2013-11-15T10:56:23-06:00 2012-12-31 CROWE HORWATH LLP 9600 Brownsboro Road Suite 400 Louisville KY 402411122 990 2012-01-01 611028725 NORTON HEALTHCARE INC NORT 5026298249 224 E BROADWAY- 5TH FLOOR LOUISVILLE KY 40202 MICHAEL W GOUGH 2013-11-15 true Rachel Spurlock P00520729 5023263996 2012 2016-02-25 16:41:14Z STEPHEN A WILLIAMS 4967 US Highway 42 Suite 100 LOUISVILLE KY 40222 248920296 false X WWW.NORTONHEALTHCARE.COM X 1983 KY NORTON HEALTHCARE'S PURPOSE IS TO PROVIDE QUALITY HEALTH CARE TO ALL THOSE WE SERVE, IN A MANNER THAT RESPONDS TO THE NEEDS OF OUR COMMUNITIES AND HONORS OUR FAITH HERITAGE. 22 20 1688 10 0 0 774068 970147 161532098 163066375 15292702 14573651 -1499080 1623084 176099788 180233257 3527307 1839274 0 0 98020887 113423699 0 0 0 92569466 118837763 194117660 234100736 -18017872 -53867479 935991735 941573437 1107645355 1127687311 -171653620 -186113874 X NORTON HEALTHCARE'S PURPOSE IS TO PROVIDE QUALITY HEALTH CARE TO ALL THOSE WE SERVE, IN A MANNER THAT RESPONDS TO THE NEEDS OF OUR COMMUNITIES AND HONORS OUR FAITH HERITAGE. false false 189576650 1839274 164234626 NORTON HEALTHCARE, INC. (NHI) IS A NOT-FOR-PROFIT CORPORATION BASED IN LOUISVILLE, KY. IN 2012, NHI, THROUGH ITS AFFILIATE, NORTON HOSPITALS, INC., HAD A TOTAL OF 1,837 LICENSED BEDS: NORTON HOSPITAL - 642 BEDS; KOSAIR CHILDREN'S HOSPITAL - 263 BEDS; NORTON AUDUBON HOSPITAL - 432 BEDS; NORTON SUBURBAN HOSPITAL - 373 BEDS; AND NORTON BROWNSBORO HOSPITAL - 127 BEDS. THESE FIVE HOSPITALS OPERATE 24 HOURS A DAY, SEVEN DAYS A WEEK. NHI, THROUGH ITS AFFILIATE, COMMUNITY MEDICAL ASSOCIATES, INC. HAD A TOTAL OF 105 PHYSICIAN PRACTICE LOCATIONS AND 12 IMMEDIATE CARE CENTERS OPERATING IN EIGHT COUNTIES IN KENTUCKY AND SOUTHERN INDIANA. (CONTINUED IN SCHEDULE O) 189576650 true true false true false false false false false true true false true true true false true false false true false false false false false false true true true true false true false false false true false false true true false false false false false true true true false false true X 528 2 true 1688 true false true AS BR CA FR HK JA MY SN SP SZ UK false false false false false false false false X 22 20 true false false false false false false true true false false true true true true true true true true false X HELENA SCHULZ 5026298263 224 E BROADWAY- 5TH FLOOR LOUISVILLE KY 402022025 X STEPHEN A WILLIAMS 30.00 20.00 X X 4686492 0 287592 CAROLYN GATZ 1.00 2.50 X 1500 0 0 CHERYL BALKENHOL 1.00 2.50 X 0 0 0 CRAIG D GRANT 1.00 2.50 X 1500 0 0 DONALD H ROBINSON 4.00 2.50 X 0 0 0 EDIE NIXON 1.00 2.50 X 1500 0 0 G H NIXON 1.00 2.50 X 1500 0 0 G HUNT ROUSAVALL 3.00 3.50 X 1500 0 0 GAIL LYTTLE 1.00 2.50 X 1500 0 0 GARY L STEWART 2.00 3.50 X 1500 0 0 GREGORY E MAYES 5.00 2.50 X 1500 0 0 JAMES L SUBLETT MD 1.00 2.50 X 1500 0 0 JOSEPH J MCGOWAN ED D 1.00 2.50 X 1500 0 0 JOSEPH PARADIS III 10.00 2.50 X 0 0 0 KEVIN J HABLE 1.00 2.50 X 0 0 0 LOUIS S HEUSER MD 1.00 2.50 X 1500 0 0 MARIA GERWING HAMPTON 6.00 2.50 X 1500 0 0 MARIA L BOUVETTE 1.00 2.50 X 1500 0 0 MARTHA K HEYBURN MD 2.00 2.50 X 1500 0 0 MITCH NICHOLS 1.00 2.50 X 0 0 0 R K GUILLAUME 3.00 2.50 X 1500 0 0 REV WILLIAM J SCHULTZ 3.00 2.50 X 1500 0 0 RICHARD R IVEY 1.00 2.50 X 1500 0 0 RICHARD S WOLF MD 1.00 3.50 X 1500 0 0 ROBERT R GOODIN MD 1.00 2.50 X 1500 0 0 RONALD LEHOCKY MD 3.00 2.50 X 1500 0 0 WENDELL P WRIGHT 1.00 2.50 X 0 0 0 MICHAEL W GOUGH 30.00 20.00 X 1621334 0 542150 ROBERT B AZAR 30.00 20.00 X 537060 0 94939 RUSSELL F COX 30.00 20.00 X 1984644 0 876355 CHARLES BOHN 50.00 0 X 498778 0 91080 DOUGLAS WINKELHAKE 41.50 8.50 X 437184 181938 128806 JAMES FRAZIER 50.00 0 X 404227 0 86760 KENNETH WILSON 50.00 0 X 408476 0 84381 MARY CORBETT 50.00 0 X 365635 0 61140 MARY JO BEAN 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PROFESSIONAL SERVICES 6977666 CUMBERLAND CONSULTING GROUP 720 COOL SPRINGS BLVD STE 550 FRANKLIN TN 37067 PROFESSIONAL SERVICES 5263704 FIRSTSOURCE SOLUTIONS USA LLC 6455 RELIABLE PKWY CHICAGO IL 60686 PROFESSIONAL SERVICES 4776984 93 922672 47475 970147 CLINICAL RESEARCH TRIALS 900099 1188026 1188026 EDUCATION PROGRAMS 900099 60301 60301 MANAGEMENT FEES 900099 157522567 157522567 INSURANCE ALLOCATION 900099 564476 564476 CENTRAL SERVICE ALLOCATION 900099 3731005 3731005 0 0 0 0 163066375 11634371 11634371 120275 120275 0 314804 314804 0 314804 314804 71504918 1126 68044478 642561 3460440 -641435 2819005 2819005 0 0 0 CREDIT CARD REBATE 900099 1272449 1272449 EMPLOYEE EMERGENCY FUND 900099 145973 145973 DEBT REFINANCING 900099 -541835 -541835 431693 291664 0 140029 1308280 180233257 164234626 0 15028484 1728274 1728274 111000 111000 0 0 11481811 6830519 4651292 158727 141267 17460 80699073 70797822 9901251 3167005 2932834 234170 9939385 9393054 546331 7977698 7005130 972568 0 2960040 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COMMUNITY MEDICAL ASSOCIATE 611276316 9 true true true 286030393 NORTON HEALTHCARE FOUNDATION 310914919 7 true true true 1302081 CHILDREN'S HOSPITAL FND 616027530 7 true true true 4441753 4 1531996978 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false true false false false false true 4170 true 674 true 247904 252748 false Description of the activities reported on Lines 1a through 1i Schedule C, Part II-B, Line 1 PART II-B, LINE 1(I), OTHER LOBBYING ACTIVITIES: PAYMENTS MADE TO THE FOLLOWING ENTITIES FOR GOVERNMENT AFFAIRS REPRESENTATION TO FOCUS ON GOALS AND PRIORITIES TO ADVOCATE, EDUCATE AND PROMOTE THE INTEREST OF NORTON HEALTHCARE, INC. AND REGISTERED AS APPROPRIATE WITH THE LEGISLATIVE AND/OR EXECUTIVE BRANCH ETHICS COMMISSION AS AGENTS/LOBBYISTS: GOVERNMENT STRATEGIES TOTALING $125,000, ROTUNDA GROUP, LLC TOTALING $113,750, KENTUCKY COALITION FOR EDUCATION REFORM INC. $7,500 AND GREATER LOUISVILLE, INC. TOTALING $1,654. PART II-B, LINE 1(G) AND (H): EMPLOYEES OF NORTON HEALTHCARE, INC. ARE ENGAGED IN LOBBYING HEALTH POLICY ISSUES AT THE STATE LEVEL TO LOBBY THE EXECUTIVE AND LEGISLATIVE BRANCHES OF KENTUCKY'S GOVERNMENT. NORTON HEATLHCARE, INC. IS NOT REGISTERED TO LOBBY AT THE FEDERAL LEVEL. LOBBYING COMPENSATION PAID AS REPORTED TO THE KENTUCKY LEGISLATIVE ETHICS COMMITTEE IS $4,170 AND OTHER EXPENSES FOR EVENTS IS $674. 2125807 2125807 48236198 32804484 15431714 0 253328499 231953258 21375241 51408503 661912 50746591 89679353 0 0 ALTERNATIVE INVESTMENTS MASTER TRUST UNITS 78928069 F REAL ESTATE MASTER TRUST UNITS 38951483 F 117879552 INVESTMENTS IN HEALTHCARE & OTHER RELATED ORGANIZATIONS 629817 DEPOSIT - PFG EQUIPMENT LEASE 68557 OTHER LT ASSETS 14001634 2006 BOND ISSUE COST 2281489 2000 BOND ISSUE COST 8455759 REFUNDABLE ADVANCE 4320602 PENSION 25068720 2011 BOND ISSUE COST 1158340 2012 BOND ISSUE COST 166815 INTEREST RATE SWAP ASSET 3567943 59719676 0 SELF INSURANCE TRUST 109960466 OTHER INSURANCE 2581325 CAPITAL LEASE 750000 OTHER LIABILITIES 27753417 PAYABLE TO AFFILIATES 79273944 220319152 X FIN 48 (ASC 740) footnote Schedule D, Part X, Line 2 THE CORPORATION COMPLETED AN ANALYSIS OF ITS TAX POSITION AT DECEMBER 2012 AND 2011 AND DETERMINED THAT NO MATERIAL AMOUNTS WERE REQUIRED TO BE RECOGNIZED UNDER ASC 740, INCOME TAXES IN THE COMBINED FINANCIAL STATEMENTS AT DECEMBER 31, 2012 AND 2011. OTHER ASSETS SCHEDULE D, PART IX REFUNDABLE ADVANCES OF $4,320,602 REPRESENT ASSETS TRANSFERRED FROM THE NORTON HEALTHCARE JAMES R PETERSDORF FUND (COMMUNITY TRUST FUND) TO THE CHILDREN'S HOSPITAL FOUNDATION AND NORTON HEALTHCARE FOUNDATION OF 2,126,602 AND 2,194,000 RESPECTIVELY. THE PRINCIPAL OF THESE FUNDS IS RESTRICTED AND IF THE RESTRICTED PURPOSE CANNOT BE FULFILLED OR NO LONGER ACCORDS WITH THE STRATEGIC PLAN OF NORTON HEALTHCARE, THE FUNDS ASSETS SHALL REVERT BACK TO THE TRUST. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 95773000 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 4826000 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 INVESTMENTS 8349000 NORTH AMERICA (CANADA & MEXICO ONLY) 0 0 INVESTMENTS 7358000 SOUTH AMERICA 0 0 INVESTMENTS 509000 0 0 116815000 true false true false false false true A WOMEN'S CHOICE RESOURCE CENTER 101 WEST MARKET LOUISVILLE KY 40202 611142823 501(C)(3) 25000 GENERAL SUPPORT OF SERVICES FOR EXPECTANT MOTHERS AMERICAN CANCER SOCIETY 701 W MUHAMMAD ALI BLVD LOUISVILLE KY 40203 131788491 501(C)(3) 14000 GENERAL SUPPORT AMERICAN DIABETES ASSOCIATION 161 ST MATTHEWS AVE 3 LOUISVILLE KY 40207 131623888 501(C)(3) 10000 GENERAL SUPPOR FOR EDUCATION, PREVENTION AND SCREENINGS FOR DIABETES AMERICAN HEART ASSOCIATION 240 WHITTINGTON PKWY LOUISVILLE KY 40222 135613797 501(C)(3) 46000 GENERAL SUPPORT CARDIOVASCULAR HEALTH SCREENINGS AND WOMEN'S CARDIOVASCULAR HEALTH AMERICAN LUNG ASSOCIATION OF KENTUCKY PO BOX 9067 LOUISVILLE KY 40209 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KY 40203 611202173 501(C)(3) 7500 GENERAL SUPPORT OF INTERFAITH RELATIONS COLON CANCER PREVENTION PROJECT PO BOX 4039 LOUISVILLE KY 40204 201510713 501(C)(3) 13500 GENERAL SUPPORT OF COLON CANCER PREVENTION AND OUTREACH COMMONWEALTH FUND FOR KET 600 E COOPER DRIVE LEXINGTON KY 40502 610722558 501(C)(3) 5000 GENERAL SUPPORT CORE COMMITTEE INC PO BOX 1621 ELIZABETHTOWN KY 42702 208105293 501(C)(3) 7500 GENERAL SUPPORT OF EFFORTS AT FORT KNOX BASE REALIGNMENT CTR FOR ADOLESCENT PREGNANCY PREVENTION 332 WEST BROADWAY SUITE 404 LOUISVILLE KY 40202 611421413 501(C)(3) 5000 GENERAL SUPPORT FOR ADOLESCENT PREGNANCY CURESEARCH FOR CHILDREN'S CANCER 300 SOUTH CARLTON AVE SUITE 150 WHEATON IL 60187 954132414 501(C)(3) 5000 GENERAL SUPPORT FOR CHILDREN'S CANCER RESEARCH CYSTIC FIBROSIS FOUNDATION 1230 S HURSTBOURNE PKWY SUITE 255 LOUISVILLE KY 40222 131930701 501(C)(3) 10000 GENERAL SUPPORT FOR CYSTIC FIBROSIS RESEARCH AND OUTREACH DOWNTOWN DEVELOPMENT CORP 401 W MAIN ST STE 1702 LOUISVILLE KY 40202 310992627 501(C)(3) 20000 GENERAL SUPPORT EKAL VIDYLAYA FOUNDATION 11838 LAKE STONE WAY PROSPECT KY 40059 770554248 501(C)(3) 5475 GENERAL SUPPORT FOR HOLISTIC LIVING EPILEPSY FOUNDATION KENTUCKIAN 982 EASTERN PKWY LOUISVILLE KY 40217 611314540 501(C)(3) 10000 GENERAL SUPPORT OF EPILEPSY EDUCATION AND OUTREACH FAMILY SCHOLAR HOUSE 403 REG SMITH CIRCLE LOUISVILLE KY 40208 611285124 501(C)(3) 10000 GENERAL SUPPORT OF SINGLE PARENTS SEEKING COLLEGE EDUCATION FRIEND FOR LIFE 4007 KRESGE WAY LOUISVILLE KY 40207 611139410 501(C)(3) 5000 GENERAL SUPPORT CANCER SUPPORT NETWORK GIRL SCOUTS OF KENTUCKIANA PO BOX 32335 LOUISVILLE KY 40232 610444698 501(C)(3) 5000 GENERAL SUPPORT OF GIRL SCOUTS AND LEADERSHIP FOR GIRLS AND YOUNG WOMEN GREATER LOUISVILLE FOUNDATION 614 W MAIN ST SUITE 6000 LOUISVILLE KY 40202 611131064 501(C)(3) 37500 GENERAL SUPPORT HABITAT FOR HUMANITY METRO LOUISVILLE 2777 S FLOYD ST LOUISVILLE KY 40209 581735528 501(C)(3) 45000 GENERAL SUPPORT OF COSTS TO BUILD A HABITAT HOME HEUSER HEARING INSTITUTE 115 E KENTUCKY ST LOUISVILLE KY 40203 610492369 501(C)(3) 15000 GENERAL SUPPORT FOR NEWBORN HEARING TESTING AND TREATMENT HOSPARUS 3532 EPHRAIM MCDOWELL DR LOUISVILLE KY 40205 610921718 501(C)(3) 10000 GENERAL SUPPORT KOURAGEOUS KIDS PEDIATRIC PROGRAM HOSPITAL HOSPITALITY HOUSE 120 W BROADWAY LOUISVILLE KY 40202 611256969 501(C)(3) 6000 GENERAL SUPPORT TO HELP HOUSE FAMILIES AND PATIENTS WITH LONG-TERM TREATMENTS/HOSPITAL STAY INDIAN COMMUNITY OF KENTUCKY 9709 WHITE BLOSSOM BLVD LOUISVILLE KY 40241 000769349 501(C)(3) 15000 GENERAL SUPPORT CULTURAL AWARENESS JUNIOR ACHIEVEMENT 1401 W MUHAMMAD ALI BLVD LOUISVILLE KY 40203 610476694 501(C)(3) 13800 GENERAL SUPPORT OF YOUTH LEADERSHIP DEVELOPMENT KENTUCKY PEDIATRIC SOCIETY 420 CAPITAL AVE LOUISVILLE KY 40601 611125554 501(C)(3) 5000 GENERAL SUPPORT OF PROFESSIONAL DEVELOPMENT FOR PEDIATRICIANS AT ANNUAL MEETING KENTUCKY PHYSICIANS HLTH FOUNDATION 9000 WESSEX PL SUITE 305 LOUISVILLE KY 40222 611242062 501(C)(3) 21500 GENERAL SUPPORT OF INTERVENTION, THERAPY, ETC. FOR IMPAIRED PHYSICIANS KENTUCKY YOUTH ADVOCATES 2034 FRANKFORT AVE LOUISVILLE KY 40206 610929390 501(C)(3) 7500 GENERAL SUPPORT OF RESEARCH AND DATA COLLECTION FOR KIDS COUNT DATA BOOK KOSAIR CHARITIES 982 EASTERN PKWY PO BOX 37370 LOUISVILLE KY 40233 610514703 501(C)(3) 12000 GENERAL SUPPORT OF KOSAIR CHARITIES LEADERSHIP KENTUCKY FOUNDATION 464 CHENAULT RD FRANKFORT KY 40601 311096215 501(C)(3) 9000 GENERAL SUPPORT OF LEADERSHIP DEVELOPMENT LEADERSHIP LOUISVILLE CENTER 732 W MAIN ST LOUISVILLE KY 40202 310958491 501(C)(3) 30000 GENERAL SUPPORT OF LEADERSHIP DEVELOPMENT LEADERSHIP SOUTHERN INDIANA 8204 HWY 311 SELLERSBURG IN 47172 311644080 501(C)(3) 10000 GENERAL SUPPORT OF LEADERSHIP DEVELOPMENT LIFEHOUSE INC 2710 RIEDLING DR LOUISVILLE KY 40206 208514733 501(C)(3) 50000 GENERAL SUPPORT OF MATERNITY HOME AND PRENATAL CARE LINCOLN HERITAGE COUNCIL PO BOX 36273 LOUISVILLE KY 40233 610445839 501(C)(3) 5000 GENERAL SUPPORT OF BOY SCOUTS AND LEADERSHIP FOR BOYS AND YOUNG MEN LOUISVILLE METRO GOVERNMENT 531 COURT PLACE 9TH FLOOR SUITE 900 LOUISVILLE KY 40202 204372292 501(C)(3) 20000 GENERAL SUPPORT MAYOR'S HEALTH INITIATIVES - HIKE, BIKE & PADDLE LOUISVILLE URBAN LEAGUE 1535 W BROADWAY C/O CAREER EXPOS LOUISVILLE KY 40203 610444771 501(C)(3) 5000 GENERAL SUPPORT OF WORKFORCE DEVELOPMENT THROUGH LUL LOUISVILLE YOUTH TRAINING CENT 2040 METAL LN LOUISVILLE KY 40206 611380344 501(C)(3) 7000 GENERAL SUPPORT OF YOUTH FITNESS INITIATIVES MARCH OF DIMES P O BOX 932852 ATLANTA GA 31193 131846366 501(C)(3) 10000 GENERAL SUPPORT OF PRE-AND-POSTNATAL EDUCATION FOR FAMILIES WITH PREMATURE BABIES MARYHURST 1015 DORSEY LANE LOUISVILLE KY 40223 311542209 501(C)(3) 10000 GENERAL SUPPORT MEDICAL FDTNOF GR LOU MED SOC 546 S FIRST ST ROOM 311 LOUISVILLE KY 40202 610598020 501(C)(3) 6500 GENERAL SUPPORT FOR HEALTH PROMOTION SCHOOLS OF EXCELLENCE METRO UNITED WAY INC PO BOX 950148 DEPT 52860 LOUISVILLE KY 40295 610444680 501(C)(3) 53000 GENERAL SUPPORT MORTON CENTER 1028 BARRETT AVE LOUISVILLE KY 40204 311068020 501(C)(3) 5000 GENERAL SUPPORT OF INDIVIDUALS IN THERAPY FOR ADDICTION RECOVERY NATIONAL MULTIPLE SCLEROSIS SOCIETY 1201 STORY AVE SUITE 200 LOUISVILLE KY 40208 610702202 501(C)(3) 10000 GENERAL SUPPORT OF MULTIPLE SCLEROSIS RESEARCH NATIVITY ACADEMY AT ST BONIFACE 529 E LIBERTY ST LOUISVILLE KY 40202 510450314 501(C)(3) 7500 GENERAL SUPPORT OF SCHOLASTICS FOR UNDERSERVED CHILDREN NAWBO - LOUISVILLE CHAPTER P O BOX 826157 PHILADELPHIA PA 19182 611228189 501(C)(6) 10000 GENERAL SUPPORT OVARIAN AWARENESS OF KENTUCKY 4010 DUPONT CIRCLE SUITE 275 LOUISVILLE KY 40207 611393292 501(C)(3) 5000 GENERAL SUPPORT OF OVARIAN CANCER EDUCATION AND OUTREACH PARKINSON'S SUPPORT CENTER OF 315 TOWNEPARK CIR SUITE 100 LOUISVILLE KY 40243 611367576 501(C)(3) 7500 GENERAL SUPPORT OF PARKINSON'S DISEASE EDUCATION AND SUPPORT EFFORTS PENTECOSTAL FIRE CONF AMERICA 1710 CAMPBELLSVILLE RD HODGENVILLE KY 42748 261301145 501(C)(3) 10000 GENERAL SUPPORT PROJECT ONE 2600 W BROADWAY SUITE 301 LOUISVILLE KY 40211 611314577 501(C)(3) 5000 GENERAL SUPPORT PRP ALUMNI ASSOCIATION PO BOX 58051 LOUISVILLE KY 40268 320087730 501(C)(3) 5000 GENERAL SUPPORT FOR SCHOLARSHIPS AT PLEASURE RIDGE PARK HIGH SCHOOL REGIONAL LEADERSHIP COALITION 4100 CHARLESTOWN RD NEW ALBANY IN 47150 522436968 501(C)(3) 5000 GENERAL SUPPORT OF REGIONAL LEADERSHIP DEVELOPMENT FOR ECONOMIC GROWTH RONALD MCDONALD HOUSE 550 S 1ST ST LOUISVILLE KY 40202 311053467 501(C)(3) 10000 GENERAL SUPPORT TO HELP HOUSE FAMILIES AND PATIENTS WITH LONG-TERM TREATMENTS/HOSPITAL STAY SHIVELY AREA MINISTRIES 4415 DIXIE HWY LOUISVILLE KY 40216 611134579 501(C)(3) 10000 GENERAL SUPPORT OF EMERGENCY ASSISTANCE FOR RESIDENTS OF SHIVELY AREA SUPPLIES OVER SEAS 1500 ARLINGTON AVE LOUISVILLE KY 40206 272624272 501(C)(3) 20000 GENERAL SUPPORT OF MEDICAL SURPLUS SERVICES TO SEND OVERSEAS SUSAN G KOMEN FOR THE CURE 2301 HURSTBOURNE VILLAGE DR SUITE 700 LOUISVILLE KY 40299 752855046 501(C)(3) 5000 GENERAL SUPPORT THE ALS ASSOCIATION KY CHAPTER 2807 AMSTERDAM RD VILLA HILLS KY 41017 943124729 501(C)(3) 5000 GENERAL SUPPORT ALS EDUCATION AND OUTREACH THE CENTER FOR COURAGEOUS KIDS 1501 BURNLEY RD SCOTTSVILLE KY 42164 201789905 501(C)(3) 30000 GENERAL SUPPORT OF CAMP FOR PEDIATRIC PATIENTS THE HEALING PLACE 1020 W MARKET ST LOUISVILLE KY 40202 611164775 501(C)(3) 8800 GENERAL SUPPORT OF INDIVIDUALS IN THERAPY FOR ADDICTION RECOVERY UK COLLEGE OF HEALTH SERVICES 900 S LIMESTONE ST ROOM 123H LEXINGTON KY 40536 616001218 501(C)(3) 5000 GENERAL SUPPORT OF EDUCATION PROGRAM UNIVERSITY OF LOUISVILLE - ATHLETICS CONTROLLERS OFFICE-SERVICE COMPLEX LOUISVILLE KY 40292 311106941 501(C)(3) 6700 GENERAL SUPPORT UL CARDINAL ATHLETIC FUND WOMEN 4 WOMEN INC 323 W BROADWAY SUITE 502 LOUISVILLE KY 40202 611240049 501(C)(3) 12000 GENERAL SUPPORT FOR YOUNG WOMEN LEADERSHIP DEVELOPMENT OF SELF SUFFICIENCY YMCA OF GREATER LOUISVILLE 545 S 2ND ST LOUISVILLE KY 40202 610444843 501(C)(3) 10000 GENERAL SUPPORT OF SAFE PLACE YOUNG PROFESSIONALS 550 S 4TH ST SUITE 200 LOUISVILLE KY 40202 450483455 501(C)(3) 10000 GENERAL SUPPORT OF LEADERSHIP DEVELOPMENT AND NETWORKING FOR YOUNG PROFESSIONALS YOUNG WOMEN LEAD 4344 MT STERLING RD WINCHESTER KY 40391 460776398 501(C)(3) 10000 GENERAL SUPPORT OF LEADERSHIP DEVELOPMENT AND NETWORKING FOR HIGH SCHOOL GIRLS AND YOUNG WOMEN ST CATHARINE COLLEGE 2735 BARDSTOWN RD ST CATHARINE KY 40061 610846809 501(C)(3) 300000 TO HELP ESTABLISH A BACHELOR-LEVEL RADIATION THERAPY PROGRAM AT ST. CATHARINE COLLEGE UNIVERSITY OF KENTUCKY OFFICE OF DEVELOPMENT WILLIAM B STURGIL BLDG LEXINGTON KY 40506 616001218 501(C)(3) 40000 TO PROVIDE PROGRAM SUPPORT VIA SCHOLARSHIP FOR TWO UK MHA STUDENTS UNIVERSITY OF KENTUCKY OFFICE OF DEVELOPMENT WILLIAM B STURGIL BLDG LEXINGTON KY 40506 616001218 501(C)(3) 250000 TO PROVIDE PROGRAM SUPPORT TO HELP ESTABLISH AN ENDOWED PROFESSORSHIP IN HEALTHCARE LEADERSHIP LOUISVILLE COMPREHENSIVE CARE MS CENTER 3991 DUTCHMANS LANE LOUISVILLE KY 40207 201512570 501(C)(3) 100000 TO PROVIDE PROGRAM SUPPORT TO HELP MS CENTER PROVIDE COUNSELING, SUPPORT, ETC. TO MS PATIENTS UNIVERSITY OF LOUISVILLE 571 S FLOYD ST 432 LOUISVILLE KY 40202 611014882 501(C)(3) 67499 TO SUPPORT U OF L FOR PEDIATRIC SUBSPECIALTY FELLOWSHIP WHAS CRUSADE FOR CHILDREN INC 520 W CHESTNUT ST LOUISVILLE KY 40202 237075524 501(C)(3) 20000 GENERAL SUPPORT FUND FOR THE ARTS 623 W MAIN ST LOUISVILLE KY 40202 610479626 501(C)(3) 40000 GENERAL SUPPORT 77 UNDERGRADUATE SCHOLARSHIPS FOR STUDENTS PURSUING EDUCATION FOR A CAREER IN THE HEALTHCARE FIELD 80 111000 Procedures for monitoring use of grant funds Schedule I, Part I, Line 2 ALL GRANT APPLICANTS ARE REQUIRED TO SUBMIT A GRANT APPLICATION TO THE MANAGER OF STEWARDSHIP. THE GRANT IS REVIEWED AND APPROVED BY NORTON HEALTHCARE MANAGEMENT. ALL GRANT REQUESTS GREATER THAN $250,000 REQUIRE THE APPROVAL OF THE NORTON HEALTHCARE BOARD OF DIRECTORS. SELECTION CRITERIA INCLUDES APPROPRIATENESS OF THE REQUEST, LEVEL OF NEED AND WHETHER THE REQUEST IS IN ALIGNMENT WITH THE ORGANIZATION'S GOALS AND OBJECTIVES. UPON APPROVAL, THE GRANT IS ENTERED INTO THE GRANT DATABASE AND THE FINANCIAL SYSTEM. THE ORGANIZATION REQUIRES THAT A PROGRESS REPORT BE SUBMITTED MIDWAY THROUGH THE PROJECT, AND A FINAL REPORT IS REQUIRED AT THE END OF THE PROJECT FOR WHICH FUNDING IS RECEIVED. GRANT REPORT DEADLINES AND GUIDELINES THAT EXPLAIN WHAT TO INCLUDE IN REPORTS WILL BE SENT TO THE PROJECT DIRECTOR/GRANTEE UPON GRANT AWARD NOTIFICATION. GRANT REPORTS MUST INCLUDE AN ACCOUNTING OF FUNDS EXPENDED AND ENCUMBERED, INCLUDING SUPPORTING DOCUMENTATION. GRANT RECIPIENTS WHO FAIL TO SUBMIT REPORTS OR ACCOUNT FOR THE EXPENSE OF GRANT FUNDS WILL NOT BE ALLOWED TO APPLY FOR FUTURE FUNDING UNTIL THE REPORTING REQUIREMENTS ARE MET. GRANTS WILL BE AWARDED FROM THE BOARD-DESIGNED FUND TO ADVANCE INITIATIVES THAT ARE ALIGNED WITH OR A DIRECT PART OF NORTON HEALTHCARE STRATEGIC PLAN. AWARDS ARE GRANTED FOR EDUCATION, RESEARCH, WORKFORCE DEVELOPMENT, COMMUNITY HEALTH AND/OR TECHNOLOGY OR EQUIPMENT OF SPECIAL NATURE. CASH ASSISTANCE IS AWARDED THROUGH THE COMMUNITY INITIATIVE COMMITTEE AND EXPENSED IN THE YEAR THAT THE CASH ASSISTANCE IS AWARDED. A REQUEST PROCESS IS IN PLACE TO ENSURE THAT THE REQUEST IS IN ALIGNMENT WITH THE NORTON HEALTHCARE VALUES AND STRATEGIC PLAN. Purpose of grant or assistance Schedule I, Part II, Column H ST. CATHARINE COLLEGE, 61-0846809:TO HELP ESTABLISH A BACHELOR-LEVEL RADIATION THERAPY PROGRAM AT ST. CATHARINE COLLEGE;UNIVERSITY OF KENTUCKY, 61-6001218:TO PROVIDE PROGRAM SUPPORT TO HELP ESTABLISH AN ENDOWED PROFESSORSHIP IN HEALTHCARE LEADERSHIP;LOUISVILLE COMPREHENSIVE CARE MS CENTER, 20-1512570:TO PROVIDE PROGRAM SUPPORT TO HELP MS CENTER PROVIDE COUNSELING, SUPPORT, ETC. TO MS PATIENTS;AMERICAN HEART ASSOCIATION, 13-5613797:GENERAL SUPPORT CARDIOVASCULAR HEALTH SCREENINGS AND WOMEN'S CARDIOVASCULAR HEALTH;MARCH OF DIMES, 13-1846366:GENERAL SUPPORT OF PRE-AND-POSTNATAL EDUCATION FOR FAMILIES WITH PREMATURE BABIES;RONALD MCDONALD HOUSE, 31-1053467:GENERAL SUPPORT TO HELP HOUSE FAMILIES AND PATIENTS WITH LONG-TERM TREATMENTS/HOSPITAL STAY;YOUNG WOMEN L.E.A.D., 46-0776398:GENERAL SUPPORT OF LEADERSHIP DEVELOPMENT AND NETWORKING FOR HIGH SCHOOL GIRLS AND YOUNG WOMEN;HOSPITAL HOSPITALITY HOUSE, 61-1256969:GENERAL SUPPORT TO HELP HOUSE FAMILIES AND PATIENTS WITH LONG-TERM TREATMENTS/HOSPITAL STAY; X X true true X X X X X true true false false false false false false false ALFONSO CORNISH 205016 0 62100 0 48373 0 55803 0 7719 0 379011 0 24840 0 CHARLES BOHN 318537 0 97605 0 82636 0 70667 0 20414 0 589858 0 42280 0 DOUGLAS WINKELHAKE 361582 74024 0 94914 75601 12999 87778 17970 18549 4509 543511 204417 47040 0 GEORGE HERSCH 206427 0 60175 0 38370 0 50718 0 21809 0 377500 0 25332 0 J BRYAN HILDRETH 23250 0 38447 0 186440 0 111827 0 15806 0 375770 0 0 0 JAMES FRAZIER 338233 0 37500 0 28494 0 60607 0 26153 0 490987 0 0 0 JON COOPER 155309 53288 99976 0 53283 1968 39120 13423 15401 4509 363088 73188 24576 0 KAREN BOLIN 136758 0 37036 0 119261 0 235575 0 2519 0 531150 0 22980 0 KENNETH WILSON 302092 0 66465 0 39919 0 67326 0 17055 0 492857 0 5800 0 KIMBERLY THARP-BARRIE 201954 0 57188 0 40201 0 69743 0 5077 0 374163 0 25644 0 MARY LYNN MEYER 152996 156902 0 112004 0 59391 0 114000 0 16851 152996 459146 0 39200 MARY CORBETT 260073 0 58983 0 46579 0 46159 0 14981 0 426775 0 26400 0 MARY JO BEAN 175161 0 166038 0 55294 0 100138 0 6882 0 503513 0 26712 0 MAUREEN CAPALBO 234322 0 52438 0 69558 0 53938 0 15546 0 425801 0 0 0 MICHAEL ESPOSITO 275172 0 73002 0 65109 0 67508 0 19408 0 500199 0 33240 0 MICHAEL W GOUGH 586193 0 824521 0 210620 0 517448 0 24702 0 2163484 0 83860 0 ROBERT B AZAR 359568 0 140001 0 37492 0 86668 0 8271 0 631999 0 0 0 RUSSELL F COX 738791 0 1000020 0 245833 0 853982 0 22373 0 2861000 0 99540 0 SANDRA BROOKS 264161 0 97219 0 87489 0 139936 0 21625 0 610430 0 63576 0 SCOTT WATKINS 303742 0 256952 0 66706 0 91172 0 21657 0 740228 0 33240 0 STEPHEN A WILLIAMS 906721 0 541463 0 3238307 0 268751 0 18842 0 4974084 0 2047208 0 STEVE HEILMAN 314520 0 91228 0 17150 0 103784 0 22675 0 549357 0 6082 0 STEVE HESTER 473095 0 135542 0 109360 0 425763 0 23344 0 1167105 0 63000 0 STEVE READY 293959 0 76500 0 19997 0 69202 0 21164 0 480822 0 0 0 TRACY WILLIAMS 243948 0 83731 0 148216 0 67728 0 16122 0 559745 0 115466 0 WILLIAM RITCHIE 216042 0 74730 0 84227 0 94623 0 16300 0 485923 0 26904 0 Tax indemnification and gross-up payments Schedule J, Part I, Line 1a TAX INDEMNIFICATION AND GROSS-UP PAYMENTS ARE TREATED AS TAXABLE COMPENSATION TO THE INTERESTED PERSONS LISTED BELOW AT TIME OF PAYMENT. PAYMENTS ARE IN ACCORDANCE WITH EXISTING COMPENSATION POLICY. GROSS-UP PAYMENTS SHALL BE MADE ONLY WHEN SPECIFIED IN AN EMPLOYEE'S EMPLOYMENT CONTRACT, OR AS APPROVED IN WRITING BY THE PRESIDENT AND CEO OF NORTON HEALTHCARE, EXECUTIVE VICE PRESIDENT OR CFO. DURING 2012, GROSS-UP PAYMENTS WERE PROCESSED AS OUTLINED IN THE EMPLOYMENT CONTRACT FOR THE CEO. SEE NARRATIVE PROVIDED IN SCHEDULE O, REFERENCING PART VI, LINE 15, WHICH DESCRIBES THE PROCESS FOR DETERMINING COMPENSATION FOR THE CEO, OFFICERS AND KEY EMPLOYEES OF THE ORGANIZATION. ANNUITY - THE TAX GROSS-UP ASSOCIATED WITH THE ANNUITY BENEFIT IS $279,327. THIS PURCHASED ANNUITY REPRESENTS ACCUMULATED BENEFITS EARNED IN PRIOR YEARS RELATED TO A NON-QUALIFIED DEFINED BENEFIT PENSION RESTORATION PLAN IN EFFECT SINCE 1990. CONTRIBUTIONS TO THIS PLAN WERE MADE IN 2005, 2006, 2007, 2008, 2009, 2010, 2011 AND 2012. INCLUDED IN MR. WILLIAMS COMPENSATION IN 2012 IS $356,953 WHICH IS THE COST OF THE PURCHASED ANNUITY. THE TOTAL COST OF THE PURCHASED ANNUITY AND THE ASSOCIATED TAX GROSS-UP IS $636,280, WHICH WAS INCLUDED IN TAXABLE COMPENSATION. TEMPORARY TOTAL DISABILITY COVERAGE AND LONG TERM DISABILITY- THIS COMBINED TRANSACTION CONSIST OF PARTIAL REFUND FOR PAYMENT PAID ON BEHALF OF MR. WILLIAMS DURING THE 2011 TAX YEAR FOR TEMPORARY TOTAL DISABILITY AND ONE YEAR PREMIUM FOR LONG TERM DISABILITY. THE TAX GROSS-UP CREDIT ASSOCIATED WITH THE REFUND AND PURCHASE OF THIS COVERAGE IS ($9,480). INCLUDED IN MR. WILLIAMS COMPENSATION IN 2012 IS $(12,115) WHICH IS THE COST OF THE PURCHASED COVERAGE OF $6,911 AND REFUND OF $19,026. THE TOTAL COST /CREDIT AND THE ASSOCIATED TAX GROSS-UP IS CREDIT $21,595, WHICH WAS INCLUDED IN TAXABLE COMPENSATION. Discretionary spending account Schedule J, Part I, Line 1a DISCRETIONARY SPENDING ACCOUNTS ARE TREATED AS TAXABLE COMPENSATION. THE ORGANIZATION PROVIDES A DISCRETIONARY SPENDING ACCOUNT FOR ELIGIBLE NORTON HEALTHCARE EXECUTIVES, EFFECTIVE OCTOBER 1, 2007. NORTON HEALTHCARE PROVIDES BENEFITS TO ITS IDENTIFIED EXECUTIVE STAFF TO PROVIDE A TOTAL COMPENSATION PACKAGE THAT IS COMPETITIVE WITH THE MARKET AND WHICH CONFORMS TO THE PHILOSOPHY AND GUIDELINES SET OUT BY THE BOARD OF TRUSTEES, THROUGH THE EXECUTIVE COMPENSATION PHILOSOPHY AND PROGRAMS. THROUGH THE DISCRETIONARY SPENDING ACCOUNT POLICY, EXECUTIVES ARE FREE TO CHOOSE WHATEVER BENEFITS THEY FIND MOST USEFUL OR IMPORTANT TO THEM AND NORTON HEALTHCARE DOES NOT REIMBURSE FOR THE COST OF THOSE BENEFITS, AS THEY ARE PART OF THE DISCRETIONARY SPENDING ACCOUNT. THE INTERESTED PERSONS LISTED BELOW RECEIVED THE BENEFIT OF A DISCRETIONARY SPENDING ACCOUNT IN 2012: STEPHEN A. WILLIAMS - $57,229 RUSSELL F. COX - 59,434 MICHAEL G. GOUGH - 52,208 ROBERT B. AZAR - 17,500 TRACY WILLIAMS - 17,500 STEVE HESTER - 17,500 SCOTT WATKINS - 10,000 MICHAEL ESPOSITO - 10,000 MARY JO BEAN - 10,000 CHARLES BOHN - 17,500 KAREN BOLIN - 10,000 MARY CORBETT - 15,000 STEVE READY - 10,000 JAMES FRAZIER - 10,000 STEVE HEILMAN - 10,000 KENNETH WILSON - 10,000 KIMBERLY THARP-BARRIE - 10,000 JON COOPER - 10,000 DOUGLAS WINKELHAKE - 17,500 WILLIAM RITCHIE - 10,000 MARY LYNN MEYER - 17,500 Severance or change-of-control payment Schedule J, Part I, Line 4a SEVERANCE PAYMENT WAS RECEIVED DURING 2012 BY FORMER KEY EMPLOYEES: J. BRYAN HILDRETH IN THE AMOUNT OF $186,298, OTHER COMPENSATION, INCLUDED IN SCHEDULE J COLUMN B(III). MR. HILDRETH WILL CONTINUE TO RECEIVE SEVERANCE PAYMENTS THROUGH APRIL 16, 2013; THEREFORE INCLUDED IN SCHEDULE J, COLUMN C $75,406 IS INCLUDED AS THE ESTIMATED PAYMENT TO BE PAID IN 2013. KAREN BOLIN IN THE AMOUNT OF $62,957, OTHER COMPENSATION, INCLUDED IN SCHEDULE J COLUMN B(III). MS. BOLIN WILL CONTINUE TO RECEIVE SEVERANCE PAYMENT THROUGH OCTOBER 30, 2013; THEREFORE INCLUDED IN SCHEDULE J, COLUMN C, $201,178 IS INCLUDED AS THE ESTIMATED PAYMENT TO BE PAID IN 2013. Supplemental nonqualified retirement plan Schedule J, Part I, Line 4b THE FOLLOWING INTERESTED PERSONS PARTICIPATED IN OR RECEIVED PAYMENT FROM SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS AS DESCRIBED IN IRC SECTION 457(F). THE INTERESTED PERSONS BELOW MAY HAVE PARTICIPATED IN ONE OR MORE OF THE FOLLOWING PLANS: THE EXECU-FLEX BENEFIT PLAN, THE EXECU-PLUS BENEFIT PLAN, DEFINED BENEFIT AND DEFINED CONTRIBUTION RESTORATION PLANS, AND THE PHYSICIAN DEFERRED PLAN. THE "PAY CREDIT" OUTLINED BELOW REPRESENTS A REASONABLE ESTIMATE OF THE ANNUAL INCREASE IN ACTUARIAL VALUE OF THE PLANS; AND THEREFORE, REPRESENTS THE ORGANIZATION'S CONTRIBUTION TO THE VALUE OF THE BENEFITS. NAME - PAY CREDIT STEPHEN A. WILLIAMS -$ 130,924 RUSSELL F. COX - 829,613 MICHAEL W. GOUGH - 493,579 ROBERT AZAR - 70,050 MARY LYNN MEYER - 59,406 MARY JO BEAN - 40,678 CHARLES BOHN - 58,167 KAREN BOLIN - 20,877 SANDRA BROOKS - 58,870 MAUREEN CAPALBO - 35,636 JON COOPER - 33,266 MARY CORBETT - 33,258 ALFONSO CORNISH - 29,322 MICHAEL ESPOSITO - 46,099 JAMES FRAZIER - 47,757 STEVEN HEILMAN - 48,719 GEORGE HERSCH - 29,904 STEVEN HESTER - 107,889 J. BRYAN HILDRETH - 16,147 STEVE READY - 43,010 WILLIAM RICHIE - 37,892 KIMBERLY THARP-BARRIE - 31,421 SCOTT WATKINS - 66,483 TRACY WILLIAMS - 51,320 KENNETH WILSON - 47,703 DOUGLAS WINKELHAKE - 80,742 THE "PAYMENT RECEIVED" OUTLINED BELOW REPRESENTS CASH PAYMENTS THAT THE EMPLOYEE RECEIVED DURING 2012 AND CAN BE COMPRISED OF PRIOR YEARS EMPLOYEE AND EMPLOYER CONTRIBUTIONS. NAME - PAYMENT RECEIVED STEPHEN A. WILLIAMS - $2,540,883 RUSSELL F. COX - 108,074 MICHAEL W. GOUGH - 93,007 ROBERT AZAR - 0 MARY LYNN MEYER - 39,205 MARY JO BEAN - 26,715 CHARLES BOHN - 44,669 KAREN BOLIN - 26,018 SANDRA BROOKS - 107,078 MAUREEN CAPALBO - 56,472 JON COOPER - 25,548 MARY CORBETT - 27,924 ALFONSO CORNISH - 38,345 MICHAEL ESPOSITO - 35,860 JAMES FRAZIER - 0 STEVEN HEILMAN - 6,324 GEORGE HERSCH - 26,704 STEVEN HESTER - 71,921 J. BRYAN HILDRETH - 0 STEVE READY - 0 WILLIAM RICHIE - 28,257 KIMBERLY THARP-BARRIE - 44,221 SCOTT WATKINS - 38,656 TRACY WILLIAMS - 120,525 KENNETH WILSON - 5,736 DOUGLAS WINKELHAKE - 52,587 A LOUISVILLEJEFFERSON COUNTY METRO GOVERNMENT 320049006 54659LAC8 2006-10-12 315474736 SEE SUPPLEMENTAL INFORMATION false false false B LOUISVILLEJEFFERSON COUNTY METRO GOVERNMENT 320049006 54659LAL8 2011-08-10 75000000 SEE SUPPLEMENTAL INFORMATION false false false C LOUISVILLEJEFFERSON COUNTY METRO GOVERNMENT 320049006 2011-08-24 23775000 SEE SUPPLEMENTAL INFORMATION false false false D LOUISVILLEJEFFERSON COUNTY METRO GOVERNMENT 320049006 2012-10-31 21100000 SEE SUPPLEMENTAL INFORMATION false false false A 1525000 0 330185271 0 958005 62337730 2885257 0 5900000 183389691 105925754 0 2009 false true true true B 0 0 75000300 0 0 0 953000 2000 0 74045259 41 0 2011 false false true true C 1390000 0 23775000 0 0 0 150000 0 0 0 23625000 0 true false true true D 0 0 21100000 0 0 0 171313 0 0 0 20928687 0 true false true true A false true true true true true 0.0183 0.0074 0.0257 false false 0.0000 false true B false true true true true true 0.0220 0.0074 0.0294 false false 0.0000 false true C false false false false false false 0.0000 0.0000 0.0000 false false 0.0000 false false D false false false false false false 0.0000 0.0000 0.0000 false false 0.0000 false false A true false false false false false 0.0 false false true MORGAN STANLEY 3.2 true false true B false true false false true false 0.0 false false false 0.0 false false true C false true false false true false 0.0 false false false 0.0 false false true D false true false false false false 0 false false false 0 false false true A true B true C true D true AND SCHEDULE, K, PART II, LINE 3 SCHEDULE K, PART I, COLUMN (E) DIFFERENCE BETWEEN SERIES 2006 ISSUE PRICE (ISSUE DATE 10/12/2006) IN PART I, COLUMN E AND TOTAL PROCEEDS OF ISSUE IN PART II, LINE 3 IS INVESTMENT EARNINGS DURING THE PROJECT PERIOD. ADDITIONALLY THE BONDS ISSUED 10/12/2006 PROCEEDS ARE IMPACTED BY AN ARBITRAGE REBATE PAYMENT MADE IN 2011. DIFFERENCE BETWEEN SERIES 2011 ISSUE PRICE (ISSUE DATE 8/10/11) IN PART I, COLUMN E AND TOTAL PROCEEDS OF ISSUE IN PART II, LINE 3 IS INVESTMENT EARNINGS DURING THE PROJECT PERIOD. ISSUER NAME: LOUISVILLE/JEFFERSON COUNTY METRO GOVERNMENT SCHEDULE K, PART I, COLUMN (F) TO REFINANCE, IN AN ADVANCE REFUNDING TRANSACTION, A PORTION OF THE OUTSTANDING KENTUCKY ECONOMIC DEVELOPMENT FINANCE AUTHORITY HEALTH SYSTEM REVENUE BONDS, SERIES 2000A, AND SERIES 2000C, TO FINANCE OR REIMBURSE THE CORPORATION FOR THE COSTS OF CONSTRUCTING AND EQUIPPING A NEW HOSPITAL FACILITY TO BE OWNED AND OPERATED BY NORTON HOSPITALS, TO FINANCE OR REIMBURSE THE CORPORATION FOR THE COSTS OF RENOVATION AND EXPANSION OF VARIOUS PATIENT CARE AREAS AND THE ACQUISITIONS OF EQUIPMENT AND TO PAY CERTAIN COSTS OF ISSUANCE. ISSUER NAME: LOUISVILLE/JEFFERSON COUNTY METRO GOVERNMENT SCHEDULE K, PART I, COLUMN (F) TO REIMBURSE THE CORPORATION FOR THE COSTS OF CONSTRUCTING AND EQUIPPING THE NORTON CANCER INSTITUTE DOWNTOWN RADIATION CENTER, CONSTRUCTING AND EQUIPPING A PEDIATRIC AMBULATORY CARE CENTER (KOSAIR CHILDREN'S MEDICAL CENTER - BROWNSBORO) AND RENOVATING, EXPANDING AND EQUIPPING OTHER PATIENT CARE RELATED PROJECTS AND HOSPITAL PROJECTS AND ITS AFFILIATES AND PAY CERTAIN COSTS OF ISSUANCE OF THE BONDS. ISSUER NAME: LOUISVILLE/JEFFERSON COUNTY METRO GOVERNMENT SCHEDULE K, PART I, COLUMN (F) TO REFUND A PORTION OF THE COUNTY OF JEFFERSON, KENTUCKY HEALTH SYSTEM REVENUE BONDS, SERIES 1997 (ALLIANT HEALTH SYSTEM, INC.) AND PAY CERTAIN COSTS OF ISSUANCE OF THE BONDS. ISSUER NAME: LOUISVILLE/JEFFERSON COUNTY METRO GOVERNMENT SCHEDULE K, PART I, COLUMN (F) TO REFUND THE REMAINDER OF THE COUNTY OF JEFFERSON, KENTUCKY HEALTH SYSTEM REVENUE BONDS, SERIES 1997 (ALLIANT HEALTH SYSTEM, INC.) AND PAY CERTAIN COSTS OF ISSUANCE OF THE BONDS. KAYCEE THARP NICKELL DAUGHTER OF KIMBERLY THARP-BARRIE, FORMER KEY EMPLOYEE NORTON HEALTHCARE SCHOLARS PROGRAM X 20144 3528 false true true 3528 PATRICIA TRASATTI FAMILY MEMBER OF CHARLES BOHN, KEY EMPLOYEE 103872 COMPENSATION false CHELSEA R MAYES FAMILY MEMBER GREGORY MAYES, TRUSTEE 54855 COMPENSATION false LOANS TO AND FROM INTERESTED PERSONS SCHEDULE L, PART II (A) NAME OF INTERESTED PERSON: KAYCEE THARP DAUGHTER OF KIMBERLY THARP-BARRIE, FORMER KEY EMPLOYEE (A) PURPOSE OF LOAN: NORTON HEALTHCARE SCHOLARS PROGRAM (DISCLOSURE CONTINUED BELOW) (A) NAME OF INTERESTED PERSON: CHERYL RITCHIE DAUGHTER OF WILLIAM RITCHIE, HIGHLY COMPENSATED EMPLOYEE (A) PURPOSE OF LOAN: NORTON HEALTHCARE SCHOLARS PROGRAM (DISCLOSURE CONTINUED BELOW) PURPOSE OF LOAN SCHEDULE L, PART II, COLUMN (A) NORTON HEALTHCARE SCHOLARS PROGRAM IS A STUDENT LOAN PROGRAM THAT PROVIDES EDUCATIONAL FUNDING TO STUDENTS INTERESTED IN PURSUING DESIGNATED HEALTHCARE CAREERS. IT IS AN AFFILIATION BETWEEN NORTON HEALTHCARE AND OVER 100 COLLEGES AND UNIVERSITIES NATIONALLY. THIS PROGRAM WAS STARTED BY NORTON HEALTHCARE AS A RESULT OF THE HEALTHCARE WORKER SHORTAGE AND WAS BEGUN AS A WORKFORCE DEVELOPMENT INITIATIVE TO ENSURE THE COMMUNITY HAS ENOUGH HEALTHCARE WORKERS. UPON GRADUATION, NORTON HEALTHCARE SCHOLARS BEGIN CAREERS WITH NORTON HEALTHCARE AND ARE ELIGIBLE TO HAVE THEIR LOAN FORGIVEN. CURRENTLY NORTON HEALTHCARE HAS 271 SCHOLARS IN SCHOOL. THIS PROGRAM HAS 1,885 GRADUATES AND 1,411 OF THESE GRADUATES HAVE CONTINUED THEIR CAREERS WITH NORTON HEALTHCARE. APPLICANTS ARE REVIEWED EACH YEAR FOR THIS PROGRAM. FOR 2012, 146 APPLICANTS WERE GRANTED ENROLLMENT INTO THE NORTON HEALTHCARE SCHOLARS PROGRAM. SCHOLARS WHO FAIL TO GRADUATE OR FULFILL THEIR COMMITMENT WITH NORTON HEALTHCARE ARE REQUIRED TO REPAY THE LOAN AT THE TIME OF WITHDRAWAL FROM THE PROGRAM. CURRENT YEAR TOTAL EXPENSES FORM 990, PART I, LINE 18 DURING 2012, THE CORPORATION BEGAN THE IMPLEMENTATION OF AN ELECTRONIC MEDICAL RECORD SYSTEM (EMR). THE SYSTEM IS AN INTEGRATED EMR SYSTEM THAT ALLOWS SEAMLESS SHARING OF PATIENT INFORMATION AMONG CAREGIVERS, PATIENTS AND FAMILIES. ALL OF THE CORPORATION'S PHYSICIAN PRACTICES, IMMEDIATE CARE CENTERS AND HOSPITALS WILL BE CONNECTED AND ABLE TO VIEW ELECTRONIC MEDICAL RECORDS USING ONE SYSTEM, RATHER THAN A VARIETY OF DISPARATE SYSTEMS. DUE TO THE SIGNIFICANT NON-CAPITAL IMPLEMENTATION COSTS IN 2012 ($42.1 MILLIONS) AND ALSO ANTICIPATED COSTS FOR 2013, WHICH INCLUDE: LABOR AND BENEFITS, TRAINING, SUPPLIES, FEES AND SPECIAL SERVICES AND OTHER; THE CORPORATION HAS BROKEN OUT THESE OPERATING COSTS IN THE COMBINED STATEMENT OF OPERATIONS AND CHANGES IN NET ASSETS INTO A SEPARATE LINE TITLED ELECTRONIC MEDICAL RECORDS IMPLEMENTATION. DURING 2012 IMPLEMENTATION ENCOMPASSED 105 PHYSICIAN PRACTICE LOCATIONS, 12 IMMEDIATE CARE CENTERS AND TWO HOSPITALS. DURING 2013 THE REMAINING THREE HOSPITALS WILL BE IMPLEMENTED. AS THE IMPLEMENTATION WILL BE CONCLUDED BY THE END OF 2013, ONGOING COSTS OF MAINTAINING THE SYSTEM WILL BE INCURRED AND WILL BE RECORDED IN THE OPERATING EXPENSES BY THEIR NATURAL CLASS. FOR PURPOSES OF THE 990 WE HAVE BROKEN OUT THE LINE TITLED ELECTRONIC MEDICAL RECORDS IMPLEMENTATION FROM THE AUDITED FINANCIAL STATEMENTS AND RECLASSED THE EXPENSES BY THEIR NATURAL CLASS. PROGRAM SERVICE ACCOMPLISHMENTS FORM 990, PART III, LINE 4A (CONTINUED FROM PART III) IN 2012, NORTON'S HOSPITALS AND DIAGNOSTIC CENTERS SERVED 62,486 INPATIENTS, 418,102 OUTPATIENTS AND 210,617 EMERGENCY ROOM VISITS. IN ADDITION, NORTON HEALTHCARE HOSPITALS' OPERATING ROOMS CARED FOR 18,773 INPATIENT SURGICAL PATIENTS AND 32,333 OUTPATIENT SURGICAL PATIENTS. ADDITIONALLY, 7,982 DELIVERIES WERE PERFORMED AT NORTON HEALTHCARE BIRTHING CENTERS AT NORTON HOSPITAL AND NORTON SUBURBAN HOSPITAL. UNDER ITS CHARITY CARE PROGRAM, NORTON PROVIDED FREE CARE TO 7,634 PATIENTS, AT A COST OF $11.2 MILLION, ALSO NORTON GRANTS PATIENTS A DISCOUNT FROM BILLED CHARGES TO ANY INDIVIDUALS THAT HAVE NO ACCESS TO PRIVATE HEALTH INSURANCE OR DO NOT QUALIFY FOR GOVERNMENT ASSISTANCE OR CHARITY CARE. UNDER THIS PROGRAM, 37,597 PATIENTS' CARE WAS PROVIDED AT DISCOUNTED RATES. OTHER CONTRIBUTIONS TO THE COMMUNITY WERE THE UNPAID COST OF MEDICAID AND THE KENTUCKY DISPROPORTIONATE SHARE PROGRAM SERVICES TOTALING $80.4 MILLION AND EDUCATIONAL SUPPORT OF $23.7 MILLION, PRIMARILY TO THE UNIVERSITY OF LOUISVILLE'S SCHOOL OF MEDICINE. ALSO COMMUNITY HEALTH IMPROVEMENT SERVICES TOTALED $10.2M, CONTRIBUTIONS TO COMMUNITY GROUPS WERE $976,000, PASTORAL CARE AND COUNSELING PROGRAMS WERE $1.8 MILLION. KENTUCKY POISON CONTROL CENTER WAS $1.9 MILLION AND THE CHILD GUIDANCE AND ADVOCACY PROGRAM WAS $958,000. NORTON HEALTHCARE'S EMPLOYEES PROVIDED MORE THAN 8,358 HOURS, EQUALING $974,519 MILLION IN SALARIES, OF SERVICE AS BOARD AND COMMITTEE MEMBERS AND ACTIVE PARTICIPANTS TO OVER 100 COMMUNITY, STATE AND NATIONAL NON-PROFIT ORGANIZATIONS THAT ENDEAVOR TO IMPROVE THE HEALTH STATUS OF INDIVIDUALS. ADDITIONALLY, EMPLOYEES ALSO PERSONALLY REPORTED 8,197 COMMUNITY SERVICE HOURS IN SUPPORT OF THEIR FAITH COMMUNITIES, CIVIC ORGANIZATIONS AND OTHER IMPORTANT COMMUNITY GROUPS. COMMUNITY EDUCATION AND WORKFORCE DEVELOPMENT: * NORTON HEALTHCARE PROVIDES PROGRAMMATIC SUPPORT TO THE UNIVERSITY OF LOUISVILLE SCHOOL OF MEDICINE THROUGH FUNDS AND FACILITIES. DURING THE 2012 CALENDAR YEAR, 424 RESIDENTS COMPLETED CLINICAL ROTATIONS IN 17 SPECIALTIES AT NORTON HEALTHCARE FACILITIES. RESIDENCY PROGRAMS ARE PART OF $23.7M SUPPORT PROVIDED FOR OVERALL EDUCATIONAL SUPPORT. * IN 2012, 174,809 LEARNING EVENTS WERE COMPLETED THROUGH NORTON UNIVERSITY, WHICH IS AN AVERAGE OF 13.44 CLASSES PER EMPLOYEE. AN ADDITIONAL 949 NURSING STUDENTS RECEIVED EDUCATIONAL TRAINING THROUGH NORTON UNIVERSITY. CLERGY MEMBERS FROM OUR FAITH HISTORY ARE INVITED TO ATTEND COURSES RELEVANT TO THEIR MINISTRY, THESE ARE FREE COURSES. OFFICE OF CHURCH AND HEALTH MINISTRIES: * THE OFFICE OF CHURCH AND HEALTH MINISTRIES PROVIDES FREE EDUCATION, RESOURCES AND SERVICES TO FAITH COMMUNITY NURSES AND OTHERS WORKING IN CONGREGATIONAL HEALTH MINISTRIES. IN 2012, THE OFFICE SERVED 172 FAITH COMMUNITIES WITH ACTIVE HEALTH AND WELLNESS PROGRAMS. DONATIONS TO THE COMMUNITY: * NORTON EMPLOYEES AND PHYSICIANS GAVE OVER $1.1 MILLION THROUGH THE 2012 COMBINED GIVING CAMPAIGN TO HELP SUPPORT THE WHAS CRUSADE FOR CHILDREN, METRO UNITED WAY, FUND FOR THE ARTS, KOSAIR CHARITIES, THE CHILDREN'S HOSPITAL FOUNDATION, AND NORTON HEALTHCARE FOUNDATION. * NORTON HEALTHCARE EMPLOYEES RAISED THE ROOF ON A HABITAT FOR HUMANITY HOUSE IN THE LOW-INCOME SMOKETOWN NEIGHBORHOOD IN LOUISVILLE, KY. THIS IS THE SIXTH HABITAT HOME NORTON HEALTHCARE EMPLOYEES HAVE BUILT. * IN 2012 NORTON HEALTHCARE EMPLOYEES DONATED 1,470 POUNDS OF SHOES TO WATERSTEP (FORMERLY EDGE OUTREACH) AND APPROXIMATELY 600 PAIRS OF EYE GLASSES TO KENDALL OPTOMETRY MINISTRY INC. NORTON HEART CARE * NORTON HEART CARE PROVIDES THE REGION'S MOST COMPREHENSIVE SCREENING, EDUCATION AND PREVENTION PROGRAM AND IS COMMITTED TO EDUCATING OUR COMMUNITY ABOUT HEART HEALTH AND RISK FACTOR MANAGEMENT. IN 2012 THE CENTERS FOR PREVENTION & WELLNESS SCREENED 5,390 PEOPLE FOR HIGH BLOOD PRESSURE, DIABETES, HIGH CHOLESTEROL AND OSTEOPOROSIS AND PROVIDED INFORMATION ABOUT SMOKING CESSATION, DIET AND EXERCISE. THIS WORK WAS ACCOMPLISHED IN PARTNERSHIP WITH THE AMERICAN HEART ASSOCIATION AND NORTON HEART CARE THROUGH LOCAL BUSINESS AND COMMUNITY GROUPS. * HEART RISK ASSESSMENTS AND EDUCATION ALSO WERE PROVIDED THROUGH THE NORTON WOMEN'S HEART CENTER, THE REGION'S ONLY CENTER DEDICATED SOLELY TO EDUCATION, PREVENTION AND TREATMENT OF HEART DISEASE. * NORTON WOMEN'S HEART CENTER OFFERED ITS FREE CIRCLE OF HEARTS PROGRAM, A MONTHLY HEART DISEASE AND PREVENTION CLASS THAT FOCUSES ON HEART HEALTH EDUCATION AND OTHER WELLNESS ISSUES OF INTEREST TO WOMEN. NORTON CANCER INSTITUTE * IN 2012, SCREENING STAFF TRAVELED TO MORE THAN 130 UNIQUE LOCATIONS, 42 PERCENT OF WHICH WERE IN UNDERSERVED COMMUNITIES. THIS OUTREACH RESULTED IN 2,537 PEOPLE BEING SCREENED FOR CANCER. OF THESE, APPROXIMATELY 30 PERCENT EITHER HAD NEVER BEEN SCREENED FOR CANCER OR HAD NOT BEEN SCREENED IN THE PAST FIVE YEARS. IN 2012, 15 INDIVIDUALS WERE DIAGNOSED AND TREATED FOR PRE-INVASIVE AND INVASIVE CANCER. SINCE THE INCEPTION OF THE PROGRAM, 86 INDIVIDUALS HAVE BEEN DIAGNOSED AND TREATED FOR PRE-INVASIVE AND INVASIVE CANCER. * ASSISTED INDIVIDUALS IN KICKING THE SMOKING HABIT THROUGH SMOKING CESSATION CLASSES IN 2012. * PROVIDED NORTON CANCER INSTITUTE GENETIC COUNSELING SERVICES, THE ONLY DEDICATED SERVICE CENTER OF ITS KIND IN THE REGION, STAFFED BY AN ONCOLOGIST AND TWO GENETIC COUNSELORS SPECIALIZING IN CANCER GENETICS AND HEREDITARY CANCER SYNDROMES. IN 2012, THE PROGRAM PROVIDED SERVICES TO 293 NEW PATIENTS. WOMEN'S SERVICES * NORTON WOMEN'S PAVILION BIRTHING CENTERS DELIVERED 7,982 BABIES. * PROVIDED FREE EDUCATIONAL CLASSES TO WOMEN IN THE COMMUNITY THROUGH THE MARSHALL WOMEN'S HEALTH & EDUCATION CENTER AT NORTON SUBURBAN HOSPITAL. THE CENTER OFFERS FREE PREVENTION AND WELLNESS CLASSES, CHILDBIRTH EDUCATION CLASSES AND TOURS, EDUCATIONAL MATERIALS AND CLINICAL NAVIGATION SERVICES. PEDIATRIC SERVICES * SPECIALISTS AT KOSAIR CHILDREN'S HOSPITAL AND KOSAIR CHILDREN'S MEDICAL CENTER - BROWNSBORO SERVE CHILDREN THROUGHOUT KENTUCKY AND SOUTHERN INDIANA. * KOSAIR CHILDREN'S HOSPITAL IS HOME TO THE KENTUCKY REGIONAL POISON CONTROL CENTER. IN 2012 THE CENTER RECEIVED 69,783 CALLS FROM CONCERNED INDIVIDUALS FROM ALL 120 COUNTIES IN KENTUCKY TO LEARN HOW TO CORRECTLY HANDLE EXPOSURES TO POISONS AND FOR TREATMENT ADVICE. * CHILD PASSENGER SAFETY TECHNICIANS FROM KOSAIR CHILDREN'S HOSPITAL CHECKED 684 CAR AND BOOSTER SEATS AND PROVIDED 171 CAR SEATS AT FREE CHECKUP CLINICS STATEWIDE. * KOSAIR CHILDREN'S HOSPITAL LEADS SAFE KIDS LOUISVILLE AND JEFFERSON COUNTY, A PROGRAM THAT CONDUCTS SAFETY EVENTS AT SCHOOLS AND IN THE COMMUNITY. IN 2012, 20,750 THIRD- THROUGH FIFTH-GRADERS THROUGHOUT KENTUCKY PARTICIPATED IN 148 BIKE SAFETY "RODEOS." * APPROXIMATELY 480 AREA ELEMENTARY STUDENTS, 12 TEACHERS AND 10 TEACHER'S AIDES PARTICIPATED IN "SAFE KIDS WALK THIS WAY," A PROGRAM LED BY KOSAIR CHILDREN'S HOSPITAL. THE PROGRAM IS DESIGNED TO POINT OUT DANGEROUS AREAS AND TEACH CHILDREN SAFE PEDESTRIAN HABITS. * KOSAIR CHILDREN'S "JUST FOR KIDS" TRANSPORT TEAM ASSISTED IN THE TRANSPORT OF 1,848 BABIES AND CHILDREN FROM ACROSS THE REGION TO KOSAIR CHILDREN'S HOSPITAL IN 2012 BY WAY OF MOBILE INTENSIVE CARE UNITS, AND THEIR AIR TRAVEL SERVICES. * KOSAIR CHILDREN'S HOSPITAL (DOWNTOWN CAMPUS) BECAME VERIFIED AS A LEVEL I PEDIATRIC TRAUMA CENTER BY THE VERIFICATION REVIEW COMMITTEE (VRC), AN AD HOC COMMITTEE OF THE COMMITTEE ON TRAUMA OF THE AMERICAN COLLEGE OF SURGEONS (ACOS). THIS ACCREDITATION IS A NATIONAL DESIGNATION THAT REQUIRES BOTH HIGH-QUALITY CLINICAL CARE AND RESEARCH IN THE FIELD OF TRAUMA WITH CONTINUED INNOVATION. THE ACOS COMMITTEE ON TRAUMA'S VERIFICATION PROGRAM CONFIRMED THROUGH A RIGOROUS AUDIT OF FACILITIES AND PROCESSES THAT KOSAIR CHILDREN'S HOSPITAL HAS DEMONSTRATED ITS COMMITMENT TO PROVIDING THE HIGHEST QUALITY TRAUMA CARE FOR ALL INJURED PEDIATRIC PATIENTS. KOSAIR CHILDREN'S HOSPITAL JOINS THE UNIVERSITY OF LOUISVILLE HOSPITAL AND UNIVERSITY OF KENTUCKY HOSPITAL IN BEING THE ONLY THREE DESIGNATED LEVEL I TRAUMA CENTERS IN THE STATE. AN IMPORTANT DISTINCTION TO NOTE, KOSAIR CHILDREN'S IS ALSO THE ONLY FREE-STANDING LEVEL I PEDIATRIC TRAUMA CENTER IN KENTUCKY AND IS AMONG AN ELITE GROUP OF CHILDREN'S HOSPITALS WITH THIS STATUS IN THE COUNTRY. ACCOMPLISHMENTS CONTINUED FORM 990, PART III, LINE 4A PEDIATRIC SERVICES (CONTINUED) * NEARLY 3,900 KINDERGARTEN STUDENTS, 176 TEACHERS, 529 CHAPERONES AND 203 VOLUNTEERS ATTENDED THE 30TH ANNUAL CHILDREN AND HOSPITALS WEEK; AN EVENT LED BY KOSAIR CHILDREN'S HOSPITAL. THE WEEKLONG PROGRAM WAS HELD AT A NEW VENUE - LOUISVILLE SLUGGER FIELD - AND SUPPORTED BY A KOHL'S CARES GRANT. CHILDREN AND HOSPITALS WEEK IS HELD EVERY MARCH AND IS DESIGNED TO HELP LESSEN THE FEAR AND ANXIETY CHILDREN MAY HAVE ABOUT HOSPITALS. ORTHO/NEURO/SPINE SERVICES * NORTON NEUROSCIENCE INSTITUTE CONTINUED ITS $100 MILLION, 10-YEAR INVESTMENT IN THE COMMUNITY. THE INSTITUTE IS POISED TO BE THE FUTURE REGIONAL AND NATIONAL LEADER IN TREATMENT, RESEARCH AND ACADEMIC TRAINING FOR ALL ADULT AND PEDIATRIC NEUROSCIENCE DISCIPLINES. THE INSTITUTE ALLOWS THESE PATIENTS TO BE TREATED FOR THEIR NEUROLOGICAL DISORDERS WITHOUT HAVING TO LEAVE THE STATE FOR CARE - AS WAS SOMETIMES NECESSARY IN THE PAST. NEARLY TWO DOZEN SUBSPECIALTY FELLOWSHIP-TRAINED NEUROSURGEONS, NEUROLOGISTS AND OTHER NEUROLOGICAL RELATED SPECIALISTS HAVE JOINED THE GROWING PRACTICE. THESE PHYSICIANS PROVIDE EXPERTISE IN STROKE CARE, EPILEPSY, PARKINSON'S DISEASE, MULTIPLE SCLEROSIS, BRAIN TUMORS AND CONCUSSIONS. ALSO AS A RESULT OF NORTON HEALTHCARE'S $100 MILLION COMMITMENT, THE FOLLOWING SERVICES ARE AVAILABLE TO OUR COMMUNITY: * THE NEUROENDOVASCULAR PROGRAM BECAME AVAILABLE AT TWO NORTON HEALTHCARE ADULT FACILITIES MAKING ADVANCED STROKE, ANEURYSM AND ARTERIOVENOUS MALFORMATION (RANDOM BRAIN HEMORRHAGE OR RUPTURE) TREATMENT POSSIBLE - WHEN IT WAS NOT PREVIOUSLY AVAILABLE IN THE REGION. * AS PART OF NORTON NEUROSCIENCE INSTITUTE'S MULTIDISCIPLINARY APPROACH TO EPILEPSY CARE, THE NORTON BROWNSBORO HOSPITAL EPILEPSY MONITORING UNIT IS A SPECIALIZED INPATIENT UNIT DESIGNED TO EVALUATE AND DIAGNOSE SEIZURE DISORDERS. THIS STATE-OF-THE ART EPILEPSY CENTER PROVIDES THE REGION'S MOST ADVANCED EPILEPSY MONITORING UNIT. * A CENTRALIZED MULTIPLE SCLEROSIS CENTER IS AVAILABLE AT NORTON SUBURBAN HOSPITAL, PROVIDING MS PATIENTS DEDICATED PROVIDERS THAT OFFER COMPREHENSIVE CARE, ENHANCED PATIENT RESOURCES, AND SUPPORT SERVICES ALL IN ONE CENTRALIZED LOCATION. IN ADDITION, MS PATIENTS HAVE ACCESS TO NATIONAL INSTITUTES OF HEALTH CLINICAL TRIALS THROUGH THE CENTER. * THE REGION'S FIRST REHABILITATION PROGRAM FOCUSED SOLELY ON TREATING PATIENTS WITH NEUROLOGICAL AND SPINE DISORDERS AND THE ONLY "LOKOMAT" SYSTEM SERVES LOUISVILLE SERVES AREA PATIENTS. THE SYSTEM HELPS PARALYZED PATIENTS OR THOSE WITH MOVEMENT DISORDERS STAND AND WALK. COMMUNITY MEDICAL ASSOCIATES * NETWORK OF PHYSICIAN PRACTICES LOCATED THROUGHOUT KENTUCKY AND SOUTHERN INDIANA. * THIS NETWORK CONSISTS OF 117 PRACTICE LOCATIONS AND IMMEDIATE CARE CENTERS, TREATING APPROXIMATELY 1,297,900 PATIENTS IN 2012. * PROVIDE PHYSICIANS AND A CHAPLAIN WHO MAKE HOUSE CALLS FOR PATIENTS WHO HAVE DIFFICULTY LEAVING THEIR HOME FOR MEDICAL CARE. * PHYSICIANS ARE INVOLVED IN MEDICAL SCREENING, COMMUNITY OUTREACH, AND COMMUNITY EDUCATION ACTIVITIES TO PROMOTE WELLNESS AND EARLY INTERVENTIONS. RESEARCH * IN 2012, NORTON HEALTHCARE PARTICIPATED IN MORE THAN 600 RESEARCH PROJECTS THAT BENEFIT THE COMMUNITY. OUR RESEARCH GIVES NORTON HEALTHCARE PATIENTS ACCESS TO NEW INNOVATIVE TREATMENTS AND HELPS EXPAND THE MEDICAL COMMUNITY'S KNOWLEDGE. THESE EFFORTS IMPROVE THE QUALITY OF MEDICAL CARE AND WILL CONTINUE TO DO SO FOR FUTURE GENERATIONS. * NORTON HEALTHCARE OFFICE OF RESEARCH ADMINISTRATION PARTNERED WITH NORTON UNIVERSITY TO OFFER RESEARCH EDUCATION TO ALL RESEARCHERS IN THE LOUISVILLE METRO AREA AND BEYOND. IN 2012, EIGHT PROGRAMS WERE OFFERED. ATTENDEES INCLUDED: NORTON HEALTHCARE, JEWISH HOSPITAL & ST. MARY'S HEALTHCARE/KENTUCKYONE HEALTH, UNIVERSITY OF LOUISVILLE HOSPITAL, FLOYD MEMORIAL HOSPITAL, UNIVERSITY OF CINCINNATI CHILDREN'S HOSPITAL, CENTRAL BAPTIST HOSPITAL, UNIVERSITY OF KENTUCKY, UNIVERSITY OF LOUISVILLE AND VARIOUS COMMUNITY-BASED PRACTICES. THE CHILDREN'S HOSPITAL FOUNDATION THE CHILDREN'S HOSPITAL FOUNDATION RAISES FUNDS TO SUPPORT PROGRAMS, EQUIPMENT AND FACILITIES, RESEARCH, ADVOCACY AND EDUCATION FOR KOSAIR CHILDREN'S HOSPITAL. THE CHILDREN'S HOSPITAL FOUNDATION IS PLEASED TO BE ABLE TO PLAY SUCH A LARGE ROLE IN ENSURING THAT CHILDREN IN THE LOUISVILLE AREA HAVE THE MEDICAL CARE THEY NEED WHEN THEY NEED IT, WHILE KEEPING KIDS AS CLOSE TO HOME AS POSSIBLE. THANKS TO SUPPORT FROM THE COMMUNITY, KOSAIR CHILDREN'S HOSPITAL HAS SOME OF THE MOST TALENTED AND DEDICATED PEDIATRIC SPECIALISTS AND CLINICAL AND CAREGIVING TEAMS IN THE COUNTRY READY TO CARE FOR CHILDREN. THIS SUPPORT ENABLED THEM TO PROVIDE CARE TO MORE THAN 156,000 CHILDREN IN 2012. IN 2012 THE HOSPITAL WAS RANKED AMONG AMERICA'S BEST CHILDREN'S HOSPITALS BY U.S. NEWS & WORLD REPORT FOR THE FIFTH CONSECUTIVE YEAR. THIS 263-BED HOSPITAL IS THE ONLY FULL-SERVICE, FREE-STANDING PEDIATRIC HOSPITAL IN KENTUCKY AND THE PRIMARY TEACHING FACILITY FOR THE UNIVERSITY OF LOUISVILLE SCHOOL OF MEDICINE DEPARTMENT OF PEDIATRICS. IN ORDER TO CONTINUE TO EXCEED THE COMMUNITY'S NEED FOR SPECIALIZED PEDIATRIC CARE AND TO MEET THE EVER-GROWING NEEDS AT KOSAIR CHILDREN'S HOSPITAL, 2012 BROUGHT SEVERAL SERVICE-LINE SPECIFIC FUNDRAISING INITIATIVES - PEDIATRIC CANCER, NEONATAL INTENSIVE CARE AND TYPE 1 DIABETES - FORWARD TO DONORS AND THE COMMUNITY AT LARGE. WHILE THE FOUNDATION'S "JUST FOR KIDS" CAMPAIGN CONCLUDED IN 2011, THE THREE GENERAL AREAS OF DEVELOPMENT FROM THE CAMPAIGN - WORKFORCE, RESEARCH AND FACILITIES - CONTINUE TO GUIDE FUNDRAISING GROWTH IN EACH OF THE AFOREMENTIONED PEDIATRIC SERVICES. ADDITIONALLY, ONGOING AREAS OF NEED, SUCH AS CHILD ADVOCACY, PEDIATRIC PASTORAL CARE AND BEREAVEMENT PROGRAMS, ENDOWED RESEARCH CHAIRS AND SPECIALTY THERAPIES SUCH AS CHILD LIFE, EXPRESSIVE AND MUSIC THERAPIES CONTINUE TO BE AREAS OF FUNDING AND PRIORITY FOR THE CHILDREN'S HOSPITAL FOUNDATION TO ENSURE A TRULY "JUST FOR KIDS" EXPERIENCE FOR PATIENTS AND FAMILIES. THE FOUNDATION CONTINUES TO EXPAND PARTNERSHIPS WITHIN THE COMMUNITY AND ENHANCE THE HOSPITAL'S ABILITY TO SERVE ALL CHILDREN REGARDLESS OF THEIR FAMILIES' ABILITY TO PAY. THE STRENGTH AND VALUE OF THE COMMUNITY'S SUPPORT FOR THE HOSPITAL ARE VISIBLE THROUGH FUNDING AND SUPPORT OF PROGRAMS AND SERVICES IN 2012, INCLUDING: *THE OFFICE OF CHILD ADVOCACY OF KOSAIR CHILDREN'S HOSPITAL, WHICH HELPS PROVIDE SAFETY AND OUTREACH INFORMATION AIMED AT KEEPING KIDS OUT OF THE HOSPITAL. *PEDIATRIC CARDIOLOGY STUDY ON BASIC SCIENCE AND CLINICAL TRANSLATION. * SUPPORT PASTORAL CARE SERVICES FOR PATIENTS, THEIR FAMILIES AND STAFF MEMBERS AT KOSAIR CHILDREN'S HOSPITAL. *ENDOWED RESEARCH CHAIRS IN PEDIATRIC HEMATOLOGY/ONCOLOGY, SLEEP MEDICINE AND ENDOCRINOLOGY. *STAFF EDUCATIONAL OPPORTUNITIES AND ADVANCED CERTIFICATIONS THAT CAN LEAD TO IMPROVED PATIENT TREATMENT. SUPPORT FROM THE CHILDREN'S HOSPITAL FOUNDATION ALLOWS THE PEDIATRIC SPECIALISTS AT KOSAIR CHILDREN'S HOSPITAL TO CONTINUE TO RESPOND TO THE UNIQUE MEDICAL NEEDS OF CHILDREN FROM BIRTH TO AGE 18. THE PREVENTION AND WELLNESS PROGRAMS WORK TO KEEP CHILDREN HEALTHY AND OUT OF THE HOSPITAL. THE CHILDREN'S HOSPITAL FOUNDATION PROVIDES FUNDING FOR CAPITAL PROJECTS, IN ADDITION TO PROGRAMS, ADVOCACY, EDUCATION AND RESEARCH. IN 2012, THE FOUNDATION FUNDED THE FOLLOWING PROJECTS: *$6.5 MILLION WAS GRANTED TO KOSAIR CHILDREN'S HOSPITAL FOR PHASE III NEONATAL INTENSIVE CARE UNIT EXPANSION. THE CONSTRUCTION IS CURRENTLY UNDERWAY TO PROVIDE ADDITIONAL PRIVACY WITH PRIVATE AND SEMI-PRIVATE ROOMS FOR FAMILIES AND THEIR INFANTS. A NEW FAMILY CENTER WITH AMENITIES TO MAKE THE HOSPITAL FEEL A LITTLE MORE LIKE HOME; MILK LAB, SEVERAL HIGH-TECH ROOMS AND ROOMS FOR MULTIPLE-BIRTH BABIES WILL ENHANCE THE UNIT AND PROVIDE A HEALING ENVIRONMENT FOR THE MOST VULNERABLE PATIENTS IN THE HOSPITAL'S CARE. * CONSTRUCTION AND COMPLETION OF RENOVATIONS OF THE ADDISON JO BLAIR CANCER CARE CENTER TO GIVE PATIENTS AND THEIR FAMILIES A MORE HOME-LIKE ATMOSPHERE WHEN THEY ARE HOSPITALIZED FOR LONG PERIODS OF TIME. * TWO NEW MOBILE INTENSIVE CARE UNITS TO TRANSPORT THE MOST PREMATURE OF PATIENTS THROUGH TEENAGE PATIENTS TO LOUISVILLE FROM ACROSS THE REGION. THE NORTON HEALTHCARE FOUNDATION THE NORTON HEALTHCARE FOUNDATION IS THE PHILANTHROPIC ARM OF THE NOT-FOR-PROFIT NORTON HEALTHCARE ADULT-SERVICE HOSPITALS - NORTON HOSPITAL, NORTON AUDUBON HOSPITAL, NORTON BROWNSBORO HOSPITAL AND NORTON SUBURBAN HOSPITAL (FUTURE HOME OF THE NEW NORTON WOMEN'S AND KOSAIR CHILDREN'S HOSPITAL). THE FOUNDATION RAISES FUNDS EACH YEAR TO MAKE A DIFFERENCE FOR PROGRAMS, EQUIPMENT AND FACILITIES, RESEARCH AND EDUCATION, ENABLING THE HOSPITALS TO STAY UP-TO-DATE WITH MEDICAL ADVANCES AND TECHNOLOGY, AND MAINTAINING THE COMMUNITY'S ACCESS TO HEALTH CARE. ACCOMPLISHMENTS CONTINUED FORM 990, PART III, LINE 4A NORTON HEALTHCARE FOUNDATION (CONTINUED) COMMUNITY SUPPORT THROUGH THE NORTON HEALTHCARE FOUNDATION ALLOWS CAREGIVERS TO CONTINUE MAKING A DIFFERENCE FOR PATIENTS SERVED BY NORTON HEALTHCARE, INC. IN 2012, THAT SUPPORT HELPED THE FOUNDATION PROVIDE FUNDING TO: *PROVIDE ENHANCEMENTS FOR THE MARSHALL WOMEN'S HEALTH & EDUCATION CENTER, LOCATED AT THE FUTURE NORTON WOMEN'S AND KOSAIR CHILDREN'S HOSPITAL, WHICH PROVIDES A HEALING AND EDUCATIONAL GATHERING SPACE FOR EXPECTANT MOTHERS, WOMEN AT ALL STAGES OF LIFE AND THEIR FAMILIES TO LEARN HOW THEY CAN LIVE THEIR HEALTHIEST. *SUPPORT NORTON CANCER INSTITUTE INITIATIVES THAT PROVIDE EARLY DETECTION SCREENINGS, EDUCATION AND CLINICAL RESEARCH. *PROVIDE ENHANCEMENTS FOR NORTON WOMEN'S CARE AT NORTON HOSPITAL AND NORTON SUBURBAN HOSPITAL, HELPING FAMILIES WELCOME BABIES TO THEIR FAMILIES AS WELL AS SUPPORTING OUTREACH CARE FOR HIGH-RISK PREGNANT WOMEN. *SUPPORT PASTORAL CARE SERVICES FOR PATIENTS, THEIR FAMILIES AND STAFF MEMBERS AT ALL NORTON HEALTHCARE ADULT-SERVICE FACILITIES. *PROVIDE EDUCATIONAL OPPORTUNITIES FOR THE COMMUNITY AND CAREGIVERS, SUCH AS THE GAIL KLEIN GARLOVE LECTURESHIP AND NIXON LECTURESHIP, WHICH FOCUS ON TOPICS RELATED TO CANCER CARE, PREVENTION AND RESEARCH. *SUPPORT NURSES OBTAINING ONCOLOGY-CERTIFIED NURSE DESIGNATION, ENABLING THEM TO PROVIDE THE MOST ADVANCED AND COMPREHENSIVE CARE TO CANCER PATIENTS. *INSTALLATION OF TELEMEDICINE EQUIPMENT THROUGHOUT RURAL AREAS OF KENTUCKY AND SOUTHERN INDIANA TO PROVIDE ACCESS TO AND COMMUNICATION WITH NORTON HEALTHCARE PHYSICIANS FOR TIMELY DIAGNOSIS, TREATMENT PLANS AND FOLLOW UP. *PROVIDE BABY-FRIENDLY HOSPITAL INITIATIVES AT BOTH NORTON HOSPITAL AND NORTON WOMEN'S AND KOSAIR CHILDREN'S HOSPITAL. *PROVIDE BABY FRIENDLY HOSPITAL INITIATIVES AT BOTH NORTON HOSPITAL AND NORTON WOMEN'S AND KOSAIR CHILDREN'S HOSPITAL. *PROVIDE SUPPORT FOR YOUNG BREAST CANCER SURVIVORS. THE NORTON HEALTHCARE FOUNDATION WILL CONTINUE TO SUPPORT: *SCREENINGS AND EDUCATIONAL PROGRAMS FOR PREVENTION AND EARLY DETECTION OF CANCER IN HIGH-RISK AND MEDICALLY UNDERSERVED AREAS OF KENTUCKY AND SOUTHERN INDIANA. *IMPROVING CARDIOVASCULAR CARE. *WOMEN'S CARE FOR THOSE WELCOMING A NEW CHILD TO THE FAMILY, AS WELL AS FOR OTHER WOMEN'S ISSUES. *ADVANCED CARE THROUGH NORTON NEUROSCIENCE INSTITUTE FOR PATIENTS REQUIRING TREATMENT OF NEUROLOGICAL DISORDERS. *PREVENTION, SCREENING, CLINICAL RESEARCH AND PROGRAMS FOR NORTON CANCER INSTITUTE, PROVIDING ACCESS TO CARE AT EVERY STAGE OF CANCER. PHILANTHROPY PLAYS AN INCREASINGLY IMPORTANT ROLE AT NORTON HEALTHCARE AS CAREGIVERS STRIVE TO CONTINUOUSLY IMPROVE THE HEALTH OF THE COMMUNITY. CAPITAL PROJECTS ARE ALSO FUNDED BY THE NORTON HEALTHCARE FOUNDATION. IN 2012, THE FOUNDATION FUNDED THE FOLLOWING PROJECTS: *INSTALLATION OF TELEMEDICINE EQUIPMENT THROUGHOUT RURAL AREAS OF KENTUCKY AND SOUTHERN INDIANA TO PROVIDE ACCESS TO AND COMMUNICATION WITH NORTON HEALTHCARE PHYSICIANS FOR TIMELY DIAGNOSIS, TREATMENT PLANS AND FOLLOW UP. * PROVIDED MONITORS AND A NEW VENTILATION SYSTEM FOR NORTON SUBURBAN HOSPITAL. * REMODELED AND PROVIDED NEW FURNISHINGS FOR THE MARSHALL WOMEN'S CENTER AT SUBURBAN HOSPITAL. * PURCHASED MATERNAL FETAL MEDICINE TELEMEDICINE EQUIPMENT AND PERINATAL BIRTHING MIRRORS * FUNDED RESEARCH EQUIPMENT FOR THE NORTON CANCER INSTITUTE. * FUNDED CAPITAL EXPANSION OF THE MUSIC THERAPY PROGRAM AT AUDUBON HOSPITAL. FUNDING OF CAPITAL PROJECTS TOTALED APPROXIMATELY $878,000 IN 2012. COMMON PAYING AGENT 1099S FORM 990, PART V, LINE 1A NORTON HEALTHCARE, INC., EIN 61-1028725 IS THE COMMON PAYING AGENT FOR NORTON HOSPITALS, INC., NORTON HOSPITALS, INC., COMMUNITY MEDICAL ASSOCIATES, INC., NORTON PROPERTIES, INC., NORTON HEALTHCARE FOUNDATION, INC. AND THE CHILDREN'S HOSPITAL FOUNDATION. THEREFORE, ALL VENDORS, INCLUDING INDEPENDENT CONTRACTORS, ARE PAID AND REPORTED BY NORTON HEALTHCARE, INC. ON BEHALF OF THESE NAMED ENTITIES. FOR PURPOSES OF PART V, LINE 1, THE NUMBER OF 1099S REPORTED AND FILED FOR 2012 BY NORTON HEALTHCARE, INC., WAS APPROXIMATELY 528. NORTON HEALTHCARE, INC., HAS APPROXIMATELY 93 INDEPENDENT CONTRACTORS EXCEEDING $100,000 FOR 2012. NORTON HEALTHCARE, INC., THE COMMON PAYING AGENT, REPORTED 918 VENDORS ON FORM 1096 FOR 2012. W-2 G COMMON PAYING AGENT FORM 990, PART V, LINE 1B NORTON HEALTHCARE INC., AS THE COMMON PAYING AGENT, FILED TWO FORM W-2G ON BEHALF OF THE CHILDREN'S HOSPITAL FOUNDATION. COMMON PAYING AGENT FOR VENDORS FORM 990, PART V, LINE 1C NORTON HEALTHCARE, INC., EIN 61-1028725 IS THE COMMON PAYING AGENT FOR NORTON HEALTHCARE INC, AND ALL AFFILIATES. NORTON HEALTHCARE, INC. REQUIRES THAT ALL VENDORS PROVIDE AN ACCURATE TAXPAYER IDENTIFICATION NUMBER ON A FORM W-9, AS REQUIRED BY LAW, PRIOR TO ASSURANCE OF ANY PAYMENT. COMMON PAYING AGENT FOR EMPLOYEES FORM 990, PART V, LINE 2A NORTON HEALTHCARE, INC EIN 61-1028725 IS THE COMMON PAYING AGENT FOR NORTON HOSPTIALS, INC., NORTON PROPERTIES, INC., COMMUNITY MEDICAL ASSOCIATES, INC., NORTON HEALTHCARE FOUNDATION, INC., AND THE CHILDREN'S HOSPITAL FOUNDATION. THEREFORE, ALL APPLICABLE IRS TAX COMPLIANCE FILINGS ARE REPORTED BY NORTON HEALTHCARE, INC. ON BEHALF OF THESE NAMED ENTITIES. NORTON HEALTHCARE, INC. HAS APPROXIMATELY 1,688 EMPLOYEES. NORTON HEALTHCARE, INC., THE COMMON PAYING AGENT, REPORTED 13,018 EMPLOYEES ON FORM W-3 FOR 2012. Delegate broad authority to a committee Form 990, Part VI, Section A, Line 1a THE EXECUTIVE COMMITTEE SHALL POSSESS AND MAY EXERCISE ALL THE POWERS AND AUTHORITY OF THE BOARD OF TRUSTEES IN THE MANAGEMENT AND DIRECTION OF THE BUSINESS AND AFFAIRS OF THE CORPORATION. HOWEVER, THE EXECUTIVE COMMITTEE DOES NOT POSSESS THE AUTHORITY TO DO THE FOLLOWING: A)FILL VACANCIES ON THE BOARD; B)CHANGE THE MEMBERSHIP OF THE EXECUTIVE COMMITTEE; C)MAKE DECISIONS TO MERGE, LIQUIDATE, OR OTHERWISE MAKE DECISIONS OUTSIDE OF THE NORMAL COURSE OF BUSINESS; D)MAKE FINAL DETERMINATIONS OF LONG-TERM POLICY; E)HIRE OR FIRE THE CHIEF EXECUTIVE OFFICER; AND F)AMEND THE ARTICLES OF INCORPORATION OR BYLAWS. Family/business relationships amongst interested persons Form 990, Part VI, Section A, Line 2 MR. STEPHEN A. WILLIAMS, PRESIDENT AND CEO OF NORTON HEALTHCARE, INC., IS ALSO AN OFFICER FOR NORTON HEALTHCARE, INC., NORTON HOSPITALS, INC., COMMUNITY MEDICAL ASSOCIATES, INC., AND NORTON PROPERTIES, INC. MARIA L. BOUVETTE, PRESIDENT AND CEO OF PORTER BANCORP, INC. IS A TRUSTEE FOR NORTON HEALTHCARE, INC., NORTON HOSPITALS, INC., COMMUNITY MEDICAL ASSOCIATES, INC. AND NORTON PROPERTIES, INC. MR. WILLIAMS IS A BOARD MEMBER OF PORTER BANCORP, INC. - BUSINESS RELATIONSHIP Review of form 990 by governing body Form 990, Part VI, Section B, Line 11b AT THE OCTOBER 3, 2013 FINANCE COMMITTEE MEETING OF NORTON HEALTHCARE, INC. (NORTON), THE 990S WERE DISCUSSED AND COMMITTEE MEMBERS HAD AN OPPORTUNITY TO ASK QUESTIONS. COINCIDING WITH THE FINANCE COMMITTEE MEETING, ELECTRONIC COPIES OF THE 990S WERE MADE AVAILABLE TO ALL MEMBERS OF THE FINANCE COMMITTEE AND THE BOARD OF TRUSTEES THROUGH THE DIRECTOR'S PORTAL SITE. NORTON IS THE PARENT OF COMMUNITY MEDICAL ASSOCIATES, INC., NORTON HOSPITALS, INC., NORTON PROPERTIES, INC., NORTON HEALTHCARE FOUNDATION, INC., AND THE CHILDREN'S HOSPITAL FOUNDATION, INC. Conflict of interest policy Form 990, Part VI, Section B, Line 12c THE ORGANIZATION REGULARLY AND CONSISTENTLY MONITORS AND ENFORCES COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY BY ANNUALLY DISTRIBUTING A QUESTIONNAIRE THAT REQUIRES OFFICERS, TRUSTEES, AND KEY EMPLOYEES TO DISCLOSE INTERESTS THAT MAY GIVE RISE TO CONFLICTS. IF A CONFLICT ARISES, THE POLICY PROVIDES PROCEDURES FOR ADDRESSING CONFLICTS TO ENSURE DECISIONS ARE MADE IN THE BEST INTEREST OF THE ORGANIZATION. Process used to establish compensation of top management official Form 990, Part VI, Section B, Line 15a PLEASE SEE EXPLANATION PROVIDED FOR FORM 990, PART VI, LINE 15B Process used to establish compensation of other officers/key employees Form 990, Part VI, Section B, Line 15b THE ORGANIZATION TAKES ALL NECESSARY STEPS TO ENSURE THAT COMPENSATION FOR ALL OFFICERS, DIRECTORS AND KEY EMPLOYEES IS REASONABLE AND APPROPRIATE FOR THE SERVICES PROVIDED TO THE ORGANIZATION. THE ORGANIZATION PROVIDES A TOTAL COMPENSATION PACKAGE THAT IS ON PAR WITH COMPENSATION PROVIDED BY SIMILAR ORGANIZATIONS AND WHICH CONFORMS TO THE POLICIES AND GUIDELINES SET OUT BY THE BOARD OF TRUSTEES. NORTON HEALTHCARE, INC. (NHI) ENGAGES AN OUTSIDE INDEPENDENT COMPENSATION CONSULTANT, INTEGRATED HEALTHCARE STRATEGIES (IHS), TO PROVIDE COMPARABILITY DATA FOR NHI'S OFFICERS AND KEY EMPLOYEES ON TOTAL COMPENSATION FOR SIMILAR POSITIONS AT HEALTH SYSTEMS AND HOSPITAL ORGANIZATIONS SIMILAR IN SIZE, SCOPE OF SERVICES, AND CIRCUMSTANCES. IN ADDITION, THE ORGANIZATION PARTICIPATES IN THIRD PARTY SURVEYS WHICH PROVIDE AGGREGATE, COMPARATIVE COMPENSATION DATA FOR OFFICERS AND KEY EMPLOYEES IN SIMILAR POSITIONS AT SIMILAR ORGANIZATIONS. IHS CONSULTANTS PRESENTED AND DISCUSSED THIS COMPARABILITY DATA IN 2011 FOR THE 2012 COMPENSATION REVIEW AND MET IN 2012 FOR THE 2013 COMPENSATION REVIEW WITH THE COMMITTEE OF BOARD LEADERSHIP (NOW EXECUTIVE COMMITTEE) OF THE BOARD OF TRUSTEES (BOARD) THE COMMITTEE REVIEWED THE EXECUTIVE COMPENSATION AND BENEFITS PROGRAM, DETERMINED TOTAL COMPENSATION FOR THE CEO, AND APPROVED COMPENSATION FOR OTHER OFFICERS AND KEY EMPLOYEES. THE COMMITTEE REVIEWED NHI'S VARIABLE COMPENSATION PROGRAM AND DETERMINED APPROPRIATE AWARDS FOR PERFORMANCE RELATIVE TO GOALS SET FOR THE YEAR. AFTER THE COMMITTEE DETERMINED APPROPRIATE COMPENSATION AND BENEFITS FOR OFFICERS AND KEY EMPLOYEES, THE BOARD APPROVED THEIR TOTAL COMPENSATION. EMPLOYMENT CONTRACTS FOR THE CEO, COO, AND CFO AND KEY EMPLOYEES ARE SIGNED, AND REVIEWED AS NECESSARY. Governing documents, conflict of interest policy and financial statements available to the public Form 990, Part VI, Section C, Line 19 FINANCIAL STATEMENTS, GOVERNING DOCUMENTS, AND CONFLICT OF INTEREST POLICIES ARE NOT REQUIRED DISCLOSURES PURSUANT TO INTERNAL REVENUE CODE (IRC) SECTION 6104. THESE DOCUMENTS ARE NOT AVAILABLE TO THE PUBLIC. BOARD MEMBER STIPEND PAYMENTS FORM 990, PART VII, SECTION A, LINE 1A, COLUMN (D) NORTON HEALTHCARE, INC. (NHI) AND AFFILIATES (NORTON HOSPITALS, INC., COMMUNITY MEDICAL ASSOCIATES, INC., NORTON PROPERTIES, INC., NORTON HEALTHCARE FOUNDATION, INC., AND THE CHILDREN'S HOSPITAL FOUNDATION, INC.) ENCOURAGES AND FACILITATES BOARD MEMBER ATTENDANCE AT EDUCATIONAL PROGRAMS AND CONFERENCES ON SUBJECTS RELEVANT TO NHI. NHI'S TRAVEL POLICY FOR BOARD OF TRUSTEES PROVIDES THAT FOR EACH TRUSTEE THAT ATTENDS AT LEAST ONE OUT OF TOWN EDUCATIONAL CONFERENCE, A LUMP SUM STIPEND WILL BE PAID TO COVER UNREIMBURSED TRAVEL EXPENSE AND OTHER MISCELLANEOUS EXPENSES ASSOCIATED WITH CONFERENCE PREPARATION, ATTENDANCE OR FOLLOW UP. IN COMPLIANCE WITH IRS REGULATIONS, NHI PROVIDES A FORM 1099 TO ANY TRUSTEE THAT RECEIVES A STIPEND. THESE AMOUNTS HAVE BEEN REPORTED IN PART VII OR THE FORM 990 AS REPORTABLE COMPENSATION TO THE TRUSTEE RECEIVING STIPENDS IN 2012. INTEREST EXPENSE LINE 20 AND INTEREST ALLOCATION LINE 24D FORM 990, PART IX, LINE 20 FORM 990 PART IX LINE 20, INTEREST EXPENSE AND LINE 24D, INTEREST EXPENSE ALLOCATION: NORTON HEALTHCARE, INC.'S (NHI) METHODOLOGY FOR INTEREST EXPENSE ALLOCATION IS TO DETERMINE A BUDGET INTEREST EXPENSE AMOUNT BASED ON ANTICIPATED INTEREST EXPENSE TO BE RECORDED ON NHI'S OUTSTANDING DEBT. THE BUDGETED BOND INTEREST EXPENSE IS ALLOCATED TO ITS AFFILIATES MONTHLY THROUGHOUT THE FISCAL YEAR. FOR PURPOSES OF THE FORM 990 THE AMOUNT OF INTEREST EXPENSE ALLOCATED TO NHI'S AFFILIATES IS REPORTED ON PART IX, LINE 24D. ANY INCREASE OR DECREASE TO THE ACTUAL BOND INTEREST EXPENSE DURING THE FISCAL YEAR IS NOT ALLOCATED TO ITS AFFILIATES BUT IS REFLECTED IN NHI'S FINANCIAL STATEMENTS AND THE FORM 990, PART IX, LINE 20 ACCORDINGLY. IN 2012, THE AMOUNTS BUDGETED FOR THE INTEREST EXPENSE ALLOCATIONS WERE IN EXCESS OF THE ACTUAL AMOUNTS RECORDED. FACTORS CONTRIBUTING TO THE FAVORABLE INTEREST EXPENSE WERE: EARNINGS ON THE CASH FLOW ON THE SWAP AGREEMENTS EXCEEDED EXPECTATIONS, CONTINUATION OF LOW VARIABLE RATES THAT WERE LESS THAN EXPECTATIONS AND A BOND REFUNDING TO A MUCH LOWER INTEREST RATE. Other Expenses Form 990, Part IX, Line 11g CONTRACT LABOR - TOTAL EXPENSE: 1820562, PROGRAM SERVICE EXPENSE: 1764561, MANAGEMENT AND GENERAL EXPENSES: 56001, FUNDRAISING EXPENSES: ; PROFESSIONAL FEES - TOTAL EXPENSE: 36027, PROGRAM SERVICE EXPENSE: 36027, MANAGEMENT AND GENERAL EXPENSES: , FUNDRAISING EXPENSES: ; OUTSIDE SERVICES - TOTAL EXPENSE: 54615310, PROGRAM SERVICE EXPENSE: 45143498, MANAGEMENT AND GENERAL EXPENSES: 9471812, FUNDRAISING EXPENSES: ; OTHER EXPENSE - TOTAL EXPENSE: 372170, PROGRAM SERVICE EXPENSE: 200496, MANAGEMENT AND GENERAL EXPENSES: 171674, FUNDRAISING EXPENSES: ; Other changes in net assets or fund balances Form 990 , Part XI, Line 9 AFFILIATE TRANSFER - 44437; SWAP MARK TO MARKET ADJUSTMENTS - 11820971; CHANGE IN MINIMUM PENSION LIABILITY - -6447476; A-133 AUDITS PART XII LINE 3A AND 3B FORM 990, PART XII, LINE 3A AS REQUIRED BY THE U.S. OFFICE OF MANAGEMENT AND BUDGET CIRCULAR A-133, AUDITS OF STATES, LOCAL GOVERNMENTS, AND NON-PROFITS ORGANIZATIONS, IN 2012 NORTON HEALTHCARE, INC. AND AFFILIATES (NORTON HOSPITALS, INC., COMMUNITY MEDICAL ASSOCIATES, INC., NORTON PROPERTIES, INC., AND THE CHILDREN'S HOSPITAL FOUNDATION) RECEIVED AN AUDIT IN ACCORDANCE WITH THE SINGLE AUDIT ACT. NORTON HOSPITALS INC 224 E BORADWAY 5TH FLOOR LOUISVILLE KY 40202 PROVIDE HOSPITAL SERVICES KY 501(C)(3) 3 NA true COMMUNITY MEDICAL ASSOCIATES 224 E BORADWAY 5TH FLOOR LOUISVILLE KY 40202 OPERATES A NETWORK OF PHYSICIAN PRACTICES KY 501(C)(3) 9 NA true NORTON PROPERTIES INC 224 E BORADWAY 5TH FLOOR LOUISVILLE KY 40202 MAINTAINS OFFICE AND PARKING FACILITIES KY 501(C)(3) 11 - Type I NA true THE CHILDREN'S HOSPITAL FOUNDATION 224 E BORADWAY 5TH FLOOR LOUISVILLE KY 40202 GENERATE FUNDS TO SUPPORT PROGRAMS AND SERVICES KY 501(C)(3) 7 NA true NORTON HEALTHCARE FOUNDATION INC 224 E BORADWAY 5TH FLOOR LOUISVILLE KY 40202 GENERATE FUNDS TO SUPPORT PROGRAMS AND SERVICES KY 501(C)(3) 7 NA true NORTON ENTERPRISES INC 224 E BORADWAY 5TH FLOOR LOUISVILLE KY 40202 611054301 PROVIDE NURSING AND PATHOLOGY SERVICES KY NA C CORPORATION 35456038 24760886 1 true false false false false false false false false false false false false false false false false false true true NORTON HOSPITALS INC R 1240222751 FMV NORTON HOSPITALS INC S 1335442254 FMV COMMUNITY MEDICAL ASSOCIATES INC R 286030393 FMV COMMUNITY MEDICAL ASSOCIATES INC S 228424183 FMV NORTON PROPERTIES INC R 24131707 FMV NORTON PROPERTIES INC S 23864879 FMV THE CHILDREN'S HOSPITAL FOUNDATION R 4441753 FMV THE CHILDREN'S HOSPITAL FOUNDATION S 4054305 FMV NORTON HEALTHCARE FOUNDATION INC R 1302081 FMV NORTON HEALTHCARE FOUNDATION INC S 1568279 FMV NORTON ENTERPRISES INC R 27010759 FMV NORTON ENTERPRISES INC S 21119506 FMV