2013-07-30T07:18:28-05:00 2012-09-30 042684828 FEELEY & DRISCOLL PC 200 PORTLAND STREET BOSTON MA 02114 990 2011-10-01 912155626 UMASS MEMORIAL HEALTH CARE INC & AFFILIATES - GROUP RETURN UMAS 5083340496 306 BELMONT STREET WORCESTER MA 01604 TODD A KEATING 5083340496 2013-07-11 1 ALAN GAROFALO P00744592 6177427788 2011 2016-02-24 21:20:13Z X TODD A KEATING 306 BELMONT STREET WORCESTER MA 01604 2874626472 1 1 3642 X WWW.UMASSMEMORIAL.ORG UMASS MEMORIAL HEALTH CARE IS COMMITTED TO IMPROVING THE HEALTH OF THE PEOPLE OF CENTRAL NEW ENGLAND THROUGH EXCELLENCE IN CLINICAL CARE, SERVICE, TEACHING AND RESEARCH. 213 125 16841 1295 37307329 0 15191447 18486920 2528300113 2551874632 18774670 -1602742 51218788 44638442 2613485018 2613397252 2064000 2056000 0 0 1213599587 1225466308 1602995 1213795 2389283 1351659364 1382216501 2568925946 2610952604 44559072 2444648 1872279772 2000206154 1275306773 1364049191 596972999 636156963 X UMASS MEMORIAL HEATLH CARE IS COMMITTED TO IMPROVING THE HEALTH OF THE PEOPLE OF CENTRAL NEW ENGLAND THROUGH EXCELLENCE IN CLINICAL CARE, SERVICE, TEACHING AND RESEARCH. 0 0 1109058968 2000000 1332125069 UMASS MEMORIAL MEDICAL CENTERUMASS MEMORIAL MEDICAL CENTER IS COMMITTED TO IMPROVING THE HEALTH OF THE PEOPLE OF CENTRAL NEW ENGLAND THROUGH EXCELLENCE IN CLINICAL CARE, SERVICE, TEACHING AND RESEARCH. UMASS MEMORIAL MEDICAL CENTER DOES THIS BY PROVIDING INPATIENT AND OUTPATIENT HEALTH CARE SERVICES TO THE RESIDENTS OF CENTRAL NEW ENGLAND WITHOUT REGARD TO THEIR ABILITY TO PAY.FY2012 KEY STATISTICS - TOTAL DISCHARGES: 41,454 TOTAL SURGICAL CASES: 30,344 TOTAL ER VISITS: 139,708 431924927 471923684 UMASS MEMORIAL MEDICAL GROUPTHE UMASS MEMORIAL MEDICAL GROUP IS A MULTISPECIALTY GROUP PRACTICE OF PHYSICIANS WHOSE MISSION AND PURPOSE IS TO SUPPORT THE CLINICAL, EDUCATIONAL, RESEARCH AND COMMUNITY SERVICE MISSIONS OF UMASS MEMORIAL HEALTH CARE AND UMASS MEMORIAL MEDICAL CENTER. UMASS MEMORIAL MEDICAL GROUP ACCOMPLISHES THIS MISSION BY PROVIDING MEDICAL CARE TO RESIDENTS OF CENTRAL NEW ENGLAND WITHOUT REGARD TO THEIR ABILITY TO PAY. 297549686 352491448 UMASS MEMORIAL COMMUNITY HOSPITALS THE UMASS MEMORIAL COMMUNITY HOSPITALS (CLINTON HOSPITAL, HEALTH ALLIANCE HOSPITALS, INC., MARLBOROUGH HOSPITAL, WING MEMORIAL HOSPITAL AND MEDICAL CENTERS) ARE COMMITTED TO IMPROVING THE HEALTH OF THE PEOPLE OF THE COMMUNITIES THAT THEY SERVE THROUGH EXCELLENCE IN CLINICAL CARE AND SERVICE. EACH OF THESE HOSPITALS ACCOMPLISHES THIS GOAL BY PROVIDING INPATIENT AND OUTPATIENT HEALTH CARE SERVICES TO THE RESIDENTS OF THEIR COMMUNITIES WITHOUT REGARD TO THEIR ABILITY TO PAY.FY2012 KEY STATISTICS - TOTAL DISCHARGES: 15,170 TOTAL SURGICAL CASES: 9,930 TOTAL ER VISITS: 129,041 335677948 56000 396846429 OTHER UMASS MEMORIAL ENTITIESUMASS MEMORIAL HAS A NUMBER OF SUBSIDIARY ENTITIES THAT FUNCTION PRIMARILY TO DELIVER HEALTH CARE TO PATIENTS OR TO SUPPORT THE DELIVERY OF HEALTH CARE TO PATIENTS OF HEALTH CARE TO PATIENTS OF UMASS MEMORIAL. THEY ACCOMPLISH THIS THROUGH THE DELIVERY OF HEALTH CARE SERVICES WITHOUT REGARD TO THE PATIENT'S ABILITY TO PAY. THEY ALSO ACCOMPLISH THIS BY PROVIDING SUPPORT, OVERSIGHT, ADMINISTRATIVE SERVICES OR PATIENT ADVOCACY SERVICES TO THE PATIENTS OF UMASS MEMORIAL, CENTRAL NEW ENGLAND, AND OTHER GEOGRAPHIES. 335677948 56000 396846429 2174211529 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 1 0 1 0 0 0 0 0 1 1 0 1 1 1 1 1 1 0 0 0 0 0 1 0 1 1 1 1 0 0 0 0 1 1 1 1 0 1 1514 0 16841 1 1 1 1 CJ 0 0 0 0 0 0 0 0 X 213 125 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 MA X ROBERT FELDMANN 5083340496 306 BELMONT STREET WORCESTER MA 01604 X ANDRIENI JULIA MD 31.00 X 308439 0 24012 BROWN ALAN P MD 31.00 X 191640 0 33453 BROWN DOUGLAS S 40.00 X X 539768 0 184108 CARLUCCI DANIEL MD 32.00 X 329103 0 41104 CAVAGNARO CHARLES III MD 40.00 X X 383688 0 178162 CHANDLER WILLIS 40.00 X 348956 0 98435 COFONE MICHAEL J 40.00 X X 272415 0 22721 CORBETT WILLIAM MD 40.00 X 396884 0 90620 DALY SHEILA 40.00 X X 266182 0 129697 DICKSON ERIC M MD 40.00 X X 522166 0 128423 FERGUSON R KEVIN MD 40.00 X 232082 0 36736 FERRUCCI JOSEPH MD 32.00 X 390016 0 38659 FINBERG ROBERT W MD 20.00 X 291369 0 148150 GOTTLIEB PHILIP D MD 40.00 X 369567 0 35822 KEATING TODD A 40.00 X X 612027 0 258018 KENNEDY KATHRYN MD 36.00 X 284908 0 41086 LAPIDAS GARY N 40.00 X X 479940 0 195951 LASSER DANIEL H MD 20.00 X 284120 0 309317 MAGUIRE DAVID L MD 40.00 X 239681 0 11152 MATTA LALITA MD 40.00 X 126369 0 24860 MESSINA LOUIS MD 36.00 X 625794 0 39575 MOORE KAREN 40.00 X X 46795 0 1104 MULDOON PATRICK L 40.00 X X 504860 0 207722 O'BRIEN JOHN G 40.00 X X 1344982 0 1013473 OKIKE O NSIDINANYA MD 40.00 X 386025 0 54809 O'LEARY DANIEL J MD 40.00 X 160582 0 974 PAPPAS ARTHUR MD 16.00 X 14186 0 10498 POLANOWICZ JOHN 40.00 X X 99558 0 73553 SOAR BART MD 40.00 X 155016 0 16793 SWENSON DANA 40.00 X 290481 0 124511 TOSI STEPHEN E MD 40.00 X 652485 0 266784 WESOLOWSKI PAUL 40.00 X 209661 0 6536 ZIEDONIS DOUGLAS MD 20.00 X X 220807 0 38641 ALLEN GAIL 1.00 X 0 0 0 ANDERSON ELAINE 1.00 X 0 0 0 ANTONIONI ROBERT 1.00 X 0 0 0 BABINEAU ROBERT JR MD 1.00 X 0 0 0 BENNETT DAVID L 1.00 X 0 0 0 BENNETT RICHARD K 1.00 X 0 0 0 BERGERON ARTHUR 1.00 X 0 0 0 BERKEY DENNIS D 1.00 X 0 0 0 BERRY SARAH G 1.00 X 0 0 0 BOUDREAU NORMAN 1.00 X 0 0 0 BOVENZI LESLIE 1.00 X 0 0 0 BUDD JOHN H 1.00 X 0 0 0 CARLSON MARY 1.00 X 0 0 0 CATALINA FERNANDO MD 1.00 X 0 0 0 CHERUBINI J PAUL 1.00 X 0 0 0 CHRISTENSEN RONALD 1.00 X 0 0 0 CLEMENTI JOHN 1.00 X 0 0 0 COLLINS MICHAEL MD 1.00 X 0 0 0 CONNORS MARTIN JR 1.00 X 0 0 0 COOLIDGE KATHERINE 1.00 X 0 0 0 CORNELL LOIS D 1.00 X 0 0 0 CROCKER FREDERICK G 1.00 X 0 0 0 D'ALELIO EDWARD 1.00 X 0 0 0 DAVIS DIX F 1.00 X 0 0 0 DELROSARIO GENE MD 1.00 X 0 0 0 DENNEHY RAYMOND III 1.00 X 0 0 0 DIGERONIMO ARTHUR P JR 1.00 X 0 0 0 DITULLIO DANIEL 1.00 X 0 0 0 DOBECK PAM 1.00 X 0 0 0 D'ONFRO PAUL 1.00 X 0 0 0 FITCH ROGER 1.00 X 0 0 0 FLOTTE TERENCE MD 1.00 X 0 0 0 GIBLIN DAVID R 1.00 X 0 0 0 GRAY JENNIFER 1.00 X 0 0 0 HAVELES ROBERT 1.00 X 0 0 0 HENEBRY CLARK 1.00 X X 0 0 0 HEWITT FRANK 1.00 X 0 0 0 HOLLISTER MATT 1.00 X 0 0 0 JACOBSON M HOWARD 1.00 X 0 0 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PHD 1.00 X 0 0 0 SHEA JOHN ESQUIRE 1.00 X 0 0 0 SHELTON ROBERT LESLIE MD 1.00 X 0 0 0 SIMMONS IRINA 1.00 X 0 0 0 ST AMAND JAMES 1.00 X 0 0 0 STARR STANLEY B JR 1.00 X 0 0 0 STECYK MARKIAN MD 1.00 X 0 0 0 SULLIVAN WILLIAM F SR 1.00 X 0 0 0 TAYLOR HARVEY MD 1.00 X 0 0 0 TURLEY PATRICK 1.00 X 0 0 0 WHITNEY MARY 1.00 X 0 0 0 WILSON JACK 1.00 X 0 0 0 YOUNG LYNDA M 1.00 X 0 0 0 ALLICON KEARY T 40.00 X 156207 0 54472 BERGAN THOMAS 40.00 X 285084 0 151568 D'AMBRA ANN-MARIA 40.00 X 47722 0 24340 DION JEFFREY 40.00 X 154713 0 50469 EKSTROM DEBORAH 40.00 X 238381 0 142730 FELDMANN ROBERT 40.00 X 302437 0 181706 FRAKER MURIEL E ESQUIRE 40.00 X 173656 0 95984 MCCUE STEVEN 40.00 X 187267 0 34059 MILLER LAUREN B 40.00 X 77261 0 11444 MORABITO NANCY E 40.00 X 52538 0 3880 MORIN LYNN A 40.00 X 73865 0 5445 O'BRIEN WILLIAM H 40.00 X 120516 0 64799 SMITH FRANCIS W 40.00 X 179186 0 65701 STREETER MICHELE M 40.00 X 369422 0 163514 ANDERSON MILTON C 40.00 X 145076 0 22463 BLUTE MICHAEL MD 40.00 X 641582 0 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DIETARY MANAGEMENT SERVICES 5376569 ARUP LABORATORIES INC 50 CHIPETA WAY SALT LAKE CITY UT 84108 LAB PROCESSING SERVICES 5114607 ARE ONE INNOVATION DRIVE WORCESTER MA 01605 RENT 4882905 STANDARD BUILDERS INC 52 HOLMES ROAD NEWINGTON CT 06111 SEE SCHEDULE O - FOOTNOTE A 4177777 191 884128 645710 5961985 10995097 104682 18486920 NET PATIENT SERVICE RE 900099 1854171672 1854171672 SPECIAL MEDICAID PAYME 900099 187999999 187999999 AFFILIATE RELATED PROG 900099 177371701 177371701 SYSTEM ALLOCATION REVE 900099 151817302 151817302 OTHER PSR & JV 900099 147668738 146314351 1354387 32845220 32845220 2551874632 10408890 -11240 10420130 68376 68376 2118666 1238757 879909 879909 879909 247236504 76383 258996181 328338 -11759677 -251955 -12011632 -12011632 627034 884128 665944 -38910 -38910 LAB OUTREACH PROGRAM & 621500 37318569 37318569 OTHER REVENUE 900099 4399252 2866385 1532867 SUBLEASE INCOME 900099 2002528 2002528 8718 8718 43729067 2613397252 2553386630 37307329 4216373 2000000 2000000 56000 56000 29100492 10992728 18107764 926914600 805232972 121218399 463229 70876497 59201909 11666119 8469 132486534 111948840 20497229 40465 66088185 56583994 9480195 23996 1139157 717923 421234 1999989 393567 1606422 1026520 1026520 925238 925238 1213795 1213795 925844 925844 131052027 116841124 13879768 331135 2392451 1887689 371363 133399 42129888 29181199 12910989 37700 48147302 47396541 749975 786 81243590 68211598 13018578 13414 3102102 2923570 174948 3584 1276050 1057857 211871 6322 16275757 15574028 701729 90394197 71319425 19067886 6886 55833705 53516179 2316157 1369 PURCHASED SERVICES 285537177 221957600 63575422 4155 MEDICAL SUPPLIES 213637605 178883401 34754204 SYSTEM OVERHEAD ACTIVIT 168317769 93535614 74780099 2056 MEDICAL EDUCATION SERVI 135750000 135750000 101110133 88122533 12889077 98523 2610952604 2174211529 434351792 2389283 121731059 175920045 176798916 95309671 2155912 2365049 233992397 344055341 4471041 4239536 31891970 30033937 22550727 25047714 22763905 25116769 1624159779 927636750 678871268 696523029 377356855 383112009 127541059 143268414 12255179 13175619 631776 608060 59267708 61430961 1872279772 2000206154 274942645 314454122 5054227 5206847 379318376 367082810 50994524 55106326 32121991 29416760 532875010 592782326 1275306773 1364049191 X 461765636 482080876 58913271 74240870 76294092 79835217 596972999 636156963 1872279772 2000206154 X 2444648 36739316 X X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 1 179084 0 1 746154 0 925238 0 98294963 2557800 12021986 3456726 109418023 104017758 316330 -2402463 3636662 98294963 98561352 1245442 5785214 1574250 104017758 97341571 172660 510787 -536334 98561352 0.73000 0.27000 1 0 7753232 7753232 846551004 452851877 393699127 34301579 20943962 13357617 694057672 447419873 246637799 41496292 6421038 35075254 696523029 TIFF ABSOLUTE RETURN POOL (6,291 SHARES) 23811390 F TIFF PRIVATE EQUITY PARTNERS 2006 (2,812,830 SHARES) 2812830 F FRANK RUSSELL GLOBAL PRIVATE EQUITY FUND (497,714 SHARES) 497714 F GMO MULTI-STRATEGY FUND (OFFSHORE) LP (14,366,780 SHARES) 14366780 F BENEFICIAL INTEREST IN TRUSTS 75358955 F AETOS CAPITAL LONG/SHORT STRATEGIES (70,908 SHARES) 7087113 F AETOS CAPITAL DISTRESSED INV STRATEGIES (23,360 SHARES) 2948074 F AETOS CAPITAL MULTI-STRATEGY ARBITRAGE (39,011 SHARES) 4264513 F MPPLTD/PORTFOLIO CLASS A (4,325 SHARES) 396213 F TIFF ABSOLUTE RETURN POOL CLASS C (3,876 SHARES) 6778150 F MET WEST ENHANCED TALF STRATEGY FUND (2,141,376 SHARES) 2141376 F LT CERTIFICATES OF DEPOSIT 2805306 F 143268414 DUE TO UMASS MEDICAL SCHOOL 52657012 THIRD PARTY LIABILITIES 52669710 DUE TO RELATED PARTIES 32485565 ACCRUED PENSION POST RETIREMENT BENEFITS 373471828 O/S LOSS RESERVES 32774252 ESTIMATED MALPRACTICE COSTS 30328905 OTHER 1158124 ANNUITY PAYABLE 3358800 LT LIABILITY ARO 10255492 ACCRUED LT LIABILITIES 3503512 CLAIMS RESERVES 89126 MEDICARE RESERVES 30000 592782326 2613397252 2610952604 2444648 54604323 -17865007 36739316 39183964 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: FIN 48 FOOTNOTE: INCOME TAXES: THE SYSTEM FOLLOWS A TWO-STEP APPROACH FOR THE FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT OF A TAX POSITION TAKEN OR EXPECTED TO BE TAKEN ON A TAX RETURN. THE SUBSTANTIAL MAJORITY OF UMASS MEMORIAL AND ITS AFFILIATE ENTITIES ARE RECOGNIZED BY THE INTERNAL REVENUE SERVICE AS TAX-EXEMPT UNDER SECTION 501 (C) (3) OF THE INTERNAL REVENUE CODE. ACCORDINGLY, THESE ENTITIES WILL NOT INCUR ANY LIABILITY FOR FEDERAL INCOME TAXES EXCEPT FOR TAX ON UNRELATED BUSINESS INCOME. CERTAIN AFFILIATES ARE TAXABLE ENTITIES. THE MEASUREMENT OF THE AMOUNTS RECORDED AS A PROVISION FOR INCOME TAXES BASED UPON THE AFOREMENTIONED APPROACH IS NOT MATERIAL AND IS RECORDED AS PART OF SUPPLIES AND OTHER EXPENSE IN THE ACCOMPANYING CONSOLIDATED STATEMENTS OF OPERATIONS. THE SYSTEM DOES NOT BELIEVE IT HAS ANY SIGNIFICANT UNCERTAIN TAX POSITIONS. PART XI, LINE 8 - OTHER ADJUSTMENTS: NET ASSETS RELEASED FROM RESTRICTIONS 3,517,603. PENSION RELATED CHANGES OTHER THAN NET PERIODIC BENEFIT COST -21,041,562. BOOK/TAX DIFFERENCES FROM S CORP K-1 264,483. CHANGE IN BENEFICIAL INTERESTS IN PERPETUAL TRUSTS 8,453,509. MISCELLANEOUS -491. NET ASSETS RELEASED FROM RESTRICTION FOR PPE 1,459,814. TEMPORARY RESTRICTED FUND EXPENDITURES -5,851,897. GAIN/(LOSS) ON DISCONTINUED OPERATIONS -4,612,889. ALLOWANCE FOR UNCOLLECTIBLE PLEDGES -53,577. TOTAL TO SCHEDULE D, PART XI, LINE 8: -17,865,007. PART V ENDOWMENT FUNDS QUESTION 3 A (I): ARE THERE ENDOWMENT FUNDS NOT IN THE POSSESSION OF THE ORGANIZATION THAT ARE HELD AND ADMINISTERED FOR THE ORGANIZATION BY: (I) UNRELATED ORGANIZATIONS: YES OR NO WING - YES BANK OF AMERICA HOLDS 3 TRUST FUNDS FOR WING MEMORIAL HOSPITAL: DORNOE PARKER TRUST, RATHBONE 1950 TRUST, RATHBONE 1951 TRUST INTEREST IS PAID TO WING. BANK OF AMERICA IS AN UNRELATED ORGANIZATION. HEALTHALLIANCE HOSPITAL - YES BANK OF AMERICA MERRILL LYNCH HOLDS THE BERNARD W DOYLE TRUST FOR HEALTHALLIANCE HOSPITAL. DISTRIBUTIONS ARE PAID TO HEALTHALLIANCE HOSPITAL. BANK OF AMERICA MERRILL LYNCH IS AN UNRELATED ORGANIZATION. BYN MELLON WEALTH MANAGEMENT HOLDS THE FOLLOWING TRUSTS FOR HEALTHALLIANCE HOSPITAL: TRUST U/WILL ART 11 WILLIAM H CROPPER TRUST U/WILL PAR 15 WILLIAM H CROPPER TRUST U/WILL ART 18 WILLIAM H CROPPER TRUST UNDER 2ND CODICIL OF WILL OF WILLIAM H CROPPER TRUST U/WILL 4TH COD WILLIAM H CROPPER DISTRIBUTIONS ARE PAID TO HEALTHALLIANCE HOSPITAL. BYN MELLON WEALTH MANAGEMENT IS AN UNRELATED ORGANIZATION. PART V ENDOWMENT FUNDS QUESTION 4: PARENT - THE INTENDED USE OF THE ORGANIZATION'S ENDOWMENT FUNDS ARE DIRECTED IN ACCORDANCE WITH THE DONOR'S INTENT INCLUDING THE PERSERVATION OF THE ORIGINAL GIFT AND VARIOUS PURPOSES INCLUDING CHARITY CARE, MEDICAL EDUCATION, RESEARCH, HEALTH CARE SERVICES, BUILDINGS AND EQUIPMENT. HEALTHALLIANCE HOSPITAL - THE INTENDED USE OF THE ORGANIZATION'S ENDOWMENT FUNDS ARE DIRECTED IN ACCORDANCE WITH THE DONOR'S INTENT INCLUDING THE PRESERVATION OF THE ORIGINAL GIFT AND VARIOUS PURPOSES INCLUDING CHARITY CARE, MEDICAL EDUCATION, RESEARCH, HEALTH CARE SERVICES, BUILDINGS AND EQUIPMENT. X X X X X 0 UMASS MEMORIAL FOUNDATION INC 333 SOUTH STREET SHREWSBURY MA 01545 FUNDRAISING 1 2895622 1127995 1767627 2895622 1127995 1767627 MA NH PARENT-WINTER BALL 703770 411704 292066 292066 CNHEA GOLF TOURNAMENT 277318 130937 146381 41412 109392 16817 9 530074 341487 188587 22188 61696 1205 2200 118968 1511162 884128 627034 63600 171088 1205 2200 427851 665944 -38910 PART I, LINE 2B; COLUMN (III) PART I, LINE 2B - FUNDRAISER ADDITIONAL INFORMATION UMASS MEMORIAL FOUNDATION, INC. IS IDENTIFIED AS THE ADMINISTRATOR OF THE PHILANTHROPIC ACTIVITIES OF THE REPORTING ENTITIES OF UMASS MEMORIAL HEALTH CARE, INC. THIS INCLUDES THE COORDINATION OF ALL CHARITABLE WORK AND THE MANAGEMENT OF OFFICE OPERATIONS TO SUPPORT FUNDRAISING INCLUDING THE FOLLOWING PROCEDURES: 1) ACTIVE DEVELOPMENT WORK 2) DONOR RELATIONS AND COMMUNICATIONS 3) SERVICES TO UMASS MEMORIAL STAFF 4) CONTRIBUTION REPORTS, DONOR RECORD FILES 5) TRANSFER OF CONTRIBUTIONS RECEIVED (CONTRIBUTIONS RECEIVED BY THE FOUNDATION THAT ARE DESIGNATED TO A UMASS MEMORIAL REPORTING ENTITY ARE DEPOSITED INTO A DESIGNATED ACCOUNT OF THE RESPECTIVE REPORTING ENTITY UPON RECEIPT.) 6) EXPENDITURES OF CONTRIBUTIONS PART I, LINE 2B; COLUMN (V) PART I, LINE 2B - FUNDRAISER ADDITIONAL INFORMATION (CONTINUED) UMASS MEMORIAL HEALTH CARE, INC. PAYS UMASS MEMORIAL FOUNDATION, INC. ITS PRORATA SHARE OF OPERATING EXPENSES BASED ON THE SPLIT OF UMASS MEMORIAL CONTRIBUTION RECEIPTS VERSUS THE OVERALL TOTAL CONTRIBUTION RECEIPTS AS COLLECTED BY THE FOUNDATION. PART II SCHEDULE G - ADDITIONAL INFORMATION PART II, COLUMN (A) EVENT #1 THE WINTER BALL WAS HELD BY THE PARENT PART II, COLUMN (B) EVENT #2 THE HOSPITAL GOLF TOURNEY WAS HELD BY CENTRAL NEW ENGLAND HEALTHALLIANCE, INC. PART II, COLUMN (C) OTHER EVENTS (9 EVENTS REPORTED) ARE: GOLF TOURNAMENT HELD BY WING MEMORIAL HOSPITAL CORPORATION SPEAKEASY HELD BY HEALTHALLIANCE HOSPITALS DENNEHY GOLF TOURNAMENT HELD BY HEALTH ALLIANCE HOME HEALTH AND HOSPICE, INC. LOVELIGHT HELD BY HEALTHALLIANCE HOME HEALTH AND HOSPICE, INC. GOLF TOURNAMENT HELD BY THE PARENT OTHER EVENTS WERE HELD BY THE PARENT, GOLF TOURNAMENT WAS HELD BY MARLBOROUGH HOSPITAL, INC. 50'S SOCK HOP DANCE HELD BY CLINTON HOSPITAL, AND SPANISH FOR KIDS HELD BY COMMUNITY HEALTHLINK. 1 1 X 1 X 1 X 600.000000000000 1 1 1 0 1 1 56809542 18057409 38752133 0.02320 277037741 245169480 31868261 0.01910 40604623 36178232 4426391 0.00270 374451906 299405121 75046785 0.04500 4277489 2492731 1784758 0.00110 196754572 120417804 76336768 0.04580 94492754 83152350 11340404 0.00680 0 0 0.00000 4474942 2056000 2418942 0.00150 299999757 208118885 91880872 0.05520 674451663 507524006 166927657 0.10020 0 0 0.00000 0 0 0.00000 435 9326 0 9326 0.00000 15 24000 0 24000 0.00000 25 3736 0 3736 0.00000 29372 0 29372 0.00000 5229 0 5229 0.00000 1649 834480 70012 764468 0.00050 0 0 0.00000 2124 906143 70012 836131 0.00050 1 8731362 1877640 376854867 378576904 -1722037 X 1 1 1 COMMONWEALTH PROFESSIONAL ASSURANCE COMPANY LTD PROVIDES INSURANCE 1.00000 0.00000 0.00000 2 UMASS MEMORIAL INVESTMENT PARTNERSHIP LLP MANAGES POOLED INVESTMENTS 1.00000 0.00000 0.00000 3 UMASS MEMORIAL HEALTH ALLIANCE MRI CENTER LLC MAGNETIC RESONANCE IMAGING CENTER 0.60000 0.00000 0.00000 4 UMASS MEMORIAL MRI OF MARLBOROUGH LLC MAGNETIC RESONANCE IMAGING CENTER 0.56000 0.00000 0.00000 5 MEMORIAL OFFICE CONDOMINIUM TRUST CONDO ASSOCIATION THAT OWNS MEDICAL OFFICE BUILDING 0.53690 0.00000 0.00000 6 UMASS MEMORIAL MRI & IMAGING CENTER LLC MAGNETIC RESONANCE IMAGING CENTER 0.50000 0.00000 0.00000 7 NEW ENGLAND REHABILITATION SERVICES OF CENTRAL MASSACHUSETTS INC ACUTE CARE REHABILITATION FACILITY 0.50000 0.00000 0.00000 8 BIO LABS INC CLINICAL LABORATORY 1.00000 0.00000 0.00000 9 HEALTHALLIANCE WITH PHYSICIANS INC PHYSICIAN ALLIANCE 0.50000 0.00000 0.00000 10 SHIELDS IMAGING OF MASSACHUSETTS LLC MANAGEMENT COMPANY FOR PET IMAGING 0.25000 0.00000 0.00000 11 UMASS MEMORIAL SHIELDS PHARMACY LLC PHARMACY SERVICES 0.50000 0.00000 0.00000 12 116 BELMONT STREET INC CONDO ASSOCIATION 0.63040 0.00000 0.00000 5 1 UMASS MEMORIAL MEDICAL CENTER INC

55 LAKE AVE 119 BELMONT STREET WORCESTER MA 01605

X X X X X X 2 HEALTHALLIANCE HOSPITAL INC

60 HOSPITAL ROAD LEOMINSTER MA 01453

X X X X 3 MARLBOROUGH HOSPITAL

157 UNION STREET MARLBOROUGH MA 01752

X X X 4 WING MEMORIAL HOSPITAL CORPORATION

40 WRIGHT STREET PALMER MA 01069

X X X 5 CLINTON HOSPITAL ASSOCIATION

201 HIGHLAND STREET CLINTON MA 01510

X X X UMASS MEMORIAL MEDICAL CENTER INC 1 1 1 200.000000000000 1 600.000000000000 1 X X X X 1 1 X X X X X X 1 X 1 X X X X X 1 X 0 1 HEALTHALLIANCE HOSPITAL INC 2 1 1 200.000000000000 1 600.000000000000 1 X X 1 1 X X X X X 1 X 1 X X X X X X 1 X 0 1 MARLBOROUGH HOSPITAL 3 1 1 200.000000000000 1 600.000000000000 1 X X X X 1 1 X X X X X X 1 X 1 X X X X X 1 X 0 1 WING MEMORIAL HOSPITAL CORPORATION 4 1 1 200.000000000000 1 600.000000000000 1 X X X X 1 1 X X X X X X 1 X 1 X X X X X 1 X 0 1 CLINTON HOSPITAL ASSOCIATION 5 1 1 200.000000000000 1 600.000000000000 1 X X X X 1 1 X X X X X X 1 X 1 X X X X X 1 X 0 1 4 UMASS MEMORIAL LABORATORIES

BIOTECH ONE 365 PLANTATION STREET WORCESTER MA 01605

SATELLITE - LAB SERVICES UMASS MEMORIAL MEDICAL CENTER(PATHOLOGY)

BIOTECH THREE ONE INNOVATION DRIVE WORCESTER MA 01605

SATELLITE - PATHOLOGY SERVICES UMASS MEMORIAL MEDICAL CENTER AMBULANCE

23 WELL STREET WORCESTER MA 01604

SATELLITE - AMBULANCE SERVICES UMASS MEMORIAL MEDICAL CENTER AMBULANCE

100 PROVIDENCE STREET WORCESTER MA 01604

SATELLITE - AMBULANCE SERVICES PART I, LINE 7: THE ECLIPSYS COST ACCOUNTING DATA WAS APPLIED FOR THE PATIENT CARE THAT SUSTAINED A LOSS. CARE IS BILLED AT A PROCEDURE (CHARGE CODE) LEVEL AND THIS IS APPLIED TO THE PATIENT UTILIZATION. THIS DATA INCLUDES ALL PATIENT SEGMENTS OF CARE. EXCLUSIONS WERE APPLIED AS DIRECTED IN THE SCHEDULE. THE COST TO CHARGE WAS ACHIEVED BY TAKING THE EXPENSES (EXCLUDING BAD DEBT) AND APPLYING THEM AGAINST THE GROSS CHARGES. A COST CHARGE RATIO WAS APPLIED TO THE PATIENT CARE THAT WAS NOT BILLED TO HEALTH SAFETY NET (HSN), I.E. AMBULANCE SERVICES, MOBILE VAN PATIENT CARE, AND PRIMARY CARE WHERE THE PATIENT DID NOT FULLY COMPLETE THE FREE CARE APPLICATION.THE ORGANIZATION REVIEWED PROGRAMS THAT WERE PROVIDED BUT WHICH INCURRED A FINANCIAL LOSS. THE LOSS IS OBTAINED AFTER REDUCING THE CHARGES TO COST, LESS THE PAYMENTS. THESE LOSSES ARE NOT INCLUDED IN PART I OR AS BAD DEBT IN PART III. MEDICAID, SELF-PAY AND FREE CARE CASES AND VISITS WERE REMOVED FROM THE TOTAL PER THE INSTRUCTIONS. THE SERVICES PROVIDED HAVE BEEN IDENTIFIED AS A COMMUNITY NEED AND IF THE ORGANIZATION NO LONGER OFFERED THE SERVICE, THE SERVICE WOULD BE UNAVAILABLE. THE SERVICES RECOGNIZED ARE: PSYCHIATRY, FAMILY AND COMMUNITY MEDICINE, NEPHROLOGY, BARRE PRIMARY CARE, PEDIATRIC PRIMARY CARE, AND MATERNITY SERVICES PROVIDED FOR DELIVERIES AND NORMAL NEWBORNS, EMERGENCY SERVICES, CARE MOBILE, PLUMLEY VILLAGE PRIMARY CARE, OPTHALMOLOGY, AND TB CLINIC. THE DATA REPRESENTS THE UMASS MEMORIAL MEDICAL CENTER AND THE MEMBER HOSPITALS, CLINTON, MARLBOROUGH, HEALTHALLIANCE AND WING MEMORIAL.PART I, LINE 7B: UNDER THE MEDICAID STATE PLAN, UMMHC IS ONE OF TWO HOSPITAL SYSTEMS IN THE STATE THAT QUALIFY AS ESSENTIAL MASSHEALTH HOSPITALS, WHICH PERMITS THE STATE TO PAY IT SUPPLEMENTAL PAYMENTS IN ADDITION TO UMMHC'S STANDARD MEDICAID PAYMENT. THE STANDARD MEDICAID PAYMENT REIMBURSES UMMHC APPROXIMATELY 61% OF THE COST OF PROVIDING SERVICES TO MASSHEALTH PATIENTS. MEDICAID SUPPLEMENTAL FUNDS PROVIDE ADDITIONAL REVENUE TO THE UMMHC HEALTH CARE SYSTEM IN RECOGNITION AND SUPPORT OF UMMHC'S SPECIAL RELATIONSHIP AND OBLIGATIONS TO THE STATE'S ONLY PUBLIC MEDICAL SCHOOL TO FURTHER ITS PUBLIC MISSION AS WELL AS ITS COMMITMENT TO ITS COMMUNITY AS THE REGIONS ONLY SAFETY NET HOSPITAL. THESE SUPPLEMENTAL PAYMENTS ARE MADE PURSUANT TO A SPECIFIC PROVISION ON THE MEDICAID STATE PLAN. PART I, LINE 7G: NO COST ATTRIBUTABLE TO A PHYSICIAN CLINIC IS INCLUDED IN SUBSIDIZED HEALTH SERVICES. PART I, L7 COL(F): BAD DEBT EXPENSE OF $41,255,895 INCLUDED ON FORM 990, PART IX, LINE 25, COLUMN (A) WAS SUBTRACTED FROM TOTAL EXPENSES FOR PURPOSES OF CALCULATING THE PERCENTAGE OF COMMUNITY BENEFITS OF TOTAL COSTS AMOUNTS. PART II: UMASS MEMORIAL HEALTH CARE RECOGNIZES COMMUNITY BUILDING ACTIVITIES AS BEING A PART OF THOSE 'SOCIAL DETERMINANTS OF HEALTH' THAT IMPACT THE HEALTH OF THE COMMUNITY. WE INVEST IN EDUCATIONAL COLLABORATIVES, COALITION BUILDING, ADVOCACY EFFORTS, COMMUNITY GARDENS, WORKFORCE DEVELOPMENT AND LEADERSHIP TRAINING PROGRAMS THAT SUPPORT YOUTH WHO ARE AT RISK OF DEVELOPING POOR AND RISKY HEALTH BEHAVIORS AND ARE EXPERIENCING VIOLENCE DUE TO POVERTY. WE ALSO INVEST IN ENVIRONMENTAL AND PHYSICAL IMPROVEMENT PROGRAMS SUCH AS BEAUTIFICATION OF LOW INCOME NEIGHBORHOOD PARKS TO ENABLE ACCESS TO SAFE PLAYGROUNDS THAT PROMOTE PHYSICAL ACTIVITY AS A WAY TO REDUCE OBESITY. THESE PROGRAMS ARE BASED ON OUR COMMUNITY BENEFITS MISSION WHICH WAS RECOMMENDED BY A COMMUNITY BENEFITS ADVISORY COMMITTEE AND DRAWS INSPIRATION FROM THE WORLD HEALTH ORGANIZATION'S BROAD DEFINITION OF HEALTH, AS 'A STATE OF COMPLETE, PHYSICAL, MENTAL, AND SOCIAL WELL BEING AND NOT MERELY THE ABSENCE OF DISEASE.' BY ADOPTING THIS DEFINITION, UMASS MEMORIAL HEALTH CARE HAS EXPANDED ITS STRATEGY TO INCLUDE THE SOCIAL AND ECONOMIC OBSTACLES THAT PREVENT PEOPLE FROM ACHIEVING OPTIMAL HEALTH. ALL OF OUR COMMUNITY BUILDING ACTIVITIES ARE THE RESULT OF AN IDENTIFIED NEED AND ENGAGE THE COMMUNITY. THEY INCLUDE COLLABORATIVE EFFORTS, ADVOCACY ACTIVITIES AND PARTNERSHIPS THAT ENGAGE A BROAD ARRAY OF COMMUNITY STAKEHOLDERS IN ADDRESSING THESE UNMET SOCIAL DETERMINANTS OF HEALTH (COMMUNITY BUILDING ACTIVITIES).EXAMPLES INCLUDE:- INNER-CITY YOUTH FROM PLUMLEY VILLAGE, A LOW INCOME HOUSING PROJECT, WORKED IN COLLABORATION WITH "KABOOM" AND RESIDENTS IN SECURING A LOCATION FOR A PLAYGROUND AND COMPLETING THE PHYSICAL AND BUILT ENVIRONMENT IMPROVEMENTS NEEDED FOR THE INSTALLATION OF A PLAYGROUND. - CONDUCTING WALKING CLUBS WITH RESIDENTS TO PROMOTE PHYSICAL ACTIVITY AND HEALTHY WEIGHT.- YOUTH SECURING AND PREPPING THE LAND FOR RESIDENTS TO PLANT A FOOD-SCAPE (PERENNIAL) FRUIT AND VEGETABLE GARDEN.- FUNDING AND PROMOTING WORKFORCE OPPORTUNITIES FOR INNER-CITY YOUTH.- ADVOCACY FOR PUBLIC HEALTH FUNDING THAT PROMOTES PREVENTION AND THE ACT FRESH CAMPAIGN TO ADDRESS HEALTHY WEIGHT POLICIES.- CONDUCTING THE FACILITATION OF TRAINING PROGRAMS FOR COMMUNITY ORGANIZING RELATED TO FOOD PRODUCTION, HEALTHY WEIGHT AND LEAD SOIL TESTING.- DEVELOPMENT OF A YOUTH-DRIVEN VIDEO PRODUCTION ON HEALTHY WEIGHT THAT WAS USED TO EDUCATE RESIDENTS OF PLUMLEY VILLAGE.- SUPPORTING COALITION EFFORTS THAT PROMOTE LITERACY FOR THIRD GRADERS.PART III, LINE 2 - A COST TO CHARGE RATIO AS DESCRIBED IN PART I LINE 7 WAS APPLIED TO THE ORGANIZATION'S BAD DEBT EXPENSE WHICH WAS THEN FURTHER REDUCED BY PAYMENTS FROM THE HEALTH SAFETY NET RELATED TO FREE CARE. PART III, LINE 4: COSTING METHODOLOGY - MULTIPLIED THE GROSS PATIENT SERVICE REVENUE BY THE RATIO OF COSTS TO CHARGES CALCULATED AS REPORTED IN HOSPITALS DHCFP 403 HOSPITAL STATEMENT OF COSTS, REVENUES AND STATISTICS. THE ORGANIZATION'S AUDITED FINANCIAL STATEMENTS DO NOT INCLUDE A FOOTNOTE PERTAINING TO BAD DEBT EXPENSE, ACCOUNTS RECEIVABLE, OR THE ALLLOWANCE FOR DOUBTFUL ACCOUNTS. AMOUNTS RECORDED AS BAD DEBT EXPENSE AND THE ALLOWANCE FOR DOUBTFUL ACCOUNTS ARE PRESENTED DIRECTLY ON THE CONSOLIDATED STATEMENT OF OPERATIONS AND CONSOLIDATED BALANCE SHEETS RESPECTIVELY. PART III, LINE 8: THE MEDICARE SHORTFALL IS THE SUBSIDIZED AMOUNT OF CARE PROVIDED TO PATIENTS AND IS CONSIDERED A COMMUNITY BENEFIT. THIS SHORTFALL INCLUDES LOW REIMBURSEMENT FOR CAPITAL DUE TO TIMING DIFFERENCES AS MAJOR INVESTMENTS ARE MADE, PROGRAMS RELATED TO EMERGENCY AND OTHER AMBULATORY PROGRAMS. PART III, LINE 9B: EXEMPTION FROM SELF-PAY BILLING AND COLLECTION ACTION - THE ORGANIZATION WILL NOT INITIATE SELF-PAY BILLING AND COLLECTION ACTIVITY:A. UPON SUFFICIENT PROOF THAT A PATIENT IS A RECIPIENT OF EMERGENCY AID TO THE ELDERLY, DISABLED AND CHILDREN (EAEDC), OR ENROLLED IN THE HEALTH SAFETY NET (HSNO) OR MASSHEALTH, HEALTHY START, OR THE CHILDREN'S MEDICAL SECURITY PLAN WHOSE FAMILY INCOME IS EQUAL OR LESS THAN 400% OF THE FPL, WITH THE EXCEPTION OF CO-PAYS AND DEDUCTIBLES REQUIRED UNDER THE PROGRAM OF ASSISTANCE.B. IF THE HOSPITAL HAS PLACED THE ACCOUNT IN LEGAL OR ADMINISTRATIVE HOLD STATUS AND/OR SPECIFIC PAYMENT ARRANGEMENTS HAVE BEEN MADE WITH THE PATIENT OR GUARANTOR.C. FOR MEDICAL HARDSHIP BILLS THAT EXCEED THE MEDICAL HARDSHIP CONTRIBUTION.D. UNLESS UMMMC HAS CHECKED THE EVS SYSTEM TO DETERMINE IF THE PATIENT HAS FILED AN APPLICATION FOR MASSHEALTH.E. FOR PARTIAL HEALTH SAFETY NET ELIGIBLE PATIENTS, WITH THE EXCEPTION OF ANY DEDUCTIBLES REQUIRED.NOTE: THE ORGANIZATION MAY BILL FOR HEALTH SAFETY NET ELIGIBLE AND MEDICAL HARDSHIP PATIENTS FOR NON-MEDICALLY NECESSARY SERVICES PROVIDED AT THE REQUEST OF THE PATIENT AND FOR WHICH THE PATIENT HAS AGREED BY WRITTEN CONSENT. HEALTHALLIANCE HOSPITAL, INC. PART V, SECTION B, LINE 13G: PATIENTS WHO ARE SCHEDULED TO BE ADMITTED AND HAVE BEEN IDENTIFIED AS NON INSURED AND/OR IN NEED OF FINANCIAL ASSISTANCE WILL HAVE AN APPOINTMENT SCHEDULED PRIOR TO ADMISSION TO MEET WITH A FINANCIAL COUNSELOR. PATIENTS, WHO ARE ADMITTED TO THE HOSPITAL THROUGH THE EMERGENCY DEPARTMENT, WILL BE VISITED BY THE FINANCIAL COUNSELOR ONCE THE PATIENT IS ON THE INPATIENT FLOOR. THE MEETING WILL BE HELD WITH THE PATIENT AND/OR FAMILY AS THE PATIENT'S MEDICAL CONDITION PERMITS. UMASS MEMORIAL MEDICAL CENTER, INC. PART V, SECTION B, LINE 15E: POLICY ON LIENS-NO LIENS WILL BE INITIATED AGAINST A PATIENT'S PRIMARY RESIDENCE OR MOTOR VEHICLE WITHOUT WRITTEN APPROVAL FROM UMMMC'S BOARD OF TRUSTEES. ALL APPROVALS BY THE BOARD OF TRUSTEES WILL BE MADE ON AN INDIVIDUAL CASE BASES. WE ALSO SEND STATEMENTS AND MAKE PHONE CALLS. HEALTHALLIANCE HOSPITAL, INC. PART V, SECTION B, LINE 15E: POLICY ON LIENS-NO LIENS WILL BE INITIATED AGAINST A PATIENT'S PRIMARY RESIDENCE OR MOTOR VEHICLE WITHOUT WRITTEN APPROVAL FROM HEALTHALLIANCE'S BOARD OF TRUSTEES. ALL APPROVALS BY THE BOARD OF TRUSTEES WILL BE MADE ON AN INDIVIDUAL CASE BASES. WE ALSO SEND STATEMENTS AND MAKE PHONE CALLS. MARLBOROUGH HOSPITAL PART V, SECTION B, LINE 15E: POLICY ON LIENS-NO LIENS WILL BE INITIATED AGAINST A PATIENT'S PRIMARY RESIDENCE OR MOTOR VEHICLE WITHOUT WRITTEN APPROVAL FROM MARLBOROUGH'S BOARD OF TRUSTEES. ALL APPROVALS BY THE BOARD OF TRUSTEES WILL BE MADE ON AN INDIVIDUAL CASE BASES. WE ALSO SEND STATEMENTS AND MAKE PHONE CALLS. WING MEMORIAL HOSPITAL CORPORATION PART V, SECTION B, LINE 15E: POLICY ON LIENS-NO LIENS WILL BE INITIATED AGAINST A PATIENT'S PRIMARY RESIDENCE OR MOTOR VEHICLE WITHOUT WRITTEN APPROVAL FROM WING'S BOARD OF TRUSTEES. ALL APPROVALS BY THE BOARD OF TRUSTEES WILL BE MADE ON AN INDIVIDUAL CASE BASES. WE ALSO SEND STATEMENTS AND MAKE PHONE CALLS. CLINTON HOSPITAL ASSOCIATION PART V, SECTION B, LINE 15E: POLICY ON LIENS-NO LIENS WILL BE INITIATED AGAINST A PATIENT'S PRIMARY RESIDENCE OR MOTOR VEHICLE WITHOUT WRITTEN APPROVAL FROM CLINTON'S BOARD OF TRUSTEES. ALL APPROVALS BY THE BOARD OF TRUSTEES WILL BE MADE ON AN INDIVIDUAL CASE BASES. WE ALSO SEND STATEMENTS AND MAKE PHONE CALLS. UMASS MEMORIAL MEDICAL CENTER, INC. PART V, SECTION B, LINE 16E: UMMMC REFERS ACCOUNTS TO A CREDIT AGENCY WHEN WRITTEN OFF AS BAD DEBT FOR FURTHER COLLECTIONS. THESE AGENCIES CONTINUE COLLECTIONS WITHOUT IMPACT TO THE CREDIT RATING. HEALTHALLIANCE HOSPITAL, INC. PART V, SECTION B, LINE 16E: HEALTHALLIANCE HOSPITAL REFERS ACCOUNTS TO A CREDIT AGENCY WHEN WRITTEN OFF AS BAD DEBT FOR FURTHER COLLECTIONS. THESE AGENCIES CONTINUE COLLECTIONS WITHOUT IMPACT TO THE CREDIT RATING. MARLBOROUGH HOSPITAL PART V, SECTION B, LINE 16E: MARLBOROUGH ENGAGES A THIRD PARTY AGENCY TO ASSIST ON ALL SELF PAY ACCOUNTS AT ORIGINATION. THEY REFER ACCOUNTS TO A CREDIT AGENCY WHEN WRITTEN OFF AS BAD DEBT FOR FURTHER COLLECTIONS. THESE AGENCIES CONTINUE COLLECTIONS WITHOUT IMPACT TO THE CREDIT RATING. WING MEMORIAL HOSPITAL CORPORATION PART V, SECTION B, LINE 16E: WING REFERS ACCOUNTS TO A CREDIT AGENCY WHEN WRITTEN OFF AS BAD DEBT FOR FURTHER COLLECTIONS. THESE AGENCIES CONTINUE COLLECTIONS WITHOUT IMPACT TO THE CREDIT RATING. CLINTON HOSPITAL ASSOCIATION PART V, SECTION B, LINE 16E: CLINTON REFERS ACCOUNTS TO A CREDIT AGENCY WHEN WRITTEN OFF AS BAD DEBT FOR FURTHER COLLECTIONS. THESE AGENCIES CONTINUE COLLECTIONS WITHOUT IMPACT TO THE CREDIT RATING. HEALTHALLIANCE HOSPITAL, INC. PART V, SECTION B, LINE 17E: 1. PATIENTS WITH SELF-PAY RESPONSIBILITIES, INCLUDING EMERGENCY, ELECTIVE, SCHEDULED AND URGENT SERVICES WILL RECEIVE AN INITIAL BILL DELINEATING THE SERVICES AND AMOUNTS DUE FOR WHICH THEY ARE RESPONSIBLE.2. FOR ANY SELF-PAY RESPONSIBILITIES THAT REMAIN UNPAID AFTER THE INITIAL BILL, THE PATIENT WILL RECEIVE A SERIES OF MONTHLY STATEMENTS FOR 4 MONTHS OR UNTIL THE BALANCE IS RESOLVED, THE 4TH STATEMENT INDICATED AS A FINAL NOTICE. 3. PROVIDER ACCOUNTING STAFF WILL MAKE A TELEPHONE CALL TO ANY PATIENT WITH AN OUTSTANDING SELF-PAY BALANCE OF $1,000 OR MORE DURING THE NORMAL SELF-PAY BILLING AND COLLECTION PROCESS. 4. HAH WILL SEND A FINAL NOTICE BY CERTIFIED MAIL FOR BALANCES OVER $1,000 WHERE NOTICES HAVE NOT BEEN RETURNED AS "INCORRECT ADDRESS" OR "UNDELIVERABLE" FOR EMERGENCY CARE PATIENTS.5. ADDITIONAL NOTICES AND/OR LETTERS MAY BE SENT TO DEBTOR PATIENTS DURING THE BILLING AND COLLECTION PROCESS IN AN EFFORT TO RESOLVE OUTSTANDING BALANCES.6. RETURNED MAIL AND/OR UNDELIVERABLE MAIL WILL BE RESEARCHED BY THE PROVIDER ACCOUNTING STAFF TO OBTAINED VALID ADDRESSES. DATABASES AND PRIOR VISIT INFORMATION WILL BE UTILIZED.7. ALL SUCH EFFORTS TO COLLECT BALANCES, AS WELL AS ANY PATIENT INITIATED INQUIRIES, WILL BE DOCUMENTED ON THE GUARANTOR'S ACCOUNT AND AVAILABLE FOR REVIEW. UMASS MEMORIAL MEDICAL CENTER, INC. PART V, SECTION B, LINE 19D: THE HOSPITAL FACILITY BILLS GROSS CHARGES WITH A 20% PROMPT PAY DISCOUNT. HEALTHALLIANCE HOSPITAL, INC. PART V, SECTION B, LINE 19D: HEALTHALLIANCE CHARGES ALL PATIENTS THE PUBLISHED CHARGE. WHEN THE PATIENT HAS BEEN DETERMINED FOR A DISCOUNT, THE DISCOUNT IS THEN APPLIED TO THE TOTAL CHARGE, AND THE AMOUNT OWED BY THE GUARANTOR IS NOW REDUCED. MARLBOROUGH HOSPITAL PART V, SECTION B, LINE 19D: THE HOSPITAL FACILITY BILLS GROSS CHARGES WITH A 20% PROMPT PAY DISCOUNT. WING MEMORIAL HOSPITAL CORPORATION PART V, SECTION B, LINE 19D: THE HOSPITAL FACILITY BILLS GROSS CHARGES WITH A 20% PROMPT PAY DISCOUNT. CLINTON HOSPITAL ASSOCIATION PART V, SECTION B, LINE 19D: THE HOSPITAL FACILITY BILLS GROSS CHARGES WITH A 20% PROMPT PAY DISCOUNT. UMASS MEMORIAL MEDICAL CENTER, INC. PART V, SECTION B, LINE 21: UMMMC CHARGES ALL PATIENTS THE PUBLISHED CHARGE. WHEN THE PATIENT HAS BEEN DETERMINED FOR A DISCOUNT, THE DISCOUNT IS THEN APPLIED TO THE TOTAL CHARGE, AND THE AMOUNT OWED BY THE GUARANTOR IS NOW REDUCED. HEALTHALLIANCE HOSPITAL, INC. PART V, SECTION B, LINE 21: HEALTHALLIANCE CHARGES ALL PATIENTS THE PUBLISHED CHARGE. WHEN THE PATIENT HAS BEEN DETERMINED FOR A DISCOUNT, THE DISCOUNT IS THEN APPLIED TO THE TOTAL CHARGE, AND THE AMOUNT OWED BY THE GUARANTOR IS NOW REDUCED. MARLBOROUGH HOSPITAL PART V, SECTION B, LINE 21: MARLBOROUGH CHARGES ALL PATIENTS THE PUBLISHED CHARGE. WHEN THE PATIENT HAS BEEN DETERMINED FOR A DISCOUNT, THE DISCOUNT IS THEN APPLIED TO THE TOTAL CHARGE, AND THE AMOUNT OWED BY THE GUARANTOR IS NOW REDUCED. WING MEMORIAL HOSPITAL CORPORATION PART V, SECTION B, LINE 21: WING CHARGES ALL PATIENTS THE PUBLISHED CHARGE. WHEN THE PATIENT HAS BEEN DETERMINED FOR A DISCOUNT, THE DISCOUNT IS THEN APPLIED TO THE TOTAL CHARGE, AND THE AMOUNT OWED BY THE GUARANTOR IS NOW REDUCED. CLINTON HOSPITAL ASSOCIATION PART V, SECTION B, LINE 21: CLINTON CHARGES ALL PATIENTS THE PUBLISHED CHARGE. WHEN THE PATIENT HAS BEEN DETERMINED FOR A DISCOUNT, THE DISCOUNT IS THEN APPLIED TO THE TOTAL CHARGE, AND THE AMOUNT OWED BY THE GUARANTOR IS NOW REDUCED. PART V, QUESTION 12 HEALTHALLIANCE HOSPITAL, INC. FINANCIAL ASSISTANCE- HAH EMPLOYS A STAFF OF FINANCIAL COUNSELORS, CUSTOMER SERVICE REPRESENTATIVES AND GUARANTOR COLLECTORS WHO ARE AVAILABLE BY PHONE OR BY APPOINTMENT TO SUPPORT PATIENTS IN APPLYING FOR FINANCIAL ASSISTANCE AND RESOLVING THEIR MEDICAL BILLS. FINANCIAL COUNSELORS, CUSTOMER SERVICE REPRESENTATIVES AND GUARANTOR COLLECTORS, PROVIDE POTENTIALLY ELIGIBLE PATIENTS WITH THE APPROPRIATE APPLICATION(S) FOR MASS HEALTH AND/OR HEALTH SAFETY NET, AND ASSIST PATIENTS WITH THE APPLICATION PROCESS. PART VI, LINE 2: ALL FIVE HOSPITALS ARE JOINING EFFORTS WITH THEIR RESPECTIVE COMMUNITIES TO COMPLETE THEIR COMMUNITY HEALTH NEEDS ASSESSMENT REQUIREMENT BY SEPTEMBER 30, 2013. EACH HAS ASSEMBLED A DIVERSE GROUP OF COMMUNITY STAKEHOLDERS THAT INCLUDE, BUT ARE NOT LIMITED TO, MEMBERS OF HEALTH AND HUMAN SERVICE ORGANIZATIONS, PHILANTHROPY, COMMUNITIES OF COLOR, FAITH-BASED ORGANIZATIONS AND HEALTH DEPARTMENTS AS PART OF THE GROUP THAT IS ASSISTING AND GUIDING THEIR ASSESSMENT. THE FOLLOWING STRATEGIES ARE CONDUCTED BY THE HOSPITALS TO COMPLETE THE ASSESSMENT:- CONDUCT KEY INFORMANT INTERVIEWS AND FOCUS GROUPS WITH COMMUNITY-BASED ORGANIZATIONS AND RESIDENTS- CONDUCT OUTREACH EFFORTS TO MEDICALLY-UNDERSERVED POPULATIONS AND CONVENE MEETINGS WITH NEIGHBORHOOD/COMMUNITY GROUPS- REVIEW PRIMARY AND SECONDARY DATA- CONDUCT ONLINE COMMUNITY SURVEY- ORGANIZE COMMUNITY FORUMS TO SHARE FINDINGS AND RELEASE OF FINAL REPORT - ORGANIZE TASK FORCES FOR FURTHER ACTION TO IDENTIFY PRIORITY AREASTHE FOLLOWING SOURCES INFORM AND ENHANCE OUR EFFORTS TO IDENTIFY PRIORITIES AND UNMET NEEDS:- U.S. CENSUS 2010- HEALTHY PEOPLE 2020- NATIONAL PREVENTION STRATEGY- MASSACHUSETTS DEPARTMENT OF EDUCATION REPORTS INCLUDING LOCAL ENROLLMENT AND LANGUAGE DATA - MASSACHUSETTS DEPARTMENT OF EMPLOYMENT AND TRAINING- HOSPITAL UTILIZATION DATA - MASSACHUSETTS DEPARTMENT OF PUBLIC HEALTH/ MASSCHIP- DATA FROM VARIOUS CITY OF WORCESTER DEPARTMENTS INCLUDING, BUT NOT LIMITED TO, THE LOCAL DIVISION OF PUBLIC HEALTH, NEIGHBORHOOD SERVICES AND POLICE.- INFORMATION COLLECTED FROM HEALTH CARE PROVIDERS, COMMUNITY GROUPS/UNDERSERVED POPULATIONS AND INDIVIDUALS WHO HAVE EXPERTISE ON COMMUNITY HEALTH ISSUES.INPUT FROM THE REPRESENTATIVES OF THE COMMUNITY:EACH OF OUR HOSPITALS HAS A DESIGNATED COMMUNITY BENEFITS PROGRAM STAFF THAT HAS JOINED EFFORTS WITH THEIR RESPECTIVE COMMUNITY AND TAKEN INTO ACCOUNT INPUT FROM COMMUNITY STAKEHOLDERS IN DEVELOPMENT OF THEIR COMMUNITY HEALTH NEEDS ASSESSMENT.UMASS MEMORIAL MEDICAL CENTER:UMASS MEMORIAL MEDICAL CENTER JOINED EFFORTS WITH THE WORCESTER DIVISION OF PUBLIC HEALTH (WDPH) AND COMMON PATHWAYS, A HEALTHY COMMUNITIES COALITION THAT IS COMPRISED OF 30+ HEALTH AND HUMAN SERVICE ORGANIZATIONS, IN THE DEVELOPMENT OF ITS NEEDS ASSESSMENT REPORT. OVER AN EIGHT MONTH PERIOD FROM MAY TO DECEMBER 2012, THE DIRECTOR OF THE WDPH AND THE UMASS MEMORIAL VICE PRESIDENT OF COMMUNITY RELATIONS CO-CHAIRED THE LEADERSHIP PROCESS TO DEVELOP A COMMUNITY HEALTH ASSESSMENT (CHA) AND COMMUNITY HEALTH IMPROVEMENT PLAN (CHIP) FOR THE GREATER WORCESTER REGION. MORE THAN A TOTAL OF 3,000 INDIVIDUALS (INCLUDING PARTICIPANTS IN AN ONLINE COMMUNITY SURVEY) REPRESENTING DIVERSE INSTITUTIONS AND COMMUNITY ORGANIZATIONS FROM ACROSS THE REGION WORKED TOGETHER TO ESTABLISH A ROADMAP FOR THE FUTURE HEALTH OF THE REGION. INPUT FROM COMMUNITY STAKEHOLDERS AND EXPERTS WERE TAKEN INTO ACCOUNT IN THE COMPLETION OF THE CHA AND CHIP REPORTS. IN ADDITION, OUR HOSPITAL HAS A COMMUNITY BENEFITS ADVISORY COMMITTEE THAT PROVIDED GUIDANCE. THE CHIP IS NOT INTENDED TO BE A STATIC REPORT, BUT IS INTENDED TO FOCUS AND GUIDE THE BEGINNING OF A CONTINUOUS HEALTH IMPROVEMENT PROCESS THAT WILL MONITOR AND EVALUATE HEALTH PRIORITIES AND SYSTEM CHANGES IN AN ONGOING MANNER. THE GREATER WORCESTER CHIP PROVIDES AN APPROACH THAT IS STRUCTURED AND SPECIFIC ENOUGH TO GUIDE DECISIONS, AND FLEXIBLE ENOUGH TO RESPOND TO NEW HEALTH CHALLENGES. ITS INCLUSIVE PROCESS REPRESENTS A COMMON FRAMEWORK FOR ALL STAKEHOLDERS TO USE WHEN IMPLEMENTING STRATEGIES FOR IMPROVING POPULATION HEALTH.IN ADDITION TO THE COMMUNITY HEALTH NEEDS ASSESSMENT, THE CEO AND SENIOR LEADERSHIP WERE INVOLVED IN COMMUNITY-BASED EFFORTS RELATED TO NEEDS THAT WERE IDENTIFIED BY COMMUNITY STAKEHOLDERS SUCH AS INCLUDING, BUT NOT LIMITED TO, CO-CHAIRING THE PIONEERING HEALTHY COMMUNITIES (A HEALTHY WEIGHT COALITION), THE CITY OF WORCESTER YOUTH OFFICE, WORKFORCE CENTER YOUTH PROGRAMS AND THE WORCESTER COUNTY FOOD BANK. OUR SENIOR LEADERSHIP, INCLUDING THE COMMUNITY BENEFITS VICE PRESIDENT ADDITIONALLY REMAINS IN CLOSE RELATIONSHIP WITH CITY GOVERNMENT, SCHOOLS, HEALTH CARE AND HUMAN SERVICE ORGANIZATIONS AND NEIGHBORHOOD RESIDENTS. THE HECTOR REYES HOUSE, A LATINO SUBSTANCE ABUSE TREATMENT FACILITY, ADDITIONALLY REQUESTED A PSYCHIATRIST TO DO CONSULTING IN FY2013 AND AIDS PROJECT WORCESTER HAS ALSO REQUESTED A NURSE PRACTITIONER TO CONDUCT STD SCREENING AND TREATMENT FOR CHLAMYDIA, GONORRHEA AND SYPHILIS DUE TO THE CLOSING OF THE HEALTH AWARENESS CLINIC. THE WORCESTER HOUSING AUTHORITY REQUESTED EXERCISE CLASSES FOR THEIR ELDERLY RESIDENTS.CLINTON HOSPITAL:IN 2011, CLINTON HOSPITAL PARTICIPATED IN THE DEVELOPMENT OF A COMMUNITY NEEDS ASSESSMENT REPORT TITLED, THE COMMUNITY NEEDS ASSESSMENT OF CENTRAL MASSACHUSETTS. THE HOSPITAL WORKED WITH THE FOLLOWING ORGANIZATIONS TO COMPLETE THE ASSESSMENT: HEALTHALLIANCE HOSPITAL, COMMUNITY HEALTH NETWORK OF NORTH CENTRAL MASSACHUSETTS (CHNA 9), THE JOINT COALITION ON HEALTH OF NORTH CENTRAL MASSACHUSETTS AND THE MINORITY COALITION OF NORTH CENTRAL MASSACHUSETTS. THE HOSPITAL IS IN THE PROCESS OF IDENTIFYING PRIORITIES AND DEVELOPING AN IMPLEMENTATION PLAN WHICH WILL BE COMPLETED IN FY2013. HEALTHALLIANCE HOSPITAL:IN 2011, HEALTHALLIANCE HOSPITAL PARTICIPATED IN THE DEVELOPMENT OF A COMMUNITY NEEDS ASSESSMENT REPORT TITLED, THE COMMUNITY NEEDS ASSESSMENT OF CENTRAL MASSACHUSETTS. THE HOSPITAL WORKED WITH THE FOLLOWING ORGANIZATIONS TO COMPLETE THE ASSESSMENT: CLINTON HOSPITAL, COMMUNITY HEALTH NETWORK OF NORTH CENTRAL MASSACHUSETTS (CHNA 9), THE JOINT COALITION ON HEALTH OF NORTH CENTRAL MASSACHUSETTS AND THE MINORITY COALITION OF NORTH CENTRAL MASSACHUSETTS. THE HOSPITAL IS IN THE PROCESS OF IDENTIFYING PRIORITIES AND DEVELOPING AN IMPLEMENTATION PLAN WHICH WILL BE COMPLETED IN FY2013.MARLBOROUGH HOSPITAL:MARLBOROUGH HOSPITAL CONDUCTED ITS MOST RECENT COMMUNITY HEALTH NEEDS ASSESSMENT IN FY2010/2011 WITH INPUT FROM A WIDE ARRAY OF COMMUNITY STAKEHOLDERS AND IS CURRENTLY DEVELOPING ITS PLAN TO UPDATE ITS CHNA AND WILL DEVELOP AN IMPLEMENTATION PLAN DURING FY2013. THE MARLBOROUGH PUBLIC SCHOOLS REQUESTED ASSISTANCE WITH TRACKING BMIS FOR ALL STUDENTS IN THE PUBLIC SCHOOLS.WING MEMORIAL HOSPITAL:WING MEMORIAL HOSPITAL CONDUCTED ITS MOST RECENT NEEDS ASSESSMENT IN FY2010 AND IS IN THE PROCESS OF WORKING WITH SEVERAL AREA HOSPITALS AND COMMUNITY STAKEHOLDERS TO UPDATE ITS CHNA AND DEVELOP A COMMUNITY HEALTH IMPROVEMENT PLAN WHICH WILL BE COMPLETED IN FY2013. OTHER COMMUNITY NEEDS ARE ALSO IDENTIFIED THROUGH AN ESTABLISHED WORKING RELATIONSHIP WITH THE BELCHERTOWN BOARD OF HEALTH AND AREA SCHOOLS. PART VI, LINE 3: PATIENT ED OF ELIGIBILITY FOR ASSISTANCE - UMASS MEMORIAL INFORMS AND EDUCATES PATIENTS/OTHERS ABOUT ELIGIBILITY FOR AVAILABLE COVERAGE AND/OR CHARITY CARE BY EMPLOYING A LARGE (25+) STAFF OF FINANCIAL COUNSELORS, EXPERT IN MATCHING PATIENTS TO AVAILABLE COVERAGE AND CHARITY CARE OPTIONS AND ASSISTING PATIENTS THROUGH THE APPLICATION PROCESS. FURTHER, UMASS MEMORIAL WORKS TO CONNECT POTENTIALLY ELIGIBLE PATIENTS TO OUR FINANCIAL COUNSELORS THROUGH- WIDELY DISTRIBUTED BROCHURES- SIGNS POSTED IN HIGH TRAFFIC PATIENT AREAS- EDUCATION OF OUR CLINICIANS- ATTENDANCE AT NUMEROUS COMMUNITY OUTREACH EVENTS- REFERRAL OF ALL SELF-PAY PATIENTS AT THE POINT OF OUTPATIENT SCHEDULING/REGISTRATION- VISITS TO INPATIENTS WITHOUT HEALTH INSURANCE OR WITH COVERAGE GAPS- BILLBOARDS POSTED IN THE COMMUNITY- MESSAGES ON ALL PATIENT BILLS AND STATEMENTS- MAILINGS TO PATIENTS- CONVENIENT FINANCIAL COUNSELOR LOCATIONS WITHIN OR CONTIGUOUS TO CLINICAL AREAS. PART VI, LINE 4: GEOGRAPHICAL REACH - UMASS MEMORIAL HEALTH CARE SERVES APPROXIMATELY ONE MILLION RESIDENTS OF CENTRAL NEW ENGLAND. OUR CENTRAL MASSACHUSETTS SERVICE AREA INCLUDES ALL SIXTY CITIES AND TOWNS IN WORCESTER COUNTY FROM THE NEW HAMPSHIRE BORDER IN THE NORTH TO THE CONNECTICUT AND RHODE ISLAND BORDERS IN THE SOUTH. IT EXTENDS TO THE WEST INTO SEVEN TOWNS IN HAMPDEN COUNTY AND THREE TOWNS IN HAMPSHIRE COUNTY. FIVE HOSPITALS SERVE THIS GEOGRAPHIC AREA.REGIONAL DESCRIPTION - THE CENTRAL NEW ENGLAND REGION IS A MIX OF CITIES AND URBANIZED CENTERS, SUBURBS, SMALL TOWNS AND RURAL AREAS WITH SOME AGRICULTURE. SEVEN TOWNS IN OUR SERVICE AREA ARE DEFINED BY THE U.S. DEPARTMENT OF HEALTH, HEALTH RESOURCES AND SERVICES ADMINISTRATION (HRSA) AS RURAL BASED ON THEIR RURAL URBAN COMMUNITY AREA (RUCA) CODES, HRSA HAS DESIGNATED THE CITY OF WORCESTER A HEALTH PROFESSIONAL SHORTAGE AREA (HPSA) IN PRIMARY CARE, MENTAL HEALTH AND DENTAL SERVICES DUE TO ITS LOW INCOME POPULATION. SEVERAL TOWNS AND CITIES IN THE NORTH COUNTY ARE DESIGNATE BY HRSA AS HPSAS AND AS HAVING MEDICALLY-UNDERSERVED POPULATIONS (MUPS), ANOTHER DESIGNATION INDICATING NEED BECAUSE THEIR RESIDENTS FACE ECONOMIC, LINGUISTIC AND CULTURAL BARRIERS TO CARE. THE CITY OF WORCESTER HAS SEVERAL NEIGHBORHOODS WITH A SHORTAGE OF HEALTH PROVIDERS AND HRSA HAS DETERMINED THAT MANY CENSUS TRACTS IN THE CITY ARE MEDICALLY-UNDERSERVED AREAS (MUAS).ECONOMIC CHARACTERISTICS - THE U.S. CENSUS DATA FOR 2010 INDICATED THAT THE MEDIAN HOUSEHOLD INCOME FOR WORCESTER COUNTY WAS $29,316. FOR THE CITY OF WORCESTER, THE REGION'S LARGEST URBAN AREA, IT WAS CONSIDERABLY LOWER AT $23,135. ACCORDING TO THE CENSUS DATA, OF THE CITY'S TOTAL 181,045 RESIDENTS, 19.4% ARE LIVING BELOW THE POVERTY LEVEL. THE NUMBER OF CHILDREN UNDER THE AGE OF 18 LIVING BELOW THE POVERTY LEVEL ROSE TO 29.6% IN 2010 FROM 25% IN 2005-2009. (SOURCE: U.S. CENSUS 2010 AND 2010 AMERICAN COMMUNITY SURVEY 1-YEAR ESTIMATES, U.S. CENSUS.) THE UNEMPLOYMENT RATE IN WORCESTER COUNTY RANGED BETWEEN 9.3 IN JANUARY 2011 AND 7.2 IN DECEMBER 2011. (SOURCE: MASSACHUSETTS EXECUTIVE OFFICE OF LABOR WORKFORCE AND DEVELOPMENT.) THESE FACTORS HAVE RESULTED IN A STRONG NEED FOR FOOD ASSISTANCE SERVICES. FOR EXAMPLE, ACCORDING TO THE MASSACHUSETTS DEPARTMENT OF EDUCATION, 64% OF STUDENTS IN THE WORCESTER PUBLIC SCHOOL SYSTEM RECEIVE FREE SCHOOL LUNCH. (SOURCE: MASSACHUSETTS DEPARTMENT OF EDUCATION.) SINCE 2008, UMASS MEMORIAL HEALTH CARE FACILITIES HAVE FILED OVER 5,000 SNAP (FOOD STAMP) AND SPECIAL SUPPLEMENTAL NUTRITION PROGRAM FOR WOMEN, INFANTS AND CHILDREN (WIC) APPLICATIONS. CENTRAL MASSACHUSETTS HAS ALSO BEEN HARD-HIT BY THE FORECLOSURES CRISIS. BETWEEN 2006 AND 2011, THERE WERE NEARLY 26,000 FORECLOSURES IN WORCESTER COUNTY. (SOURCE: REALTYRAC, THE WARREN GROUP.) WHILE THE NUMBER OF FORECLOSURE PETITIONS IN THE REGION DECREASED IN 2011, THE TIME PERIOD FOR FORECLOSURES TO BE COMPLETED HAS INCREASED, SO AN UPTICK IS EXPECTED IN FORECLOSURES AS PREVIOUSLY FILED PETITIONS ARE COMPLETED IN THE COMING TWO YEARS.DEMOGRAPHIC AND HEALTH FACTORS - THE DEMOGRAPHICS OF THE REGION VARY WIDELY ACROSS THE REGION. WORCESTER COUNTY HAS A TOTAL POPULATION OF 798,552 AND IS 86% WHITE. THE CITY OF WORCESTER IS A LEADING RESETTLEMENT SITE FOR IMMIGRANTS DUE TO ITS LOWER COST OF LIVING AND AVAILABLE SERVICES AND ACCOUNTS FOR THE GREATEST INCREASE OF DIVERSITY IN THE REGION. ACCORDING TO U.S. CENSUS 2010 FIGURES, THE HISPANIC POPULATION AND OTHER NON-HISPANIC, NON-WHITE ETHNIC GROUPS HAVE NOTABLY INCREASED WHILE THE WHITE, NON-HISPANIC POPULATION HAS DECREASED. THE NUMBER OF HISPANICS LIVING IN THE CITY OF WORCESTER HAS GROWN BY 35% AND BY MORE THAN 46% STATEWIDE OVER THE PAST 10 YEARS. THE CITY'S FOREIGN BORN POPULATION IS SIGNIFICANTLY HIGHER THAN WORCESTER COUNTY AS A WHOLE, ACCOUNTING FOR THE MAJORITY OF THIS POPULATION IN THE REGION. THE CITY'S FOREIGN BORN POPULATION IS ALSO SIGNIFICANTLY HIGHER COMPARED TO THE NATION AND STATE OVERALL. ADDING TO THIS DIVERSITY IS AN INFLUX OF IMMIGRANTS AND NEW ARRIVAL REFUGEES. REFUGEES FROM IRAQ CURRENTLY ACCOUNT FOR THE GREATEST PERCENTAGE OF NEW IMMIGRANTS FOLLOWED BY REFUGEES FROM BHUTAN, BURMA AND LIBERIA. THIS GROWING DIVERSITY HAS BROADENED THE NEED FOR INTERPRETER SERVICES FOR MEDICAL CARE. FOR EXAMPLE, IN ITS FISCAL YEAR 2012, UMASS MEMORIAL HEALTH CARE DELIVERED 144,320 DOCUMENTED INTERPRETATIONS FOR MEDICAL SERVICES IN OVER 133 LANGUAGES. NINETY PERCENT OF ALL INTERPRETATIONS PROVIDED BY UMMHC WERE CONDUCTED IN: SPANISH, PORTUGUESE, VIETNAMESE, ARABIC, ALBANIAN AND AMERICAN SIGN LANGUAGE. THE REMAINING TEN PERCENT WERE CONDUCTED IN OTHER "NON-PRIMARY" LANGUAGES, THE POOL OF WHICH CONSISTS OF 81 DIFFERENT LANGUAGES. THE SENIOR POPULATION IN THE REGION ALSO CONTINUES TO GROW AS BABY BOOMERS REACH THE AGE OF 65. ACCORDING TO THE U.S. CENSUS, RESIDENTS BETWEEN THE AGES OF 20-64 ACCOUNT FOR THE MAJORITY OF THE POPULATION IN WORCESTER COUNTY AT 61%.ACCESS TO CARE - APPROXIMATELY 90% OF PEOPLE HAVE HEALTH INSURANCE. DESPITE THIS, THERE REMAINS A CHURNING OF ENROLLMENTS WITH MANY DROPPING OFF. HEALTH INSURANCE ENROLLMENT REMAINS AN ISSUE AS EVIDENCED BY UMMHC'S RATES OF ENROLLMENT ASSISTANCE IN HEALTH SAFETY NETWORK, COMMONWEALTH CARE AND MEDICAID APPLICATIONS.CHRONIC DISEASE OVERVIEW:- OVERWEIGHT & OBESITY: HIGH RATES OF OVERWEIGHT AND OBESITY ARE A LEADING PUBLIC HEALTH CONCERN IN THE REGION AND PARTICULARLY IN THE CITY OF WORCESTER. LOWER-INCOME RESIDENTS ARE SIGNIFICANTLY MORE LIKELY TO SUFFER FROM OBESITY AND OTHER DIET-RELATED HEALTH PROBLEMS. NEARLY 70% OF HISPANIC ADULTS IN THE REGION WERE OVERWEIGHT OR OBESE, BUT WITHIN ETHNIC GROUPS, BLACKS WERE MORE LIKELY TO BE OBESE. CHILDREN LIVING IN THE CITY OF WORCESTER ARE OVERWEIGHT AT HIGHER RATES THAN THE STATE AS A WHOLE. OVERALL, THE AVERAGE FOR OBESE YOUTH ENTERING FIRST GRADE IN THE CITY OF WORCESTER IS 20.25% COMPARED TO THE NATIONWIDE AVERAGE OF 10%. PARTICULARLY ALARMING IS A DRAMATIC INCREASE IN THE PAST DECADE OF OBESITY AMONG 1ST GRADERS IN THE ASIAN COMMUNITY. IN WORCESTER COUNTY, OBESITY IS MORE PREVALENT AMONG MINORITY ETHNIC GROUPS. AMONG ADULTS, NEARLY 70% OF HISPANICS WERE OVERWEIGHT OR OBESE, BUT WITHIN ETHNIC GROUPS, BLACKS WERE MORE LIKELY TO BE OBESE. (SOURCE: MASSACHUSETTS DEPARTMENT OF PUBLIC HEALTH/MASSCHIP; DALE MAGEE, COMMISSIONER, WORCESTER DEPARTMENT OF PUBLIC HEALTH, HEALTH OF WORCESTER 2011 REPORT, WORCESTER PUBLIC SCHOOLS.)- DIABETES: THE PREVALENCE OF DIABETES AMONG WORCESTER COUNTY RESIDENTS IS SLIGHTLY LOWER THAN THE STATE AS A WHOLE. DIABETES IS MORE PREVALENT AMONG BLACK AND HISPANIC POPULATIONS AND THOSE 65 YEARS OLD AND OVER. THE PREVALENCE OF HEART DISEASE IN THE REGION IS SIGNIFICANTLY HIGHER AMONG LOWER INCOME RESIDENTS.- ASTHMA: ASTHMA AFFECTS PEOPLE OF ALL AGES, RACES, GENDERS AND SOCIO-ECONOMIC STATUS, HOWEVER, IT OCCURS AT DISPROPORTIONATELY HIGHER RATES AMONG SOME ETHNIC AND RACIAL POPULATIONS. THE PREVALENCE OF ASTHMA IS HIGHER AMONG FEMALES AND HISPANIC ADULTS IN WORCESTER COUNTY COMPARED TO THE STATE AND INCREASING AMONG CHILDREN AGES 0-19 YEARS OLD. (SOURCE: MDPH, MASSCHIP CUSTOMER REPORTS.)CONTINUED ON SCHEDULE O PART VI, LINE 5: UMASS MEMORIAL HEALTH CARE UTILIZES QUANTITATIVE AND QUALITATIVE DATA AND COMMUNITY PARTICIPATORY ENGAGEMENT AS A MEANS TO IDENTIFY ISSUES IMPACTING THE HEALTH OF THE COMMUNITY. AS SUCH, ONE OF OUR KEY STRATEGIES IS ENSURING THAT OUR CLINICAL SYSTEM LEADERS ARE INVOLVED AND ACTIVELY PARTICIPATE IN AREA COALITIONS AND PLANNING EFFORTS. THIS MEANS THAT WE ARE CONVENING MEETINGS WITH REPRESENTATIVES FROM VARIOUS NEIGHBORHOODS, COMMUNITY ORGANIZATIONS AND NEW IMMIGRANT GROUPS, SOLICITING INPUT AND RECOMMENDATIONS, PARTICIPATING IN COMMUNITY-BASED ETHNIC EVENTS AND CO-CHAIRING INITIATIVES. FOR EXAMPLE, THE CEO OF THE CLINICAL SYSTEM AND MEMBERS OF OUR SENIOR LEADERSHIP CO-CHAIR COALITIONS AND PARTICIPATE AS MEMBERS OF MULTIPLE BOARDS THAT ARE ADDRESSING IDENTIFIED DISPARITIES AND PUBLIC HEALTH NEEDS. IN WORCESTER WE'VE PLAYED AN IMPORTANT ROLE BY FUNDING THE POSITION OF THE DEPARTMENT OF PUBLIC HEALTH COMMISSIONER AND HAVE TAKEN A LEADERSHIP ROLE WITH THE DIRECTOR OF PUBLIC HEALTH IN THE PLANNING AND DEVELOPMENT OF THE COMMUNITY HEALTH NEEDS ASSESSMENT. EACH HOSPITAL HAS DESIGNATED COMMUNITY BENEFITS STAFF THAT WORK WITHIN THEIR RESPECTIVE COMMUNITIES. IN ADDITION, OUR HOSPITALS WORK CLOSELY WITH THEIR RESPECTIVE MASSACHUSETTS DEPARTMENT OF PUBLIC HEALTH COMMUNITY HEALTH NETWORK AREAS IN ADDRESSING HEALTH NEEDS. PART VI, LINE 6: UMASS MEMORIAL HEALTH CARE IS THE LARGEST NOT-FOR-PROFIT HEALTH CARE SYSTEM IN CENTRAL NEW ENGLAND. THROUGH THE COLLECTIVE EFFORTS OF UMASS MEMORIAL MEDICAL CENTER AND FOUR COMMUNITY HOSPITALS CLINTON HOSPITAL, HEALTH ALLIANCE HOSPITAL, MARLBOROUGH HOSPITAL AND WING MEMORIAL HOSPITAL AND MEDICAL CENTERS, WE ARE IMPROVING THE HEALTH OF THE PEOPLE OF CENTRAL NEW ENGLAND THROUGH EXCELLENCE IN CLINICAL CARE, SERVICE, TEACHING AND RESEARCH. OUR FIVE HOSPITALS WORK WITH THEIR RESPECTIVE COMMUNITIES TO IDENTIFY AND PRIORITIZE COMMUNITY NEEDS. OUR COMMUNITY BENEFITS MISSION WAS DEVELOPED AND RECOMMENDED BY A COMMUNITY BENEFITS ADVISORY COMMITTEE AND APPROVED BY THE BOARD OF TRUSTEES OF THE CLINICAL SYSTEM AND HAS BEEN ADOPTED BY ALL FIVE HOSPITALS. A STANDING COMMUNITY BENEFITS COMMITTEE HAS BEEN ESTABLISHED AT THE BOARD OF TRUSTEE LEVEL TO OVERSEE THE CLINICAL SYSTEM'S RESPONSIBILITIES TO THE COMMUNITY AND TO STRENGTHEN OUR ORGANIZATIONAL COMMITMENT AND ACCOUNTABILITY. EACH HOSPITAL'S COMMUNITY BENEFITS PROGRAM FOCUSES ON THE NEEDS OF UNDERSERVED POPULATIONS AND SUPPORTS ADDRESSING IDENTIFIED UNMET HEALTH NEEDS. IN ADDITION, EACH HOSPITAL HAS ITS OWN COMMUNITY BENEFITS PROGRAM STAFF AND AS SUCH HAS DEVELOPED COMMUNITY LINKAGES WITHIN THEIR SERVICE AREA THAT ARE WORKING TOWARDS ADDRESSING THE HEALTH NEEDS OF THEIR RESPECTIVE COMMUNITY. ALL FIVE HOSPITALS: UMASS MEMORIAL MEDICAL CENTER, CLINTON HOSPITAL, HEALTHALLIANCE HOSPITAL, MARLBOROUGH HOSPITAL AND WING MEMORIAL HOSPITAL FILE INDIVIDUAL COMMUNITY BENEFITS REPORTS WITH THE MASSACHUSETTS ATTORNEY GENERAL. REPORTS FILED WITH STATES PART VI, LINE 7 MA 1 EDWARD M KENNEDY COMMUNITY HEALTH CENTER INC 19 TACOMA STREET WORCESTER MA 01605 042513817 501 (C) (3) 1000000 SUPPORT FOR HEALTH CENTER'S MISSION FAMILY HEALTH CENTER OF WORCESTER INC 26 QUEEN STREET WORCESTER MA 01610 042485308 501 (C) (3) 1000000 SUPPORT FOR HEALTH CENTER'S MISSION 2 SCHOLARSHIPS 28 56000 PART I LINE 2: GRANTS - AT REASONABLE INTERVALS, RE-EVALUATION OF THE GRANTS OCCURS TO ENSURE THAT THE ARRANGEMENTS ARE EXPECTED TO CONTINUE TO SATISFY THE STANDARD SET FORTH. THE HEALTH CENTERS WILL DOCUMENT THE RE-EVALUATION CONTEMPORANEOUSLY. PART I LINE 2: SCHOLARSHIPS - PRIOR TO THE DISTRIBUTION OF ANY AND ALL SCHOLARSHIP FUNDS, HEALTHALLIANCE REQUIRES VERIFICATION OF PROGRAM ENROLLMENT FROM ALL RECIPIENTS. PART II LINE 1(H): THE STANDARD SET FORTH IS A REASONABLE EXPECTATION THAT THE GRANTS WILL CONTRIBUTE MEANINGFULLY TO EACH OF THE HEALTH CENTER'S ABILITY TO MAINTAIN OR INCREASE THE AVAILABILITY, OR ENHANCE THE QUALITY, OF SERVICES PROVIDED TO A MEDICALLY UNDERSERVED POPULATION SERVICED BY THE HEALTH CENTERS. EACH HEALTH CENTER HAS DOCUMENTED THE BASIS FOR SAID REASONABLE EXPECTATION. X 1 1 X X X X X X 0 1 0 0 0 0 0 0 0 ANDRIENI JULIA MD 270115 0 38324 0 0 0 12250 0 11762 0 332451 0 0 0 BROWN ALAN P MD 167974 0 23666 0 0 0 9879 0 23574 0 225093 0 0 0 BROWN DOUGLAS S 361891 0 142242 0 35635 0 161396 0 22712 0 723876 0 35635 0 CARLUCCI DANIEL MD 280083 0 49020 0 0 0 12250 0 28854 0 370207 0 0 0 CAVAGNARO CHARLES III MD 299018 0 84670 0 0 0 152788 0 25374 0 561850 0 0 0 CHANDLER WILLIS 262570 0 68968 0 17418 0 78438 0 19997 0 447391 0 17418 0 COFONE MICHAEL J 238991 0 32192 0 1232 0 761 0 21960 0 295136 0 0 0 CORBETT WILLIAM MD 288325 0 78493 0 30066 0 69854 0 20766 0 487504 0 30066 0 DALY SHEILA 198859 0 53342 0 13981 0 111712 0 17985 0 395879 0 13981 0 DICKSON ERIC M MD 386455 0 116550 0 19161 0 67330 0 61093 0 650589 0 17784 0 FERGUSON R KEVIN MD 195513 0 36569 0 0 0 11858 0 24878 0 268818 0 0 0 FERRUCCI JOSEPH MD 358431 0 31585 0 0 0 12250 0 26409 0 428675 0 0 0 FINBERG ROBERT W MD 239776 0 51593 0 0 0 117989 0 30161 0 439519 0 0 0 GOTTLIEB PHILIP D MD 231596 0 137971 0 0 0 12250 0 23572 0 405389 0 0 0 KEATING TODD A 463493 0 108306 0 40228 0 241922 0 16096 0 870045 0 40228 0 KENNEDY KATHRYN MD 230036 0 54872 0 0 0 12250 0 28836 0 325994 0 0 0 LAPIDAS GARY N 360855 0 75601 0 43484 0 185585 0 10366 0 675891 0 43484 0 LASSER DANIEL H MD 203147 0 80973 0 0 0 283952 0 25365 0 593437 0 0 0 MAGUIRE DAVID L MD 200000 0 39285 0 396 0 9622 0 1530 0 250833 0 0 0 MATTA LALITA MD 111477 0 14545 0 347 0 2854 0 22006 0 151229 0 0 0 MESSINA LOUIS MD 401510 0 224284 0 0 0 12250 0 27325 0 665369 0 0 0 MULDOON PATRICK L 382214 0 78135 0 44511 0 176542 0 31180 0 712582 0 44511 0 O'BRIEN JOHN G 924603 0 249750 0 170629 0 994409 0 19064 0 2358455 0 0 0 OKIKE O NSIDINANYA MD 365324 0 20701 0 0 0 28008 0 26801 0 440834 0 0 0 O'LEARY DANIEL J MD 144791 0 15280 0 511 0 0 0 974 0 161556 0 0 0 POLANOWICZ JOHN 98740 0 0 0 818 0 54898 0 18655 0 173111 0 0 0 SOAR BART MD 142356 0 12600 0 60 0 6749 0 10044 0 171809 0 0 0 SWENSON DANA 228884 0 61597 0 0 0 103745 0 20766 0 414992 0 0 0 TOSI STEPHEN E MD 330820 0 106040 0 215625 0 241165 0 25619 0 919269 0 153272 0 WESOLOWSKI PAUL 167637 0 41500 0 524 0 1704 0 4832 0 216197 0 0 0 ZIEDONIS DOUGLAS MD 186287 0 34520 0 0 0 11479 0 27162 0 259448 0 0 0 ALLICON KEARY T 140919 0 15288 0 0 0 33816 0 20656 0 210679 0 0 0 BERGAN THOMAS 192154 0 26199 0 66731 0 141499 0 10069 0 436652 0 213211 0 DION JEFFREY 115317 0 0 0 39396 0 34971 0 15498 0 205182 0 0 0 EKSTROM DEBORAH 187953 0 35106 0 15322 0 117429 0 25301 0 381111 0 14568 0 FELDMANN ROBERT 241409 0 61028 0 0 0 160409 0 21297 0 484143 0 0 0 FRAKER MURIEL E ESQUIRE 165136 0 8520 0 0 0 69177 0 26807 0 269640 0 0 0 MCCUE STEVEN 158766 0 28501 0 0 0 15274 0 18785 0 221326 0 0 0 O'BRIEN WILLIAM H 112594 0 7922 0 0 0 40443 0 24356 0 185315 0 0 0 SMITH FRANCIS W 168758 0 10428 0 0 0 39934 0 25767 0 244887 0 0 0 STREETER MICHELE M 274665 0 69091 0 25666 0 142778 0 20736 0 532936 0 25666 0 ANDERSON MILTON C 128288 0 7788 0 9000 0 14494 0 7969 0 167539 0 0 0 BLUTE MICHAEL MD 516074 0 125508 0 0 0 109030 0 32998 0 783610 0 0 0 BOLLAND KATHARINE 216382 0 55263 0 0 0 24830 0 18979 0 315454 0 0 0 BRENCKLE GEORGE PHD 293540 0 69697 0 31590 0 114000 0 24531 0 533358 0 31590 0 DALEY JENNIFER MD 457364 0 101308 0 0 0 104524 0 33263 0 696459 0 0 0 DIAMOND VICTORIA 253561 0 69009 0 22832 0 125007 0 27510 0 497919 0 22832 0 ETTINGER WALTER H MD 713931 0 187233 0 75588 0 313312 0 21518 0 1311582 0 70618 0 FAIRCHILD DAVID MD 199275 0 19471 0 0 0 21725 0 11040 0 251511 0 0 0 FISHER BARBARA 242945 0 63877 0 0 0 101787 0 22846 0 431455 0 0 0 HYLKA SHARON 297856 0 79784 0 37734 0 254150 0 21518 0 691042 0 37734 0 KLUGMAN ROBERT MD 380638 0 92637 0 36365 0 254472 0 23558 0 787670 0 36365 0 KRUGER NANCY 287629 0 62212 0 56277 0 47051 0 11324 0 464493 0 36955 0 LAPRIORE CHERYL M 211340 0 44285 0 0 0 35716 0 21426 0 312767 0 0 0 PHILLIPS ROBERT A MD 590517 0 147499 0 74455 0 253043 0 12597 0 1078111 0 74455 0 RANDOLPH JOHN T 190451 0 46132 0 0 0 138821 0 24518 0 399922 0 0 0 AROUS ELIAS J MD 487893 0 99318 0 0 0 12250 0 24325 0 623786 0 0 0 DUNN RAYMOND M MD 275646 0 302977 0 0 0 12250 0 23554 0 614427 0 0 0 TAM STANLEY MD 509003 0 53942 0 0 0 12250 0 26409 0 601604 0 0 0 AYERS DAVID C MD 528513 0 33620 0 0 0 12250 0 26424 0 600807 0 0 0 WHOLEY RICHARD M MD 554285 0 0 0 0 0 19754 0 28855 0 602894 0 0 0 SUSSMAN ANDREW J 0 0 0 0 188246 0 591 0 0 0 188837 0 56183 0 PART I, LINE 1A SPLIT DOLLAR GROSS UP CALCULATIONS TO JOHN O'BRIEN AND WALTER ETTINGER WHICH ARE TREATED AS TAXABLE COMPENSATION. PART I, LINE 4B NAME OF PARTICIPANTS IN OR RECEIVING PAYMENT FROM A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN EXECUTIVES BERGAN, THOMAS $27,800 BROWN, DOUGLAS S. $35,635 CAVAGNARO, CHARLES III, M.D. $0 CHANDLER, WILLIS $17,418 COFONE, MICHAEL J. $0 CORBETT, WILLIAM M.D. $30,066 DALY, SHEILA $13,981 DICKSON, ERIC, M.D. $17,784 EKSTROM, DEBORAH $14,568 FELDMANN, ROBERT $0 FINBERG, ROBERT W., M.D. $0 KEATING, TODD A. $40,228 LAPIDAS, GARY N. $43,484 MOORE, KAREN $0 MULDOON, PATRICK L. $44,511 O'BRIEN, JOHN G. $0 POLANOWICZ, JOHN $0 STREETER, MICHELE M. $25,666 SWENSON, DANA $0 TOSI, STEPHEN E., M.D. $153,272 SUBTOTAL EXECUTIVES $464,413 KEY EMPLOYEES ANDERSON, MILTON C. $0 BLUTE, MICHAEL, M.D. $0 BRENCKLE, GEORGE, PH.D. $31,590 BOLLAND, KATHERINE $0 DALEY, JENNIFER M.D. $0 DIAMOND, VICTORIA $22,832 ETTINGER, WALTER H., M.D. $70,618 FAIRCHILD, DAVID M.D. $0 FISHER, BARBARA $0 HYLKA, SHARON $37,734 KLUGMAN, ROBERT, M.D. $36,365 KRUGER, NANCY $36,955 LAPRIORE, CHERYL M. $0 PHILLIPS, ROBERT A., M.D. $74,455 RANDOLPH, JOHN $0 WEBB, PATRICIA $25,301 SUBTOTAL KEY EMPLOYEES $335,850 FORMER O/D OR KEY EMPLOYEES ANDREW SUSSMAN $56,183 SUBTOTAL FORMER $56,183 TOTAL - ALL $856,446 SUPPLEMENTAL INFORMATION PART III PART II - DISCLOSURES: 1) JOHN O'BRIEN'S RETIREMENT AND OTHER DEFERRED COMPENSATION AMOUNT INCLUDES A CONTINGENT DEFERRED COMPENSATION ACCRUAL OF $928,633 WHICH REMAINS THE PROPERTY OF UMASS MEMORIAL UNTIL AND UNLESS THE TERMS OF THE DEFERRED AGREEMENT ARE FULFILLED. 2) THE ABOVE DIRECTORS RECEIVE NO COMPENSATION FOR THEIR ROLE AS DIRECTORS. ALL COMPENSATION RECEIVED RELATES TO THEIR POSITION AS A PHYSICIAN/ADMINISTRATOR. PART II - UNRELATED ORGANIZATION: THE OFFICERS, DIRECTORS AND HIGHEST COMPENSATED EMPLOYEES LISTED IN PART II THAT RECEIVED COMPENSATION FROM AN UNRELATED ORGANIZATION WERE PAID FOR THEIR SERVICES RELATED TO MEDICAL RESEARCH, EDUCATION OF MEDICAL STUDENTS AND RESIDENT TRAINING. AMOUNTS INCLUDE THEIR BASE COMPENSATION AND DEFERRED COMPENSATION FOR CALENDAR YEAR 2011. THE NAME OF THE UNRELATED ORGANIZATION IS UMASS MEDICAL SCHOOL. PART III - UNRELATED ORGANIZATION COMPENSATION ANDRIENI, JULIA, M.D. $94,903 BROWN, ALAN P., M.D. $59,061 CARLUCCI, DANIEL, M.D. $90,550 FERRUCCI, JOSEPH, M.D. $254,202 FINBERG, ROBERT W., M.D. $290,601 KENNEDY, KATHRYN, M.D. $35,987 LASSER, DANIEL H., M.D. $251,498 MESSINA, LOUIS, M.D. $71,120 ZIEDONIS, DOUGLAS, M.D. $207,867 AROUS, ELIAS J., M.D. $150,248 DUNN, RAYMOND M., M.D. $143,837 TAM, STANLEY, M.D. $191,607 AYERS, DAVID C., M.D. $156,709 WHOLEY, RICHARD M., M.D. $82,250 TOTAL COMPENSATION $2,080,440 MHEFA-UMASS MEMORIAL SERIES D 042456011 57586CLQ6 2005-08-18 107450000 SEE PART VI 0 0 0 MHEFA-UMASS MEMORIAL VARIABLE RATE SERIES E 042456011 57586EH27 2009-05-22 30000000 SEE PART VI 0 0 0 MHEFA-UMASS MEMORIAL VARIABLE RATE SERIES F 042456011 57586EH27 2009-05-22 30000000 SEE PART VI 0 0 0 MHEFA-MARLBOROUGH HOSPITAL VARIABLE RATE SERIES A 042456011 2009-11-24 9420000 SEE PART VI 0 0 0 110171337 10709415 5411300 1384731 3077191 95000000 2006 0 0 1 1 1290000 30061623 460511 205455 26703915 3152253 2012 0 0 0 1 1290000 30061720 620382 118700 26723915 3219105 2012 0 0 0 1 549000 9420000 223544 93458 9326542 2009 1 0 1 1 0 0 1 1 0 0.00580 0.00580 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 1 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 1 1 1 0 0 0 1 X PART I - BOND ISSUES (A) ISSUER NAME MHEFA - UMASS MEMORIAL, SERIES D MHEFA - UMASS MEMORIAL VARIABLE RATE, SERIES E MHEFA - UMASS MEMORIAL VARIABLE RATE, SERIES F MHEFA - MARLBOROUGH HOSPITAL VARIABLE RATE, SERIES A MHEFA - UMASS MEMORIAL MASTER LEASE MHEFA - UMASS MEMORIAL MASTER LEASE MHEFA - UMASS MEMORIAL MASTER LEASE MHEFA - UMASS MEMORIAL MASTER LEASE MHEFA - UMASS MEMORIAL, SERIES G MDFA - UMASS MEMORIAL MASTER LEASE MDFA - UMASS MEMORIAL, SERIES H MDFA - UMASS MEMORIAL, MASTER LEASE PART I - BOND ISSUE MHEFA - UMASS MEMORIAL, SERIES D PART I COLUMN (C ) CUSIP #: 57586CLQ6 PART I COLUMN (F) DESCRIPTION OF PURPOSE: COMPLETION OF THE EXPANSION OF THE EMERGENCY DEPT AND ROUTINE CAPITAL EQUIPMENT AND/OR RENOVATION PROJECTS PART I - BOND ISSUE MHEFA - UMASS MEMORIAL VARIABLE RATE, SERIES E PART I COLUMN (C ) CUSIP #: 57586EH27 PART I COLUMN (F) DESCRIPTION OF PURPOSE: RENOVATION, EQUIPPING AND CONSTRUCTION FOR CLINICAL, SUPPORT SERVICE AND INFRASTRUCTURE PROJECTS PART I - BOND ISSUE MHEFA - UMASS MEMORIAL VARIABLE RATE, SERIES F PART I COLUMN (C ) CUSIP #: 57586EH27 PART I COLUMN (F) DESCRIPTION OF PURPOSE: RENOVATION, EQUIPPING AND CONSTRUCTION FOR CLINICAL, SUPPORT SERVICE AND INFRASTRUCTURE PROJECTS PART I - BOND ISSUE MHEFA - MARLBOROUGH HOSPITAL VARIABLE RATE, SERIES A PART I COLUMN (F) DESCRIPTION OF PURPOSE: PAY OFF HEFA POOL O LOAN, ER RENOVATIONS,EICU EQUIPMENT,CT SCAN LEASE,MAMMOGRAPHY UNIT PART I - BOND ISSUE MHEFA - UMASS MEMORIAL, SERIES G PART I COLUMN (C ) CUSIP #: 57586EUS8 - 57586EUT6 - 57586EUU3 - 57586EUV1 - 57586EUW9 - 57586EUX7 - 57586EVE8 - 57586EUY5 - 57586EVF5 - 57586EUZ2 - 57586EVG3 - 57586EVA6 - 57586EVH1 - 57586EVB4 - 57586EVJ7 - 57586EVC2 - 57586EVD0 PART I COLUMN (F) DESCRIPTION OF PURPOSE: REFUNDING OF CENTRAL NEW ENGLAND HEALTH ALLIANCE SERIES A BOND (1993) AND MEDICAL CENTER OF CENTRAL MASSACHUSETTS, SERIES B (1992) PART I - BOND ISSUE MHEFA - UMASS MEMORIAL, SERIES H PART I COLUMN (C ) CUSIP #: 57583UGP7 - 57583UGQ5 - 57583UGR3 - 57583UGS1 - 57583UGT9 - 57583UGU6 - 57583UGV4 - 57583UGW2 - 57583UHC5 - 57583UGX0 - 57583UGY8 - 57583UGZ5 - 57583UHA9 - 57583UHB7 PART I COLUMN (F) DESCRIPTION OF PURPOSE: PARTIAL REFUNDING OF MEDICAL CENTER VARIABLE RATE SERIES A BONDS (1998), REFUNDING IN FULL OF CENTRAL NEW ENGLAND HEALTH ALLIANCE SERIES B BONDS (1998) AND UMASS MEMORIAL SERIES C (2001). PART II - PROCEEDS DIFFERENCE BETWEEN PART I, COLUMN(E) AND PART II, LINE 3 MHEFA - UMASS MEMORIAL, SERIES D COLUMN (E) ISSUE PRICE OF $107,450,000; ADD ISSUE PREMIUM OF $604,814, ADD INTEREST EARNED ON PROCEEDS OF $3,077,191, LESS ISSUE DISCOUNT OF ($960,668), EQUALS LINE 3 OF $110,171,337. MHEFA - UMASS MEMORIAL VARIABLE RATE, SERIES E COLUMN (E) ISSUE PRICE OF $30,000,000; ADD INTEREST EARNED ON PROCEEDS OF $61,623, EQUALS LINE 3 OF $30,061,623. MHEFA - UMASS MEMORIAL VARIABLE RATE, SERIES F COLUMN (E) ISSUE PRICE OF $30,000,000; ADD INTEREST EARNED ON PROCEEDS OF $61,720, EQUALS LINE 3 OF $30,061,720. MHEFA - UMASS MEMORIAL MASTER LEASE COLUMN (E) ISSUE PRICE OF $20,000,000; ADD INTEREST EARNED ON PROCEEDS OF $717,238, EQUALS LINE 3 OF $20,717,238. MHEFA - UMASS MEMORIAL MASTER LEASE COLUMN (E) ISSUE PRICE OF $20,000,000; ADD INTEREST EARNED ON PROCEEDS OF $152,952, EQUALS LINE 3 OF $20,152,952. MHEFA - UMASS MEMORIAL MASTER LEASE COLUMN (E) ISSUE PRICE OF $20,000,000; ADD INTEREST EARNED ON PROCEEDS OF $24,254, EQUALS LINE 3 OF $20,024,254. MHEFA - UMASS MEMORIAL MASTER LEASE COLUMN (E) ISSUE PRICE OF $20,000,000; ADD INTEREST EARNED ON PROCEEDS OF $5,301, EQUALS LINE 3 OF $20,005,301. MHEFA - UMASS MEMORIAL, SERIES G COLUMN (E) ISSUE PRICE OF $60,445,000; ADD ISSUE PREMIUM OF $1,388,656 ADD INTEREST EARNED ON PROCEEDS OF $180, EQUALS LINE 3 OF $61,833,836. MDFA - UMASS MEMORIAL, SERIES H COLUMN (E) ISSUE PRICE OF $90,990,000; ADD ISSUE PREMIUM OF $1,303,778, EQUALS LINE 3 OF $92,293,778. MDFA - UMASS MEMORIAL, MASTER LEASE COLUMN (E) ISSUE PRICE OF $20,000,000; ADD INTEREST EARNED ON PROCEEDS OF $12,480, EQUALS LINE 3 OF $20,012,480. MHEFA-UMASS MEMORIAL MASTER LEASE 042456011 2005-12-07 10000000 CAPITAL EQUIPMENT 0 0 0 MHEFA-UMASS MEMORIAL MASTER LEASE 042456011 2006-12-27 20000000 CAPITAL EQUIPMENT 0 0 0 MHEFA-UMASS MEMORIAL MASTER LEASE 042456011 2008-04-24 20000000 CAPITAL EQUIPMENT 0 0 0 MHEFA-UMASS MEMORIAL MASTER LEASE 042456011 2009-07-24 20000000 CAPITAL EQUIPMENT 0 0 0 10000000 10000000 10000000 2006 0 0 1 1 19084326 20717238 95814 26965 717238 19973035 2007 0 0 1 1 14390837 20152952 209888 29072 152952 19970928 2009 0 0 1 1 10059273 20024254 389523 28500 19995754 2010 0 0 1 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 MHEFA-UMASS MEMORIAL SERIES G 042456011 57586EUS8 2010-05-27 60445000 SEE PART VI 0 0 0 MHEFA-UMASS MEMORIAL MASTER LEASE 043431814 2010-12-09 20000000 CAPITAL EQUIPMENT 0 0 0 MHEFA-UMASS MEMORIAL SERIES H 043431814 57583UGP7 2011-08-10 90990000 SEE PART VI 0 0 0 MDFA-UMASS MEMORIAL MASTER LEASE 043431814 2011-12-28 20000000 CAPITAL EQUIPMENT 0 0 0 9375000 61833836 2646688 60734797 1099039 2010 0 0 1 1 5632807 20005301 262868 33031 5301 19966969 2011 0 0 1 1 2325000 92293778 4037662 91053822 1235315 4641 2011 1 0 0 1 2397111 20012480 228997 29000 12480 17237482 2733515 2012 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 1 FLOYD CONNELLY CSV OF LIFE INSURANCE - FORMER EXECUTIVE DIRECTOR OF CMMIC, INC. X 455570 276912 0 1 1 THOMAS CUMMINGS CSV OF LIFE INSURANCE - FORMER CEO OF MARLBOROUGH HOSPITAL X 377630 214869 0 1 1 RICHARD H SCHEFFER CSV OF LIFE INSURANCE - FORMER CEO OF WING MEMORIAL CORP. X 26660 40471 0 1 1 WILLIAM J WILLIAMS CSV OF LIFE INSURANCE - FORMER OFFICER OF HEALTHALLIANCE HOSPITALS, INC. X 1981627 3707284 0 1 1 4239536 0 ROBERT KLUGMAN MD KEY EMPLOYEE 217697 RENTAL OF PROPERTY - EXPENSE 0 0 FERNANDO CATALINA MD CURRENT DIRECTOR 311508 RENTAL OF PROPERTY - INCOME 0 0 MICHAEL J LYONS MD CURRENT DIRECTOR 311508 RENTAL OF PROPERTY - INCOME 0 JOHN CLEMENTI CURRENT DIRECTOR 141297 RENTAL OF PROPERTY - EXPENSE 0 ANTHONY J MERCADANTE CURRENT DIRECTOR & FAMILY MEMBER OF NICHOLAS MERCADANTE 230257 INDEPENDENT CONTACTOR ARRANGEMENT 0 EDWARD MANZI CURRENT DIRECTOR 198320 RENTAL OF PROPERTY - EXPENSE 0 0 0 ROBERT HAVELES CURRENT DIRECTOR 99541 INDEPENDENT CONTACTOR ARRANGEMENT 0 KATHERINE COOLIDGE CURRENT DIRECTOR 63910 INDEPENDENT CONTACTOR ARRANGEMENT 0 0 WILLIAM F SULLIVAN SR CURRENT DIRECTOR 46452 INDEPENDENT CONTACTOR ARRANGEMENT 0 JOHN BUDD CURRENT DIRECTOR 621379 INDEPENDENT CONTACTOR ARRANGEMENT 0 0 0 SUSAN ETTINGER NP FAMILY MEMBER OF WALTER ETTINGER, KEY EMPLOYEE UNTIL 1/20/12 29066 EMPLOYMENT ARRANGEMENT 0 KATHLEEN HYLKA FAMILY MEMBER OF SHARON HYLKA, KEY EMPLOYEE 95396 EMPLOYMENT ARRANGEMENT 0 JOANNE D'ONFRO FAMILY MEMBER OF PAUL D'ONFRO, DIRECTOR 47308 EMPLOYMENT ARRANGEMENT 0 ELLEN CARLUCCI FAMILY MEMBER OF DANIEL CARLUCCI, MD, DIRECTOR 97627 EMPLOYMENT ARRANGEMENT 0 CHERYL SWENSON RN FAMILY MEMBER OF DANA SWENSON, DIRECTOR 20035 EMPLOYMENT ARRANGEMENT 0 KATHRYN C MAY FAMILY MEMBER OF DEBORAH EKSTROM, OFFICER 42898 EMPLOYMENT ARRANGEMENT 0 EILEEN HENRICKSON RN FAMILY MEMBER OF DEBORAH EKSTROM, OFFICER 113004 EMPLOYMENT ARRANGEMENT 0 KAREN BUCKLEY RN FAMILY MEMBER OF MARY CARLSON, DIRECTOR 64281 EMPLOYMENT ARRANGEMENT 0 ELAINE GRANVILLE RN FAMILY MEMBER OF CHERYL LAPRIORE, KEY EMPLOYEE 61511 EMPLOYMENT ARRANGEMENT 0 PART II - LOANS FROM INTERESTED PERSONS THE CASH VALUE OF LIFE INSURANCE POLICIES: NAME OF INTERESTED PERSON, TITLE, ORIGINAL PRINCIPAL AMOUNT, BALANCE DUETHOMAS CUMMINGS, FORMER CEO OF MARLBOROUGH HOSPITAL, $377,630, $214,869RICHARD H. SCHEFFER, FORMER CEO OF WING MEMORIAL CORP., $26,660, $40,471WILLIAM J. WILLIAMS, FORMER OFFICER OF HEALTHALLIANCE HOSPITALS, INC., $1,981,627, $3,707,284FLOYD CONNELLY, FORMER DIRECTOR OF CMMIC, INC., $455,570, $276,912TOTAL ORIGINAL PRINCIPAL AMOUNT $2,841,487TOTAL BALANCE DUE $4,239,536AMOUNTS DUE FROM CURRENT AND FORMER OFFICERS PERTAIN TO SPLIT DOLLAR LIFE INSURANCE POLICIES OF THE RESPECTED INDIVIDUALS. THESE POLICIES WERE ORIGINATED AT VARIOUS TIMES DURING THE INSURED'S EMPLOYMENT WITH UMASS MEMORIAL HEALTH CARE, INC. THE CORRESPONDING POLICY PREMIUMS WERE FUNDED BY THE EMPLOYER AS AN EMPLOYEE BENEFIT. IN ACCORDANCE WITH IRS NOTICE 2002-8, TREASURY REGULATION 1.61-22 AND TREASURY REGULATION 1.7872-15, THESE PAYMENTS REQUIRE CLASSIFICATION AS LOANS DUE FROM THE INSURED. THESE LOAN BALANCES ARE REFLECTED AT THE LOWER OF THE DISCOUNTED CASH SURRENDER VALUE OR DISCOUNTED CUMULATIVE PREMIUMS PAID. PART IV - BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS SEVERAL OF OUR COMMUNITY HOSPITALS MAINTAIN LOCAL BANKING RELATIONSHIPS IN THEIR RESPECTIVE COMMUNITIES, WHICH HAVE BEEN ASSESSED AND MEET FAIR MARKET VALUE REQUIREMENTS. THE VALUE OF THESE RESPECTIVE RELATIONSHIPS ARE WELL BELOW THE DISCLOSURE THRESHOLDS. X 2816 104682 FMV/SELLING PRICE 0 1 1 THIRD PARTY USE: PART I, LINE 32B: UMASS MEMORIAL HEALTH CARE, INC. UTILIZES THE SERVICES OF UMASS MEMORIAL FOUNDATION, INC. TO SOLICIT DONOR CONTRIBUTIONS, ON OCCASION, THE ORGANIZATION RECEIVES GIFTS OF PUBLICLY TRADED STOCK. ALL GIFTS OF PUBLICLY TRADED STOCK ARE IMMEDIATELY SOLD UPON RECEIPT THROUGH AN INVESTMENT SERVICES FIRM. FORM 990, PART VI, SECTION A, LINE 2 DISCLOSURE YEAR, DISCLOSING INDIVIDUAL, TITLE/ROLE, RELATIONSHIP WITH, RELATIONSHIP UMMHC 2012 - BUDD, JOHN, BOARD MEMBER, PAUL D'ONFRO (BUSINESS), ARTHUR BERGERON (BUSINESS), HARVARD PILGRIM HEALTH CARE (BOARD MEMBER) 2012 - PHILLIPS, ROBERT, KEY EMPLOYEE, JULIA ANDRIENI (FAMILY) VENTURES 2012, NONE MEDICAL GROUP 2012, NONE MEMBER ENTITIES HEALTH ALLIANCE 2012 - MERCANDANTE, ANTHONY, BOARD MEMBER, NICHOLAS MERCANDANTE (FAMILY) 2012 - MERCANDANTE, NICHOLAS, BOARD MEMBER, ANTHONY MERCANDANTE (FAMILY) CHL 2012 - EKSTROM, DEBORAH, BOARD MEMBER, FIDELITY MUTUAL HOLDING COMPANY (BOARD MEMBER) & FIDELITY COOPERATIVE BANK (BUSINESS) MARLBOROUGH 2012 - MURPHY, MICHAEL, BOARD MEMBER, DANIEL CARLUCCI (BUSINESS), RICHARD BENNETT (BUSINESS), JOHN POLANOWICZ (BUSINESS), PHILIP PURCELL (BUSINESS) WING 2012 - PHANEUF, JAMES, BOARD MEMBER, CHARLES CAVAGNARO (BUSINESS), EDWARD J. NOONAN (BUSINESS), ROBERT S. HAVELES (BUSINESS), JAMES ST. AMAND (BUSINESS), PAUL SCULLY (BUSINESS), KATHERINE COOLIDGE (BUSINESS) 2012 - NOONAN, EDWARD, BOARD MEMBER, CHARLES CAVAGNARO (BUSINESS), JAMES ST. AMAND (BUSINESS), JAMES PHANEUF (BUSINESS), KATHERINE COOLIDGE (BUSINESS), ROBERT S. HAVELES (BUSINESS), PATRICK TURLEY (BUSINESS), ROLAND DESROCHERS (BUSINESS), ELAINE ANDERSON (BUSINESS) 2012 - DESROCHERS, ROLAND, BOARD MEMBER, CHARLES CAVAGNARO (BUSINESS), LINDA MITCHELL (BUSINESS) 2012 - TURLEY, PATRICK, BOARD MEMBER, LINDA MITCHELL (BUSINESS), EDWARD NOONAN (BUSINESS), RON CHRISTIANSEN (BUSINESS), PAUL SCULLY (BUSINESS) 2012 - HAVELES, ROBERT, BOARD MEMBER, EDWARD NOONAN (BUSINESS), JAMES PHANEUF (BUSINESS), LINDA MITCHELL (BUSINESS) , PATRICK TURLEY (BUSINESS) 2012 - CHRISTIANSEN, RONALD, BOARD MEMBER, JAMES PHANEUF (BUSINESS), PATRICK TURLEY (BUSINESS), LINDA MITCHELL (BUSINESS) 2012 - SCULLY, PAUL, BOARD MEMBER, RON CHRISTIANSEN (BUSINESS), PATRICK TURLEY (BUSINESS), ROBERT HAVELES (BUSINESS), JAMES PHANEUF (BUSINESS), CHARLES CAVAGNARO (BUSINESS), KATHERINE COOLIDGE (BUSINESS), LINDA MITCHELL (BUSINESS), ELAINE ANDERSON (BUSINESS) CLINTON 2012 - NONE FORM 990, PART VI, SECTION A, LINE 6 THERE ARE NO CLASSES OF DIRECTORS. THE VOTING RIGHTS OF THE MEMBER'S BOARD ARE ABSOLUTE. FORM 990, PART VI, SECTION A, LINE 7A THE MAJORITY OF ENTITIES IN THE CONSOLIDATED GROUP HAVE A SOLE MEMBER (WHICH IS ALSO WITHIN THE CONSOLIDATED GROUP) THAT ELECTS THE BOARD OF TRUSTEES. THERE ARE NO CLASSES OF TRUSTEES. THE MAJORITY OF THE ENTITIES RESERVE TO THE MEMBER THE POWER TO REMOVE TRUSTEES, TO FILL VACANCIES, AND TO INCREASE OR DECREASE THE SIZE OF THE BOARD. FORM 990, PART VI, SECTION A, LINE 7B THE MAJORITY OF THE ENTITIES IN THE CONSOLIDATED GROUP HAVE A SOLE MEMBER (WHICH IS ALSO WITHIN THE CONSOLIDATED GROUP) WITH THE RIGHT TO APPROVE OR RATIFY DECISIONS OF THE ENTITY, WHICH IS EXERCISED BY THAT MEMBER'S BOARD OF TRUSTEES. THERE ARE NO CLASSES OF TRUSTEES OR MEMBERS. THUS, THE VOTING RIGHTS OF A MEMBER BOARD ARE ABSOLUTE. GENERALLY, THE SOLE MEMBER OF EACH ENTITY RESERVES THE POWER TO APPROVE MAJOR TRANSACTIONS; TO MERGE, CONSOLIDATE OR LIQUIDATE THE CORPORATION'S ASSETS; TO ADOPT ANNUAL OPERATING AND CAPITAL BUDGETS AND AMENDMENTS; TO ENTER INTO LOAN AGREEMENTS AND/OR GUARANTIES; TO APPOINT AND/OR ELECT THE PRESIDENT AND/OR CEO; TO ELECT AND/OR APPOINT AND REMOVE TRUSTEES, FILL VACANCIES, TO INCREASE OR DECREASE THE SIZE OF THE BOARD; AND TO APPROVE UNBUDGETED EXPENDITURES. FORM 990, PART VI, SECTION B, LINE 11 SECTIONS OF THE CORE FORM 990 RELATED TO EXECUTIVE COMPENSATION AND, SCHEDULE J ARE REVIEWED IN DETAIL WITH THE ORGANIZATION'S COMPENSATION COMMITTEE OF THE BOARD. THE COMPLIANCE COMMITTEE OF THE BOARD REVIEWS ALL CONTENT ASSOCIATED WITH SCHEDULE L. THE AUDIT COMMITTEE OF THE BOARD REVIEWS THE FORM 990, INCLUDING THE ABOVE SCHEDULES AND RECOMMENDS THE FORM 990 TO THE FULL BOARD FOR APPROVAL. THE FULL BOARD IS GIVEN ACCESS TO THE FORM 990. FORM 990, PART VI, SECTION B, LINE 12C PAGE 6 SECTION B. POLICIES LINE 12 C: THE CONFLICT OF INTEREST POLICY REQUIRES BOARD MEMBERS AND MANAGEMENT TO COMPLETE ANNUAL DISCLOSURE STATEMENTS AND, TO UPDATE THESE DISCLOSURE STATEMENTS FOR SIGNIFICANT CHANGES IN THEIR OUTSIDE GOVERNANCE AND PROFESSIONAL ACTIVITIES OR, FINANCIAL RELATIONSHIPS AS APPROPRIATE. ADDITIONALLY, ALL TRANSACTIONS INVOLVING BOARD MEMBERS OR MANAGEMENT AND THE ORGANIZATION ARE REQUIRED TO BE APPROVED BY THE COMPLIANCE COMMITTEE OF THE BOARD AND, THERE IS ACTIVE MONITORING AND COMMUNICATION TO ENSURE INDIVIDUALS WITH OUTSIDE RELATIONSHIPS DO NOT INAPPROPRIATELY PARTICIPATE IN BUSINESS DECISIONS OF THE ORGANIZATION, PURCHASING OR RESEARCH DECISIONS. FORM 990, PART VI, SECTION B, LINE 15 PAGE 6 SECTION B. POLICIES LINE 15 B: AT UMASS MEMORIAL, ALL COMPENSATION MATTERS FOR THE CEO AND SENIOR EXECUTIVES THROUGHOUT THE SYSTEM (INCLUDING ALL "DISQUALIFIED PERSONS") ARE GOVERNED AND OVERSEEN BY THE BOARD OF TRUSTEES OF THE PARENT. THE BOARD APPROVED A COMPENSATION PHILOSOPHY THAT GOVERNS ALL SUCH DECISIONS. THE PHILOSOPHY INCLUDES THE OBJECTIVES OF THE PROGRAM, COMPONENTS OF EXECUTIVE COMPENSATION, THE RELEVANT MARKET, POSITIONING IN THE MARKET, FACTORS CONSIDERED IN SETTING EXECUTIVE COMPENSATION AND THE IMPORTANCE OF TYING SUCH COMPENSATION TO PERFORMANCE. THE BOARD ESTABLISHED A COMPENSATION COMMITTEE, MADE UP OF DISINTERESTED TRUSTEES, WHO ARE GIVEN THE AUTHORITY TO ESTABLISH COMPENSATION FOR ALL SENIOR EXECUTIVES, WITHIN THE PARAMETERS OF THE PHILOSOPHY, AND WITH FULL AND COMPLETE REPORTING TO THE FULL BOARD. THE COMPENSATION COMMITTEE PERFORMS ITS WORK PURSUANT TO ITS CHARTER AND A COMPENSATION POLICY THAT ESTABLISHES THE PROCESS THE COMMITTEE WILL FOLLOW IN REVIEWING AND APPROVING EXECUTIVE COMPENSATION EACH YEAR. THE COMMITTEE ENSURES THAT ITS PROCESS MEETS THE REBUTABLE PRESUMPTION OF REASONABLENESS ESTABLISHED BY THE IRS. IN ORDER TO ASSIST THE COMMITTEE IN ITS RESPONSIBILITIES, THE COMPENSATION COMMITTEE HIRES INDEPENDENT, OUTSIDE COMPENSATION CONSULTANTS TO ADVISE THE COMMITTEE AND THE BOARD ON THE REASONABLENESS OF OVERALL EXECUTIVE COMPENSATION PROGRAM, INCLUDING COMPENSATION OF THE SPECIFIC EXECUTIVES. THESE CONSULTANTS REPORT DIRECTLY TO THE COMMITTEE AND NOT TO MANAGEMENT. THE COMMITTEE WORKS WITH THESE CONSULTANTS, AND WITH LEGAL COUNSEL, TO ENSURE THAT ALL COMPENSATION PAID, AS WELL AS THE PROCESS FOLLOWED TO DETERMINE SUCH COMPENSATION, IS REASONABLE, MEETS ALL REGULATORY REQUIREMENTS AND IS COMPETITIVE WITH THE RELEVANT MARKET. FORM 990, PART VI, SECTION C, LINE 19 PAGE 6: UMASS MEMORIAL MAKES IT GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC AS REQUIRED BY APPLICABLE STATE AND FEDERAL LAWS, AND BY REQUEST ON A CASE-BY-CASE BASIS. PAGE 8 PART VII SECTION B. INDEPENDENT CONTRACTORS - DESCRIPTION OF SERVICE DESCRIPTION OF SERVICES FOOTNOTE A - SPECIALTY TRADE CONTRACTORS: SUBCONTRACTS TO A VARIETY OF EXHIBIT AND MARKETING SERVICES INCLUDING BUT NOT LIMITED TO: GENERAL CONSULTATION, COST OF MATERIALS AND SUPPLIES, DESIGN, CONSTRUCTION, LABORERS. THIS VENDOR MAY ALSO SUPPLY THEIR OWN LABORERS AS OPPOSED TO SUBCONTRACT. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 54,604,323. NET ASSETS RELEASED FROM RESTRICTIONS 3,517,603. PENSION RELATED CHANGES OTHER THAN NET PERIODIC BENEFIT COST -21,041,562. BOOK/TAX DIFFERENCES FROM S CORP K-1 264,483. CHANGE IN BENEFICIAL INTERESTS IN PERPETUAL TRUSTS 8,453,509. MISCELLANEOUS -491. NET ASSETS RELEASED FROM RESTRICTION FOR PPE 1,459,814. TEMPORARY RESTRICTED FUND EXPENDITURES -5,851,897. GAIN/(LOSS) ON DISCONTINUED OPERATIONS -4,612,889. ALLOWANCE FOR UNCOLLECTIBLE PLEDGES -53,577. TOTAL TO FORM 990, PART XI, LINE 5: 36,739,316. GROUP RETURN PAGE 1, LINE H(B) LIST OF AFFILIATED ORGANIZATIONS THE CLINTON HOSPITAL ASSOCIATION; 201 HIGHLAND STREET, CLINTON, MA 01510 EIN: 04-1185520 FISCAL YEAR END: 9/30/2012 MARLBOROUGH HOSPITAL; 157 UNION STREET, MARLBOROUGH, MA 01752 EIN: 04-2104693 FISCAL YEAR END: 9/30/2012 UMASS MEMORIAL BEHAVIORAL HEALTH SYSTEM, INC.; 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 04-3374724 FISCAL YEAR END: 9/30/2012 UMASS MEMORIAL HOSPITALS, INC.; 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 04-3296271 FISCAL YEAR END: 9/30/2012 UMASS MEMORIAL HEALTH VENTURES, INC.; 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 22-2605679 FISCAL YEAR END: 9/30/2012 UMASS MEMORIAL LABORATORIES, INC.; 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 04-3321703 FISCAL YEAR END: 9/30/2012 UMASS MEMORIAL MEDICAL CENTER, INC.; 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 04-3358564 FISCAL YEAR END: 9/30/2012 UMASS MEMORIAL MEDICAL GROUP, INC.; 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 04-2911067 FISCAL YEAR END: 9/30/2012 UMASS MEMORIAL REALTY, INC.; 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 04-2805630 FISCAL YEAR END: 9/30/2012 WING MEMORIAL HOSPITAL CORP.; 40 WRIGHT STREET, PALMER, MA 01069 EIN: 22-2519813 FISCAL YEAR END: 9/30/2012 UMASS MEMORIAL HEALTH CARE, INC. (PARENT); 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 04-3358566 FISCAL YEAR END: 9/30/2012 COMMUNITY HEALTHLINK, INC.; 72 JAQUES AVENUE, WORCESTER, MA 01610 EIN: 04-2626179 FISCAL YEAR END: 9/30/2012 CENTRAL MASSACHUSETTS MAGNETIC IMAGING CENTER, INC.; 367 PLANTATION STREET, WORCESTER, MA 01605 EIN: 04-2981362 FISCAL YEAR END: 9/30/2012 CENTRAL NEW ENGLAND HEALTHALLIANCE, INC.; 60 HOSPITAL ROAD, LEOMINSTER, MA 01453 EIN: 04-3172496 FISCAL YEAR END: 9/30/2012 COORDINATED PRIMARY CARE, INC.; 60 HOSPITAL ROAD, LEOMINSTER, MA 01453 EIN: 04-3210002 FISCAL YEAR END: 9/30/2012 HEALTHALLIANCE HOME HEALTH AND HOSPICE, INC.; 25 TUCKER ROAD, LEOMINSTER, MA 01453 EIN: 04-2932308 FISCAL YEAR END: 9/30/2012 HEALTHALLIANCE HOSPITALS, INC.; 60 HOSPITAL ROAD, LEOMINSTER, MA 01453 EIN: 04-2103555 FISCAL YEAR END: 9/30/2012 CAITLIN RAYMOND INTERNATIONAL REGISTRY, INC.; 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 06-1749208 FISCAL YEAR END: 9/30/2012 CLINTON HOSPITAL FOUNDATION, INC.; 306 BELMONT STREET, WORCESTER, MA 01604 EIN: 04-3357881 FISCAL YEAR END: 9/30/2012 COMMUNITY INFORMATION - CONTINUED FROM SCHEDULE H SCHEDULE H, PART VI - SUPPLEMENTAL INFORMATION - CONTINUED - CANCER: CANCER WAS THE SECOND LEADING CAUSE OF DEATH IN WORCESTER COUNTY IN 2008. (SOURCE: MASSACHUSETTS DEPARTMENT OF PUBLIC HEALTH/MASSCHIP; DALE MAGEE, COMMISSIONER, WORCESTER DEPARTMENT OF PUBLIC HEALTH, HEALTH OF WORCESTER, 2011 REPORT.) OF THOSE DEATHS, LUNG CANCER ACCOUNTED FOR THE GREATEST PERCENTAGE OF CANCER-RELATED DEATHS WITH HIGH ASSOCIATION WITH SMOKING. - SMOKING: APPROXIMATELY 23% OF ADULTS IN THE CITY OF WORCESTER SMOKE COMPARED TO 17% IN THE STATE AND 15% IN THE NATION. KEY HEALTH OBSERVATIONS IN CENTRAL MASSACHUSETTS FROM REGIONAL HEALTH FORUMS IN 2011: -RACIAL AND ETHNIC DISPARITIES ARE MAJOR FACTORS: -HEALTH DISPARITIES IDENTIFIED AMONG LATINO AND BLACK POPULATIONS ACROSS SEVERAL INDICATORS ARE A MAJOR CONCERN -OVERWEIGHT/ OBESITY IS AN INCREASING HEALTH RISK THAT CONTRIBUTES TO RISING DIABETES INCIDENCE -THE PREVALENCE OF DIABETES AMONG WORCESTER COUNTY RESIDENTS IS SLIGHTLY LOWER THAN THE STATE AS A WHOLE. HOWEVER, DIABETES IS MORE PREVALENT AMONG BLACK AND HISPANIC POPULATIONS AND THOSE 65 YEARS OLD AND OVER. -HEART DISEASE IN THE CENTRAL MASSACHUSETTS REGION IS MORE PREVALENT AMONG MALES AND HISPANIC AND LOWER-INCOME POPULATIONS. OVERALL RATES FOR HEART DISEASE IN WORCESTER COUNTY AND THE STATE ARE LOWER THAN THE NATIONAL MEDIAN. -IN WORCESTER COUNTY, SMOKING IS MOST PREVALENT AMONG YOUNG ADULTS AND LOW INCOME RESIDENTS AND AT RATES SIGNIFICANTLY HIGHER THAN THE STATE AS A WHOLE AMONG THOSE GROUPS. -PREVALENCE OF CHRONIC DISEASE AND RISKY BEHAVIORS SUCH AS SMOKING OCCUR AT HIGHER RATES AMONG THOSE WITH LESS THAN A HIGH SCHOOL DEGREE AND LOWER EDUCATIONAL ATTAINMENT. -ACCORDING TO THE WORCESTER POLICE DEPARTMENT, THE CITY OF WORCESTER HAS MORE THAN 60 GANGS CONCENTRATED IN LOW INCOME NEIGHBORHOODS. PROGRAMS THAT ADDRESS YOUTH VIOLENCE PREVENTION ARE VITAL TO ADDRESSING THIS CRITICAL PUBLIC HEALTH ISSUE, PARTICULARLY AMONG INNER-CITY, AT-RISK YOUTH. IN PARTICULARLY, YOUTH HAVE IDENTIFIED HAVING JOBS AND WORKFORCE OPPORTUNITIES, SUCH AS INTERN AND MENTORSHIP PROGRAMS AS A KEY MEANS OF PREVENTING VIOLENCE AND GANG INVOLVEMENT AMONG YOUTH. EMPLOYMENT OPPORTUNITIES ADDITIONALLY PROVIDE NEEDED FINANCES FOR LOW-INCOME YOUTH AS WELL AS EXPOSURE TO THE POSITIVE EXPERIENCE OF EARNING A PAYCHECK TO HELP BREAK THE CYCLE AND MINSETS OF POVERTY. WORCESTER COUNTY'S RESIDENTS ARE DISPROPORTIONATELY AFFECTED BY: -OBESITY/ OVERWEIGHT -INFANT MORTALITY RATES FOR BLACKS AND LATINOS (PARTICULARLY IN THE CITY OF WORCESTER) -SMOKING RATES -AIDS/ HIV AND HEPATITIS C (PARTICULARLY IN THE CITIES OF WORCESTER AND FITCHBURG) -HEROIN/ OPIODS-RELATED INCIDENTS AND DEATHS (PARTICULARLY IN THE CITIES OF WORCESTER AND FITCHBURG) -REPORTED CASES OF CHLAMYDIA INFECTION HAS BEEN INCREASING DRAMATICALLY OVER THE PAST DECADE, DUE PARTLY TO SUCCESSFUL SCREENING OF ASYMPTOMATIC INDIVIDUALS. -THE CITY OF WORCESTER IS A LEADING RESETTLEMENT SITE FOR REFUGEES. THIS GROWING DIVERSITY HAS BROADENED THE NEED FOR INTERPRETER SERVICES FOR MEDICAL CARE. IN ITS FISCAL YEAR 2011, UMASS MEMORIAL HEALTH CARE DELIVERED 122,963 DOCUMENTED INTERPRETATIONS FOR MEDICAL SERVICES IN OVER 87 LANGUAGES. HEALTH CARE SAFETY NET - UMASS MEMORIAL PROVIDES CARE TO THE LARGEST NUMBER OF LOW INCOME PATIENTS IN THE REGION. SCHEDULE H PART III, LINE 2: A COST TO CHARGE RATIO AS DESCRIBED IN PART I, LINE 7 WAS APPLIED TO THE ORGANIZATION'S BAD DEBT EXPENSE WHICH WAS THEN FURTHER REDUCED BY PAYMENTS FROM THE HEALTH SAFETY NET RELATED TO FREE CARE. 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