2016-10-13T15:28:42-05:00 2015-12-31 420714325 RSM US LLP 751 ARBOR WAY SUITE 200 BLUE BELL PA 19422 990 2015-01-01 231662091 EMERGENCY CARE RESEARCH INSTITUTE EMER 6108256000 5200 BUTLER PIKE PLYMOUTH MEETING PA 19462 PETER CATALANO CHIEF FINANCIAL OFFICER 6108256000 2016-10-12 1 CHRISTOPHER M PEKULA P00734965 2156418600 2016-10-12 2015 2017-02-10 21:41:12Z ECRI INSTITUTE - ECRI - ECRI INSTITUTE PSO PETER CATALANO 5200 BUTLER PIKE PLYMOUTH MEETING PA 19462 80929846 0 X ECRI.ORG X 1955 PA SEE SCHEDULE O 11 9 474 150 0 0 190009 335011 57436817 57752398 1267804 1950012 0 0 58894630 60037421 0 0 0 0 40323984 41990985 0 0 90523 17255827 15882878 57579811 57873863 1314819 2163558 55133539 56509075 23902896 25586640 31230643 30922435 X SEE SCHEDULE O 0 0 22922507 33156058 RESEARCH AND EVALUATION PROGRAMS, MEMBERSHIPS, PUBLICATIONS AND INFORMATION:THE INSTITUTE'S APPLIED RESEARCH AND EVALUATION, MEMBERSHIPS, AND PUBLICATIONS ALL FOCUS ON IMPROVING HEALTHCARE SAFETY, QUALITY AND COST-EFFECTIVENESS IN SETTINGS ACROSS THE CONTINUUM OF CARE, FROM ACUTE CARE TO AMBULATORY CARE TO LONG-TERM CARE AND HOME CARE. THESE PROGRAMS ARE USED BY HOSPITALS AND HEALTHCARE PROVIDERS, POLICYMAKERS, PAYERS, THE PUBLIC, GOVERNMENT AGENCIES, AND OTHERS IN THE HEALTHCARE COMMUNITY TO IMPROVE PATIENT CARE. THROUGH THESE PROGRAMS, THE INSTITUTE DISSEMINATES THE RESULTS OF ITS INTERNALLY CONDUCTED RESEARCH AND EVALUATION, OF INFORMATION AND EXPERIENCE OBTAINED THROUGH TECHNICAL ASSISTANCE SERVICES AND OTHER ACTIVITIES, AND OF INFORMATION GATHERED FROM MANY OTHER SOURCES.THE INSTITUTE CONDUCTS STUDIES AND DISSEMINATES INFORMATION AND TOOLS THAT PROTECT THE PUBLIC FROM UNSAFE AND INEFFECTIVE MEDICAL TECHNOLOGIES, AND UNSAFE PRACTICES; IMPROVE PATIENT SAFETY BY PREVENTING MEDICAL ERRORS, PATIENT ACCIDENTS, INJURIES, AND DEATH; ASSESS THE EFFECTIVENESS OF DRUGS, DEVICES, PROCEDURES AND PRACTICES, AND; REDUCE COSTS. EACH YEAR, ECRI INSTITUTE DISSEMINATES HUNDREDS OF GUIDANCE ARTICLES, ALERTS, AND ADVISORIES THAT FOCUS ON WAYS TO IMPROVE THE QUALITY, SAFETY, AND COST EFFECTIVENESS OF HEALTH CARE. EACH YEAR, ECRI INSTITUTE PUBLISHES A MONOGRAPH ON THE TOP 10 HEALTH TECHNOLOGY HAZARDS TO WHICH HEALTHCARE PROVIDERS SHOULD BE PAYING THE MOST ATTENTION, ALONG WITH RECOMMENDATIONS FOR ALLEVIATING RISKS AS WELL AS OTHER TOP TEN REPORTS WITH IMPORTANT SAFETY INFORMATION AVAILABLE TO THE PUBLIC. THE INSTITUTE'S WORK IS INTERNATIONAL IN SCOPE AND REQUIRES HIGHLY SPECIALIZED KNOWLEDGE AND EXPERTISE. TO HELP ENSURE THE SAFETY OF PATIENT CARE AND HEALTHCARE TECHNOLOGY, THE INSTITUTE INDEPENDENTLY INVESTIGATES SAFETY ACCIDENTS; PUBLISHES PRODUCT AND SAFETY ALERTS; COLLECTS, AGGREGATES AND ANALYZES ADVERSE PATIENT SAFETY EVENT DATA AND COST DATA FROM HOSPITALS AND HEALTHCARE PROVIDERS; DISSEMINATES LESSONS LEARNED; INDEPENDENTLY EVALUATES AND VERIFIES THE EVIDENCE ON THE EFFECTIVENESS OF MEDICAL PROCEDURES AND TECHNOLOGIES; AND PROVIDES TELEPHONE ASSISTANCE ON HAZARDS AND SAFETY IMPROVEMENT. IT MAINTAINS SEVERAL OF THE LARGEST DATABASES ON MEDICAL DEVICE HAZARDS AND RECALLS AND PRICES, WHICH COVERS THOUSANDS OF PRODUCTS RANGING FROM A SIMPLE THERMOMETER TO COMPLEX, SOPHISTICATED LIFE SUPPORT EQUIPMENT. ECRI INSTITUTE'S EVALUATION PROGRAM CONDUCTS HANDS-ON LABORATORY TESTING TO EVALUATE THE SAFETY AND EFFICACY OF MEDICAL DEVICES THAT ARE ON THE MARKET. IT COVERS ALL TYPES OF DIAGNOSTIC AND THERAPEUTIC MEDICAL PRODUCTS, FROM MAMMOGRAPHY UNITS TO SURGICAL LASERS TO NEEDLESTICK PREVENTION DEVICES. THIS PROGRAM ENABLES ECRI INSTITUTE TO DISSEMINATE INFORMATION ON PRODUCTS, THEIR SAFE IMPLEMENTATION AND USE, AND THEIR COST. THE INSTITUTE DEVELOPED AND MAINTAINS A WORLDWIDE CLASSIFICATION SYSTEM FOR INDEXING MEDICAL DEVICES THAT IS USED BY HEALTHCARE ORGANIZATIONS AND GOVERNMENT REGULATORY SYSTEMS WORLDWIDE AND IS A FRAMEWORK FOR TRACKING HAZARD AND RECALL INFORMATION. 18806785 24273676 TECHNICAL ASSISTANCE PROGRAMS: ECRI INSTITUTE PROMOTES IMPROVED METHODS OF PATIENT CARE BY PROVIDING TO THE HEALTHCARE COMMUNITY AND TO FEDERAL AND STATE AGENCIES A WIDE RANGE OF TECHNICAL ASSISTANCE ON SAFETY, QUALITY, AND COST-EFFECTIVENESS. THE INSTITUTE'S TECHNICAL ASSISTANCE PROGRAMS INCLUDE PROVIDING INFORMATION TOOLS AND SUPPORT FOR THE BUYERS AND USERS OF HEALTHCARE TECHNOLOGY; DEVELOPING AND MAINTAINING A WORLDWIDE CLASSIFICATION SYSTEM FOR INDEXING MEDICAL DEVICES; INVESTIGATING AND ANALYZING ACCIDENTS AND EVENTS INVOLVING PATIENT SAFETY; PROVIDING ASSESSMENT AND EVALUATION OF HEALTHCARE SAFETY AND QUALITY; PROVIDING EVIDENCE-BASED RESEARCH AND EFFECTIVENESS REPORTS TO GOVERNMENT AGENCIES; CONDUCTING HANDS-ON LABORATORY TESTING TO EVALUATE THE SAFETY AND EFFICACY OF MEDICAL DEVICES THAT ARE ON THE MARKET; DESIGNING AND MAINTAINING GOVERNMENT SPONSORED NATIONAL CLEARINGHOUSES PROVIDING CRITICAL HEALTHCARE QUALITY RESOURCES TO THE PUBLIC; DESIGNING AND MAINTAINING PATIENT SAFETY REPORTING AND ANALYSIS PROGRAMS; AND RUNNING A FEDERALLY CERTIFIED PATIENT SAFETY ORGANIZATION. ECRI INSTITUTE TAKES REPORTS ON MEDICAL DEVICE PROBLEMS FROM ANY MEMBER OF THE PUBLIC, ANALYZES THE PROBLEMS, AND DISSEMINATES RECOMMENDATIONS FOR SAFE PRACTICES. THE FORM FOR SUBMITTING REPORTS IS PUBLICALLY AVAILABLE. INFORMATION AND EXPERIENCE OBTAINED THROUGH SUCH ACTIVITIES ARE USED EXTENSIVELY IN ECRI INSTITUTE'S PUBLICATIONS FOR THE PUBLIC HEALTHCARE COMMUNITY, THEREBY PROMOTING AND MAKING POSSIBLE IMPROVED METHODS OF PATIENT CARE FOR THE BENEFIT OF PUBLIC HEALTH. 771601 322664 EDUCATIONAL PROGRAMS, SEMINARS AND SYMPOSIA: ECRI INSTITUTE PROVIDES NUMEROUS EDUCATIONAL PROGRAMS, SEMINARS AND SYMPOSIA ALL OF WHICH PROMOTE AND MAKE POSSIBLE IMPROVED METHODS OF PATIENT CARE FOR THE BENEFIT OF PUBLIC HEALTH. ECRI INSTITUTED IS ACCREDITED BY THE ACCREDITATION COUNCIL FOR CONTINUING MEDICAL EDUCATION (ACCME) TO PROVIDE CONTINUING MEDICAL EDUCATION CREDITS TO PHYSICIANS. FOR THE PAST 21 YEARS, ECRI INSTITUTE HAS HELD AN ANNUAL TWO-DAY HEALTH POLICY CONFERENCE THAT IS FREE OF CHARGE AND MAKES RECORDINGS AVAILABLE TO THE PUBLIC. THESE CONFERENCES ARE ORGANIZED WITH KEY FEDERAL AGENCIES SUCH AS NATIONAL CANCER INSTITUTE, NATIONAL INSTITUTES OF HEALTH, FOOD AND DRUG ADMINISTRATION, THE AGENCY FOR HEALTHCARE RESEARCH AND QUALITY, THE DEPARTMENT OF VETERANS AFFAIRS, AND OTHERS. EACH YEAR, ECRI INSTITUTE ALSO HOLDS SCORES OF MEETINGS, WORKSHOPS, WEBINARS, AND AUDIO CONFERENCES ADDRESSING BEST PRACTICES, PATIENT SAFETY, EVALUATION OF EVIDENCE, AND THE IMPLEMENTATION AND USE OF MEDICAL TECHNOLOGY AND HEALTH SERVICES. ECRI INSTITUTE PROVIDES A UNIQUE EDUCATIONAL CERTIFICATION PROGRAM AND CREDENTIAL FOR HEALTHCARE SAFETY AND ENVIRONMENTAL OFFICERS. ECRI INSTITUTE CONVENED THE PARTNERSHIP FOR HEALTH IT PATIENT SAFETY, A MULTI-STAKEHOLDER COLLABORATIVE THROUGH WHICH BEST PRACTICES ARE FREELY DISSEMINATED TO IMPROVE THE SAFETY OF PATIENT CARE. THE INSTITUTE MAKES EDUCATIONAL INFORMATION AVAILABLE TO PATIENTS AND THE GENERAL PUBLIC ON SELECTED TOPICS AT NO CHARGE THROUGH ITS OWN WEBSITE AND THROUGH LINKS TO NON-PROFIT CONSUMER HEALTH ORGANIZATIONS AND GOVERNMENT AGENCIES, AND UNDERTAKES VARIOUS COMMUNITY SUPPORT ACTIVITIES FOR NON-PROFITS AND GOVERNMENT AGENCIES SUCH AS THE WORLD HEALTH ORGANIZATION, THE FOOD AND DRUG ADMINISTRATION (FDA), AND THE AGENCY FOR HEALTHCARE RESEARCH AND QUALITY (AHRQ). MEMBERS OF ECRI INSTITUTE'S WORKFORCE PARTICIPATE ON NUMEROUS STANDARDS COMMITTEES, ADVISORY BOARDS, STEERING COMMITTEES, ACCREDITATION COUNCILS AND EDUCATIONAL FORUMS FOR IMPROVING THE QUALITY AND SAFETY OF PATIENT CARE. 42500893 1 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 1 1 1 0 0 1 89 0 1 474 1 0 1 UK 0 0 0 0 0 0 0 0 X 11 9 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 PA X G DANIEL DOWNING 6108256000 5200 BUTLER PIKE PLYMOUTH MEETING PA 19462 JOHN B REISS TRUSTEE, CHAIRMAN 5.00 0.00 X X 0 0 0 WM DAVID WEBB TRUSTEE, TREASURER 2.00 0.00 X X 0 0 0 J SANFORD SCHWARTZ MD TRUSTEE 2.00 0.00 X 0 0 0 DANIELE M FOX TRUSTEE 2.00 0.00 X 0 0 0 GORDON HUNT TRUSTEE, VICE CHAIR 2.00 0.00 X X 0 0 0 ANTHONY VINCENT TRUSTEE, DEV DIR, FACILITIES DIR 40.00 0.00 X 150525 0 28086 ROBERT M CRANE TRUSTEE 2.00 0.00 X 0 0 0 JEFFREY C LERNER TRUSTEE, PRESIDENT & CEO 50.00 X X 647853 0 10933 GRANT BAGLEY TRUSTEE 2.00 0.00 X 0 0 0 RALPH MULLER TRUSTEE 2.00 0.00 X 0 0 0 JANET CORRIGAN TRUSTEE, SECRETARY 2.00 0.00 X X 0 0 0 ANTHONY MONTAGNOLO EXECUTIVE VP & COO 50.00 0.00 X 385724 0 34421 RONNI SOLOMON EXECUTIVE VP, GEN COUNSEL, ASSNT SEC 50.00 0.00 X 438324 0 28541 G DANIEL DOWNING VP OF VINANCE, CFO, ASSNT TREAS 50.00 0.00 X 284169 0 30041 VIVIAN COATES VP TECHNOLOGY ASSESMENT PROGRAM 50.00 0.00 X 260672 0 12726 JENNIFER MYERS VP - SELECT PROGRAM 50.00 0.00 X 208987 0 17015 JONATHAN TRIGG VP OF SALES 50.00 0.00 X 313917 0 35646 MICHAEL LOGAN REGIONAL ACCOUNT EXECUTIVE 50.00 0.00 X 277284 0 33947 JAMES ROBERTSON AREA VP, SOUTH 50.00 0.00 X 259303 0 10310 STEVE FERENS AREA VP, NORTH 50.00 0.00 X 219258 0 24390 DEBORAH WESLEY REGIONAL ACCOUNT EXECUTIVE 50.00 0.00 X 218562 0 17390 3664578 0 283446 94 0 1 0 BRADFORD CONSULTANTS LLC 980 CENTENNIAL DRIVE WEST CHESTER PA 19382 INFORMATION SYSTEMS CONTRACTOR 1618730 HP ENTERPRISE 5400 LEGACY DR PLANO TX 75024 INFORMATION SYSTEMS CONTRACTOR 1522249 SILVERCHAIR SCIENCE COMM INC 316 E MAIN STREET SUITE 300 CHARLOTTESVILLE VA 22902 HEALTHCARE TECHNOLOGY SERVICE 643385 BEHAVIOR LLC 40 WEST 27TH STREET SUITE 401 NEW YORK NY 10001 INFORMATION SYSTEMS CONTRACTOR 555210 INSTITUTE FOR SAFE MEDICATION PRACTICES 200 LAKESIDE DRIVE SUITE 200 HORSHAM PA 19044 HEALTHCARE TECHNOLOGY SERVICE 441259 5 110011 225000 335011 MEMBERSHIP, PUBLICATIONS 900099 33156058 33156058 TECHNICAL ASSISTANCE 541900 24273676 24273676 EDUCATIONAL PROGRAMS 611710 322664 322664 57752398 1259550 1259550 21582887 20892425 690462 690462 690462 60037421 57752398 0 1950012 3664578 469659 3132325 62594 30514105 26163019 4351086 2484567 1936022 543995 4550 3950510 2471004 1474060 5446 1377225 1073160 301543 2522 69000 69000 4340488 3725066 615422 411636 20629 391007 285244 41051 244193 2592319 2327149 265170 573887 573887 1635467 943729 691738 23178 23178 522 522 2124532 2124532 415862 415862 LIBRARY AND INFORMATION 1416562 1393963 22599 ADMINISTRATIVE EXPENSE 334444 334444 PRODUCTION COSTS 121767 119964 1803 MAILING AND SHIPPING 81642 55679 25963 1456328 1426355 14562 15411 57873863 42500893 15282447 90523 660326 5706842 14370249 13215400 1301425 1678970 27730515 18315128 9218667 9415387 28713738 25306373 869134 1186103 55133539 56509075 4320672 4417605 19145208 20701048 437016 467987 23902896 25586640 X 31230643 30922435 31230643 30922435 55133539 56509075 2163558 -2471766 0 X 0 1 X 1 1 1 X 73306 0 0 190009 335011 598326 50119116 53657417 54480020 57436817 57752398 273445768 0 0 0 0 0 0 0 0 0 0 50192422 53657417 54480020 57626826 58087409 274044094 0 15357867 15809321 15230224 19139173 22413289 87949874 15357867 15809321 15230224 19139173 22413289 87949874 186094220 12631 142815 1003489 1267804 1259550 3686289 12631 142815 1003489 1267804 1259550 3686289 0 0 0 0 0 50205053 53800232 55483509 58894630 59346959 277730383 0.67010 0.68830 0.01330 0.00930 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 222567 222567 4908670 4417195 491475 5049179 1974004 3075175 17550099 11923929 5626170 9415387 457 (B) PLAN 467987 467987 X 57565655 -2471766 -2471766 60037421 0 60037421 57873863 0 57873863 0 57873863 PART X, LINE 2: INCOME TAXES: ECRI INSTITUTE IS GENERALLY EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. NATIONAL SAFETY TECHNOLOGIES, INC., WHICH IS CURRENTLY INACTIVE, IS A C CORPORATION UNDER THE IRC. ECRI INSTITUTE QUALIFIES FOR CHARITABLE CONTRIBUTION DEDUCTIONS AND HAS BEEN CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. INCOME WHICH IS NOT RELATED TO EXEMPT PURPOSES, LESS APPLICABLE DEDUCTIONS, IS SUBJECT TO FEDERAL AND STATE CORPORATE INCOME TAXES. THE INSTITUTE HAD NO NET UNRELATED BUSINESS INCOME TAX FOR THE YEARS ENDED DECEMBER 31, 2015 AND 2014. MANAGEMENT EVALUATED THE INSTITUTE'S TAX POSITIONS AND CONCLUDED THAT THE INSTITUTE HAD TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE ADJUSTMENT TO THE CONSOLIDATED FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THIS GUIDANCE. CONSEQUENTLY, NO ACCRUAL FOR INTEREST AND PENALTIES WAS DEEMED NECESSARY FOR THE YEARS ENDED DECEMBER 31, 2015 AND 2014. THE INSTITUTE FILES INCOME TAX RETURNS IN THE U.S. FEDERAL JURISDICTION. GENERALLY, THE INSTITUTE IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS BY THE U.S. FEDERAL, STATE OR LOCAL TAX AUTHORITIES FOR YEARS BEFORE 2012. EUROPE 1 6 PROGRAM SERVICES OFFICE IS MAINTAINED IN ENGLAND 1419859 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES SALESPERSON / AGENCY RELATIONSHIP 158668 1 6 0 0 1 6 1578527 0 1578527 0 0 0 0 0 1 SCHEDULE F, PART I, LINE 1- ECRI INSTITUTE DOES NOT PROVIDE GRANTS (SCHEDULE F, PART I, LINE 3) AN OFFICE IS MAINTAINED IN ENGLAND IN ORDER TO PROVIDE PUBLICATIONS, REPORTS, AND OTHER HEALTHCARE INFORMATION, TECHNICAL ASSISTANCE SERVICES, AND EDUCATIONAL PROGRAMS, ALL IN SUPPORT OF THE INSTITUTE'S MISSION (SEE FORM 990, PART 1, LINE 1) IN EUROPE AND ELSEWHERE OUTSIDE THE UNITED STATES. ECRI HAS A SALES AGENCY AGREEMENT WITH A COMPANY IN DUBAI, UAE IN ORDER TO PROVIDE PUBLICATIONS, REPORTS, AND OTHER HEALTHCARE INFORMATION, TECHINICAL ASSISTANCE SERVICES, AND EDUCATION PROGRAMS, ALL IN SUPPORT OF THE INSTITUTE'S MISSION (SEE FORM 990, PART 1, LINE 1) IN THE MIDDLE EAST. X 1 1 X X X X X X 0 0 0 1 0 0 0 0 0 ANTHONY VINCENT TRUSTEE, DEV DIR, FACILITIES DIR 145057 0 0 0 5468 0 6025 0 22061 0 178611 0 0 0 JEFFREY C LERNER TRUSTEE, PRESIDENT & CEO 544865 0 0 0 102988 0 10600 0 333 0 658786 0 0 0 ANTHONY MONTAGNOLO EXECUTIVE VP & COO 356892 0 0 0 28832 0 10600 0 23821 0 420145 0 0 0 RONNI SOLOMON EXECUTIVE VP, GEN COUNSEL, ASSNT SEC 344449 0 0 0 93875 0 10600 0 17941 0 466865 0 0 0 G DANIEL DOWNING VP OF VINANCE, CFO, ASSNT TREAS 264495 0 0 0 19674 0 10600 0 19441 0 314210 0 0 0 VIVIAN COATES VP TECHNOLOGY ASSESMENT PROGRAM 246407 0 0 0 14265 0 10184 0 2542 0 273398 0 0 0 JENNIFER MYERS VP - SELECT PROGRAM 208987 0 0 0 0 0 17015 0 0 0 226002 0 0 0 JONATHAN TRIGG VP OF SALES 213200 0 0 0 100717 0 10600 0 25046 0 349563 0 0 0 MICHAEL LOGAN REGIONAL ACCOUNT EXECUTIVE 71488 0 0 0 205796 0 10600 0 23347 0 311231 0 0 0 JAMES ROBERTSON AREA VP, SOUTH 98568 0 0 0 160735 0 10310 0 0 0 269613 0 0 0 STEVE FERENS AREA VP, NORTH 98568 0 0 0 120690 0 8850 0 15540 0 243648 0 0 0 DEBORAH WESLEY REGIONAL ACCOUNT EXECUTIVE 72712 0 0 0 145850 0 8778 0 8612 0 235952 0 0 0 SCHEDULE J, PART I, LINE 1A RELEVANT INFO REGARDING DUES PAID IN BEHALF OF OR TO A PERSON LISTEN IN PART VI, SECTION A, LINE 1A: IN 2015 DUES IN THE AMOUNT OF $12,600 WERE PAID ON BEHALF OF TWO TRUSTEES/EMPLOYEES FOR THE BUSINESS PURPOSE OF CONDUCTING FUNDRAISING ACTIVITIES AND BUSINESS MEETINGS, AND SECURING MEETING FACILITIES. THESE EXPENSES WERE NOT TREATED AS TAXABLE COMPENSATION. SCHEDULE J, PART I, LINE 1B DOES THE ORGANIZATION FOLLOW WRITTEN POLICY REGARDING PAYMENT OR REIMBURSEMENT OF EXPENSES DESCRIBED IN LINE 1A?- YES, SUCH PAYMENTS AND REIMBURSEMENTS ARE MADE IN ACCORD WITH THE ORGANIZATION'S STANDARD WRITTEN POLICIES WHICH REQUIRE THAT EXPENSES HAVE A GENUINE BUSINESS PURPOSE AND THAT SUCH EXPENSES HAVE PROPER AUTHORIZATION, DOCUMENTATION, AND REVIEW AND APPROVAL. SCHEDULE J, PART I, LINE 5 DID THE ORGANIZATION PAY OR ACRUE ANY COMPENSATION CONTINGENT ON THE REVENUES OF THE ORGANIZATION?- IN ORDER TO ACCOMPLISH ITS MISSION TO IMPROVE PUBLIC HEALTH AND SAFETY, IT IS NECESSARY TO HIRE, MOTIVATE AND RETAIN QUALIFIED EMPLOYEES PRIMARILY RESPONSIBLE FOR BUSINESS DEVELOPMENT. THESE POSITIONS REQUIRE EXTENSIVE KNOWLEDGE OF HEALTHCARE ISSUES AND INSTITUTE CAPABILITIES, THE ABILITY TO EFFECTIVELY COMMUNICATE WITH HEALTHCARE PROFESSIONALS AT ALL LEVELS, AND OTHER CRITICAL SKILLS. FOR THE POSITIONS, THE ORGANIZATION PROVIDES A BASE SALARY COMBINED WITH A PAY COMPONENT WHICH IS CONTINGENT ON REVENUES FOR SELECTED ACTIVITIES IN ORDER TO REWARD REVENUE GENERATION FOR BUSINESS DEVELOPMENT WHILE ENSURING THAT A PORTION OF COMPENSATION IS AT RISK. IN FORM 990, PART VII, SECTION A, THERE ARE FIVE (5) EMPLOYEES WHO RECEIVED SUCH COMPENSATION: JONATHAN TRIGG, VICE PRESIDENT OF SALES; JAMES ROBERTSON, AREA VP SOUTH SALES; STEVE FERENS, AREA VP NORTH SALES; MICHAEL LOGAN, REGIONAL ACCOUNT EXECUTIVE; DEBRA WESLEY, REGIONAL ACCOUNT EXECUTIVE. SCHEDULE J, PART II-SCHEDULE J, PART II, LINES 2-4, COLUMN (B)(III) IN ORDER TO ATTRACT AND RETAIN DEDICATED, HIGHLY TALENTED INDIVIDUALS WITH CLEARLY DEMONSTRATED ACHIEVEMENT IN ADVANCING THE ORGANIZATION'S MISSION AND ACCOMPLISHMENTS, THE ORGANIZATION IMPLEMENTED A TOTAL COMPENSATION PACKAGE FOR THE THREE TOP MANAGERS THAT SUPPORTS ORGANIZATIONAL GOALS AND REMAINS COMPETITIVE WITH COMPARABLE ORGANIZATIONS. THE PROGRAM IS BASED ON THE EVALUATION, FINDINGS, AND RECOMMENDATIONS OF A QUALIFIED INDEPENDENT COMPENSATION CONSULTANT ENGAGED DIRECTLY BY A BOARD COMITTEE MADE UP OF INDEPENDENT MEMBERS OF THE BOARD. BASED ON THESE FINDING, THE ORGANIZATION INSTITUTED EXECUTIVE RETIREMENT PAYMENTS FOR THE THREE TOP MANAGERS AS WELL AS MAKE-UP RETIREMENT PAYMENTS BASED ON YEARS OF SERVICE IN SUPPORT OF THE ORGANIZATION'S MISSION AND ACTIVITIES. OTHER COMPENSATION FOR JEFFREY LERNER, PRESIDENT AND CEO, ANTHONY MONTAGNOLO, EXECUTIVE VP AND COO, AND RONNI SOLOMON, EXECUTIVE VP AND GENERAL COUNSEL, INCLUDES PAYMENTS UNDER SUPPLEMENTAL EXECUTIVE RETIREMENT AND COMPENSATION AGREEMENTS. GORDON HUNT- OFFICER - SUTTER HEALTH TRUSTEE 149992 RECEIPTS FOR SERVICE/PRODUCT 0 RALPH MULLER- OFFICER OF UPHS TRUSTEE 506135 RECEIPTS FOR SERVICE/PRODUCT 0 RALPH MULLER- OFFICER OF UPHS TRUSTEE 171321 DISBURSEMENTS FOR SERVICES 0 JOHN REISS- OFFICER-DOYLESTOWN HOSPITAL TRUSTEE 16671 RECEIPTS FOR SERVICE/PRODUCT 0 SCHEDULE D, PART IV THE TRANSACTIONS LISTED ABOVE ARE AT THE ORGANIZATION'S REGULAR PRICING AND OCCURED IN THE NORMAL COURSE OF BUSINESS FOR BOTH ORGANIZATIONS FORM 990, PART I, LINE 1 THE INSTITUTE IS ORGANIZED EXCLUSIVELY FOR CHARITABLE, SCIENTIFIC, AND EDUCATIONAL PURPOSES WITHIN THE MEANING OF IRC SECTION 501(C)(3). THE INSTITUTE'S MISSION IS TO IMPROVE THE SAFETY, QUALITY AND COST-EFFECTIVENESS OF HEALTHCARE AND TO PROTECT THE PUBLIC FROM HARM. THE INSTITUTE'S MISSION IS ACCOMPLISHED THROUGH ITS PUBLISHING, MEMBERSHIP AND INFORMATION PROGRAMS, TECHNICAL ASSISTANCE AND CONSULTATION PROGRAMS, AND EDUCATIONAL PROGRAMS. FORM 990, PART III, LINE 1, DESCRIPTION OF ORGANIZATION'S MISSION: ECRI INSTITUTE IS AN INDEPENDENT NONPROFIT ORGANIZATION WHOSE MISSION IS TO PROMOTE THE HIGHEST STANDARDS OF SAFETY, QUALITY, AND COST-EFFECTIVENESS IN HEALTHCARE TO BENEFIT PATIENT CARE THROUGH RESEARCH, PUBLISHING, EDUCATION, AND CONSULTATION. OUR GOAL IS TO BE THE WORLD'S MOST TRUSTED, INDEPENDENT, ORGANIZATION PROVIDING HEALTHCARE INFORMATION, RESEARCH, PUBLISHING, EDUCATION AND CONSULTATION TO ORGANIZATIONS AND INDIVIDUALS IN HEALTHCARE. ECRI INSTITUTE'S STRATEGY FOR ACHIEVING OUR MISSION AND GOALS INCLUDES: 1. CONDUCTING INVESTIGATIONS AND STUDIES THAT IDENTIFY, DEVELOP, ASSESS, AND VERIFY EVIDENCE ABOUT THE QUALITY, SAFETY, AND COST EFFECTIVENESS OF HEALTHCARE TECHNOLOGIES, PRACTICES, AND FACILITIES. 2. DISSEMINATING INFORMATION, JUDGMENT, GUIDANCE, AND RESEARCH CONCLUSIONS THROUGH MEMBERSHIP PROGRAMS, PUBLICATIONS, EDUCATIONAL PROGRAMS, AND CONSULTATION. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS PREPARED BY THE CONTROLLER WITH INPUT FROM OTHERS AS NEEDED, INCLUDING AN INDEPENDENT ACCOUNTING FIRMS REVIEW. A DRAFT OF THE COMPLETED FORM 990 IS REVIEWED BY THE CHIEF FINANCIAL OFFICER. THEREAFTER, THE PRELIMINARY FORM 990 IS SENT TO EACH OFFICER AND TRUSTEE FOR THEIR REVIEW AND COMMENTS, AND ALL QUESTIONS AND COMMENTS ARE RESPONDED TO. IN ADDITION, THE FORM 990 IS REVIEWED AND DISCUSSED WITH THE GOVERNING BOARD'S AUDIT AND COMPLIANCE COMMITTEE AND THEREAFTER WITH THE TRUSTEES. AFTER THE ABOVE-DESCRIBED REVIEWS AND DISCUSSIONS, THE FINAL FORM 990 IS SIGNED AND FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ALL STAFF RECEIVE A CODE OF CONDUCT AND BUSINESS ETHICS MANUAL THAT SETS FORTH THE INSTITUTIONAL PRINCIPLES, MISSION, GOALS, CONFLICT OF INTEREST RULES, AND OTHER MATTERS RELATED TO QUALITY AND ACCOUNTABILITY. THE BOARD OF TRUSTEES HAS ESTABLISHED THE ORGANIZATION'S CONFLICT OF INTEREST POLICY AND REQUIRES THAT EACH EMPLOYEE AND TRUSTEE ANNUALLY RESPONDS TO A QUESTIONNAIRE WITH A CERTIFICATION THAT THERE IS NO CONFLICT OF INTEREST THAT HAS NOT BEEN DISCLOSED AND APPROPRIATELY ADJUDICATED. THE BOARD OF TRUSTEES HAS DIRECTED THE EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL AND THE CHIEF FINANCIAL OFFICER TO REVIEW EACH CERTIFICATION AND TO ENSURE ADHERENCE WITH THIS POLICY. THE ORGANIZATION ALSO MAINTAINS A HOTLINE NUMBER FOR STAFF TO REPORT POSSIBLE VIOLATIONS. THE ORGANIZATION'S CONFLICT OF INTEREST POLICY ALSO REQUIRES THAT INSTANCES THAT MIGHT OCCUR DURING THE YEAR AND WOULD REQUIRE DISCLOSURE UNDER THE POLICY BE PROMPTLY REPORTED TO THE EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL AND THE CHIEF FINANCIAL OFFICER FOR THEIR REVIEW AND ADJUDICATION. THE BOARD OF TRUSTEES TAKES APPROPRIATE ACTION IF THERE IS ANY NON-COMPLIANCE WITH THE ORGANIZATION'S CONFLICT OF INTEREST POLICY. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR THE PRESIDENT AND CHIEF EXECUTIVE OFFICER IS SUBJECT TO THE REVIEW AND APPROVAL OF THE BOARD OF TRUSTEES, MEETING IN EXECUTIVE SESSION WITH NO INVOLVEMENT BY PERSONS HAVING A CONFLICT OF INTEREST WITH RESPECT TO THE COMPENSATION ARRANGEMENTS AT ISSUE. THE COMPENSATION COMMITTEE OF THE BOARD, WHICH IS SOLELY COMPRISED OF INDEPENDENT TRUSTEES, REVIEWS AND ANALYZES PERFORMANCE AND COMPARABILITY DATA AND MAKES A RECOMMENDATION TO THE FULL BOARD. THE PROCESS INCLUDES THE USE OF DATA AS TO COMPARABLE COMPENSATION FOR SIMILARLY QUALIFIED PERSONS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS. THERE IS CONTEMPORANEOUS DOCUMENTATION AND RECORDKEEPING WITH RESPECT TO THE DELIBERATIONS AND DECISIONS REGARDING SUCH COMPENSATION ARRANGEMENTS. THE ORGANIZATION'S PROCESS INVOLVES DATA FROM COMPENSATION SURVEYS, THE PERIODIC USE OF AN INDEPENDENT COMPENSATION CONSULTANT, AND OTHER SOURCES OF COMPARABILITY DATA. COMPENSATION FOR THE EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER, FOR THE EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL, AND FOR THE VICE PRESIDENT FOR FINANCE AND CHIEF FINANCIAL OFFICER IS DETERMINED BY THE PRESIDENT AND CHIEF EXECUTIVE OFFICER. THE PROCESS INCLUDES THE USE OF DATA AS TO COMPARABLE COMPENSATION FOR SIMILARLY QUALIFIED PERSONS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS. THE PROCESS ALSO INCLUDES DISCUSSION, ADVICE AND OVERSIGHT BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES WHICH REPORTS TO THE FULL BOARD OF TRUSTEES. PERTINENT INFORMATION AND OTHER SUBSTANTIATION OF THE DELIBERATIONS AND DECISIONS ARE DOCUMENTED. THE ORGANIZATIONS PROCESS INVOLVES DATA FROM COMPENSATION SURVEYS, THE PERIODIC USE OF AN INDEPENDENT COMPENSATION CONSULTANT, AND OTHER SOURCES OF COMPARABILITY DATA. THE PRESIDENT AND CHIEF EXECUTIVE OFFICER AND OTHER TOP MANAGERS REVIEW THE COMPENSATION FOR KEY EMPLOYEES OTHER THAN THOSE MENTIONED ABOVE. THE ORGANIZATION ALSO USES ITS HUMAN RESOURCES DEPARTMENT TO REVIEW COMPENSATION AND SALARY INCREASES BASED ON SALARY SURVEY DATA AND COMPENSATION DATA FOR COMPARABLE ORGANIZATIONS AND JOB FUNCTIONS. FORM 990, PART VI, SECTION C, LINE 19 BOTH THE CHIEF FINANCIAL OFFICER AND THE EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL ARE RESPONSIBLE FOR MAKING ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, FINANCIAL STATEMENTS AND OTHER DOCUMENTS (ECRI INSTITUTE'S "PUBLIC FILE") AVAILABLE TO THE PUBLIC. THIS IS ACCOMPLISHED BY ANNOUNCING THE AVAILABILITY OF THE PUBLIC FILE AND THE PROCESS BY WHICH IT MAY BE INSPECTED OR COPIES OBTAINED, SUCH ANNOUNCEMENT BEING POSTED ON THE INSTITUTE'S WEBSITE AND BEING POSTED IN A PUBLIC AREA OF ITS FACILITIES. ALSO THE ORGANIZATION'S FORM 990 IS PUBLICALLY AVAILABLE AT WWW.GUIDESTAR.ORG. ECRI LABORATORIES 5200 BUTLET PIKE PLYMOUTH MEETING PA 19462 232053202 INACTIVE PA 501C3 INACTIVE N/A 0 WHITEMARSH INSTITUTE 5200 BUTLET PIKE PLYMOUTH MEETING PA 19462 232996964 INACTIVE PA 501C3 INACTIVE N/A 0 ECRI SHARED SERVICES 5200 BUTLET PIKE PLYMOUTH MEETING PA 19462 232056173 INACTIVE PA 501C3 INACTIVE N/A 0 ECRI BHD 11 3 10 JALAN 3 109F DANAU BUSINESS KUALA LUMPUR MY IMPROVE HEALTHCARE MY N/A N/A N/A 1 ECRI INC 5200 BUTLER PIKE PLYMOUTH MEETING PA 19462 232082955 INACTIVE PA C 1.00000 1 NATIONAL SAFETY TECHNOLOGIES 5200 BUTLER PIKE PLYMOUTH MEETING PA 19462 232491322 INACTIVE PA C 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 ECRI BHD L 473353 ACTUAL COSTS SCHEDULE R, PART V, LINE 1L ECRI INSTITUTE INCURS COSTS FOR DEVELOPING, PRINTING AND DISTRIBUTING PUBLICATIONS AND OTHER INFORMATION FOR THE BENEFIT OF ECRI BHD., AN AFFILIATE INCORPORATED IN MALAYSIA. ECRI INSTITUTE ALSO INCURS COSTS FOR TECHNICAL ASSISTANCE AND ADMINISTRATIVE SUPPORT PROVIDED TO ECRI BHD. THE FAIR VALUE OF SUCH COSTS IS DETERMINED AT AN ARMS-LENGTH BASIS, AND IS REIMBURSED TO ECRI INSTITUTE BY ECRI BHD. IN 2015, THE PAYMENT RECEIVED BY ECRI INSTITUTE FOR SUCH CHARGES WAS $473,353, APPROXIMATELY 0.8% OF ECRI INSTITUTE'S TOTAL EXPENSES. 100% OF THIS AMOUNT IS RELATED TO THE SAME EXEMPT PURPOSE AS THAT FOR THE CONTROLLING ENTITY, ECRI INSTITUTE, AND IS NOT UNRELATED BUSINESS INCOME. SINCE PAYMENT IS REIMBURSEMENT OF ACTUAL COSTS INCURRED BY THE CONTROLLING ENTITY, ECRI INSTITUTE, THERE IS NO NET INCOME FROM THIS TRANSACTION.