2017-11-10T03:29:00-06:00 2016-12-31 861065772 DELOITTE TAX LLP 655 WEST BROADWAY SUITE 700 SAN DIEGO CA 921018590 990 2016-01-01 264146730 GARY AND MARY WEST HEALTH INSTITUTE GARY 8585357000 10350 NORTH TORREY PINES ROAD LA JOLLA CA 92037 SHELLEY LYFORD PRESIDENT AND CEO 8585357000 2017-11-10 1 DIANA J MCCUTCHEN P00545657 6192326500 167.219.48.55 2017-11-10 03:08:24 US P F0F8693B55CE661E3B2FEFBA347764A7FD2725B7 4A8E829812D54CAB6C2275BE50CB0148062D08BB 2016 2017-02-10 21:41:12Z SHELLEY LYFORD 10350 NORTH TORREY PINES ROAD LA JOLLA CA 92037 20233703 0 X WWW.WESTHEALTH.ORG X 2009 DE MEDICAL RESEARCH WITH HOSPITALS TO REDUCE HEALTHCARE COSTS WITH A FOCUS ON SENIORS. 5 3 24 5 0 0 12800000 20010288 0 0 122954 132415 516329 57414 13439283 20200117 46709 66837 0 0 5072503 3758979 0 0 0 10740311 12274224 15859523 16100040 -2420240 4100077 11072126 16037065 1679572 2245371 9392554 13791694 X MEDICAL RESEARCH TO ENABLE SENIORS TO SUCCESSFULLY AGE, LIVING LIFE ON THEIR OWN TERMS WITH ACCESS TO HIGH-QUALITY HEALTH AND SUPPORT SERVICES THAT PRESERVE AND PROTECT THEIR DIGNITY, QUALITY OF LIFE AND INDEPENDENCE. 0 0 10644404 66837 IN 2016, THE GARY AND MARY WEST HEALTH INSTITUTE (INSTITUTE) ACTIVELY CONDUCTED APPLIED MEDICAL RESEARCH, IN CONJUNCTION WITH THE HOSPITALS LISTED ON SCHEDULE A, TO GENERATE THE EVIDENCE NEEDED FOR HEALTHCARE PROVIDERS, POLICYMAKERS AND COMMUNITIES TO ADOPT MODELS OF CARE THAT BETTER SERVE SENIORS AND THEIR FAMILIES. THE GOAL IS TO ENABLE SENIORS TO SUCCESSFULLY AGE IN PLACE WITH ACCESS TO HIGH-QUALITY, AFFORDABLE HEALTH AND SUPPORT SERVICES THAT PRESERVE AND PROTECT THEIR DIGNITY, QUALITY OF LIFE AND INDEPENDENCE.WITH MORE THAN 10,000 U.S. BABY BOOMERS TURNING 65 EVERY DAY, SENIORS ARE ONE OF THE LARGEST POPULATIONS IMPACTING THE HEALTHCARE SYSTEM. THE INSTITUTE IS EXPLORING OPPORTUNITIES THAT WILL IMPROVE ACUTE CARE FOR SENIORS IN THE EMERGENCY DEPARTMENT, HOME, AND COMMUNITY; CHRONIC CARE MANAGEMENT FOR OLDER ADULTS THAT MAY NEED HELP AT HOME; AND SUPPORTIVE SERVICES SO SENIORS CAN RECEIVE THE CARE THEY NEED, AT A LOWER COST, WHEREVER THEY ARE.THE INSTITUTE HAS THE FOLLOWING ACTIVE RESEARCH FOCUS AREAS:1. ADVANCING SENIOR-APPROPRIATE ACUTE CARE MODELS - THE INSTITUTE IS RESEARCHING HOW PROVIDING SENIOR-FOCUSED CARE IN AN ACUTE SETTING, SUCH AS A HOSPITAL EMERGENCY DEPARTMENT, CAN HELP SENIORS AGE SUCCESSFULLY.2. ADVANCING SENIOR-APPROPRIATE CHRONIC CARE MODELS - THE INSTITUTE IS EXPLORING HOW TO IMPROVE CARE FOR SENIORS WITH LONG TERM-ILLNESSES AT HOME - WHERE THEY PREFER IT MOST.3. SUPPORTIVE SERVICES - THE INSTITUTE IS COLLABORATING TO ADVANCE COMMUNITY-BASED PROGRAMS AND NUTRITIONAL SERVICES THAT SUPPORT INDEPENDENCE FOR SENIORS.1. ADVANCING SENIOR-APPROPRIATE ACUTE CARE MODELSGERIATRIC EMERGENCY CARE IN COLLABORATION WITH UC SAN DIEGO HEALTH, THE INSTITUTE LAUNCHED THE GARY AND MARY WEST SENIOR EMERGENCY CARE UNIT AT UC SAN DIEGO HEALTH, ITS FLAGSHIP MODEL IN AN ACUTE GERIATRIC EMERGENCY CARE SETTING. THE MODEL SERVES AS THE SITE OF A MULTI-YEAR RESEARCH INITIATIVE WHERE THE INSTITUTE IS STUDYING HEALTH OUTCOMES AND COST-EFFECTIVENESS OF PROVIDING ENHANCED CARE FOR SENIORS WITHIN THE EMERGENCY ROOM. THESE INCLUDE THE DELIVERY OF GERIATRIC MEDICINE, ACUTE CARE SCREENINGS, URGENT CARE, CASE MANAGEMENT, AND SOCIAL AND PSYCHIATRIC CARE. WITH A FOCUS ON FOSTERING SUCCESSFUL AGING, THE DEPARTMENT ALSO FACILITATES HOME- AND COMMUNITY-BASED CARE OPTIONS WHEN POSSIBLE.THE INSTITUTE HAS ALSO PARTNERED WITH THE JOHN A. HARTFORD FOUNDATION TO ESTABLISH A NATIONAL GERIATRIC EMERGENCY DEPARTMENT COLLABORATIVE (GEDC) WHICH CONSISTS OF NINE LEADING GERIATRIC EMERGENCY MEDICINE PROGRAMS, INCLUDING UC SAN DIEGO HEALTH, TO DEMONSTRATE AND PROVIDE EARLY EVIDENCE THAT PROVES GED GUIDELINE-BASED CARE, IMPROVES PATIENT OUTCOMES AND IS COST EFFECTIVE; BUILD A GEDC DATA INFRASTRUCTURE FOR ONGOING PERFORMANCE MONITORING AND EVALUATION; AND DETERMINE A PATH FOR SUSTAINABILITY AND BROAD ADOPTION OF THE GEDC INITIATIVE. THE INSTITUTE IS WORKING WITH THE AMERICAN GERIATRICS SOCIETY (AGS), AMERICAN COLLEGE OF EMERGENCY PHYSICIANS (ACEP), EMERGENCY NURSES ASSOCIATION (ENA), AND THE SOCIETY FOR ACADEMIC EMERGENCY MEDICINE (SAEM), ALONG WITH A GERIATRIC EMERGENCY MEDICINE (GEM) ADVISORY COUNCIL, TO ADVANCE THE ABOVE OBJECTIVES AND LAY THE GROUNDWORK FOR A GERIATRIC EMERGENCY CARE ALLIANCE (GECA) TO DRIVE ADOPTION OF IMPROVED GERIATRIC EMERGENCY CARE THROUGHOUT THE COUNTRY. THE INSTITUTE IS ALSO RESEARCHING HOW NEW, MORE EFFECTIVE WAYS OF DELIVERING CARE COULD SAFELY REPLACE, WHEN APPROPRIATE, HOSPITAL-BASED CARE WITH HOME-BASED ALTERNATIVES THAT ARE MORE PATIENT-CENTERED, BETTER MATCHED TO SENIORS' NEEDS AND LOWER IN COST. WITH EMERGENCY DEPARTMENTS AS THE SOURCE OF ALMOST HALF OF ALL HOSPITAL ADMISSIONS, AND THE VAST MAJORITY OF UNSCHEDULED ADMISSIONS, OUR ED-TO-HOME PROGRAM IS FOCUSED ON RESEARCHING MORE OPTIONS FOR EMERGENCY PHYSICIANS AND PATIENTS. IN COLLABORATION WITH UC SAN DIEGO HEALTH, THE INSTITUTE IS CONDUCTING THE ACUTE CARE AT HOME (ACH) STUDY, WHICH RESEARCHES HOW THE EMERGENCY DEPARTMENT CAN IDENTIFY THE MOST APPROPRIATE PATIENTS FOR THESE ALTERNATIVES-TO-ADMISSION PROGRAMS AND THEIR POTENTIAL COST SAVINGS.2. ADVANCING SENIOR-APPROPRIATE CHRONIC CARE MODELSTHE INSTITUTE IS EXPLORING OPPORTUNITIES FOR ADVANCING CHRONIC CARE SOLUTIONS FOR OUR NATION'S SENIORS. BY IMPROVING CARE TRANSITIONS, PRODUCING BETTER PATIENT OUTCOMES AND INCREASING EFFICIENCY, THIS WORK CAN HELP MORE BENEFICIARIES WITH CHRONIC CONDITIONS RECEIVE CARE IN THEIR OWN HOMES. IN 2016, THE INSTITUTE ENGAGED IN APPLIED MEDICAL RESEARCH PROJECTS FOCUSED ON SENIOR-SPECIFIC MODELS OF CARE WITHIN THE CHRONIC CARE SETTING IN THESE AREAS: A. ORAL HEALTHCARE AND CARE COORDINATIONB. CAREGIVERS C. COMMUNITY-BASED PALLIATIVE CARED. HOME-BASED PRIMARY CAREA. ORAL HEALTHCARE TO BETTER UNDERSTAND AND DEVELOP OPTIMAL AND EFFICIENT HEALTHCARE MODELS, THE INSTITUTE DEVELOPED AN INTEGRATED RESEARCH AND IMPLEMENTATION ENVIRONMENT AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER AND GARY AND MARY WEST SENIOR DENTAL CENTER THAT UTILIZES DATA-DRIVEN APPROACHES TO TRIAGE CLIENTS, ALLOCATE RESOURCES AND PERFORM ONGOING QUALITY IMPROVEMENT. THE OVERALL GOAL IS TO DEVELOP A CENTER OF EXCELLENCE, WITH A WELL-CHARACTERIZED COHORT OF PATIENTS, WHICH PROVIDES BOTH HIGH-QUALITY, AFFORDABLE CARE TO SENIORS AND INFORMS CARE AND PAYMENT MODELS TO ACHIEVE SUSTAINABLE, NATIONAL DEPLOYMENT. B. CAREGIVERS THE INSTITUTE IS RESEARCHING OPPORTUNITIES TO INTEGRATE AND ALIGN THE EFFORTS OF CAREGIVERS, HEALTHCARE PROVIDERS AND SYSTEMS TO REDUCE THE BURDEN ON THOSE CARING FOR OLDER ADULTS, HELPING TO ENSURE COORDINATION OF EFFORTS AND ENABLE ACCESS TO MORE CONTINUOUS, COMMUNITY-BASED CARE BETTER ALIGNED WITH EMERGING PATIENT NEEDS AND CORRESPONDING VALUE-BASED INCENTIVES. THE INSTITUTE HAS LAUNCHED A THREE-YEAR CAREGIVER EDUCATION PROJECT WITH THE CENTER TO ADVANCE PALLIATIVE CARE, ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI IN NEW YORK. THE PROJECT WILL DEVELOP AN ONLINE LEARNING PLATFORM TO PROVIDE CAREGIVERS WITH JUST-IN-TIME RESOURCES AND LEARNING MODULES RELATED TO CARING FOR A LOVED ONE WITH DEMENTIA. C. COMMUNITY-BASED PALLIATIVE CARETHE INSTITUTE IS DEVELOPING AND IMPLEMENTING A MODEL OF HOME-BASED PALLIATIVE CARE, WHICH INCLUDES HOME VISITS AND TELEMEDICINE SUPPORT TO IMPROVE CARE FOR SENIORS. THE OBJECTIVE OF THE INSTITUTE'S RESEARCH IS TO HIGHLIGHT THE NEED FOR HOME- AND COMMUNITY-BASED MODELS OF PALLIATIVE CARE, IDENTIFY ALTERNATIVE METHODS OF PAYMENT AND DEVELOP A SUSTAINABLE HOME- AND COMMUNITY-BASED PALLIATIVE CARE PROGRAM. IN 2016, THE INSTITUTE LAUNCHED A FIVE-YEAR PROJECT WITH THE ICAHN SCHOOL OF MEDICINE AT MT. SINAI FOCUSED ON CREATING, DELIVERING AND EVALUATING A CLINICAL MODEL THAT PROVIDES PALLIATIVE CARE TO PATIENTS IN THEIR HOME. THE INSTITUTE IS DEVELOPING A RISK STRATIFICATION MODEL TO IDENTIFY THE APPROPRIATE PATIENTS FOR PALLIATIVE CARE, DEVELOP CLINICAL PATHWAYS FOR DELIVERY OF CARE USING COMMUNITY HEALTH WORKERS AND TELEMEDICINE, AND EVALUATE THE IMPACT OF THE HOME-BASED CARE USING A RIGOROUS RANDOMIZED CONTROLLED TRIAL. IN SEPTEMBER 2016, THE INSTITUTE WAS A STRATEGIC RESEARCH PARTNER WITH THE CALIFORNIA STATE UNIVERSITY SAN MARCOS PALLIATIVE CARE INSTITUTE'S ANNUAL PALLIATIVE CARE SYMPOSIUM DESIGNED TO EDUCATE MORE PROVIDERS ON THE IMPORTANCE OF PROVIDING THIS CARE FOR SERIOUSLY-ILL PATIENTS, WHICH HELPED ESTABLISH THE INSTITUTE AS A LEADER IN SUCCESSFUL AGING AND PALLIATIVE CARE. AS PART OF THIS SYMPOSIUM, THE INSTITUTE ASSISTED IN IDENTIFYING TOPICS FOR THE SYMPOSIUM AND MODERATED A PANEL OF SPEAKERS WHO WERE EXPERTS IN THE DELIVERY OF PALLIATIVE CARE IN THE HOME AND COMMUNITY.D. HOME-BASED PRIMARY CARE (HBPC)SUCCESSFUL HOME-BASED PRIMARY CARE PROGRAMS HAVE BEEN SHOWN TO REDUCE MEDICARE COSTS BY UP TO 20 PERCENT, WITH THE CENTERS FOR MEDICARE AND MEDICAID (CMS) SHOWING SAVINGS OF $3,070 PER PATIENT THROUGH ITS INDEPENDENCE AT HOME (IAH) DEMONSTRATION, SAVING $25 MILLION IN A CENTER FOR MEDICARE AND MEDICAID SERVICES' (CMS) INNOVATION PROJECT. THE INSTITUTE CONDUCTED AN ANALYSIS OF THE SHARED SAVINGS METHODOLOGY FOR THE CMS IAH DEMONSTRATION TO DETERMINE THE APPROPRIATE RISK ADJUSTMENT AND SAVINGS MODEL FOR PRACTICES PARTICIPATING IN IAH. ADDITIONALLY, THE INSTITUTE CONTINUED TO WORK WITH IAH DEMO SITES AND POLICYMAKERS TO CONVERT THE CMS INNOVATION IAH DEMONSTRATION PROJECT INTO A FULL MEDICARE BENEFIT. TO HELP HOME-BASED PRIMARY CARE AND PALLIATIVE CARE PRACTICES MEET THE GOVERNMENT'S REQUIREMENTS FOR QUALITY REPORTING AND MOVE TOWARD VALUE-BASED HEALTHCARE, THE INSTITUTE CONTINUED ITS COLLABORATION WITH THE UNIVERSITY OF CALIFORNIA, SAN FRANCISCO, JOHNS HOPKINS UNIVERSITY, AND THE JOHN A. HARTFORD FOUNDATION TO ESTABLISH A QUALIFIED CLINICAL DATA REGISTRY (QCDR) FOR HOME-BASED PRIMARY CARE AND PALLIATIVE CARE MEDICINE. 232285 TO SUPPLEMENT AND BROADEN THE INSTITUTE'S MEDICAL RESEARCH ACTIVITIES, THE INSTITUTE ALSO PARTICIPATED IN PUBLIC EDUCATION AND THE DISSEMINATION OF RESEARCH FINDINGS TO THOSE INTERESTED IN REDUCING THE COST OF HEALTHCARE SERVICES AND DEVELOPING SENIOR-APPROPRIATE ACUTE, LONG-TERM AND CHRONIC CARE MODELS THAT SUPPORT INDEPENDENCE FOR SENIORS. THE INSTITUTE HAS PROMOTED THE DEVELOPMENT AND IMPLEMENTATION OF POLICIES WHICH ADVANCE TRANSITION OF MODELS OF CARE, HOME-BASED PRIMARY CARE AND PAYMENT MODELS THROUGH CONFERENCE PARTICIPATION AND DIRECT INTERACTION WITH POLICYMAKERS IN BOTH THE REGULATORY AND LEGISLATIVE ARENAS. THE INSTITUTE ALSO HAD AN INNOVATOR-IN-RESIDENCE AT THE FEDERAL GOVERNMENT DEPT. OF HEALTH AND HUMAN SERVICES AND WORKED CLOSELY WITH THE OFFICE OF THE NATIONAL COORDINATOR FOR HEALTH IT REGARDING SIMILAR INITIATIVES. 10876689 1 1 0 1 0 0 0 0 0 0 1 1 0 0 1 1 1 0 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 39 0 1 24 1 0 0 0 0 0 0 0 0 0 0 X 5 3 1 1 0 0 1 1 1 1 1 0 0 1 1 1 1 1 0 1 1 0 CA DE X SALLY HALLAK 8585357000 10350 N TORREY PINES ROAD LA JOLLA CA 92037 GARY L WEST DIRECTOR/CHAIRMAN 15.00 5.00 X 0 0 0 NICHOLAS VALERIANI DIRECTOR,VICE CHAIRMAN 15.00 0.00 X 0 0 0 CHARLES SEDERSTROM DIRECTOR AND SECRETARY 5.00 1.00 X 0 0 0 MICHAEL JOHNS MD DIRECTOR 10.00 5.00 X 0 0 0 MARK MCCLELLAN DIRECTOR 10.00 5.00 X 0 0 0 ZIA AGHA CHIEF MEDICAL OFFICER & EVP 40.00 10.00 X 539558 0 64366 DIANA CAMPAU VICE PRESIDENT, COMMUNICATIONS 50.00 0.00 X 0 330457 41579 MICHAEL CAPONETTO CEO/SECRETARY/TREASURER/CO-MANAGER 45.00 10.00 X 0 546192 63967 MARY ELLEN CIAFARDINI VP, HUMAN RESOURCE THROUGH 4/14/16 50.00 0.00 X 0 98642 15336 TIMOTHY LASH CHIEF STRATEGY OFFICER & EVP 40.00 10.00 X 0 465489 61359 SHELLEY M LYFORD PRESIDENT & CEO 40.00 15.00 X 481093 0 25967 JOSEPH M SMITH PHD FACC CMO THROUGH 3/31/16 40.00 10.00 X 258104 203418 14927 VALERIE VOLPE VICE PRESIDENT, GOVT AFFAIRS 50.00 0.00 X 0 419160 13279 GREGORY NORMAN SR. 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SINCE THE INSTITUTE HAD NO OBLIGATION FOR UNRELATED BUSINESS INCOME TAX FOR THE YEARS ENDED DECEMBER 31, 2016 AND 2015, NO PROVISIONS FOR FEDERAL OR STATE INCOME TAXES HAVE BEEN MADE. IN JULY 2006, THE FINANCIAL ACCOUNTING STANDARDS BOARD ("FASB") ISSUED ACCOUNTING STANDARDS CODIFICATION ("ASC") 740, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, WHICH CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES RECOGNIZED IN AN ENTITY'S FINANCIAL STATEMENTS AND PRESCRIBES A THRESHOLD OF MORE-LIKELY THAN-NOT FOR RECOGNITION OF TAX BENEFITS OF UNCERTAIN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. FASB ASC 740 ALSO PROVIDES RELATED GUIDANCE ON MEASUREMENT, DERECOGNITION, CLASSIFICATION, INTEREST AND PENALTIES, AND DISCLOSURE. THE INSTITUTE HAS APPLIED FASB ASC 740 TO ALL TAX POSITIONS FOR WHICH THE STATUTE OF LIMITATIONS REMAINED OPEN AND DETERMINED THERE WERE NO MATERIAL UNRECOGNIZED TAX BENEFITS. IN ADDITION, THERE HAVE BEEN NO MATERIAL CHANGES IN UNRECOGNIZED BENEFITS SINCE JULY 1, 2008, NOR ARE ANY ANTICIPATED IN THE NEXT TWELVE MONTHS. THERE HAVE BEEN NO RELATED TAX PENALTIES OR INTEREST, WHICH WOULD BE CLASSIFIED AS TAX EXPENSE IN THE STATEMENT OF ACTIVITIES. 1 GARY AND MARY WEST SENIOR DENTAL CENTER 1525 FOURTH AVE SAN DIEGO CA 92101 473001738 501(C)(3) 15289 FMV ART,COMM EQUIPMENT DONATION OF ASSETS FOR GENERAL OPERATIONS SUSTAINABLE SURPLUS EXCHANGEINC 2647 GATEWAY ROADSUITE 105-404 CARLSBAD CA 92009 274666846 501(C)(3) 47548 FMV LAB EQUIPMENT DONATION OF ASSETS FOR GENERAL OPERATIONS 2 0 PART I, LINE 2: GRANTS WILL ONLY BE MADE TO 501(C)(3) ORGANIZATIONS TO ENSURE THE NON-CASH ITEMS WILL BE USED PROPERLY. X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 ZIA AGHA CHIEF MEDICAL OFFICER & EVP 431818 0 107200 0 540 0 31250 0 33116 0 603924 0 0 0 DIANA CAMPAU VICE PRESIDENT, COMMUNICATIONS 0 291667 0 37500 0 1290 0 13250 0 28329 0 372036 0 0 MICHAEL CAPONETTO CEO/SECRETARY/TREASURER/CO-MANAGER 0 418152 0 102500 0 25540 0 31250 0 32717 0 610159 0 0 TIMOTHY LASH CHIEF STRATEGY OFFICER & EVP 0 352665 0 87500 0 25324 0 31250 0 30109 0 526848 0 0 SHELLEY M LYFORD PRESIDENT & CEO 375433 0 105000 0 660 0 25250 0 717 0 507060 0 0 0 JOSEPH M SMITH PHD FACC CMO THROUGH 3/31/16 90131 93421 114800 0 53173 109997 0 6000 882 8045 258986 217463 0 103000 VALERIE VOLPE VICE PRESIDENT, GOVT AFFAIRS 0 359184 0 57600 0 2376 0 0 0 13279 0 432439 0 0 GREGORY NORMAN SR. DIR, CLINICAL RESEARCH 192198 0 14200 0 255 0 9610 0 1777 0 218040 0 0 0 JOSE UNPINGCO TECH DIRECTOR DATA SCIENCE 181318 0 22200 0 254 0 10640 0 31077 0 245489 0 0 0 CHRISTOPHER CROWLEY PROGRAM MANAGER 188516 0 15300 0 743 0 9700 0 21023 0 235282 0 0 0 AMY STUCK PROGRAM MANAGER 138018 0 11400 0 268 0 7365 0 32904 0 189955 0 0 0 ADRIAN KWONG DATA SCIENCE ADMINISTRATOR 151246 0 11900 0 125 0 7690 0 17469 0 188430 0 0 0 NANCY IVES SCHROEDER FORMER SENIOR DIR, COMM (END 5/17/15 0 155518 0 19200 0 207 0 7460 0 31300 0 213685 0 0 PART I, LINE 1A THE USE OF BUSINESS CLASS MAY BE AUTHORIZED UNDER THE CIRCUMSTANCES LISTED BELOW: (1) INTERNATIONAL TRAVEL; (2) BUSINESS OR FIRST CLASS IS THE ONLY SERVICE OFFERED BETWEEN TWO POINTS; (3) COACH CLASS WOULD BE MORE EXPENSIVE OR TIME CONSUMING, E.G., WHEN, BECAUSE OF SCHEDULING DIFFICULTIES, TRAVELING BY COACH WOULD REQUIRE AN UNNECESSARY HOTEL EXPENSE, CIRCUITOUS ROUTING (2 OR MORE LAYOVERS), OR AN UNDULY LONG LAYOVER WHEN MAKING CONNECTIONS; (4) AN ITINERARY INVOLVES OVERNIGHT TRAVEL WITHOUT THE OPPORTUNITY FOR NORMAL REST BEFORE THE COMMENCEMENT OF WORKING HOURS; OR (5) THE USE OF BUSINESS CLASS IS NECESSARY TO REASONABLY ACCOMMODATE A DISABILITY OR MEDICAL NEED OF A TRAVELER. PART I, LINE 4B EACH OF THE FOLLOWING INDIVIDUALS ZIA AGHA, SHELLEY M. LYFORD AND JOSEPH SMITH (LISTED ON SCHEDULE J) PARTICIPATED IN THE 457(B) NONQUALIFIED DEFINED CONTRIBUTION PLAN OFFERED BY THE WEST HEALTH INSTITUTE. THE GARY AND MARY WEST HEALTH INSTITUTE MAKES AN ANNUAL CASH CONTRIBUTION FOR EACH EMPLOYEE IN AN AMOUNT EQUAL TO THE APPLICABLE DOLLAR AMOUNT IN EFFECT FOR THAT YEAR. FOR 2016 THIS AMOUNT WAS $18,000. CONTRIBUTIONS WERE MADE FOR ZIA AGHA AND SHELLEY LYFORD. JOSEPH SMITH WAS TERMINATED ON 3/31/2016 AND RECEIVED A NONQUALIFIED PLAN ROLLOVER DISTRIBUTION OF $103,747. THE DISTRIBUTION INCLUDED AMOUNTS DISCLOSED ON PREVIOUS YEARS' FORMS 990 AS CONTRIBUTIONS MADE BY MR. SMITH AND THE INSTITUTE. THE FOLLOWING EMPLOYEES LISTED ON SCHEDULE J PARTICIPATED IN THE 409A NONQUALIFIED DEFINED CONTRIBUTION PLAN OFFERED BY THE GARY AND MARY WEST MANAGEMENT COMPANY, INC., A RELATED ORGANIZATION. THE WEST MANAGEMENT COMPANY MAKES A CASH CONTRIBUTION FOR EACH EMPLOYEE IN AN AMOUNT EQUAL TO THE APPLICABLE DOLLAR AMOUNT IN EFFECT. FOR 2016 THIS AMOUNT WAS $18,000: MICHAEL CAPONETTO AND TIMOTHY LASH. PART I, LINE 7 EACH OF THE MANAGERS IS ELIGIBLE FOR AN ANNUAL DISCRETIONARY BONUS, SUBJECT TO BOARD APPROVAL, WHICH IS BASED ON INDIVIDUAL PERFORMANCE AND LIMITED TO A MAXIMUM PERCENTAGE OF BASE COMPENSATION. FORM 990, PART III, LINE 4A IN 2016, THE INSTITUTE LAUNCHED A RESEARCH PROJECT WITH NORTHWESTERN UNIVERSITY'S HOME-CENTERED CARE INSTITUTE (HCCI) IN CONJUNCTION WITH RUSH UNIVERSITY MEDICAL CENTER. THE RESEARCH AIMED TO IDENTIFY CURRENT EFFORTS, GAPS AND CHALLENGES IN COORDINATING CARE BETWEEN HOME-BASED PRIMARY CARE PRACTICES AND COMMUNITY-BASED ORGANIZATIONS (SUCH AS MEAL PROVIDERS, TRANSPORTATION, ETC.) IN THE FIRST PHASE OF WORK AND IMPLEMENT A MODEL TO IMPROVE COORDINATION IN THE SECOND PHASE. 3. ADVANCING SUPPORTIVE SERVICES WEST HEALTH'S SUPPORTIVE SERVICES EFFORTS ARE TO IDENTIFY AND ADVANCE A FLEXIBLE ARRAY OF HEALTH AND SOCIAL SUPPORT PROGRAMS THAT HELP SENIORS ACROSS THE COUNTRY STAY OUT OF COSTLY NURSING HOMES AND REMAIN INDEPENDENT IN THEIR HOME OR COMMUNITY AS LONG AS POSSIBLE. PROVIDING MEALS TO HOMEBOUND SENIORS, IS A CRITICAL NEED, ESPECIALLY FOR THOSE MOST VULNERABLE. IN COLLABORATION WITH BROWN UNIVERSITY AND MEALS ON WHEELS (MOW) AMERICA, THE INSTITUTE LAUNCHED A STUDY IN MAY 2016 FOCUSED ON INVESTIGATING CURRENT CAPABILITIES OF MOW SITES BEYOND MEAL SERVICE, STANDARDIZING MOW SAFETY AND WELLNESS CHECKS INTO ROUTINE MEAL DELIVERY, AND RESPONDING TO CHANGES THAT MAY NEGATIVELY IMPACT A CLIENT'S HEALTH OR SOCIAL WELL-BEING. IN COLLABORATION WITH THE REGENTS OF THE UNIVERSITY OF CALIFORNIA IRVINE, THE INSTITUTE ADVANCED AN ESTABLISHED GERIATRIC MEDICAL HOME BY EMBEDDING A CARE NAVIGATION MODEL THAT WILL LINK PATIENTS TO LONG-TERM SERVICES AND SUPPORTS (LTSS), AND ENSURE COORDINATION OF THESE SERVICES TO DEMONSTRATE THEIR VALUE IN ADDRESSING THE SOCIAL DETERMINANTS OF HEALTH. THE INSTITUTE IS ALSO COLLABORATING WITH THE HOME-CENTERED CARE INSTITUTE (HCCI) AT NORTHWESTERN UNIVERSITY (AND IN CONJUNCTION WITH RUSH UNIVERSITY MEDICAL CENTER) TO GAIN A BETTER UNDERSTANDING OF HOW COORDINATING LTSS WITHIN A HOME-BASED PRIMARY CARE PRACTICE IMPROVES CARE TRANSITIONS AND HELPS FACILITATE THE MEETING OF PATIENT/FAMILY NEEDS. FORM 990, PART VI, SECTION A, LINE 2 ALMOST ALL OF THE CURRENT DIRECTORS AND OFFICERS HAVE A "BUSINESS RELATIONSHIP" AS DEFINED IN THE FORM 990 INSTRUCTIONS, WITH EACH OF THE OTHER CURRENT OFFICERS AND DIRECTORS BECAUSE OF POSITIONS THEY HOLD WITH AFFILIATED ORGANIZATIONS. FORM 990, PART VI, SECTION A, LINE 3 CERTAIN SUPERVISORY, FINANCIAL AND OTHER MANAGERIAL FUNCTIONS ARE PERFORMED BY EMPLOYEES OF GARY AND MARY WEST MANAGEMENT COMPANY, INC., A NON-PROFIT, NON-STOCK, TAXABLE ENTITY THAT PROVIDES SERVICES TO AFFILIATED ORGANIZATIONS. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION IS A NON-PROFIT, NON-STOCK CORPORATION WITH THREE MEMBERS DURING 2016. ONE INCORPORATED MEMBER DESIGNATED AS A PERMANENT MEMBER, THE GARY AND MARY WEST FOUNDATION, AND TWO NON-INCORPORATED MEMBERS WHICH ARE ELECTED AND TERM-BASED MEMBERS, WILLIAM PATRICK KRUER AND THOMAS CULHANE. ADDITIONALLY, MEMBERS APPOINT AND CAN REMOVE DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7A THE MEMBERS OF THE ORGANIZATION HAVE THE AUTHORITY TO ELECT AND REMOVE MEMBERS OF THE GOVERNING BODY. FORM 990, PART VI, SECTION A, LINE 7B THE FOLLOWING DECISIONS REQUIRE MEMBER APPROVAL: 1. THE DISSOLUTION, LIQUIDATION, MERGER, CONSOLIDATION, RECAPITALIZATION OR OTHER REORGANIZATION OF THE CORPORATION; 2. THE SALE, LEASE OR EXCHANGE OF ALL OR SUBSTANTIALLY ALL OF THE PROPERTY OF THE CORPORATION; AND 3. ANY CHANGES PROPOSED TO BE MADE BY THE CORPORATION'S BOARD OF DIRECTORS TO THE CORPORATION'S CERTIFICATE OF INCORPORATION OR BYLAWS. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 INFORMATION WAS COMPILED FROM THE ORGANIZATION'S CORPORATE AND ACCOUNTING RECORDS AND PROVIDED TO THE ORGANIZATION'S OUTSIDE TAX PREPARER. THE COMPLETED FORM 990 WAS REVIEWED BY THE ORGANIZATION'S CONTROLLER AND DIRECTOR OF FINANCE, CAO AND CEO AND ATTORNEY. UPON SATISFACTORY COMPLETION OF THE INTERNAL REVIEW PROCESS, A DRAFT OF THE FORM 990 WAS CIRCULATED TO THE ORGANIZATION'S AUDIT COMMITTEE AND BOARD OF DIRECTORS FOR OUTSIDE COMPENSATION REVIEW. THE FORM 990 WAS THEN FILED WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C THE DIRECTORS AND OFFICERS OF THE INSTITUTE MET REGULARLY THROUGHOUT 2016 AND DISCUSSED ALL ACTUAL AND POTENTIAL CONFLICTS OF INTEREST THAT EXISTED WITH RESPECT TO OTHER NON-PROFIT AND BUSINESS ORGANIZATIONS. THE DIRECTORS AND OFFICERS ALSO COLLECTED ANNUAL WRITTEN CONFLICT OF INTEREST STATEMENTS FROM ALL DIRECTORS AND OFFICERS. NO FAILURES OF COMPLIANCE WITH THE POLICY WERE FOUND. FORM 990, PART VI, SECTION B, LINE 15 THE ORGANIZATION HAS A COMPENSATION APPROVAL PROCESS FOR ITS EMPLOYEES. FOR THOSE PAID IN EXCESS OF $100,000, A BASIC COMPENSATION STUDY IS PERFORMED AND COMPENSATION RANGES ARE REQUIRED TO BE APPROVED BY THE BOARD OF DIRECTORS. FOR THOSE PAID IN EXCESS OF $250,000, SUCH AS THE CEO, AN ENHANCED STUDY OF COMPARABLE COMPENSATION IS PERFORMED AND THE BOARD OF DIRECTORS REVIEWS AND APPROVES COMPENSATION LEVELS. THE ORGANIZATION ALSO RETAINS THE SERVICES OF AN OUTSIDE COMPENSATION CONSULTANT ON A PERIODIC BASIS. THE MOST RECENT OUTSIDE COMPENSATION REVIEW WAS DONE IN EARLY 2016. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS CERTIFICATE OF INCORPORATION AND AUDITED FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON THE REQUEST FOR SUCH DOCUMENTS. FORM 990, PART IX, LINE 11G CONSULTANTS: PROGRAM SERVICE EXPENSES 967,248. MANAGEMENT AND GENERAL EXPENSES 395,974. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 1,363,222. ADMINISTRATION GENERAL: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 37,532. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 37,532. STUDIES/WHITEPAPERS/RESEARCH: PROGRAM SERVICE EXPENSES 3,254,457. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 3,254,457. STAKEHOLDER COMMUNICATIONS: PROGRAM SERVICE EXPENSES 15,000. MANAGEMENT AND GENERAL EXPENSES 116,742. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 131,742. FORM 990, PART VII: THE ORGANIZATION HAS A MANAGEMENT SERVICES AGREEMENT WITH THE GARY AND MARY WEST MANAGEMENT COMPANY, INC., A RELATED NON-PROFIT CORPORATION, WHEREBY THE GARY AND MARY WEST MANAGEMENT COMPANY, INC. PROVIDES CERTAIN MANAGERIAL AND ADMINISTRATIVE SUPPORT SERVICES TO THE ORGANIZATION. SUCH SERVICES INCLUDE THAT OF CHIEF FINANCIAL AND OPERATING OFFICER AND OTHER SENIOR MANAGEMENT ROLES. GARY AND MARY WEST HEALTH POLICY CENTER INC 1909 K STREET NW SUITE 730 WASHINGTON DC 20006 275388874 SEE SCH R, PART VII DE 501(C)(3) PRIVATE FOUNDATION N/A 0 GARY AND MARY WEST HEALTH ENDOWMENT INC 1603 ORRINGTON AVE SUITE 810 EVANSTON IL 60201 272953865 FINANCIAL SUPPORT DE 501(C)(3) LINE 11, TYPE II N/A 0 REFLEXION HEALTH INC 225 BROADWAY SUITE 650 SAN DIEGO CA 92101 455417842 SEE SCH R, PART VII DE N/A C 0 GARY AND MARY WEST MANAGEMENT COMPANY INC 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 454040871 SEE SCH R, PART VII DE N/A C 0 0 0 1 0 0 0 0 0 0 0 0 0 1 1 1 1 1 0 0 PART II: IDENTIFICATION OF RELATED TAX-EXEMPT ORGANIZATIONS: NAME OF RELATED ORGANIZATION: GARY AND MARY WEST HEALTH POLICY CENTER, INC. PRIMARY ACTIVITY: POLICY RESEARCH TO DEVELOP MORE AFFORDABLE HEALTHCARE MODELS ENABLING SENIORS TO SUCCESSFULLY AGE. PART IV: IDENTIFICATION OF RELATED ORGANIZATIONS TAXABLE AS A CORPORATION: NAME OF RELATED ORGANIZATION: REFLEXION HEALTH INC. PRIMARY ACTIVITY: DEVELOPING SOFTWARE TO BE USED BY PHYSICAL THERAPISTS AND PATIENTS IN PHYSICAL REHABILITATION TO LOWER THE COST OF HEALTH CARE. PART IV: IDENTIFICATION OF RELATED ORGANIZATIONS TAXABLE AS A CORPORATION: NAME OF RELATED ORGANIZATION: GARY AND MARY WEST MANAGEMENT COMPANY, INC. TYPE OF ENTITY: GARY AND MARY WEST MANAGEMENT COMPANY, INC. IS A NON-STOCK, NON-PROFIT CORPORATION TAXED AS A C-CORPORATION THAT PROVIDES CERTAIN MANAGERIAL AND ADMINISTRATIVE SUPPORT SERVICES. PRIMARY ACTIVITY: PROVIDING MANAGEMENT AND ADMINITRATIVE SUPPORT SERVICES.