2014-11-14T10:33:00-06:00 2013-12-31 131517563 LOEB & TROPER LLP 655 THIRD AVENUE 12TH FLOOR NEW YORK NY 10017 990 2013-01-01 111679599 ST MARY'S HOSPITAL FOR CHILDREN INC STMA 7182818777 29-01 216TH STREET BAYSIDE NY 11360 EDWIN F SIMPSER MD PRESIDENT AND CEO 7182818777 2014-11-04 1 ISRAEL TANNENBAUM P01589203 2128674000 2013 2015-11-30 17:44:51Z EDWIN F SIMPSER MD 29-01 216TH STREET BAYSIDE NY 11360 109408411 0 X WWW.STMARYSKIDS.ORG X 1888 NY TO PROVIDE HIGHLY SPECIALIZED SUB-ACUTE INPATIENT CARE AND OTHER SERVICES TO CHILDREN AND YOUNG ADULTS WITH MEDICALLY COMPLEX SPECIAL NEEDS. KEY STAFF FROM ST. MARY'S PARTICIPATE IN NUMEROUS PROFESSIONAL ORGANIZATIONS AND POLICY-MAKING WORKGROUPS, AND ARE WIDELY ACKNOWLEDGED AS EXPERTS IN THE PROVISION OF LIFE-ALTERING CLINICAL AND THERAPEUTIC CARE TO CHILDREN WITH COMPLEX SPECIAL NEEDS. 5 3 983 49 0 0 7703805 5986584 80029884 71462463 1387191 478628 1616444 920395 90737324 78848070 0 0 0 0 38965557 43899168 0 0 0 38746252 41168695 77711809 85067863 13025515 -6219793 180728973 149138143 137896199 127630575 42832774 21507568 X ST. MARY'S HOSPITAL FOR CHILDREN ("SMH"), THE FLAGSHIP FACILITY OF ST. MARY'S HEALTHCARE SYSTEM FOR CHILDREN, IS COMMITTED TO IMPROVING THE HEALTH AND QUALITY OF LIFE FOR CHILDREN AND YOUNG ADULTS WITH SPECIAL NEEDS. A NATIONALLY RECOGNIZED PROVIDER OF SPECIALIZED SERVICES FOR CHILDREN WITH COMPLEX HEALTH CARE NEEDS REQUIRING MEDICAL, REHABILITATION, PSYCHOLOGICAL AND DEVELOPMENTAL INTERVENTION, SMH PROVIDES BOTH SUB-ACUTE AND LONG-TERM CARE SERVICES, AS WELL AS A NUMBER OF HIGHLY SPECIALIZED, TECHNOLOGICALLY SOPHISTICATED HOME- AND COMMUNITY-BASED AND EARLY INTERVENTION SERVICES. SMH MAKES REFERRALS TO AND, WHEN APPROPRIATE, ACCEPTS ADMISSIONS FROM, ST. MARY'S HOME CARE (A CERTIFIED HOME HEALTH AGENCY FOCUSED ON THE PROVISION OF SERVICES TO CHILDREN AND YOUNG ADULTS WITH SPECIAL NEEDS) AND ST. MARY'S CCP (A LICENSED HOME CARE SERVICES AGENCY PROVIDING PARAPROFESSIONAL AND OTHER SERVICES), AS WELL AS TO AND FROM HOSPITALS AND OTHER PROVIDERS THROUGHOUT THE NEW YORK METROPOLITAN AREA. 0 1 40811468 53483032 INPATIENT SERVICES AND FACILITY-BASED PROGRAMS - SEE SCHEDULE O INPATIENT SKILLED NURSING FACILITY SERVICES - FOLLOWING ACUTE CARE HOSPITALIZATIONS FOR SERIOUS ILLNESS OR INJURY OR WHEN SPECIALIZED SUB-ACUTE AND LONG TERM CARE IS NEEDED, CHILDREN AND THEIR FAMILIES COME TO ST. MARY'S HOSPITAL FOR CHILDREN TO RECEIVE EXCEPTIONAL CARE, TO HEAL, AND TO THRIVE.CHILDREN WITH SPECIAL HEALTHCARE NEEDS FROM BIRTH TO AGE EIGHTEEN RECEIVE COMPLEX INPATIENT MEDICAL CARE AND INTENSIVE REHABILITATION AT ST. MARY'S 97-BED FACILITY. ST. MARY'S BROAD ARRAY OF INPATIENT PROGRAMS AND SERVICES ARE DESIGNED TO PROVIDE GOAL-ORIENTED MEDICAL CARE THAT ADDRESSES ALL ASPECTS OF THE HEALING PROCESS, WHILE ENCOURAGING GROWTH AND INDEPENDENCE. MULTIDISCIPLINARY TEAMS OF PEDIATRIC SPECIALISTS IN MEDICINE, NURSING, REHABILITATION, PSYCHOLOGY, SOCIAL WORK, AND CHILD DEVELOPMENT PARTICIPATE IN THE CREATION OF INDIVIDUALIZED CARE PLANS TO ENSURE OPTIMAL OUTCOMES FOR EACH CHILD.ST. MARY'S STRIVES TO HELP KIDS BE KIDS. IN ADDITION TO RECEIVING MEDICAL CARE AND REHABILITATION THERAPIES WHILE AT OUR FACILITY, CHILDREN ATTEND SCHOOL, PARTICIPATE IN ONSITE AND OFF-CAMPUS RECREATIONAL ACTIVITIES, AND ARE ENCOURAGED TO SOCIALIZE, PLAY, AND REGAIN THEIR INDEPENDENCE. SERVICES INCLUDE: REHABILITATION THERAPIES (PT, OT, SPEECH); COMPREHENSIVE PEDIATRIC/ADOLESCENT MEDICAL CARE; SPECIALIZED SKILLED NURSING; NUTRITIONAL/FEEDING THERAPY; PSYCHOLOGICAL SERVICES; NEUROPSYCHOLOGY; INFANT STIMULATION; SOCIAL WORK; EARLY EDUCATION (INCLUDING PS 23 ON-SITE PUBLIC SCHOOL AND SERVICES OFFERED THROUGH THE COMMITTEE ON PRE-SCHOOL EDUCATION); PARENT/FAMILY TRAINING PROGRAMS; HEALING ARTS AND THERAPEUTIC ACTIVITIES; PASTORAL CARE; PALLIATIVE CARE; RESPITE CARE; COMPLEMENTARY CARE AND WOUND CARE.DURING 2013, SMH PROVIDED 34,429 DAYS OF INPATIENT CARE. OCCUPANCY AVERAGED NEARLY 99%, AND THE AVERAGE LENGTH OF STAY OVERALL WAS APPROXIMATELY 180 DAYS, WITH THE LENGTH OF STAY FOR PARTICULAR PATIENTS VARYING WITH EACH CHILD'S NEEDS AND HIS/HER PLAN OF CARE. 6147472 8904161 FACILITY-BASED PROGRAMS AND SERVICES - SEE SCHEDULE O ST. MARY'S HOSPITAL FOR CHILDREN OPERATES AN ON-SITE EARLY EDUCATION PROGRAM AND A PEDIATRIC DAY HEALTH CARE (PDHC) PROGRAM. ST. MARY'S EARLY EDUCATION PROGRAM IS FOCUSED ON AND DEDICATED TO PROVIDING CHILDREN WITH THE OPPORTUNITY TO INTERACT, SHARE IDEAS, AND LEARN. A WIDE RANGE OF EDUCATIONAL PROGRAMS AND OPPORTUNITIES, FROM BIRTH TO HIGH SCHOOL, HELPS CHILDREN WITH SPECIAL NEEDS MAXIMIZE THEIR POTENTIAL BY PROMOTING GROWTH, CONFIDENCE, AND INDEPENDENCE. ST. MARY'S OFFERS AN ON-CAMPUS PUBLIC SCHOOL FOR INPATIENTS, ALLOWING THEM TO HAVE A CONTINUITY OF EDUCATION DURING THEIR STAY AT THE HOSPITAL. FOR YOUNGER CHILDREN, ST. MARY'S OFFERS AN INCLUSIVE EARLY EDUCATION/PRESCHOOL PROGRAM FOR CHILDREN FROM THE COMMUNITY WITH SPECIAL NEEDS AND INPATIENTS. THE ST. MARY'S TEAM IS COMMITTED TO THE ACHIEVEMENT OF BOTH EDUCATIONAL AND DEVELOPMENT MILESTONES.ST. MARY'S PEDIATRIC DAY HEALTHCARE PROGRAM IS A MEDICAL PROGRAM THAT OFFERS THERAPEUTIC AND MEDICAL AFTER-SCHOOL, WEEKEND, AND SUMMER CAMP PROGRAMS FOR CHILDREN 5-18 YEARS OF AGE AND YOUNG ADULTS FROM 18-25 YEARS OF AGE WHO HAVE COGNITIVE AND PHYSICAL DISABILITIES. USING THERAPEUTIC, REHABILITATIVE AND RECREATIONAL TECHNIQUES AND TOOLS, ST. MARY'S PDHC STAFF HELP EACH CHILD WITH SPECIAL HEALTHCARE NEEDS DEVELOP EVERY CAPABILITY TO HIS OR HER FULLEST. CHILDREN AND YOUNG ADULTS WHO ATTEND THE PDHC PROGRAM PARTICIPATE IN INDOOR AND OUTDOOR ACTIVITIES, RECEIVE A HOT MEAL, ARE PROVIDED WITH ROUND-TRIP TRANSPORTATION, AND ALSO HAVE THE OPPORTUNITY TO INTERACT WITH OTHER CHILDREN AND YOUNG ADULTS WITH SPECIAL NEEDS. EDUCATIONAL ACTIVITIES ARE LED BY A LICENSED SPECIAL EDUCATION TEACHER. CAREGIVERS WORK WITH PARTICIPANTS TO PROMOTE SKILLS, CONFIDENCE, AND INDEPENDENCE IN A NURTURING AND FUN ENVIRONMENT. FAMILY MEMBERS ARE ALSO EDUCATED ON THE CRITICAL ROLES THEY PLAY IN THE PARTICIPANTS' SUCCESS.DURING 2013, SMH PROVIDED APPROXIMATELY 13,000 PDHC VISITS. 9422226 9075270 COMMUNITY PROGRAMS - SEE SCHEDULE O COMMUNITY PROGRAMS - ST. MARY'S HEALTHCARE SYSTEM FOR CHILDREN OFFERS A WIDE RANGE OF HOME AND COMMUNITY BASED SERVICES, ALL ORGANIZED AROUND THE BELIEF THAT THE HOME IS THE MOST APPROPRIATE CARE DELIVERY SETTING FOR CHILDREN TO HEAL AND THRIVE. ST. MARY'S PIONEERED THE FIRST HOME CARE PROGRAM FOR CHILDREN IN NEW YORK MORE THAN 25 YEARS AGO, AND THE SYSTEM REMAINS THE LARGEST AND MOST COMPREHENSIVE PROVIDER OF COMMUNITY-BASED AND HOME-CENTERED SERVICES TO CHILDREN WITH SPECIAL HEALTHCARE NEEDS. ANOTHER COMPONENT OF ST. MARY'S HOSPITAL FOR CHILDREN'S COMMUNITY PROGRAMS IS ITS EARLY INTERVENTION (EI) PROGRAM WHICH PROVIDES SERVICES IN NEW YORK CITY AND TO CHILDREN IN ADJACENT COUNTIES AS WELL. ST. MARY'S EVALUATES CHILDREN AGES THREE AND UNDER, AND COORDINATES CARE IN ADDITION TO PROVIDING SERVICES. ST. MARY'S MULTIDISCIPLINARY TREATMENT TEAMS PROVIDE NUTRITION SERVICES, OCCUPATIONAL AND PHYSICAL THERAPY, SPECIAL INSTRUCTION, SPEECH AND LANGUAGE PATHOLOGY, AND VISION THERAPY TO ELIGIBLE CHILDREN AGES BIRTH TO THREE.ST. MARY'S PROFESSIONALS WORK WITH ELIGIBLE CHILDREN TO MAXIMIZE THEIR POTENTIAL, ADDRESSING THEIR PHYSICAL, COGNITIVE, COMMUNICATION, SOCIAL/EMOTIONAL AND ADAPTIVE NEEDS. THE ST. MARY'S TEAM CREATES SPECIFIC CARE PLANS FOCUSED ON EACH CHILD'S NEEDS, TO FOSTER IMPROVED FAMILY AND CHILD FUNCTIONING. THE SCOPE OF SERVICES INCLUDES HOME/COMMUNITY BASED, FACILITY-BASED, GROUP DEVELOPMENTAL INTERVENTION, PARENT-CHILD GROUP AND FAMILY/CAREGIVER SUPPORT GROUP. SERVICES PROVIDED INCLUDE: PHYSICAL, OCCUPATIONAL AND SPEECH THERAPY, SPECIAL EDUCATION, SOCIAL WORK, NUTRITIONAL SERVICES, CORE AND SUPPLEMENTAL EVALUATIONS, SERVICE COORDINATION, ASSISTIVE TECHNOLOGY, AND AUGMENTATIVE COMMUNICATION EVALUATIONS. 56381166 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 0 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 1 1 0 0 0 1 255 0 983 1 0 1 EI 0 0 0 0 0 0 0 0 X 5 3 0 1 0 0 1 1 1 1 1 0 0 1 1 1 1 1 0 1 1 0 NY X EDWIN F SIMPSER MD 7182818777 5 DAKOTA DRIVE SUITE 200 NEW HYDE PARK NY 11042 EDWIN F SIMPSER PRESIDENT & CEO/CMO (FROM 9/19/13) 1.00 42.50 X X 0 435454 31429 JEFFREY K FRERICHS PRESIDENT & CEO (THROUGH 9/18/13) 1.00 42.50 X X 0 478239 23074 STEPHEN BRENT WELLS CHAIRMAN 1.50 9.00 X X 0 0 0 CAROLINE D GREENE SECRETARY/TREASURER/CFO 1.00 42.50 X X 0 297185 24391 CINDY JOHNSON BOARD MEMBER 1.00 1.50 X 0 0 0 BERNARD HABER BOARD MEMBER 1.00 1.00 X 0 0 0 MICHAEL P PASTERNACK ASSISTANT SECRETARY 1.00 6.00 X 0 0 0 PAUL MAGUIRE SENIOR VP 37.50 X 227753 0 22573 RONA C SCHLAU AVP & CHIEF NURSING OFFICER 37.50 X 182866 0 5455 DONNA MCNAMARA AVP (THROUGH 11/16/13) 24.20 13.30 X 166267 0 8699 LINDA S VOLPE PHYSICIAN 37.50 X 160393 0 20778 AUDREY B BERMAN-DAVIDOWITZ PHYSICIAN 37.50 X 160125 0 26288 DOUGLAS S FAILLA DIRECTOR OF FACILITIES MAN (THROUGH 11/16/13) 37.50 X 156412 0 21029 1053816 1210878 183716 32 0 1 0 TURNER CONSTRUCTION COMPANY 375 HUDSON STREET NEW YORK NY 10014 CONSTRUCTION 13055370 D&J SERVICE INC 1200 ZAREGA AVENUE BRONX NY 10462 TRANSPORTATION 2134603 4D PHARMACY MANAGEMENT 2520 INDUSTRIAL ROW DRIVE TROY MI 48084 PHARMACEUTICAL 1250848 AMERISOURCEBERGEN 1300 MORRIS DRIVE CHESTERBROOK PA 19087 PHARMACEUTICAL 878755 TOTAL PROTECTIVE SECURITY INC 4219 MERRICK RD MASSAPEQUA NY 11758 SECURITY 531882 38 5892352 94232 5986584 INPATIENT SERVICES 623000 53483032 53483032 HOME AND COMMUNITY BASED SERVICES 623000 11114990 11114990 EARLY INTERVENTION 623000 6864441 6864441 71462463 194552 194552 133431 133431 0 30710986 30426910 284076 284076 284076 PHARMACY REVENUE 900099 529822 529822 MEDICAL STAFF SERVICES 900099 294461 294461 96112 96112 920395 78848070 71462463 0 1399023 250326 250326 31905198 27377968 4527230 1517467 1307591 209876 7217173 6194637 1022536 3009004 2728045 280959 7172524 7172524 594752 594752 215423 215423 38422 38422 28318 28318 7115417 7115417 49107 49107 4967239 4967239 2906 2906 1850197 1850197 182128 182128 38605 38605 8463036 8463036 5857377 5857377 803072 803072 NYS ASSESSMENT EXPENSE 3764254 3764254 BAD DEBT EXPENSE 25918 25918 85067863 56381166 28686697 0 2051499 427665 18673787 12504461 28901139 10952683 16569635 7749178 454761 670947 149400002 37240348 103090855 112159654 5147162 1554508 543769 4285627 4129786 180728973 149138143 18077259 12831678 27929 27929 102200000 98670000 15404128 13270250 2186883 2830718 137896199 127630575 X 40357236 20719411 2475538 788157 42832774 21507568 180728973 149138143 X -6219793 -105413 -15000000 X X 0 1 X 1 0 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 38422 0 1 497 38919 0 PART II-B, LINE 1: ST. MARY'S HOSPITAL FOR CHILDREN, INC. ENGAGED TWO LAW FIRMS TO LOBBY ON ITS BEHALF REGARDING MEDICAID RATE SETTING AND OTHER REGULATORY AND LEGISLATIVE ISSUES. ADDITIONALLY, THE LOBBYING PORTION OF ASSOCIATION DUES, INCLUDING CONTINUING CARE LEADERSHIP COUNCIL (CCLC) AND THE HOME CARE ASSOCIATION OF NYS INC (HCA) ARE INCLUDED AS OTHER ACTIVITIES. 730256 730256 119865404 19032383 100833021 28804342 18207965 10596377 112159654 ESTIMATED THIRD PARTY PAYOR SETTLEMENTS 2540718 ACCRUED ASSET RETIREMENT OBLIGATION 290000 2830718 X 78821852 -105413 133431 28018 78793834 28318 25918 54236 78848070 100147058 15133431 15133431 85013627 28318 25918 54236 85067863 PART X, LINE 2: SMH HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE CONSOLIDATED FINANCIAL STATEMENTS. PERIODS ENDING DECEMBER 31, 2010 AND SUBSEQUENT REMAIN SUBJECT TO EXAMINATION BY APPLICABLE TAXING AUTHORITIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES 133,431. PART XI, LINE 4B - OTHER ADJUSTMENTS: BAD DEBT 25,918. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES 133,431. RESERVE ON AMOUNTS DUE FROM RELATED ORGANIZATIONS 15,000,000. PART XII, LINE 4B - OTHER ADJUSTMENTS: BAD DEBT 25,918. EUROPE 0 0 INVESTMENTS 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X 1 1 1 1 0 0 0 0 0 0 0 EDWIN F SIMPSER PRESIDENT & CEO/CMO (FROM 9/19/13) 0 400000 0 0 0 35454 0 16575 0 14854 0 466883 0 0 JEFFREY K FRERICHS PRESIDENT & CEO (THROUGH 9/18/13) 0 358705 0 0 0 119534 0 11648 0 11426 0 501313 0 0 CAROLINE D GREENE SECRETARY/TREASURER/CFO 0 290000 0 0 0 7185 0 9625 0 14766 0 321576 0 0 PAUL MAGUIRE SENIOR VP 225000 0 0 0 2753 0 7875 0 14698 0 250326 0 0 0 RONA C SCHLAU AVP & CHIEF NURSING OFFICER 180000 0 0 0 2866 0 5268 0 187 0 188321 0 0 0 DONNA MCNAMARA AVP (THROUGH 11/16/13) 164661 0 0 0 1606 0 3293 0 5406 0 174966 0 0 0 LINDA S VOLPE PHYSICIAN 160393 0 0 0 0 0 5742 0 15036 0 181171 0 0 0 AUDREY B BERMAN-DAVIDOWITZ PHYSICIAN 160125 0 0 0 0 0 10698 0 15590 0 186413 0 0 0 DOUGLAS S FAILLA DIRECTOR OF FACILITIES MAN (THROUGH 89317 0 0 0 67095 0 5806 0 15223 0 177441 0 0 0 PART I, LINE 1A ST. MARY'S PROVIDED ITS DIRECTOR OF FACILITIES MANAGEMENT WITH A HOUSING ALLOWANCE, IN LIEU OF ADDITIONAL SALARY, TO COVER THE COST OF RENT PAID TO THE OWNERS OF THE SUNSHINE SKILLED NURSING FACILITY IN OSSINING, NY FOR THE ON-CAMPUS HOUSING THAT HE OCCUPIES. THIS ARRANGEMENT IS A LEGACY DATING FROM THE TIME WHEN THE FACILITY IN OSSINING WAS OWNED AND OPERATED BY ST. MARY'S. THIS AMOUNT IS INCLUDED IN TAXABLE INCOME. PART I, LINE 3 COMPENSATION OF THE CEO IS REVIEWED AND APPROVED BY A COMMITTEE OF THE BOARD OF ST. MARY'S HEALTHCARE SYSTEM FOR CHILDREN, INC., THE SOLE CORPORATE MEMBER OF ST. MARY'S HOSPITAL FOR CHILDREN, INC. THE METHODS USED INCLUDE A COMPENSATION COMMITTEE, USE OF AN INDEPENDENT COMPENSATION CONSULTANT, REVIEW OF COMPENSATION STUDIES, COMPARISON TO THE FORM 990'S OF OTHER ORGANIZATIONS, AND APPROVAL BY THE EXECUTIVE REVIEW AND COMPENSATION COMMITTEE OF THE BOARD. PART I, LINES 4A-B SERP: EDWIN F. SIMPSER - $29,847 SEVERANCE: JEFFREY K. FRERICHS - $103,846 A DORMITORY AUTHORITY STATE OF NY 146000293 649905ZMI 2010-07-14 102200000 CONSTRUCTION 0 0 0 A 3530000 102200000 4500000 13999771 851329 72873356 2012 0 0 0 1 A 0 0 0 0 0 0 0 A 1 0 0 0 0 0 A 0 EDWIN F SIMPSER PRESIDENT & CEO/CMO 442965 SMH PROVIDES STAFFING, MANAGEMENT, OFFICE SPACE (SHARED OFFICE SPACE IN AN SMH FACILITY IN ROSLYN), AND BACK OFFICE FUNCTIONS (IT, HR AND ACCOUNTING) FOR EXTRAORDINARY PEDIATRICS PC, A PROFESSIONAL CORPORATION PROVIDING MEDICAL AND REHABILITATION SERVICES. IN HIS CAPACITY AS CHIEF MEDICAL OFFICER OF SMH, DR. SIMPSER ALSO SERVES AS THE SOLE SHAREHOLDER OF EXTRAORDINARY PEDIATRICS PC. 0 FORM 990, PART III, LINE 3 AS OF THE END OF THE YEAR, ST. MARY'S HOSPITAL FOR CHILDREN IS NO LONGER PROVIDING LONG-TERM CARE SERVICES THROUGH A LONG-TERM HOME HEALTH CARE PROGRAM. FORM 990, PART VI, SECTION A, LINE 3 MANAGEMENT RESPONSIBILITIES ARE FULFILLED BY ADMINISTRATIVE PERSONNEL EMPLOYED BY A RELATED ENTITY, SMH ADMINISTRATIVE SERVICES, INC.; COSTS INCURRED BY SMH ADMINISTRATIVE SERVICES, INC. WERE, IN 2013, ALLOCATED TO INDIVIDUAL ST. MARY'S ENTITIES IN ACCORDANCE WITH EXPENSE-BASED METHODOLOGY. THE ORGANIZATION PERIODICALLY REVIEWS THE METHOD BY WHICH ADMINISTRATIVE OVERHEAD EXPENSES ARE ALLOCATED. FORM 990, PART VI, SECTION A, LINE 6 ST. MARY'S HEALTHCARE SYSTEM FOR CHILDREN, INC. (SMHSC) IS THE SOLE CORPORATE MEMBER OF ST. MARY'S HOSPITAL FOR CHILDREN, INC. FORM 990, PART VI, SECTION A, LINE 7A THE MEMBER (SMHSC) HAS THE EXCLUSIVE POWER AND AUTHORITY TO ELECT AND REMOVE DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7B THE MEMBER (SMHSC) HAS THE EXCLUSIVE POWER AND AUTHORITY TO APPROVE THE FOLLOWING: MERGERS, SALES OR DISSOLUTIONS; AMENDMENTS TO THE CERTIFICATE OF INCORPORATION AND/OR BYLAWS; OPERATING AND CAPITAL BUDGETS; UNBUDGETED BORROWINGS IN EXCESS OF $1,000,000; UNBUDGETED CAPITAL EXPENDITURES IN EXCESS OF $500,000; A STRATEGIC PLAN; AND HIRING AND FIRING OF THE CEO. FORM 990, PART VI, SECTION B, LINE 11 A DRAFT OF THE COMPLETED FORM 990 IS REVIEWED BY THE AUDIT & COMPLIANCE COMMITTEE. COMMENTS FROM THIS REVIEW ARE DISCUSSED AND CHANGES MADE IF/AS NECESSARY. A FINAL DRAFT IS THEN POSTED TO THE BOARD WEBSITE WHERE IT IS MADE AVAILABLE TO ALL BOARD MEMBERS PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C ONCE A YEAR, EACH BOARD MEMBER, OFFICER OR KEY EMPLOYEE OF THE ORGANIZATION COMPLETES A CONFLICT OF INTEREST QUESTIONNAIRE, STATEMENT AND ACKNOWLEDGEMENT WHICH CONFIRMS THAT EACH INDIVIDUAL HAS DISCLOSED ANY POTENTIAL CONFLICT OF INTEREST; HAS RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY; HAS READ, UNDERSTANDS, AND AGREES TO COMPLY WITH THE CONFLICT OF INTEREST POLICY. DURING THE COURSE OF THE YEAR, EACH BOARD MEMBER, OFFICER, AND KEY EMPLOYEE IS REQUIRED TO PROMPTLY ADVISE THE CHIEF EXECUTIVE OFFICER OR HIS/HER DESIGNEE, OF ANY CHANGES TO THE INFORMATION PROVIDED IN THAT INDIVIDUAL'S LAST COMPLETED CONFLICT OF INTEREST QUESTIONNAIRE. THE CHIEF EXECUTIVE OFFICER, OR HIS/HER DESIGNEE, REVIEWS ALL COMPLETED QUESTIONNAIRES AND ALL SUBSEQUENT ADVICE OF CHANGES, TAKING SUCH ACTION AS IS DEEMED APPROPRIATE TO ADDRESS AND ELIMINATE POTENTIAL CONFLICTS OF INTEREST, INCLUDING SUCH STEPS AS REASSIGNMENT OF RESPONSIBILITIES. ALL DISCLOSURES OF INTERESTS IN COMPLETED QUESTIONNAIRES OR SUBSEQUENT ADVICE, UNLESS CLEARLY IRRELEVANT OR IMMATERIAL, SHALL BE COMPILED AND REPORTED BY MANAGEMENT TO THE AUDIT AND COMPLIANCE COMMITTEE OF THE BOARD, TOGETHER, IN EACH CASE, WITH THE RESPONSE OR RECOMMENDATION OF MANAGEMENT. THE AUDIT AND COMPLIANCE COMMITTEE SHALL DETERMINE WHETHER THE REPORTED RESOLUTION OF ISSUES RAISED BY THE DISCLOSURES IS SATISFACTORY AND, IF NOT, SHALL TAKE SUCH FURTHER ACTION AS IT DEEMS APPROPRIATE. EACH BOARD MEMBER, AND ANY OFFICER OR KEY EMPLOYEE PRESENTING A PROPOSED TRANSACTION OR OTHER MATTER TO THE BOARD SHALL DISCLOSE PROMPTLY AND IN GOOD FAITH TO THE BOARD SUCH INDIVIDUAL'S INTEREST IN A PROPOSED TRANSACTION OR OTHER MATTER TO BE CONSIDERED BY THE BOARD. THE INDIVIDUAL MAY NOT PARTICIPATE IN ANY WAY IN THE BOARD'S DELIBERATIONS CONCERNING MATTERS IN WHICH HE/SHE HAS DISCLOSED AN INTEREST. FOLLOWING ANY SUCH DISCLOSURE, AND AFTER SUCH DUE DILIGENCE AND SUCH DEVELOPMENT AND CONSIDERATION OF OTHER ALTERNATIVES, IF ANY, AS THE BOARD SHALL DEEM APPROPRIATE, THE BOARD MAY, IN ITS DISCRETION, AUTHORIZE OR APPROVE THE PROPOSED TRANSACTION OR ACTIONS AS AT LEAST AS FAIR AND REASONABLE TO THE ORGANIZATION AS WOULD OTHERWISE BE OBTAINABLE BY THE ORGANIZATION. SUCH ACTIONS SHALL BE BY A VOTE SUFFICIENT FOR SUCH PURPOSE WITHOUT COUNTING THE VOTE OR VOTES OF SUCH INTERESTED PERSON OR PERSONS AND SUCH PERSON OR PERSONS MAY NOT PARTICIPATE IN, DETERMINING THE PRESENCE OF A QUORUM AT THE MEETING. ANY DISCLOSURE, NON-PARTICIPATION, AND BOARD ACTION TAKEN IN ACCORDANCE WITH THIS POLICY SHALL BE CLEARLY RECORDED IN THE MINUTES OF THE MEETING AT WHICH THE MATTER IS ADRESSED AND RESOLVED. UPON REASONABLE BELIEF THAT A BOARD MEMBER, OFFICER OR KEY EMPLOYEE FAILED TO COMPLY WITH THE POLICIES AND DIRECTIVES SET FORTH IN ITS DISCLOSURE POLICY, THE BOARD OR THE AUDIT AND COMPLIANCE COMMITTEE SHALL INFORM THE INDIVIDUAL OF THE BASIS OF THE BELIEF AND PROVIDE AN OPPORTUNITY TO EXPLAIN THE NONCOMPLIANCE. IF AFTER HEARING THE INDIVIDUAL'S RESPONSE AND MAKING FURTHER APPROPRIATE INVESTIGATIONS, THE BOARD OR AUDIT AND COMPLIANCE COMMITTEE DETERMINES THAT THE INDIVIDUAL HAS, IN FACT, FAILED TO COMPLY WITH SUCH POLICIES AND DIRECTIVES, IT SHALL TAKE OR RECOMMEND APPROPRIATE CORRECTIVE ACTION. FORM 990, PART VI, SECTION B, LINE 15 ADMINISTRATIVE SALARIES ARE PAID OUT OF A RELATED ADMINISTRATIVE CORPORATION. THE POLICIES FOR DETERMINING COMPENSATION ARE AS FOLLOWS: THE BOARD OF ST. MARY'S HEALTHCARE SYSTEM FOR CHILDREN, THE SOLE MEMBER OF THE ORGANIZATION, RETAINS THE SERVICES OF AN EXECUTIVE COMPENSATION FIRM TO REVIEW MARKET PAY PRACTICES FOR SENIOR EXECUTIVES IN ORGANIZATIONS OF COMPARABLE SIZE AND TYPE. THIS MARKET ANALYSIS IS THEN REVIEWED BY THE EXECUTIVE REVIEW/COMPENSATION COMMITTEE AND USED AS A FACTOR IN DETERMINING SALARY ADJUSTMENTS RELATIVE TO MARKET COMPETITIVENESS AND JOB PERFORMANCE. COMPENSATION FOR OTHER EXECUTIVES IS MANAGED IN A SIMILAR MANNER, WITH THE HUMAN RESOURCES DEPARTMENT IN CONSULTATION WITH THE CEO, USING PERIODIC SURVEYS OF THE LOCAL MARKET TO ENSURE THAT ST. MARY'S COMPENSATION IS COMPETITIVE. THIS ASSESSMENT WAS LAST UNDERTAKEN IN 2013. FORM 990, PART VI, SECTION C, LINE 18 THESE DOCUMENTS ARE AVAILABLE UPON REQUEST. FORM 990, PART VI, SECTION C, LINE 19 THESE DOCUMENTS ARE AVAILABLE UPON REQUEST. FORM 990, PART VI, SECTION B, LINE 14: ST. MARY'S HOSPITAL FOR CHILDREN, INC. HAS A DOCUMENT RETENTION POLICY, BUT NOT A DOCUMENT DESTRUCTION POLICY. SMH DOES HAVE A MEDICAL RECORDS DESTRUCTION POLICY. AN OVERALL DOCUMENT DESTRUCTION POLICY IS UNDER DEVELOPMENT, AND WILL BE COMPLETED IN 2014. FORM 990, PART VI, SECTION A, LINE 1B: SUBSEQUENT TO YEAR END, ST. MARY'S HEALTHCARE SYSTEM FOR CHILDREN, THE SOLE CORPORATE MEMBER OF THE ORGANIZATION, REVIEWED THE COMPOSITION OF THE BOARD OF DIRECTORS, AND DETERMINED THAT IN ACCORDANCE WITH GOOD GOVERNANCE PRINCIPLES, THE BOARD WOULD BE COMPRISED OF NON-EMPLOYED SYSTEM DIRECTORS, WITH THE EXCEPTION OF THE CEO, WHO WOULD SERVE AS AN EX-OFFICIO VOTING MEMBER. FORM 990, PART XI, LINE 9: RESERVE ON AMOUNTS DUE FROM RELATED ORGANIZATIONS -15,000,000. FORM 990, PART XII, LINE 2C: THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. ST MARY'S HEALTHCARE SYSTEM FOR CHILDREN INC 29-01 216TH STREET BAYSIDE NY 11360 113574493 HEALTH CARE NY 501(C)(3) LINE 11A, I N/A 0 ST MARY'S FOUNDATION FOR CHILDREN INC 29-01 216TH STREET BAYSIDE NY 11360 112728736 FUNDRAISING NY 501(C)(3) LINE 7 ST MARY'S HEALTHCARE SYSTEM FOR CHILDREN INC 0 EXTRAORDINARY HOME CARE (DBA ST MARY'S HOME CARE) 29-01 216TH STREET BAYSIDE NY 11360 272021133 HOME HEALTH CARE SERVICES NY 501(C)(3) LINE 9 ST MARY'S HEALTHCARE SYSTEM FOR CHILDREN INC 0 ST MARY'S COMMUNITY CARE PROFESSIONALS CORP 29-01 216TH STREET BAYSIDE NY 11360 113360276 PARAPROFESSIONAL HOME HEALTH CARE NY 501(C)(3) LINE 9 ST MARY'S HEALTHCARE SYSTEM FOR CHILDREN INC 0 SMH ADMINISTRATIVE SERVICES INC 29-01 216TH STREET BAYSIDE NY 11360 271529374 MANAGEMENT AND SUPPORTING SERVICES NY 501(C)(3) LINE 11B, II ST MARY'S HEALTHCARE SYSTEM FOR CHILDREN INC 0 ST MARY'S REHABILITATION CENTER FOR CHILDREN 29-01 216TH STREET BAYSIDE NY 11360 136163550 HEALTH CARE NY 501(C)(3) LINE 9 ST MARY'S HEALTHCARE SYSTEM FOR CHILDREN INC 0 KIDNEEDSCOM INC 29-01 216TH STREET BAYSIDE NY 11360 113539055 INTERNET SERVICE NY ST MARY'S HOSPITAL FOR CHILDREN INC C 1.00000 1 0 0 1 1 0 0 0 0 0 0 0 0 1 1 1 1 1 0 0