDER IRC SECTION 512(A)(7) AMOUNTS THAT ARE NOT CLASSIFIED AS REVENUE AND, THEREFORE, NOT REPORTED AS SUCH ON FORM 990, PART VIII. FORM 990, PART III, LINE 4A YALE NEW HAVEN HEALTH SERVICES CORPORATION, THE PARENT OF THE INTEGRATED HEALTHCARE DELIVERY SYSTEM KNOWN AS YALE NEW HAVEN HEALTH SYSTEM (YNHHS, YALE NEW HAVEN HEALTH OR THE SYSTEM), CONSISTS OF FIVE DELIVERY NETWORKS; BRIDGEPORT, GREENWICH, NEW LONDON/WESTERLY, NEW HAVEN AND NORTHEAST MEDICAL GROUP. THE SYSTEM CONTINUED TO EXPAND ACCESS TO HEALTHCARE SERVICES ACROSS A BROAD GEOGRAPHIC REGION WHILE IMPROVING THE VALUE OF CARE THROUGH SAFETY, QUALITY AND OPERATIONAL INITIATIVES. YNHHS CONTINUED TO TREAT MANY OF CONNECTICUT'S MOST ACUTE PATIENTS, SEEING AN INCREASE IN OVERALL CASE MIX INDEX AND LONGER LENGTH OF STAY, WHICH CREATED CAPACITY ISSUES AT BRIDGEPORT AND YALE NEW HAVEN HOSPITALS. ADDRESSING THE ISSUE, THE SYSTEM CREATED THE INNOVATIVE CAPACITY COORDINATION CENTER TO MANAGE PATIENT FLOW AND CAPACITY USING REAL-TIME DATA AND PREDICTIVE ANALYTICS MAKING IT A MODEL FOR ORGANIZATIONS AROUND THE WORLD. THE Y ACCESS TRANSFER SERVICE, WHICH COORDINATES PATIENT TRANSFERS FROM OTHER HEALTHCARE FACILITIES, EXPERIENCED A 5 PERCENT INCREASE. SKYHEALTH, THE SYSTEM'S CRITICAL CARE AIR TRANSPORT SERVICE, INCREASED TRANSFER FLIGHTS BY 37 PERCENT. SEVERAL CLINICAL PROGRAMS EXPANDED DURING THE YEAR WITH SYSTEM SUPPORT. NORTHEAST MEDICAL GROUP (NEMG) OPENED THE WESTPORT MULTISPECIALTY CENTER FEATURING PRIMARY CARE, CARDIOLOGY, GASTROENTEROLOGY AND ENDOCRINOLOGY IN WESTPORT, CT. NEMG AND GREENWICH HOSPITAL OPENED A NEW MULTISPECIALTY CENTER IN RYE BROOK, NY, OFFERING PRIMARY AND SPECIALTY CARE, PEDIATRICS, WALK IN SERVICES, X-RAY AND BLOOD DRAW. LAWRENCE + MEMORIAL HOSPITAL ADDED AN ISCHEMIC LIMB SALVAGE PROGRAM, NEUROSURGERY, PULMONOLOGY AND UROLOGY SERVICES. WORKING WITH DAY KIMBALL HOSPITAL, A YNHHS COMMUNITY PARTNER, YNHHS EXPANDED CLINICAL SERVICES TO THE PUTNAM AREA, INCLUDING ONCOLOGY AND TELE-ICU. YNHHS AND GREENWICH HOSPITAL ANNOUNCED AN INVESTMENT OF $160 MILLION TO EXPAND CLINICAL SERVICES AND AMBULATORY CENTERS IN LOWER FAIRFIELD AND WESTCHESTER COUNTIES TO INCREASE THE COMMUNITY'S ACCESS TO PRIMARY CARE PHYSICIANS AND SURGICAL SUBSPECIALISTS. YNHHS AND YALE MEDICINE PARTNERED WITH SILVER HILL HOSPITAL IN NEW CANAAN TO LAUNCH A TREATMENT PROGRAM FOR HIGH LEVEL EXECUTIVES AND PROFESSIONALS WITH MENTAL HEALTH OR SUBSTANCE USE PROBLEMS. AS COMMUNITY HOSPITALS SOUGHT REMOTE ACCESS TO SPECIALTY AND CONSULTATIVE SERVICES, YNHHS FURTHER DEVELOPED ITS TELEMEDICINE CAPABILITIES. TELE-ICU, TELE-STROKE, AND TELE-CONSULT SERVICES EXPANDED IN A COLLABORATIVE PROGRAM BETWEEN YNHHS AND YALE MEDICINE. YNHHS CONTINUED ITS WORK TO SAFEGUARD PATIENT SAFETY AND QUALITY OF CARE. THE NUMBER OF SERIOUS SAFETY EVENTS DROPPED 80 PERCENT ACROSS THE HEALTH SYSTEM SINCE HIGH RELIABILITY TRAINING MEASURES WERE INTRODUCED IN 2014. BRIDGEPORT, LAWRENCE + MEMORIAL, WESTERLY AND YALE NEW HAVEN HOSPITALS SAW SIGNIFICANT REDUCTIONS IN ACUTE MYOCARDIAL INFARCTION READMISSIONS WHILE GREENWICH HOSPITAL LOWERED PNEUMONIA READMISSIONS. CLINICAL REDESIGN EFFORTS CONTINUED TO IMPACT CHANGE AND STANDARDIZATION TO IMPROVE PATIENT CARE AND REDUCE EXPENSES. CLINICAL STAFF CREATED A SYSTEMWIDE OPIOID STANDARD OF PRACTICE THAT SIGNIFICANTLY DECREASED OPIOID UTILIZATION. AT YALE NEW HAVEN HOSPITAL, A TEAM DESIGNED AND DEPLOYED AN OUTPATIENT PARENTERAL ANTIBIOTIC THERAPY PROGRAM THAT REDUCED USE OF SKILLED NURSING FACILITIES AND DEPENDENCY ON HOME CARE. BRIDGEPORT HOSPITAL DEPLOYED A BEHAVIORAL INTERVENTION TEAM TO PROVIDE EARLY DETECTION OF AND INTERVENTION OF PATIENTS WITH PSYCHIATRIC DIAGNOSES TO DECREASE LENGTH OF STAY. BUILDING A FOUNDATION FOR CLINICAL INTEGRATION AND POPULATION HEALTH, YNHHS FOSTERED COLLABORATION AMONG NEMG, YALE MEDICINE AND COMMUNITY MEDICAL GROUP TO DEVELOP CLINICAL PRACTICE GUIDELINES FOR PULMONARY DISEASE, PEDIATRICS AND PREVENTIVE CARE. IN SUPPORT OF DEVELOPING COMPREHENSIVE CARE MODELS FOR THE MEDICAID POPULATION SERVED BY YNHHS, THE SYSTEM EXPANDED ITS PARTICIPATION IN YEAR 2 OF THE PATIENT CENTERED MEDICAL HOME PLUS (PCMH+) MEDICAID SHARED SAVINGS PROGRAM TO INCLUDE NORTHEAST MEDICAL GROUP, YALE MEDICINE AND THE BRIDGEPORT HOSPITAL PRIMARY CARE CENTER. EFFORTS FOCUSED ON EXPANDING THE SCREENING AND NAVIGATION FOR SOCIAL HEALTH DETERMINANTS FOR MEDICAID PATIENTS. YNHHS CONTINUED IMPLEMENTATION OF CENTERS FOR MEDICARE AND MEDICAID INNOVATION (CMMI) ACCOUNTABLE HEALTH COMMUNITIES (AHC) PROGRAM, AND EXPANDED THE USE OF THE HEALTH LEADS PROGRAM TO NORTHEAST MEDICAL GROUP PRACTICES PARTICIPATING IN PCMH+. IN ITS SECOND YEAR, THE ONCOLOGY CARE MODEL (OCM) INITIATIVE, A VALUE-BASED PROGRAM FOR MEDICARE PATIENTS UNDERGOING CHEMOTHERAPY, YNHHS ACHIEVED SIGNIFICANT RESULTS ON SEVERAL CRITICAL METRICS. AS PART OF THE PROGRAM, YNHHS IMPLEMENTED SEVERAL TARGETED INITIATIVES, INCLUDING IMPROVED CARE MANAGEMENT ACROSS THE CONTINUUM, INCREASED ACCESS TO SPECIALIZED ONCOLOGY URGENT CARE SERVICES AND ENHANCED ACCESS TO HOSPICE AND PALLIATIVE CARE. AFTER AN 18-MONTH ACCREDITATION PROCESS, OUTPATIENT PHARMACY SERVICES AT YNHHS EARNED FULL ACCREDITATION IN SPECIALTY PHARMACY FROM UTILIZATION REVIEW ACCREDITATION COMMISSION, HIGHLIGHTING THE PHARMACY'S COMPREHENSIVE CASE-MANAGED PROGRAM CUSTOMIZED FOR PATIENTS WITH COMPLEX MEDICATION MANAGEMENT NEEDS. INFORMATION TECHNOLOGY SERVICES (ITS) INTRODUCED NEW TECHNOLOGY TO THE HEALTH SYSTEM INCLUDING SEVERAL DIGITAL SELF-SERVICE FEATURES, PROVIDING PATIENTS WITH ELECTRONIC, SELF-CHECK-IN FOR APPOINTMENTS, THE ABILITY TO BE ON A "FAST PASS" LIST FOR APPOINTMENT CANCELLATIONS AND THE ABILITY TO COLLECT PATIENT-REPORTED CLINICAL DATA SUCH AS BLOOD PRESSURE OR OTHER BIOMETRIC DATA. IN ADDITION, YNHHS AND YALE MEDICINE INTRODUCED A NEW FEATURE THAT ALLOWS WOMEN TO SCHEDULE APPOINTMENTS FOR MAMMOGRAMS THROUGH AN ONLINE TOOL. YNHHS LEVERAGED ADVANCED IMAGING AND ARTIFICIAL INTELLIGENCE TO ENHANCE DIAGNOSTIC CAPABILITIES THROUGH A STATE-OF-THE-ART IMAGING PLATFORM THAT INTEGRATED THREE SEPARATE SOLUTIONS WITH A NUMBER OF APPLICATIONS TO IMPROVE EFFICIENCIES AND ACCURACY FOR RADIOLOGISTS AND CLINICIANS. THE PLATFORM INCLUDED ARTIFICIAL INTELLIGENCE ALGORITHMS FOR HEAD AND SPINAL CT SCANS THAT ALERT RADIOLOGISTS TO SUSPICIOUS FINDINGS, IMPROVING SPEED, RELIABILITY AND OVERALL PATIENT SAFETY AND TREATMENT. PATIENT DEMAND, ALONG WITH INCREASED TRENDING TO MOVE PATIENT CARE TO OUTPATIENT FACILITIES, GREW OUTPATIENT CLINICAL PROGRAMS. HIGH-PERFORMING AREAS INCLUDED AMBULATORY SURGERY, ONCOLOGY, UROLOGY, CARDIAC AND DIAGNOSTIC RADIOLOGY SERVICES, INCLUDING PHYSICIAN AMBULATORY VISITS. YNHHS ADVANCED EDUCATIONAL AND ENGAGEMENT PROGRAMMING TO ENSURE A DIVERSE AND INCLUSIVE WORKPLACE. THE HEALTH SYSTEM IMPROVED THE ACCURACY OF PATIENT DATA CAPTURED AT REGISTRATION RELATED TO RACE, ETHNICITY AND LANGUAGE THAT IDENTIFIES POTENTIAL DISPARITIES IN THE PROVISION OF HEALTH CARE. YNHHS HOSPITALS CONTINUED THEIR FOCUS ON THE COMMUNITY HEALTH IMPROVEMENT PLANS (CHIP) WITH LOCAL PARTNERS. INITIATIVES INCLUDED IDENTIFYING WAYS TO ENHANCE STATEWIDE NON-EMERGENCY MEDICAL TRANSPORTATION; EXPANDING THE KNOW YOUR NUMBERS PREVENTIVE HEALTH INITIATIVE; COORDINATING "WALK 'N' TALK" EVENTS WHERE YNHHS HEALTHCARE PROVIDERS INTERACT WITH THE PUBLIC DURING INFORMAL WALKS; AND SUPPORTING THE IMPLEMENTATION OF CULTURALLY AND LINGUISTICALLY APPROPRIATE SERVICES BY LOCAL ORGANIZATIONS. THE SYSTEM ALSO PROVIDED THE COMMUNITIES IT SERVES WITH HUNDREDS OF HEALTH SCREENINGS, SUPPORT GROUPS, COMMUNITY EDUCATION SESSIONS AND GRANTS TO IMPROVE COMMUNITY HEALTH. YALE NEW HAVEN HOSPITAL RECEIVED NATIONAL RECOGNITION FOR ITS EFFORTS TO IMPROVE THE HEALTH AND WELL-BEING OF THE RESIDENTS OF NEW HAVEN WITH THE 2017 FOSTER G. MCGAW PRIZE FOR EXCELLENCE IN COMMUNITY SERVICE FROM THE AMERICAN HOSPITAL ASSOCIATION. FORM 990, PART VI PART I, LINE 4 & PART VI, LINE 1B NUMBER OF INDEPENDENT VOTING MEMBERS OF THE GOVERNING BODY THE ORGANIZATION SOUGHT TO CONFIRM THE INDEPENDENCE OF EACH VOTING MEMBER OF ITS GOVERNING BODY BY REQUESTING THAT EACH SUCH VOTING MEMBER RESPOND TO A QUESTIONNAIRE CONTAINING THE PERTINENT INSTRUCTIONS AND DEFINITIONS AND DESIGNED TO ELICIT THE INFORMATION NECESSARY TO DETERMINE INDEPENDENCE. IN THE EVENT THAT THE ORGANIZATION DOES NOT RECEIVE A RESPONSE FROM ANY SUCH VOTING MEMBER, THE ORGANIZATION REVIEWS OTHER INFORMATION KNOWN TO IT REGARDING THE VOTING MEMBER AND MAKES A REASONABLE ASSESSMENT OF INDEPENDENCE BASED ON THAT INFORMATION. FORM 990, PART VI, SECTION A, LINE 2 PART VI, LINE 2 - BUSINESS RELATIONSHIPS BETWEEN OFFICERS, TRUSTEES, OR KEY EMPLOYEES TRUSTEES JOHN L. LAHEY AND JAMES TORGERSON ARE DIRECTORS AND OFFICERS OF THE SAME BUSINESS ENTITY. THE ORGANIZATION'S CURRENT OFFICERS AND/OR TRUSTEES MAY SERVE AS OFFICERS AND/OR DIRECTORS OF TAX-EXEMPT AND TAXABLE AFFILIATES WITHIN THE ORGANIZATION'S CORPORATE SYSTEM OR JOINT VENTURES IN WHICH THE ORGANIZATION'S CORPORATE SYSTEM HAS AN OWNERSHIP INTEREST. THE INDIVIDUAL OFFICERS AND/OR TRUSTEES DO NOT HAVE PERSONAL FINANCIAL INTERESTS IN SUCH AFFILIATES AND SERVE ONLY AS A FUNCTION OF THEIR ROLES WITH THE ORGANIZATION OR WITHIN THE ORGANIZATION'S CORPORATE SYSTEM. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 TAX RETURN AND ATTACHED SCHEDULES WERE PREPARED BY EMPLOYEES OF THE YNHHS TAX DEPARTMENT. THE RETURN IS INITIALLY REVIEWED BY THE DIRECTOR AND VP OF CORPORATE FINANCE. SUBSEQUENTLY IT IS SENT TO KPMG LLP FOR THEIR INITIAL REVIEW. AFTER ALL COMMENTS FROM THE ABOVE GROUP ARE CLEARED, THE RETURN IS THEN REVIEWED BY THE CHIEF FINANCIAL OFFICER OF THE ORGANIZATION AND A FINAL VERSION OF THE RETURN IS SENT BACK TO KPMG LLP FOR FINAL REVIEW. PRIOR TO FILING, THE ORGANIZATION MAKES AVAILABLE A COMPLETE COPY OF THE RETURN TO ITS BOARD OF TRUSTEES. A SECURE WEB PORTAL IS AVAILABLE TO BOARD MEMBERS TO ACCESS THE RETURN. FORM 990, PART VI, SECTION B, LINE 12C THE YALE NEW HAVEN HEALTH SYSTEM CONFLICT OF INTEREST POLICY AND INDIVIDUAL ANNUAL DISCLOSURE FORM APPLIES TO A POOL OF EMPLOYEES, BOARD MEMBERS AND NON-BOARD MEMBERS SERVING ON BOARD COMMITTEES. THESE "COVERED INDIVIDUALS" ARE REQUIRED TO COMPLETE A CONFLICT OF INTEREST DISCLOSURE STATEMENT, UPON BEGINNING EMPLOYMENT OR OTHERWISE BECOMING A COVERED INDIVIDUAL AND ANNUALLY THEREAFTER. COVERED INDIVIDUALS ARE ALSO REQUIRED TO PROMPTLY REPORT CHANGES TO THEIR MOST RECENTLY COMPLETED DISCLOSURE STATEMENT. THESE DISCLOSURE STATEMENTS AND REPORTS ARE REVIEWED BY THE OFFICE OF PRIVACY AND CORPORATE COMPLIANCE AND/OR THE LEGAL AND RISK SERVICES DEPARTMENT TO ENSURE COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY. IF A POTENTIAL CONFLICT ARISES, THE PRESIDENT AND CEO WOULD CONSULT WITH THE BOARD CHAIRPERSON AND THE LEGAL AND RISK SERVICES DEPARTMENT TO DEVELOP A PLAN TO MITIGATE ANY ACTUAL CONFLICT OF INTEREST. FOR EXAMPLE, A VOTING BOARD OR COMMITTEE MEMBER WOULD BE REQUIRED TO RECUSE HIMSELF OR HERSELF FROM VOTING ON MATTERS RELATED WITH WHICH SHE OR HE HAD AN ACTUAL OR POTENTIAL CONFLICT AND THE ACTUAL OR POTENTIAL CONFLICT WOULD BE DISCLOSED TO OTHER VOTING MEMBERS. FORM 990, PART VI, SECTION B, LINE 15 THE EXECUTIVE COMPENSATION COMMITTEE OF THE YNHHS STRIVES TO TAKE THE STEPS NECESSARY TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER FEDERAL TAX LAW. THE EXECUTIVE COMPENSATION COMMITTEE IS AUTHORIZED UNDER THE YNHHS BYLAWS AND IS RESPONSIBLE FOR (1) DETERMINING THE OVERALL TOTAL COMPENSATION STRATEGY FOR ALL CORPORATE OFFICERS, (2) APPROVING ALL COMPENSATION AND BENEFITS DECISIONS FOR CORPORATE OFFICERS, AND (3) REPORTING SUCH ACTIONS TO THE FULL YNHHS BOARD ON AN ANNUAL BASIS. IN ADDITION, THE EXECUTIVE COMPENSATION COMMITTEE EXPRESSLY DETERMINES THE REASONABLENESS OF TOTAL COMPENSATION AND BENEFITS FOR ALL CORPORATE OFFICERS, AND ASSURES THAT ALL OFFICER COMPENSATION DECISIONS ARE MADE AFTER THOROUGH CONSIDERATION OF AND COMPARISON TO THE MARKET PRACTICES OF OTHER SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE EXECUTIVES IN COMPARABLE ORGANIZATIONS. THE EXECUTIVE COMPENSATION COMMITTEE CONSISTS OF BOARD MEMBERS WHO DO NOT HAVE MATERIAL FINANCIAL INTERESTS THAT COULD BE AFFECTED BY THE OFFICER COMPENSATION DECISIONS MADE BY THE COMMITTEE. THE COMPARABILITY DATA USED TO ASSIST THE EXECUTIVE COMPENSATION COMMITTEE IN ITS COMPENSATION DELIBERATIONS ARE COMPILED BY AN INDEPENDENT, NATIONAL COMPENSATION CONSULTING FIRM THAT IS RETAINED BY AND REPORTS DIRECTLY TO THE EXECUTIVE COMPENSATION COMMITTEE. THE DATA COLLECTED BY THE CONSULTANT CONSISTS OF MARKET INFORMATION FOR EXECUTIVES IN FUNCTIONALLY SIMILAR POSITIONS IN SIMILARLY SITUATED NOT-FOR-PROFIT HEALTHCARE ORGANIZATIONS. THE DELIBERATIONS AND DECISIONS OF THE EXECUTIVE COMPENSATION COMMITTEE ARE CONTEMPORANEOUSLY DOCUMENTED, REVIEWED AND APPROVED BY THE EXECUTIVE COMPENSATION COMMITTEE, AND PROVIDED TO THE BOARD. FORM 990, PART VI, SECTION C, LINE 19 COPIES OF ALL AVAILABLE DOCUMENTS ARE ACCESSIBLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G CONSULTING FEES: PROGRAM SERVICE EXPENSES 4,012,367. MANAGEMENT AND GENERAL EXPENSES 5,186,201. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 9,198,568. PERSONNEL SUPPORT/OUTSIDE CONTRACTUAL: PROGRAM SERVICE EXPENSES 70,087,991. MANAGEMENT AND GENERAL EXPENSES 19,733,221. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 89,821,212. TEMPORARY HELP/TRAINING/DEVELOPMENT: PROGRAM SERVICE EXPENSES 1,959,597. MANAGEMENT AND GENERAL EXPENSES 551,723. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,511,320. SYSTEM SUPPORT : PROGRAM SERVICE EXPENSES 4,032,991. MANAGEMENT AND GENERAL EXPENSES 1,135,485. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 5,168,476. 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YALE NEW HAVEN HOSPITAL IS THE SOLE SHAREHOLDER OF YALE NEW HAVEN AMBULATORY SEVICES CORP.