Form990
Click to see list of attachments
Department of the Treasury
Internal Revenue Service
Return of Organization Exempt From Income Tax
Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except private foundations)
MediumBullet Do not enter Social Security numbers on this form as it may be made public. By law, the IRS
generally cannot redact the information on the form.
MediumBullet Information about Form 990 and its instructions is at www.IRS.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
A For the 2013 calendar year, or tax year beginning 10-01-2013 , 2013, and ending 09-30-2014
BCheck if applicable:
CName of organization
The Norwalk Hospital Association
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
24 Stevens Street
 
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
Norwalk, CT06850
D Employer identification number

06-6068853
E Telephone number

G Gross receipts $ 344,054,451
F Name and address of principal officer:
Micahel Daglio
 
 
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
norwalkhospital.org
H(a)
Is this a group return for
subordinates?
H(b)
Are all subordinates
included?
If "No," attach a list. (see instructions)
H(c)
Group exemption number MediumBullet  
K Form of organization:
 
L Year of formation: 1893
M State of legal domicile: CT
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: The mission of Norwalk Hospital is to provide uniquely excellent innovative and compassionate health care with exceptional outcomes
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 23
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 19
5 Total number of individuals employed in calendar year 2013 (Part V, line 2a) ...... 5 2,147
6 Total number of volunteers (estimate if necessary) ............. 6 425
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 2,468,814
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b -1,166,977
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 4,120,997 3,133,943
9 Program service revenue (Part VIII, line 2g) ......... 343,278,008 332,314,811
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 2,326,994 1,594,693
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 2,933,358 3,329,326
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 352,659,357 340,372,773
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 7,902,784 7,666,306
14 Benefits paid to or for members (Part IX, column (A), line 4).....   0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 191,892,401 168,179,279
16a Professional fundraising fees (Part IX, column (A), line 11e).....   0
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet0    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 136,085,835 131,459,491
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 335,881,020 307,305,076
19 Revenue less expenses. Subtract line 18 from line 12....... 16,778,337 33,067,697
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 538,094,167 609,496,496
21 Total liabilities (Part X, line 26)............. 290,881,051 296,336,288
22 Net assets or fund balances. Subtract line 21 from line 20..... 247,213,116 313,160,208
Part II
Signature Block
Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.
Sign Here
JumboBullet
Signature of officer Date
JumboBullet
Type or print name and title
Paid Preparer Use Only
Print/Type preparer's name
Preparer's signature
Date
PTIN
Firm's name MediumBullet

Firm's EIN MediumBullet
Firm's address MediumBullet



Phone no.
May the IRS discuss this return with the preparer shown above? (see instructions) ............
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2013)
Form 990 (2013)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response or note to any line in this Part III ..............
1
Briefly describe the organization’s mission: The mission of Norwalk Hospital is to proivde uniqely excellent innovative and compassionate health care with exceptional outcomes. Vision: Norwalk Hospital will be the hospital of choice for patients, physicians, and health care professionals, recognized for deliveriing innovative clinical services with compassion. We are guided by these values - Patient-Centered: Honoring each individual's dignity, privacy, and confidentiality, empowering patients and their families as partners in their care, facilitating simple, convenient ways for patients and their families to use our programs and services; Excellence: Setting the highest standards for safety, clinical outcomes and personal servie, and continuously measuring, monitoring and raising those standards; innovation:continuously pionerring new and better ways to deliver care, including bringing state-of-the-art technology to real world care delivery, research and prevention of illness; Leadership: Attracting and developing throughout the
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? ......................
If "Yes," describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program services? ............................
If "Yes," describe these changes on Schedule O.
4
Describe the organization’s program service accomplishments for each of its three largest program services, as measured by expenses. Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported.
4a (Code:   ) (Expenses $ 39,910,370 including grants of $   ) (Revenue $ 39,911,610 )
Orthopedics and Neurospine Services: Norwalk Hospital provides comprehensive, high-quality Orthopedic and Neurospine care to residents of greater Fairfield County, Connecticut through an expert team of Board-Certified Orthopedists and Neurosurgeons who have trained at some of the nation's most prestigious hospitals and medical schools. A signature service, our Orthopedic and Neurospine program features a collaborative, team approach for the evaluation, treatment and rehabilitation of diseases and conditions affecting the bones, joints, cartilage, muscles, tendons and ligaments. Our Joint Replacement Center was accredited as a Center of Excellence by the Joint Commission. Clinical services provided includes: arthritis & joint pain treatment, foot and ankle care, fracture care, hand and upper extremity care (including shoulder and elbow replacement surgery), joint replacement (hip and knee), spine surgery, sports medicine, trauma care for orthopedic injuries. Ortho Neuro had total inpatient discharges of 1,690 for the fiscal year ended 9/30/2014.
4b (Code:   ) (Expenses $ 35,589,052 including grants of $   ) (Revenue $ 44,162,372 )
Womens' Health: One of the Hospital's premier signature clinical programs, our Women's and Children's services features a top notch team of Obstetricians/Gynecologists, Pediatricians, Certified Midwives, Pediatric Hospitalists, Neonatologists, Pediatric Specialist, Physician Assistants and Nurses. This team's compassionate and expert care further enhanced by the availability of perinatologists from Yale University Medical School, in addition of onsite Perinatology services for high risk pregnancies. Our obstetricians and certified nurse midwives deliver babies in the Hospital's modern, home-like childbirth center. The center features in-suite amenities, including beautiful private rooms, massage therapy for infants and mothers and wireless internet access. In addition advanced, minimally invasive robotic surgery for several gynecologic procedures, including hysterectomies, fibroid removal, vaginal prolapse correction, to stop menorrhagia and to treat certain forms of cervical and uterine cancers, are available at the Hospital. Women's Health had total inpatient discharges of 2,803 for the fiscal year ended 9/30/2014.
4c (Code:   ) (Expenses $ 34,175,537 including grants of $   ) (Revenue $ 39,279,476 )
Gastroenterology and Digestive Services: Norwalk Hospital is noted for its advanced Gastroenterology Program, which is considered to be a leading program in Connecticut as well as in nearby Westchester County, New York, for the diagnosis and treatment of a wide range of digestive diseases and conditions. One of the Hospital's premier signature clinical services, this program features experienced and highly respected Gastroenterologists, on the Norwalk Hospital Medical Staff, who see patients in their offices throughout lower Fairfield County as well as at the Hospital's Center for Digestive Diseases. A key component of Norwalk Hospital's Digestive Diseases Services is a Colorectal Cancer Screening Program. Colorectal Cancers are highly preventable and treatable if caught early. Norwalk Hospital is recognized by the Joint Commission as a Center of Excellence for Colorectal Cancer, one of only five in the Country. Health experts recommend a screening colonoscopy at age 50 for adults considered at average risk. Colonoscopies are performed by Gastroenterologists in the Hospital's modern and nationally accredited Gastrointestinal (GI) Lab. The Norwalk Hospital Center for Digestive Diseases provides state-of-the-art, academic medical center-level care in a conveniently located, community hospital setting. The Center's widely recognized, fellowship-trained, specialist physicians provide leading-edge diagnostics and treatments for disorders of the esophagus, stomach, small intestines, colon, rectum, gallbladder, pancreas and liver. A leader in advanced endoscopic procedures for the treatment of Gastrointestinal Disorders, the center also offers a chronic heartburn program and in partnership with Yale School of Medicine, a comprehensive liver center. Clinical services provided by the Center's specialist physicians include, but are not limited to: ablation therapy for Barrett's Esophagus, Chronic Heartburn(GERD)evaluation and treatment, Colon Cancer screening, Colonoscopies, Double Balloon-Assisted Enteroscopy, Endoscopic Procedures, including ultrasound, Inflammatory Bowel Disease evaluation and treatment, Liver Diseases, including Hepatitis C evaluations and treatments. The Center serves as a major teaching site for the Yale School of Medicine. William Hale, MD Director of Gastroenterology and Hepatology and Dennis Meighan, DO, Director of Endoscopy, help train Residents and Fellows, and also conduct clinical research studies designed to improve care for patents. Gastro & Digestive Services had total inpatient discharges of 1,680 and 6,401 outpatient visits for the fiscal year ended 9/30/2014.
4d Other program services (Describe in Schedule O.)
(Expenses $ 155,962,583 including grants of $ 7,666,306 ) (Revenue $ 208,961,353 )
4e Total program service expensesMediumBullet265,637,542
Form 990 (2013)
Form 990 (2013)
Page 3
Part IV
Checklist of Required Schedules
Yes
No
1
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule AClick to see attachment........................
1
Yes
 
2
Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? Click to see attachment...
2
Yes
 
3
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If "Yes," complete Schedule C, Part IClick to see attachment..........
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h) election in effect during the tax year? If "Yes," complete Schedule C, Part IIClick to see attachment........
4
Yes
 
5
Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19? If "Yes," complete Schedule C,
Part IIIClick to see attachment............................
5
 
No
6
Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If "Yes," complete Schedule D, Part IClick to see attachment........................
6
 
No
7
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part IIClick to see attachment...
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes," complete Schedule D, Part III Click to see attachment....................
8
 
No
9
Did the organization report an amount in Part X, line 21 for escrow or custodial account liability; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services? If "Yes," complete Schedule D, Part IVClick to see attachment..............
9
 
No
10
Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent endowments, or quasi-endowments? If "Yes," complete Schedule D, Part VClick to see attachment......
10
Yes
 
11
If the organization’s answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, VII, VIII, IX, or X as applicable.
a
Did the organization report an amount for land, buildings, and equipment in Part X, line 10?
If "Yes," complete Schedule D, Part VI.Click to see attachment...................
11a
Yes
 
b
Did the organization report an amount for investments—other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIIClick to see attachment.......
11b
 
No
c
Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIIIClick to see attachment.......
11c
Yes
 
d
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part IXClick to see attachment............
11d
Yes
 
e
Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part XClick to see attachment
11e
Yes
 
f
Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization’s liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part XClick to see attachment.........................
11f
 
No
12a
Did the organization obtain separate, independent audited financial statements for the tax year?
If "Yes," complete Schedule D, Parts XI and XII Click to see attachment.................
12a
 
No
b
Was the organization included in consolidated, independent audited financial statements for the tax year? If "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional Click to see attachment
12b
Yes
 
13
Is the organization a school described in section 170(b)(1)(A)(ii)? If "Yes," complete Schedule E....
13
 
No
14a
Did the organization maintain an office, employees, or agents outside of the United States?.....
14a
 
No
b
Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts I and IV.........
14b
 
No
15
Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or for any foreign organization? If “Yes,” complete Schedule F, Parts II and IV
15
 
No
16
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other assistance to or for foreign individuals? If “Yes,” complete Schedule F, Parts III and IV...
16
 
No
17
Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If "Yes," complete Schedule G, Part I (see instructions)....
17
 
No
18
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If "Yes," complete Schedule G, Part II............
18
 
No
19
Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If "Yes," complete Schedule G, Part III...................
19
 
No
20a
Did the organization operate one or more hospital facilities? If "Yes," complete Schedule H.... Click to see attachment
20a
Yes
 
b
If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return? Click to see attachment
20b
Yes
 
Form 990 (2013)
Form 990 (2013)
Page 4
Part IV
Checklist of Required Schedules (continued)
21
Did the organization report more than $5,000 of grants or other assistance to any domestic organization or government on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II... Click to see attachment
21
Yes
 
22
Did the organization report more than $5,000 of grants or other assistance to individuals in the United States on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III........ Click to see attachment
22
 
No
23
Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization’s current and former officers, directors, trustees, key employees, and highest compensated employees? If "Yes," complete Schedule J....................... Click to see attachment
23
Yes
 
24a
Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If “Yes,” answer lines 24b through 24d and complete Schedule K. If “No,” go to line 25a................ Click to see attachment
24a
Yes
 
b
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...
24b
 
No
c
Did the organization maintain an escrow account other than a refunding escrow at any time during the year
to defease any tax-exempt bonds?......................
24c
 
No
d
Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?...
24d
 
No
25a
Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I........ Click to see attachment
25a
 
No
b
Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization’s prior Forms 990 or 990-EZ? If "Yes," complete Schedule L, Part I................... Click to see attachment
25b
 
No
26
Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons? If so, complete Schedule L, Part II.................... Click to see attachment
26
 
No
27
Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member of any of these persons? If "Yes," complete Schedule L, Part III......... Click to see attachment
27
 
No
28
Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions):
a
A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV .......................... Click to see attachment
28a
Yes
 
b
A family member of a current or former officer, director, trustee, or key employee? If "Yes,"
complete Schedule L, Part IV..................... Click to see attachment
28b
 
No
c
An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV... Click to see attachment
28c
 
No
29
Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M..
29
 
No
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M.............
30
 
No
31
Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N,
Part I...........................
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule N, Part II......................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If "Yes," complete Schedule R, Part I........ Click to see attachment
33
 
No
34
Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part II, III, or IV, and Part V, line 1........................ Click to see attachment
34
Yes
 
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
Yes
 
b
If ‘Yes’ to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2... Click to see attachment
35b
Yes
 
36
Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If "Yes," complete Schedule R, Part V, line 2............. Click to see attachment
36
 
No
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VIClick to see attachment
37
 
No
38
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Form 990 (2013)
Form 990 (2013)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response or note to any line in this Part V ..............
Yes
No
1a
Enter the number reported in Box 3 of Form 1096 Enter -0- if not applicable ..
1a
450
b
Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable .
1b
0
c
Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? ..................
1c
Yes
 
2a
Enter the number of employees reported on Form W-3, Transmittal of Wage and
Tax Statements, filed for the calendar year ending with or within the year covered by this return ..................
2a
2,147
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file (see instructions)
2b
 
No
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?...
3a
Yes
 
b
If “Yes,” has it filed a Form 990-T for this year? If “No” to line 3b, provide an explanation in Schedule O...
3b
 
 
4a
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)?..........................
4a
 
No
b
If "Yes," enter the name of the foreign country: MediumBullet
See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.
5a
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year?..
5a
 
No
b
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?
5b
 
No
c
If "Yes," to line 5a or 5b, did the organization file Form 8886-T? ............
5c
 
 
6a
Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible as charitable contributions?...
6a
 
No
b
If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible?........................
6b
 
 
7
Organizations that may receive deductible contributions under section 170(c).
a
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor?....................
7a
 
No
b
If "Yes," did the organization notify the donor of the value of the goods or services provided?.....
7b
 
 
c
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282?...........................
7c
 
No
d
If "Yes," indicate the number of Forms 8282 filed during the year ....
7d
0
e
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?............................
7e
 
No
f
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract?..
7f
 
No
g
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required?............................
7g
 
No
h
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?..........................
7h
 
No
8
Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year?............
8
 
No
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?..........
9a
 
No
b
Did the organization make a distribution to a donor, donor advisor, or related person?.......
9b
 
No
10
Section 501(c)(7) organizations. Enter:
a
Initiation fees and capital contributions included on Part VIII, line 12 ...
10a
 
b
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
 
11
Section 501(c)(12) organizations. Enter:
a
Gross income from members or shareholders .........
11a
 
b
Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them.) ..........
11b
 
12a
Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041?
12a
 
No
b
If "Yes," enter the amount of tax-exempt interest received or accrued during the year. ....................
12b
 
13
Section 501(c)(29) qualified nonprofit health insurance issuers.
a
Is the organization licensed to issue qualified health plans in more than one state?
Note. See the instructions for additional information the organization must report on Schedule O.
13a
 
No
b
Enter the amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans ....
13b
 
c
Enter the amount of reserves on hand ............
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O..
14b
 
No
Form 990 (2013)
Form 990 (2013)
Page 6
Part VI
Governance, Management, and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" response to lines 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.
Check if Schedule O contains a response or note to any line in this Part VI ..............
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year .....................
1a
23
If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
b
Enter the number of voting members included in line 1a, above, who are independent ...................
1b
19
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
 
No
3
Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? .
3
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? ...........................
4
Yes
 
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Did the organization have members or stockholders? ................
6
Yes
 
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? ....................
7a
Yes
 
b
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ...................
7b
Yes
 
8
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a
The governing body? .........................
8a
Yes
 
b
Each committee with authority to act on behalf of the governing body? ............
8b
Yes
 
9
Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization’s mailing address? If "Yes," provide the names and addresses in Schedule O.......
9
 
No
Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)
Yes
No
10a
Did the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes?
10b
 
 
11a
Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? ............................
11a
Yes
 
b
Describe in Schedule O the process, if any, used by the organization to review this Form 990. .....
12a
Did the organization have a written conflict of interest policy? If "No," go to line 13.......
12a
 
No
b
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ..........................
12b
 
No
c
Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe in Schedule O how this was done.......................
12c
 
No
13
Did the organization have a written whistleblower policy? ...............
13
 
No
14
Did the organization have a written document retention and destruction policy? .........
14
 
No
15
Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision?
a
The organization’s CEO, Executive Director, or top management official ...........
15a
Yes
 
b
Other officers or key employees of the organization ................
15b
Yes
 
If "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions).
16a
Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? ......................
16a
Yes
 
b
If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization’s exempt status with respect to such arrangements? ............
16b
 
No
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be filedMediumBullet
18
Section 6104 requires an organization to make its Form 1023 (or 1024 if applicable), 990, and 990-T (501(c)(3)s only) available for public inspection. Indicate how you made these available. Check all that apply.
19
Describe in Schedule O whether (and if so, how) the organization made its governing documents, conflict of interest policy, and financial statements available to the public during the tax year.
20
State the name, physical address, and telephone number of the person who possesses the books and records of the organization:
MediumBulletToni Horne Controller14 Research DriveBethelCT06801 (203) 739-4530
Form 990 (2013)
Form 990 (2013)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response or note to any line in this Part VII ..............
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
1a Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization’s tax year.
RoundBullet List all of the organization’s current officers, directors, trustees (whether individuals or organizations), regardless of amount
of compensation. Enter -0- in columns (D), (E), and (F) if no compensation was paid.

RoundBullet List all of the organization’s current key employees, if any. See instructions for definition of "key employee."
RoundBullet List the organization’s five current highest compensated employees (other than an officer, director, trustee or key employee)
who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the
organization and any related organizations.

RoundBullet List all of the organization’s former officers, key employees, or highest compensated employees who received more than $100,000
of reportable compensation from the organization and any related organizations.

RoundBullet List all of the organization’s former directors or trustees that received, in the capacity as a former director or trustee of the
organization, more than $10,000 of reportable compensation from the organization and any related organizations.

List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highest
compensated employees; and former such persons.
Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee.
(A)
Name and Title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(1) Diane M Allison Esq........................................................................
Chairman
 5.00
.......................4.00 		X   X       0 0 0
(2) Fred Afragola........................................................................
Secretary
 2.00
.......................1.00 		X   X       0 0 0
(3) Thomas Ayoub MD........................................................................
Trustee
 18.00
.......................1.00 		X           85,000 0 0
(4) George Bauer........................................................................
Trustee
 2.00
.......................3.00 		X           0 0 0
(5) Maria Borges-Lopez........................................................................
Trustee
 2.00
.......................1.00 		X           0 0 0
(6) Barbara Butler........................................................................
Secretary
 2.00
.......................2.00 		X   X       0 0 0
(7) Daniel DeBarba........................................................................
President
 40.00
.......................10.00 		X   X       1,110,329 0 26,151
(8) Howard Eison MD........................................................................
Trustee
 2.00
.......................3.00 		X           0 0 0
(9) Paul Gagne........................................................................
Trustee
 2.00
.......................2.00 		X           0 0 0
(10) Mark Gudis........................................................................
Treasurer
 2.00
.......................1.00 		X   X       0 0 0
(11) Ed Kangas........................................................................
Vice Chairman
 2.00
.......................1.00 		X   X       0 0 0
(12) David Komansky........................................................................
Trustee
 2.00
.......................1.00 		X           0 0 0
(13) David Lehn Esq........................................................................
Trustee
 2.00
.......................1.00 		X           0 0 0
(14) Victor Liss........................................................................
Trustee
 2.00
.......................7.00 		X           0 0 0
(15) Ed Mahony........................................................................
Vice Chairman
 4.00
.......................2.00 		X   X       0 0 0
(16) Joseph E Mann thru 123113........................................................................
Trustee
 2.00
.......................1.00 		X           0 0 0
(17) Robert Ready........................................................................
Trustee
 2.00
.......................3.00 		X           0 0 0
Form 990 (2013)
Form 990 (2013)
Page 8
Part VII
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)
(A)
Name and Title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(18) Gary Reiner........................................................................
Trustee
 2.00
.......................1.00 		X           0 0 0
(19) Amy Schafrann........................................................................
Trustee
 2.00
.......................3.00 		X           0 0 0
(20) Erv Shames........................................................................
Trustee
 2.00
.......................5.00 		X           0 0 0
(21) Andrew Whittingham........................................................................
Treasurer
 2.00
.......................1.00 		X   X       0 0 0
(22) Richard Zelkowitz MD........................................................................
Trustee
 2.00
.......................1.00 		X           0 0 0
(23) James Kennedy - Eff 1114........................................................................
Trustee
 0.00
.......................10.00 		X           0 0 0
(24) John Murphy MD - Eff 1114........................................................................
CEO
 0.00
.......................50.00 		X   X       0 1,243,861 54,487
(25) Patrick Minicus........................................................................
CFO
 40.00
.......................5.00 		    X       575,018 0 22,770
(26) Stven Rosenberg - Eff 1114........................................................................
CFO
 1.00
.......................50.00 		    X       0 717,641 45,409
(27) Lisa Brady........................................................................
COO / Senior VP Strat & Sys Develop
 40.00
.......................1.00 		      X     553,036 0 27,351
(28) Anthony Aceto........................................................................
Vice President, Human Resources
 40.00
.......................0.00 		      X     427,835 0 48,073
(29) Renee Mauriello........................................................................
VP Nursing & Patient Care Services
 40.00
.......................0.00 		      X     412,127 0 21,026
(30) James Haynes........................................................................
Exec Dir Facilities/VP Operations
 40.00
.......................0.00 		      X     246,842 0 29,538
(31) Michael Carius MD........................................................................
Chairman, ED
 40.00
.......................0.00 		        X   548,981 0 42,299
(32) Brian McGovern MD........................................................................
Physician
 40.00
.......................0.00 		        X   537,989 0 39,937
(33) Arthur Strichman MD........................................................................
Physician
 40.00
.......................0.00 		        X   413,355 0 44,601
(34) Katherine Tait Michael MD........................................................................
Chairman Psychiatr
 40.00
.......................0.00 		        X   395,858 0 40,047
(35) Robert Capodanno MD........................................................................
Physician
 40.00
.......................0.00 		        X   390,454 0 35,594
(36) Mary Nolan........................................................................
VP Nursing & Patient Care Services
 0.00
.......................0.00 		          X 151,996 0 0
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 5,848,820 1,961,502 477,283
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet344
Yes
No
3
Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a? If "Yes," complete Schedule J for such individual ..............
3
Yes
 
4
For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If "Yes," complete Schedule J for such individual...........................
4
Yes
 
5
Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services rendered to the organization? If "Yes," complete Schedule J for such person ........
5
 
No
Section B. Independent Contractors
1
Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization. Report compensation for the calendar year ending with or within the organization’s tax year.
(A)
Name and business address 		(B)
Description of services 		(C)
Compensation
Morrison Management Specialists IncP O Box 102289AltantaGA30368 Food Service 3,311,576
Norwalk Radiology Consultants PC148 East AvenueNorwalkCT06851 Physicians-Radiology 2,062,342
Rightsourcing IncPO Box 9695UniondaleNY11555 Staffing Services 1,397,415
Pullman & Comley LLC850 Main StreetBridgeportCT06601 Legal Services 1,262,223
Donald Murphy DBA Murphy SecurityPO Box 356New BritainCT06050 Security Services 1,219,890
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet54
Form 990 (2013)
Form 990 (2013)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII .............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512-514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c  
d Related organizations...1d 1,156,023
e Government grants (contributions)1e 1,977,920
f All other contributions, gifts, grants, and
similar amounts not included above1f 		 
g Noncash contributions included in lines
1a-1f:$ 		 
h Total. Add lines 1a-1f.......MediumBullet 3,133,943
Program Service RevenueAmt Business Code
2a Lab Services Revenue   2,468,814   2,468,814  
b Meaningful Use 900099 1,562,219 1,562,219    
c Net Patient Service Rev 621400 320,737,855 320,737,855    
d Norwalk Surgery Center JV 900099 2,941,039 2,941,039    
e Other Medical Services 900099 1,207,873 1,207,873    
f All other program service revenue . 3,397,011 3,397,011    
g Total. Add lines 2a–2f........MediumBullet 332,314,811
OtherAmt RevenueAmt 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 2,263,259     2,263,259
4 Income from investment of tax-exempt bond proceeds..MediumBullet 0      
5 Royalties...........MediumBullet 0      
(i) Real (ii) Personal
6a Gross rents 4,076,876  
b Less: rental expenses 2,822,130  
c Rental income or (loss) 1,254,746  
d Net rental income or (loss).......MediumBullet 1,254,746     1,254,746
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory   1,585
b Less: cost or other basis and sales expenses   670,151
c Gain or (loss)   -668,566
d Net gain or (loss)..........MediumBullet -668,566     -668,566
8a Gross income from fundraising events (not including
$  
of contributions reported on line 1c). See Part IV, line 18 ..
a  
b Less: direct expenses ...b  
c Net income or (loss) from fundraising events..MediumBullet 0    
9a Gross income from gaming activities.
See Part IV, line 19 ...
a  
b Less: direct expenses ...b  
c Net income or (loss) from gaming activities...MediumBullet 0      
10a Gross sales of inventory, less
returns and allowances .
a 437,282
b Less: cost of goods sold ..b 189,397
c Net income or (loss) from sales of inventory..MediumBullet 247,885     247,885
Miscellaneous Revenue Business Code
11a Cafeteria/Vending 900099 1,611,422     1,611,422
b Parking 900099 215,273     215,273
c            
d All other revenue ....        
e Total. Add lines 11a–11d ...... MediumBullet 1,826,695
12 Total revenue. See Instructions......MediumBullet 340,372,773 329,845,997 2,468,814 4,924,019
Form 990 (2013)
Form 990 (2013)
Page 10
Part IX
Statement of Functional Expenses
Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A).Check if Schedule O contains a response or note to any line in this Part IX ...............
Do not include amounts reported on lines 6b,
7b, 8b, 9b, and 10b of Part VIII. 		(A)
Total expenses 		(B)
Program service expenses 		(C)
Management and general expenses 		(D)
Fundraising expenses
1 Grants and other assistance to governments and organizations in the United States. See Part IV, line 21 7,666,306 7,666,306
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 0  
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 0  
4 Benefits paid to or for members 0  
5 Compensation of current officers, directors, trustees, and key employees .... 4,272,959   4,272,959  
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 0      
7 Other salaries and wages 129,236,968 114,431,222 14,805,746  
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 3,062,303 2,751,863 310,440  
9 Other employee benefits ....... 20,383,311 18,530,648 1,852,663  
10 Payroll taxes ........... 11,223,738 9,900,578 1,323,160  
11 Fees for services (non-employees):        
a Management ...... 0      
b Legal ......... 1,806,649   1,806,649  
c Accounting ........... 206,306   206,306  
d Lobbying ........... 89,206   89,206  
e Professional fundraising services. See Part IV, line 17 0  
f Investment management fees ...... 0      
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 38,038,177 32,319,706 5,718,471  
12 Advertising and promotion .... 1,494,445 62,036 1,432,409  
13 Office expenses ....... 2,594,780 1,535,947 1,058,833  
14 Information technology ...... 7,973,364 6,273,779 1,699,585  
15 Royalties .. 0      
16 Occupancy ........... 18,301,932 17,158,795 1,143,137  
17 Travel ............ 591,795 503,422 88,373  
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0      
19 Conferences, conventions, and meetings .... 27,197 27,197    
20 Interest ........... 2,456,725 2,456,725    
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization ..... 18,637,806 13,501,840 5,135,966  
23 Insurance .............. 3,751,740 3,643,197 108,543  
24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24e. If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule O.)
a Medical Supplies 19,910,787 19,910,787    
b Pharmacy 9,140,729 9,140,729    
c Radiology & Lab Supplies 2,939,370 2,939,370    
d Support Norw Comm Health Ctr 1,350,000 1,350,000    
e All other expenses 2,148,483 1,533,395 615,088  
25 Total functional expenses. Add lines 1 through 24e 307,305,076 265,637,542 41,667,534 0
26 Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here MediumBullet if following SOP 98-2 (ASC 958-720).        
Form 990 (2013)
Form 990 (2013)
Page 11
Part X Balance Sheet Check if Schedule O contains a response or note to any line in this Part X ..............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash–non-interest-bearing ............. 73,750,817 1 74,550,518
2 Savings and temporary cash investments .........   2 0
3 Pledges and grants receivable, net ...........   3 0
4 Accounts receivable, net ............. 26,795,462 4 40,426,872
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..................
  5 0
6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary organizations (see instructions) Complete Part II of Schedule L
  6 0
7 Notes and loans receivable, net ............. 912,778 7 812,885
8 Inventories for sale or use .............. 1,845,044 8 1,774,961
9 Prepaid expenses and deferred charges .......... 1,589,839 9 1,172,206
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 573,432,626
b Less: accumulated depreciation ..... 10b 328,979,796 160,131,766 10c 244,452,830
11 Investments—publicly traded securities .......... 89,661,793 11 125,266,668
12 Investments—other securities. See Part IV, line 11 ..... 2,267,986 12 2,002,502
13 Investments—program-related. See Part IV, line 11 ..... 45,162,957 13 47,837,445
14 Intangible assets ...............   14 0
15 Other assets. See Part IV, line 11 ........... 135,975,725 15 71,199,609
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 538,094,167 16 609,496,496
Liabilities 17 Accounts payable and accrued expenses ......... 53,040,490 17 60,551,105
18 Grants payable .................   18  
19 Deferred revenue ................   19  
20 Tax-exempt bond liabilities ............. 122,700,000 20 119,435,000
21 Escrow or custodial account liability. Complete Part IV of Schedule D..   21  
22 Loans and other payables to current and former officers, directors, trustees, key employees, highest compensated employees, and disqualified
persons. Complete Part II of Schedule L..........   22  
23 Secured mortgages and notes payable to unrelated third parties ..   23  
24 Unsecured notes and loans payable to unrelated third parties ....   24  
25 Other liabilities (including federal income tax, payables to related third parties, and other liabilities not included on lines 17-24). Complete Part X of Schedule D.................... 115,140,561 25 116,350,183
26 Total liabilities. Add lines 17 through 25......... 290,881,051 26 296,336,288
Net Assets or Fund Balance Organizations that follow SFAS 117 (ASC 958), check here MediumBullet and complete lines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets .............. 207,578,029 27 265,968,153
28 Temporarily restricted net assets ........... 30,180,235 28 37,730,403
29 Permanently restricted net assets ........... 9,454,852 29 9,461,652
Organizations that do not follow SFAS 117 (ASC 958), check here MediumBullet and complete lines 30 through 34.
30 Capital stock or trust principal, or current funds ........   30  
31 Paid-in or capital surplus, or land, building or equipment fund .....   31  
32 Retained earnings, endowment, accumulated income, or other funds   32  
33 Total net assets or fund balances ........... 247,213,116 33 313,160,208
34 Total liabilities and net assets/fund balances ........ 538,094,167 34 609,496,496
Form 990 (2013)
Form 990 (2013)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response or note to any line in this Part XI ..............
1
Total revenue (must equal Part VIII, column (A), line 12) ............
1
340,372,773
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
307,305,076
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
33,067,697
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
247,213,116
5
Net unrealized gains (losses) on investments ...............
5
6,339,426
6
Donated services and use of facilities .................
6
 
7
Investment expenses .....................
7
 
8
Prior period adjustments .....................
8
 
9
Other changes in net assets or fund balances (explain in Schedule O) ........
9
26,539,969
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
313,160,208
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response or note to any line in this Part XII .............
Yes
No
1
Accounting method used to prepare the Form 990:  
If the organization changed its method of accounting from a prior year or checked "Other," explain in
Schedule O.
2a
Were the organization’s financial statements compiled or reviewed by an independent accountant?
2a
 
No
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both:
b
Were the organization’s financial statements audited by an independent accountant?
2b
Yes
 
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis, or both:
c
If "Yes," to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant?
2c
Yes
 
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.
3a
As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-133?
3a
Yes
 
b
If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits.
3b
Yes
 
Form 990 (2013)
Form 990, Special Condition Description:
Special Condition Description
Additional Data


Software ID: 13000170
Software Version: 2013v4.0
SCHEDULE A
(Form 990 or 990EZ)

Department of the Treasury
Internal Revenue Service
Public Charity Status and Public Support
Complete if the organization is a section 501(c)(3) organization or a section 4947(a)(1) nonexempt charitable trust.
right arrow Attach to Form 990 or Form 990-EZ. right arrow See separate instructions.
right arrow Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
The Norwalk Hospital Association
 
Employer identification number

06-6068853
Part I
Reason for Public Charity Status (All organizations must complete this part.) See instructions.
The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)
1
2
3
4
5
section 170(b)(1)(A)(iv). (Complete Part II.)
6
7
8
9
receipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 331/3% of
its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses
acquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)
10
11
e
f
g
(i) A person who directly or indirectly controls, either alone or together with persons described in (ii)
Yes
No
and (iii) below, the governing body of the supported organization? ................
11g(i)
 
 
(ii) A family member of a person described in (i) above? ......................
11g(ii)
 
 
(iii) A 35% controlled entity of a person described in (i) or (ii) above? ................
11g(iii)
 
 
h
Provide the following information about the supported organization(s).
(i) Name of supported organization (ii) EIN (iii) Type of organization (described on lines 1- 9 above or IRC section (see instructions)) (iv) Is the organization in col. (i) listed in your governing document? (v) Did you notify the organization in col. (i) of your support? (vi) Is the organization in col. (i) organized in the U.S.? (vii) Amount of monetary support
Yes No Yes No Yes No
Total  

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 2
Part II
Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)
(Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization fails to qualify under the tests listed below, please complete Part III.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") ....            
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......            
3 The value of services or facilities furnished by a governmental unit to the organization without charge..            
4 Total. Add lines 1 through 3            
5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f)..  
6 Public support. Subtract line 5 from line 4.  
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
7 Amounts from line 4..            
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources...            
9 Net income from unrelated business activities, whether or not the business is regularly carried on..            
10 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)..            
11 Total support (Add lines 7 through 10).  
12
12
 
13
First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization, check this box and stop here.................................................right arrow
Section C. Computation of Public Support Percentage
14
14
 
15
15
 
16a
b
17a
b
18
Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions ..................................................... right arrow
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 3
Part III
Support Schedule for Organizations Described in Section 509(a)(2)
(Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .            
2 Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose......            
3 Gross receipts from activities that are not an unrelated trade or business under section 513..            
4 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...            
5 The value of services or facilities furnished by a governmental unit to the organization without charge..            
6 Total. Add lines 1 through 5.            
7a Amounts included on lines 1, 2, and 3 received from disqualified persons...            
b Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year.            
c Add lines 7a and 7b..            
8 Public support (Subtract line 7c from line 6.)  
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
9 Amounts from line 6...            
10a Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..            
b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.            
c Add lines 10a and 10b.            
11 Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on.            
12 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.) ..            
13 Total support. (Add lines 9, 10c, 11, and 12.)..            
14
Section C. Computation of Public Support Percentage
15
15
 
16
16
 
Section D. Computation of Investment Income Percentage
17
17
 
18
18
 
19a
b
20
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 4
Part IV
Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
 
Explanation
 
 
 
 
Schedule A (Form 990 or 990-EZ) 2013

Additional Data


Software ID: 13000170
Software Version: 2013v4.0
Schedule B
(Form 990, 990-EZ,
or 990-PF)
Department of the Treasury
Internal Revenue Service
Schedule of Contributors
Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
Arrow Bullet Information about Schedule B (Form 990, 990-EZ, or 990-PF) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Name of the organization
The Norwalk Hospital Association
 
Employer identification number

06-6068853
Organization type (check one):
Filers of:
Section:
Form 990 or 990-EZ





Form 990-PF




Check if your organization is covered by the General Rule or a Special Rule.  
Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
General Rule
Special Rules
......................... Arrow Bullet $  
Caution. An organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its
Form 990-EZ or on its Form 990PF, Part I, line 2, to certify that it does not meet the filing requirements of Schedule B (Form 990,
990-EZ, or 990-PF).
For Paperwork Reduction Act Notice, see the Instructions
for Form 990, 990-EZ, or 990-PF.
Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 2
Name of organization
The Norwalk Hospital Association
  		Employer identification number

06-6068853
Part I
Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
RESTRICTED
RESTRICTED
 

   
RESTRICTED
RESTRICTED
RESTRICTED, RESTRICTEDRESTRICTED

$RESTRICTED


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

   
 
 

$  


(Complete Part II for noncash contributions.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 3
Name of organization
The Norwalk Hospital Association
  		Employer identification number

06-6068853
Part II
Noncash Property (see instructions). Use duplicate copies of Part II if additional space is needed.
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions) 		(d)
Date received
 
$    
Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
Page 4
Name of organization
The Norwalk Hospital Association
  		Employer identification number

06-6068853
Part III
Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
that total more than $1,000 for the year. Complete columns (a) through (e) and the following line entry.
For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,
contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet$  
Use duplicate copies of Part III if additional space is needed.
(a) No.
from
Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a) No.
from
Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a) No.
from
Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a) No.
from
Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Additional Data


Software ID: 13000170
Software Version: 2013v4.0
SCHEDULE C
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Political Campaign and Lobbying Activities

For Organizations Exempt From Income Tax Under section 501(c) and section 527
SchCMd Bullet Complete if the organization is described below.SchCMd Bullet Attach to Form 990 or Form 990-EZ.
SchCMd Bullet See separate instructions.SchCMd Bullet Information about Schedule C (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
If the organization answered "Yes" to Form 990, Part IV, Line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then
Round Bullet Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.
Round Bullet Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.
Round Bullet Section 527 organizations: Complete Part I-A only.
If the organization answered "Yes" to Form 990, Part IV, Line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then
Round Bullet Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)): Complete Part II-A. Do not complete Part II-B.
Round Bullet Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part II-B. Do not complete Part II-A.
If the organization answered "Yes" to Form 990, Part IV, Line 5 (Proxy Tax) or Form 990-EZ, Part V, line 35c (Proxy Tax), then
Round Bullet Section 501(c)(4), (5), or (6) organizations: Complete Part III.
Name of the organization
The Norwalk Hospital Association
 
Employer identification number

06-6068853
Part I-A
Complete if the organization is exempt under section 501(c) or is a section 527 organization.

1
Provide a description of the organization’s direct and indirect political campaign activities in Part IV.
2
Political expenditures ....................................SchCMd Bullet
$  
3
Volunteer hours ........................................
 

Part I-B
Complete if the organization is exempt under section 501(c)(3).
1
Enter the amount of any excise tax incurred by the organization under section 4955 .........SchCMd Bullet
$  
2
Enter the amount of any excise tax incurred by organization managers under section 4955 ......SchCMd Bullet
$  
3
If the organization incurred a section 4955 tax, did it file Form 4720 for this year? ..............
4a
Was a correction made? .........................................
b
If "Yes," describe in Part IV.
Part I-C
Complete if the organization is exempt under section 501(c), except section 501(c)(3).
1
Enter the amount directly expended by the filing organization for section 527 exempt function activities SchCMd Bullet
$  
2
Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities ...................................SchCMd Bullet

$  
3
Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL, line 17b..SchCMd Bullet

$  
4
Did the filing organization file Form 1120-POL for this year? ..........................
5
Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing
organization made payments. For each organization listed, enter the amount paid from the filing organization’s funds. Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.
(a) Name (b) Address (c) EIN (d) Amount paid from filing organization's funds. If none, enter -0-. (e) Amount of political contributions received and promptly and directly delivered to a separate political organization. If none, enter -0-.










For Paperwork Reduction Act Notice, see the instructions for Form 990 or 990-EZ.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2013

Schedule C (Form 990 or 990-EZ) 2013
Page 2
Part II-A
Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)).
A Check SchCMd Bulletexpenses, and share of excess lobbying expenditures).
B Check SchCMd Bullet
Limits on Lobbying Expenditures
(The term "expenditures" means amounts paid or incurred.) 		(a) Filing
organization's
totals 		(b) Affiliated group
totals
1a Total lobbying expenditures to influence public opinion (grass roots lobbying) ......    
b Total lobbying expenditures to influence a legislative body (direct lobbying) .......    
c Total lobbying expenditures (add lines 1a and 1b) ...................    
d Other exempt purpose expenditures ........................    
e Total exempt purpose expenditures (add lines 1c and 1d) ...............    
f Lobbying nontaxable amount. Enter the amount from the following table in both
columns.		    
If the amount on line 1e, column (a) or (b) is:The lobbying nontaxable amount is:
Not over $500,00020% of the amount on line 1e.
Over $500,000 but not over $1,000,000$100,000 plus 15% of the excess over $500,000.
Over $1,000,000 but not over $1,500,000$175,000 plus 10% of the excess over $1,000,000.
Over $1,500,000 but not over $17,000,000$225,000 plus 5% of the excess over $1,500,000.
Over $17,000,000$1,000,000.
g Grassroots nontaxable amount (enter 25% of line 1f) .................    
h Subtract line 1g from line 1a. If zero or less, enter -0-. ................    
i Subtract line 1f from line 1c. If zero or less, enter -0-. ................    
j If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting
section 4911 tax for this year? ......................................

4-Year Averaging Period Under Section 501(h)
(Some organizations that made a section 501(h) election do not have to complete all of the five
columns below. See the instructions for lines 2a through 2f on page 4.)
Lobbying Expenditures During 4-Year Averaging Period
Calendar year (or fiscal year
beginning in) 		(a) 2010 (b) 2011 (c) 2012 (d) 2013 (e) Total
2a Lobbying nontaxable amount          
b Lobbying ceiling amount
(150% of line 2a, column(e)) 		 
c Total lobbying expenditures          
d Grassroots nontaxable amount          
e Grassroots ceiling amount
(150% of line 2d, column (e))		  
f Grassroots lobbying expenditures          
Schedule C (Form 990 or 990-EZ) 2013


Schedule C (Form 990 or 990-EZ) 2013
Page 3
Part II-B
Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 (election under section 501(h)).
For each "Yes" response to lines 1a through 1i below, provide in Part IV a detailed description of the lobbying activity.
(a)
No
Yes
(b)
Amount
1
During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of:
a
Volunteers? .........................................
 
No
b
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ....
Yes
 
c
Media advertisements? ....................................
 
No
 
d
Mailings to members, legislators, or the public? .........................
Yes
 
 
e
Publications, or published or broadcast statements? .......................
 
No
 
f
Grants to other organizations for lobbying purposes? .......................
 
No
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
Yes
 
88,954
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? ..........................
Yes
 
252
j
Total. Add lines 1c through 1i ...............................
89,206
2a
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....
 
No
b
If "Yes," enter the amount of any tax incurred under section 4912 .................
 
c
If "Yes," enter the amount of any tax incurred by organization managers under section 4912 .....
 
d
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? .......
 
No
Part III-A
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6).
Yes
No
1
Were substantially all (90% or more) dues received nondeductible by members? ................
1
 
 
2
Did the organization make only in-house lobbying expenditures of $2,000 or less? ................
2
 
 
3
Did the organization agree to carry over lobbying and political expenditures from the prior year? ..........
3
 
 
Part III-B
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2, are answered "No" OR (b) Part III-A, line 3, is answered “Yes."
1
Dues, assessments and similar amounts from members .....................
1
 
2
Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of political
expenses for which the section 527(f) tax was paid).
a
Current year .........................................
2a
 
b
Carryover from last year ....................................
2b
 
c
Total ............................................
2c
 
3
Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues .
3
 
4
If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? ................................
4
 
5
Taxable amount of lobbying and political expenditures (see instructions) ..............
5
 
Part IV
Supplemental Information
Provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, line 5; Part II-A (affiliated group list); Part II-A, line 2; and Part ll-B, line 1. Also, complete this part for any additional information.
Return Reference Explanation
Part II-B, Line 1i - Other Activities Description Largely state and local elected officials and agency heads were lobbied in support of maintaining patient access to essential services for the uninsured and underserved. A part of this effort, lobbyists and staff time are included in 1g and miscellaneous expenses are noted in 1i.Dues were paid to Connecticut Hospital Association (CHA)in the amount of $279,183 during fiscal 2014. CHA has determined that for CHA's fiscal year ending April 30, 2014, 15.79% of its membership dues were expended on activities that meet the Medicare definition of unallowable lobbying (those activities that are directly related to communications with legislators or actions on specific legislative bills). CHA continues to invest resources on advocacy efforts and governmental interactions that are supported by dues and not considered unallowable.Dues were paid to American Hospital Association (AHA) in the amount of $45,610 during fiscal 2014. AHA had determined that 23.65% and 22.8% of its membership dues for calendar 2013 and 2014, respectively, were expended on activities that meet the Medicare definition of unallowable lobbying. AHA continues to invest resources on a broad range of advocacy and representation initiatives to help the field understand and respond to the legislative and regulatory changes on the horizon and to support hospitals as they strive to deliver an ever-higher quality of care in the face of changes. Many of these activities went well beyond the scope of the narrow definition of lobbying activities captured in the lobbying % number.
Schedule C (Form 990 or 990EZ) 2013

Additional Data


Software ID: 13000170
Software Version: 2013v4.0

SCHEDULE D
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Financial Statements
SchDMd Bullet Complete if the organization answered "Yes," to Form 990,
Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b
SchDMd Bullet Attach to Form 990. SchDMd Bullet See separate instructions. SchDMd Bullet Information about Schedule D (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
The Norwalk Hospital Association
 
Employer identification number

06-6068853
Part I
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" to Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year .........    
2 Aggregate contributions to (during year) ...    
3 Aggregate grants from (during year) .....    
4 Aggregate value at end of year ........    
5
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised
funds are the organization's property, subject to the organization's exclusive legal control? ............
6
Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be
used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring impermissible private benefit? ...................................
Part II
Conservation Easements. Complete if the organization answered "Yes" to Form 990, Part IV, line 7.
1
Purpose(s) of conservation easements held by the organization (check all that apply).
2
Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year.
Held at the End of the Year
a Total number of conservation easements ....................... 2a  
b Total acreage restricted by conservation easements .................. 2b  
c Number of conservation easements on a certified historic structure included in (a) ..... 2c  
d Number of conservation easements included in (c) acquired after 8/17/06, and not on a historic structure listed in the National Register .................... 2d  
3
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during
the tax year SchDMd Bullet  
4
Number of states where property subject to conservation easement is located SchDMd Bullet  
5
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and
enforcement of the conservation easements it holds? .............................
6
Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet  
7
Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet $  
8
Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(i) and section 170(h)(4)(B)(ii)? .......................................
9
In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and
balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes
the organization’s accounting for conservation easements.
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
Complete if the organization answered "Yes" to Form 990, Part IV, line 8.
1a
If the organization elected, as permitted under SFAS 116 (ASC 958), not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII, the text of the footnote to its financial statements that describes these items.
b
If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items:
(i)
Revenues included in Form 990, Part VIII, line 1 ........................SchDMd Bullet $  
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $  
2
If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the
following amounts required to be reported under SFAS 116 (ASC 958) relating to these items:
a
Revenues included in Form 990, Part VIII, line 1 ..........................SchDMd Bullet $  
b
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 52283D
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply):
a
d
b
e
 
c
4
Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in
Part XIII.
5
During the year, did the organization solicit or receive donations of art, historical treasures or other similar
assets to be sold to raise funds rather than to be maintained as part of the organization’s collection?........
Part IV
Escrow and Custodial Arrangements. Complete if the organization answered "Yes" to Form 990,
Part IV, line 9, or reported an amount on Form 990, Part X, line 21.
1a
Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................
b
If "Yes," explain the arrangement in Part XIII and complete the following table:
Amount
c Beginning balance ................................. 1c  
d Additions during the year .............................. 1d  
e Distributions during the year ............................. 1e  
f Ending balance ................................... 1f  
2a
Did the organization include an amount on Form 990, Part X, line 21? .....................
b
If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII ........
Part V
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
(a)Current year (b)Prior year b (c)Two years back (d)Three years back (e)Four years back
1a Beginning of year balance .... 9,454,852 9,445,852 9,439,242 9,428,708 9,343,642
b Contributions ........ 6,800 9,000 6,610 10,534 85,066
c Net investment earnings, gains, and losses          
d Grants or scholarships .....          
e Other expenditures for facilities
and programs ........ 		         
f Administrative expenses ....          
g End of year balance ...... 9,461,652 9,454,852 9,445,852 9,439,242 9,428,708
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet  
b
Permanent endowment SchDMd Bullet100.000 %
c
Temporarily restricted endowment SchDMd Bullet  
The percentages in lines 2a, 2b, and 2c should equal 100%.
3a
Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes
No
(i) unrelated organizations ........................
3a(i)
 
No
(ii) related organizations ........................
3a(ii)
Yes
 
b
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
Yes
 
4
Describe in Part XIII the intended uses of the organization's endowment funds.
Part VI
Land, Buildings, and Equipment. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11a. See Form 990, Part X, line 10.
Description of property (a) Cost or other basis (investment) (b)Cost or other basis (other) (c) Accumulated depreciation (d) Book value
1a Land .................   26,000,000 26,000,000
b Buildings ................   199,718,425 101,279,338 98,439,087
c Leasehold improvements ............   10,247,139 3,644,378 6,602,761
d Equipment ................   257,351,553 222,629,944 34,721,609
e Other .................   80,115,509 1,426,136 78,689,373
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 244,452,830
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 3
Part VII
Investments—Other Securities. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11b. See Form 990, Part X, line 12.
(a) Description of security or category
(including name of security)		 (b)Book value (c) Method of valuation:
Cost or end-of-year market value
(1)Financial derivatives    
(2)Closely-held equity interests    
Other








Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet  
Part VIII
Investments—Program Related. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11c. See Form 990, Part X, line 13.
(a) Description of investment (b) Book value (c) Method of valuation:
Cost or end-of-year market value








Total. (Column (b) must equal Form 990, Part X, col.(B) line 13.)Small Bullet 47,837,445
Part IX
Other Assets. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11d. See Form 990, Part X, line 15.
(a) Description (b) Book value
(1) Construction Fund/Cost of Issuance 23,405,407
(2) Due from affiliates 135,428
(3) Interest in Charitable Remainder Trust 8,007,837
(4) Interest Rate Swap 2,510,102
(5) Malpractice Receivable 34,724,445
(6) Malpractice Trust 327
(7) Other Receivables 2,093,004
(8) Value Care Alliance 323,059

Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........Small Bullet 71,199,609
Part X
Other Liabilities. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.
1.(a) Description of liability (b) Book value
Federal income taxes  
Accrued Pension Liability 20,983,507
Asset Retirement Obligation 8,907,306
CHA Trust Loan 132,785
Debt Fair Value Adjustment 3,958,971
Due to affiliates 1,096,562
Due to Third Parties 36,052,621
Lease - Current and Long Term 2,793,582
Long Term Disability Reserve 1,744,769
Malpractice Reserve 38,342,918
Workers Comp Reserve 2,337,162
Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 116,350,183
2. Liability for uncertain tax positions In Part XIII, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48 (ASC 740). Check here if the text of the footnote has been provided in Part XIII ..................................................
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total revenue, gains, and other support per audited financial statements ....... 1  
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a  
b Donated services and use of facilities ......... 2b  
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIII.) ............ 2d  
e Add lines 2a through 2d ..................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b . 4a  
b Other (Describe in Part XIII.) ........... 4b  
c Add lines 4a and 4b....................... 4c  
5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ...... 5  
Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total expenses and losses per audited financial statements ........... 1  
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:
a Donated services and use of facilities .......... 2a  
b Prior year adjustments .............. 2b  
c Other losses ................ 2c  
d Other (Describe in Part XIII.) ............ 2d  
e Add lines 2a through 2d...................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b .. 4a  
b Other (Describe in Part XIII.) ............ 4b  
c Add lines 4a and 4b....................... 4c  
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5  
Part XIII
Supplemental Information
Provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part lV, lines 1b and 2b;
Part V, line 4; Part X, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.
Return Reference Explanation
Part V, Line 4: Intended uses of the endowment fund. Norwalk Hospital Foundation, Inc. (NHF) manages the fundraising for Norwalk Hospital Association. The income generated on the permanently endowed funds held by NHF are used to support the capital and operating needs of Norwalk Hospital as designated by the donor, if applicable. During fiscal 2014 endowment income was used to support nursing education and scholarships, department of medicine grand rounds, gift shop staff and cancer services.
Schedule D (Form 990) 2013

Additional Data


Software ID: 13000170
Software Version: 2013v4.0




SCHEDULE H (Form 990)
Department of the Treasury
Internal Revenue Service
Hospitals
MediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, question 20.
MediumBullet Attach to Form 990. MediumBullet See separate instructions.
MediumBullet Information about Schedule H (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
The Norwalk Hospital Association
 
Employer identification number

06-6068853
Part I
Financial Assistance and Certain Other Community Benefits at Cost
Yes
No
1a
Did the organization have a financial assistance policy during the tax year? If "No," skip to question 6a ...
1a
Yes
 
b
If "Yes," was it a written policy? .......................
1b
Yes
 
2
If the organization had multiple hospital facilities, indicate which of the following best describes application of the financial assistance policy to its various hospital facilities during the tax year.
3
Answer the following based on the financial assistance eligibility criteria that applied to the largest number of the organization's patients during the tax year.
a
Did the organization use Federal Poverty Guidelines (FPG) as a factor in determining eligibility for providing free care?
If "Yes," indicate which of the following was the FPG family income limit for eligibility for free care:
3a
Yes
 
%
b
Did the organization use FPG as a factor in determining eligibility for providing discounted care? If "Yes," indicate
which of the following was the family income limit for eligibility for discounted care: .........
3b
Yes
 
%
c
If the organization used factors other than FPG in determining eligibility, describe in Part VI the income based criteria for determining eligibility for free or discounted care. Include in the description whether the organization used an asset test or other threshold, regardless of income, as a factor in determining eligibility for free or discounted care.
4
Did the organization's financial assistance policy that applied to the largest number of its patients during the tax year provide for free or discounted care to the "medically indigent"? ..............

4

Yes

 
5a
Did the organization budget amounts for free or discounted care provided under its financial assistance policy during the tax year? ............................

5a

Yes

 
b
If "Yes," did the organization's financial assistance expenses exceed the budgeted amount? ......
5b
 
No
c
If "Yes" to line 5b, as a result of budget considerations, was the organization unable to provide free or discountedcare to a patient who was eligibile for free or discounted care? ..............
5c
 
No
6a
Did the organization prepare a community benefit report during the tax year? ..........
6a
Yes
 
b
If "Yes," did the organization make it available to the public? ..............
6b
Yes
 
Complete the following table using the worksheets provided in the Schedule H instructions. Do not submit these worksheets with the Schedule H.
7
Financial Assistance and Certain Other Community Benefits at Cost
Financial Assistance and
Means-Tested
Government Programs
 (a) Number of activities or programs (optional) (b) Persons served (optional) (c) Total community benefit expense (d) Direct offsetting revenue (e) Net community benefit expense (f) Percent of total expense
a Financial Assistance at cost
(from Worksheet 1) .. 		    12,462,792 5,692,260 6,770,532 2.200 %
b Medicaid (from Worksheet 3,
column a) .... 		  66,613 56,242,926 44,109,286 12,133,640 3.950 %
c Costs of other means-tested
government programs (from
Worksheet 3, column b) . 		           
d Total Financial Assistance
and Means-Tested
Government Programs . 		  66,613 68,705,718 49,801,546 18,904,172 6.150 %
Other Benefits
 11 1,980,017 446,291 3,384 442,907 0.140 %
e Community health
improvement services and
community benefit operations
(from Worksheet 4) ..
f Health professions education
(from Worksheet 5) .. 		2 320 11,896,794 4,677,499 7,219,295 2.350 %
g Subsidized health services
(from Worksheet 6) .. 		1 68 2,300,236 1,406,748 893,488 0.290 %
h Research (from Worksheet 7)            
i Cash and in-kind
contributions for community
benefit (from Worksheet 8) 		1   574   574  
j Total. Other Benefits .. 15 1,980,405 14,643,895 6,087,631 8,556,264 2.780 %
k Total. Add lines 7d and 7j . 15 2,047,018 83,349,613 55,889,177 27,460,436 8.930 %
For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50192T Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part II
Community Building Activities Complete this table if the organization conducted any community building activities during the tax year, and describe in Part VI how its community building activities promoted the health of the communities it serves.
(a) Number of activities or programs (optional) (b) Persons served (optional) (c) Total community building expense (d) Direct offsetting
revenue 		(e) Net community building expense (f) Percent of total expense
1 Physical improvements and housing            
2 Economic development            
3 Community support            
4 Environmental improvements            
5 Leadership development and training for community members            
6 Coalition building 1 91,801 134,887   134,887 0.040 %
7 Community health improvement advocacy 1 902,703 1,376,101   1,376,101 0.450 %
8 Workforce development            
9 Other            
10 Total 2 994,504 1,510,988   1,510,988 0.490 %
Part III
Bad Debt, Medicare, & Collection Practices
Section A. Bad Debt Expense
Yes
No
1
Did the organization report bad debt expense in accordance with Heathcare Financial Management Association Statement No. 15? ..........................
1
 
No
2
Enter the amount of the organization's bad debt expense. Explain in Part VI the methodology used by the organization to estimate this amount. ......
2
8,362,636
3
Enter the estimated amount of the organization's bad debt expense attributable to patients eligible under the organization's financial assistance policy. Explain in Part VI the methodology used by the organization to estimate this amount and the rationale, if any, for including this portion of bad debt as community benefit. ......
3
3,734,753
4
Provide in Part VI the text of the footnote to the organization’s financial statements that describes bad debt expense or the page number on which this footnote is contained in the attached financial statements.
Section B. Medicare
5
Enter total revenue received from Medicare (including DSH and IME).....
5
92,379,942
6
Enter Medicare allowable costs of care relating to payments on line 5.....
6
117,730,149
7
Subtract line 6 from line 5. This is the surplus (or shortfall)........
7
-25,350,207
8
Describe in Part VI the extent to which any shortfall reported in line 7 should be treated as community benefit.Also describe in Part VI the costing methodology or source used to determine the amount reported on line 6.Check the box that describes the method used:
Section C. Collection Practices
9a
Did the organization have a written debt collection policy during the tax year? ..........
9a
Yes
 
b
If "Yes," did the organization’s collection policy that applied to the largest number of its patients during the tax year contain provisions on the collection practices to be followed for patients who are known to qualify for financial assistance? Describe in Part VI.......................

9b

Yes

 
Part IV
Management Companies and Joint Ventures(owned 10% or more by officers, directors, trustees, key employees, and physicians—see instructions)
(a) Name of entity (b) Description of primary
activity of entity 		(c) Organization's
profit % or stock
ownership % 		(d) Officers, directors,
trustees, or key
employees' profit %
or stock ownership % 		(e) Physicians'
profit % or stock
ownership %
1Norwalk Surgery Center
  		Ambulatory Surgery Center 64.110 %   31.100 %
2
3
4
5
6
7
8
9
10
11
12
13
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information
Section A. Hospital Facilities
(list in order of size from largest to smallest—see instructions)
How many hospital facilities did the organization operate during the tax year?1
Name, address, primary website address, and state license number 		Licensed Hospital General-Medical-Surgical Children's Hospital Teaching Hospital Critical Hospital ResearchGrp Facility ER-24Hours ER-Other Other (Describe) Facility reporting group
1 Norwalk Hospital
24 Stevens Street
Norwalk,CT06850
norwalkhospital.org 		X X   X     X      
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information (continued)

Section B. Facility Policies and Practices

(Complete a separate Section B for each of the hospital facilities or facility reporting groups listed in Part V, Section A)
Norwalk Hospital
Name of hospital facility or facility reporting group  
If reporting on Part V, Section B for a single hospital facility only: line number of
hospital facility (from Schedule H, Part V, Section A) 		1
Yes No
Community Health Needs Assessment (Lines 1 through 8c are optional for tax years begining on or before March 23, 2012)
1 During the tax year or either of the two immediately preceding tax years, did the hospital facility conduct a community health needs assessment (CHNA)? If "No," skip to line 9.................... 1 Yes  
If "Yes," indicate what the CHNA report describes (check all that apply):
a
b
c
d
e
f
g
h
i
j
2 Indicate the tax year the hospital facility last conducted a CHNA: 20 13
3 In conducting its most recent CHNA, did the hospital facility take into account input from persons who represent the broad interests of the community served by the hospital facility, including those with special knowledge of or expertise in public health? If "Yes," describe in Part VI how the hospital facility took into account input from persons who represent the community, and identify the persons the hospital facility consulted .................... 3 Yes  
4 Was the hospital facility’s CHNA conducted with one or more other hospital facilities? If "Yes," list the other hospital facilities in Part VI................................ 4   No
5 Did the hospital facility make its CHNA report widely available to the public? ............. 5 Yes  
If "Yes," indicate how the CHNA report was made widely available (check all that apply):
a
b
c
d
6 If the hospital facility addressed needs identified in its most recently conducted CHNA, indicate how (check all that apply as of the end of the tax year):
a
b
c
d
e
f
g
h
i
7 Did the hospital facility address all of the needs identified in its most recently conducted CHNA? If "No," explain in Part VI which needs it has not addressed and the reasons why it has not addressed such needs ........ 7 Yes  
8a Did the organization incur an excise tax under section 4959 for the hospital facility's failure to conduct a CHNA as required by section 501(r)(3)? ........................... 8a   No
b If "Yes" to line 8a, did the organization file Form 4720 to report the section 4959 excise tax? ...... 8b   No
c If "Yes" to line 8b, what is the total amount of section 4959 excise tax the organization reported on Form 4720 for all of its hospital facilities? $  

Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information (continued)

Financial Assistance Policy Yes No
9 Did the hospital facility have in place during the tax year a written financial assistance policy that:
Explained eligibility criteria for financial assistance, and whether such assistance includes free or discounted care? 9 Yes  
10 Used federal poverty guidelines (FPG) to determine eligibility for providing free care?........... 10 Yes  
If "Yes," indicate the FPG family income limit for eligibility for free care: 200.0000%
If "No," explain in Part VI the criteria the hospital facility used.
11 Used FPG to determine eligibility for providing discounted care?................. 11 Yes  
If "Yes," indicate the FPG family income limit for eligibility for discounted care: 400.0000%
If "No," explain in Part VI the criteria the hospital facility used.
12 Explained the basis for calculating amounts charged to patients?................. 12 Yes  
If "Yes," indicate the factors used in determining such amounts (check all that apply):
a
b
c
d
e
f
g
h
i
13 Explained the method for applying for financial assistance?................... 13 Yes  
14 Included measures to publicize the policy within the community served by the hospital facility?....... 14 Yes  
If "Yes," indicate how the hospital facility publicized the policy (check all that apply):
a
b
c
d
e
f
g
Billing and Collections
15 Did the hospital facility have in place during the tax year a separate billing and collections policy, or a written financial assistance policy (FAP) that explained actions the hospital facility may take upon non-payment?....... 15 Yes  
16 Check all of the following actions against an individual that were permitted under the hospital facility's policies during the tax year before making reasonable efforts to determine the individual’s eligibility under the facility’s FAP:
a
b
c
d
e
17 Did the hospital facility or an authorized third party perform any of the following actions during the tax year before making reasonable efforts to determine the individual’s eligibility under the facility’s FAP?.......... 17   No
If "Yes," check all actions in which the hospital facility or a third party engaged:
a
b
c
d
e
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information (continued)

18 Indicate which efforts the hospital facility made before initiating any of the actions listed in line 17 (check all that apply):
a
b
c
d
e
Policy Relating to Emergency Medical Care
Yes No
19 Did the hospital facility have in place during the tax year a written policy relating to emergency medical care that requires the hospital facility to provide, without discrimination, care for emergency medical conditions to individuals regardless of their eligibility under the hospital facility’s financial assistance policy?.......... 19 Yes  
If "No," indicate why:
a
b
c
d
Charges to Individuals Eligible for Assistance under the FAP (FAP-Eligible Individuals)
20 Indicate how the hospital facility determined, during the tax year, the maximum amounts that can be charged to FAP-eligible individuals for emergency or other medically necessary care.
a
b
c
d
21 During the tax year, did the hospital facility charge any FAP-eligible individual to whom the hospital facility provided emergency or other medically necessary services more than the amounts generally billed to individuals who had insurance covering such care? ............................ 21   No
If "Yes," explain in Part VI.
22 During the tax year, did the hospital facility charge any FAP-eligible individual an amount equal to the gross charge for any service provided to that individual? ......................... 22   No
If "Yes," explain in Part VI.
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part V
Facility Information (continued)
Section C. Supplemental Information for Part V, Section B.Provide descriptions required for Part V, Section B, lines 1j, 3, 4, 5d, 6i, 7, 10, 11, 12i, 14g, 16e, 17e, 18e, 19c, 19d, 20d, 21, and 22. If applicable, provide separate descriptions for each facility in a facility reporting group, designated by "Facility A," "Facility B," etc.
Form and Line Reference Explanation
Part V, Line 3 - Account Input from Person Who Represent the Community In conducting its most recent CHNA in 2012, Norwalk Hospital and the Norwalk Health Department engaged in a collaborative community planning process to improve the health of the Greater Norwalk Area residents including Norwalk, New Canaan, Westport, Weston, Wilton, Darien, and Fairfield. The initiative included a community health assessment (CHA) to identify the health-related strengths and needs of the area and a community health improvement plan (CHIP) to identify priorities, goals, and implement and coordinate strategies to address these priority issues across the region. Findings from the CHA identified obesity, mental health and substance abuse as priorities for the area.The community health assessment was guided by a participatory, collaborative approach, which examined health in its broadest sense. This process included integrating existing data regarding social, economic, and health indicators in the region with qualitative information from 15 focus groups with community residents and service providers and 17 interviews with community stakeholders. Focus groups and interviews were conducted with individuals from the 7 municipalities that comprise the Greater Norwalk Area, with individuals representing youth; the Hispanic and African American communities; individuals receiving services from a federally-qualified health center; social service, health care, and mental health providers; businesses; housing; law enforcement; and the local government. This qualitative assessment process engaged over 200 individuals.
Part V, Line 20d - Other Billing Determination of Individuals Without Insurance Norwalk Hospital intends to be in compliance with the regulations regarding the maximum amounts that can be charged to FAP-eligible individuals for emergency and other medically necessary care by the effective date (10/1/16)
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information (continued)

Section D. Other Health Care Facilities That Are Not Licensed, Registered, or Similarly Recognized as a Hospital Facility
(list in order of size, from largest to smallest)
How many non-hospital health care facilities did the organization operate during the tax year?11
Name and address Type of Facility (describe)
1 Norwalk Hospital Outpatient Rehabilitation Services
520 West Avenue
Norwalk,CT06850 		Outpatient Rehabilitation Facility
2 Norwalk Hospital Outpatient Rehabilitation Services
40 Cross Street Suite 110
Norwalk,CT06851 		Outpatient Services
3 Norwalk Hospital Sleep Disorder Center
520 West Avenue
Norwalk,CT06850 		Sleep Disorder Services
4 Norwalk Hospital Radiology and Mammography Center
148 East Avenue Suite 1R
Norwalk,CT06851 		Radiology and Mammography Center
5 Norwalk Hospital New Canaan Radiology
28-30 East Avenue
New Canaan,CT06840 		Radiology Services
6 Norwalk Hospital Westport Radiology
728 Post Road East
Westport,CT06880 		Radiology Services
7 New Canaan Blood Collection Center
25-30 East Avenue
New Canaan,CT06840 		Blood Collection
8 Westport Blood Collection Center
728 Post Road East
Westport,CT06880 		Blood Collection
9 Norwalk Blood Collection Center
40 Cross Street
Norwalk,CT06851 		Blood Collection
10 Norwalk Blood Collection Center
148 East Avenue
Norwalk,CT06851 		Blood Collection
11 Norwalk Surgery Center LLC
40 Cross Street
Norwalk,CT06851 		Ambulatory Surgery Center
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VI
Supplemental Information
Provide the following information.
1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II and Part III, lines 2, 3, 4, 8 and 9b.
2 Needs assessment. Describe how the organization assesses the health care needs of the communities it serves, in addition to any CHNAs reported in Part V, Section B.
3 Patient education of eligibility for assistance. Describe how the organization informs and educates patients and persons who may be billed for patient care about their eligibility for assistance under federal, state, or local government programs or under the organization’s financial assistance policy.
4 Community information. Describe the community the organization serves, taking into account the geographic area and demographic constituents it serves.
5 Promotion of community health. Provide any other information important to describing how the organization’s hospital facilities or other health care facilities further its exempt purpose by promoting the health of the community (e.g., open medical staff, community board, use of surplus funds, etc.).
6 Affiliated health care system. If the organization is part of an affiliated health care system, describe the respective roles of the organization and its affiliates in promoting the health of the communities served.
7 State filing of community benefit report. If applicable, identify all states with which the organization, or a related organization, files a community benefit report.
Form and Line Reference Explanation
Part V, Line 3 - Account Input from Person Who Represent the Community In conducting its most recent CHNA in 2012, Norwalk Hospital and the Norwalk Health Department engaged in a collaborative community planning process to improve the health of the Greater Norwalk Area residents including Norwalk, New Canaan, Westport, Weston, Wilton, Darien, and Fairfield. The initiative included a community health assessment (CHA) to identify the health-related strengths and needs of the area and a community health improvement plan (CHIP) to identify priorities, goals, and implement and coordinate strategies to address these priority issues across the region. Findings from the CHA identified obesity, mental health and substance abuse as priorities for the area.The community health assessment was guided by a participatory, collaborative approach, which examined health in its broadest sense. This process included integrating existing data regarding social, economic, and health indicators in the region with qualitative information from 15 focus groups with community residents and service providers and 17 interviews with community stakeholders. Focus groups and interviews were conducted with individuals from the 7 municipalities that comprise the Greater Norwalk Area, with individuals representing youth; the Hispanic and African American communities; individuals receiving services from a federally-qualified health center; social service, health care, and mental health providers; businesses; housing; law enforcement; and the local government. This qualitative assessment process engaged over 200 individuals.
Part V, Line 20d - Other Billing Determination of Individuals Without Insurance Norwalk Hospital intends to be in compliance with the regulations regarding the maximum amounts that can be charged to FAP-eligible individuals for emergency and other medically necessary care by the effective date (10/1/16)
Schedule H (Form 990) 2013
Additional Data


Software ID: 13000170
Software Version: 2013v4.0
Schedule I
(Form 990)
Department of the Treasury
Internal Revenue Service
Grants and Other Assistance to Organizations,
Governments and Individuals in the United States
Complete if the organization answered "Yes," to Form 990, Part IV, line 21 or 22.
lBullet Attach to Form 990
lBullet Information about Schedule I (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
The Norwalk Hospital Association
 
Employer identification number
06-6068853
Part I
General Information on Grants and Assistance
1
Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and
the selection criteria used to award the grants or assistance? ....................................
2
Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.
Part II
Grants and Other Assistance to Governments and Organizations in the United States. Complete if the organization answered "Yes" to
Form 990, Part IV, line 21, for any recipient that received more than $5,000. Part II can be duplicated if additional space is needed.
(a) Name and address of organization
or government		 (b) EIN (c) IRC Code section
if applicable		 (d) Amount of cash grant (e) Amount of non-cash
assistance		 (f) Method of valuation
(book, FMV, appraisal,
other)		 (g) Description of
non-cash assistance		 (h) Purpose of grant
or assistance
(1) Norwalk Hos Phys & Surgeons
24 Stevens Street
Norwalk,CT06850 		06-1522078   7,666,306 0     Strategic Support






















2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image
1
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
0
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2013

Schedule I (Form 990) 2013
Page 2
Part III
Grants and Other Assistance to Individuals in the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 22.
Part III can be duplicated if additional space is needed.
(a)Type of grant or assistance (b)Number of
recipients		 (c)Amount of
cash grant		 (d)Amount of
non-cash assistance		 (e)Method of valuation (book,
FMV, appraisal, other)		 (f)Description of non-cash assistance












Part IV
Supplemental Information. Provide the information required in Part I, line 2, Part III, column (b), and any other additional information.
Return Reference Explanation
Grantmaker's Description of How Grants are Used Funds are provided to Norwalk Hospital Physicians & Surgeons, Inc. a related 501(C)(3) organization to support the operating losses of hospital based physician practices,as they support the mission of Norwalk Hospital. Norwalk Hospital Physicians & Surgeons, Inc. is subject to the same policies and procedures as Norwalk Hospital Association. Norwalk Hospital accounting staff processes payroll, payable, general ledger and financial statements for Norwalk Hospital Physicians & Surgeons. Monthly results are presented to the Norwalk Hospital Finance Committee for review.
Schedule I (Form 990) 2013


Additional Data


Software ID: 13000170
Software Version: 2013v4.0


Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
SchJMediumBullet Information about Schedule J (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
The Norwalk Hospital Association
 
Employer identification number

06-6068853
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed in Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes in line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain....
1b
 
 
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked in line 1a? ..
2
 
 
3
Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
4
During the year, did any person listed in Form 990, Part VII, Section A, line 1a with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment? ................
4a
 
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........
4b
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? .........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ...........................
5a
 
No
b
Any related organization? .........................
5b
 
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization? ...........................
6a
 
No
b
Any related organization? .........................
6b
 
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
Yes
 
8
Were any amounts reported in Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III .............................
8
 
No
9
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
 
No
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
Page 2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed.
For each individual whose compensation must be reported in Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.
Note. The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.
(A) Name and Title (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Retirement and other deferred compensation (D) Nontaxable
benefits		 (E) Total of columns
(B)(i)-(D) 		(F) Compensation
reported as deferred
in prior Form 990
(i) Base compensation (ii) Bonus & incentive compensation (iii) Other reportable compensation
(1)Anthony AcetoVice President, Human Resources (i)
(ii)		 323,348
  		94,487
  		10,000
  		34,697
  		13,376
  		475,908
  		 
 
(2)Arthur Strichman MDPhysician (i)
(ii)		 225,264
  		160,477
  		27,614
  		29,725
  		14,876
  		457,956
  		 
 
(3)Brian McGovern MDPhysician (i)
(ii)		 260,137
  		255,518
  		22,334
  		24,061
  		15,876
  		577,926
  		 
 
(4)Daniel DeBarbaPresident (i)
(ii)		 632,299
  		445,600
  		32,430
  		11,475
  		14,676
  		1,136,480
  		 
 
(5)James HaynesExec Dir Facilities/VP Operations (i)
(ii)		 199,336
  		36,014
  		11,492
  		15,362
  		14,176
  		276,380
  		 
 
(6)John Murphy MD - Eff 1114CEO (i)
(ii)		  
821,391 		 
412,534 		 
9,936 		 
12,750 		 
41,737 		 
1,298,348 		 
 
(7)Katherine Tait Michael MDChairman Psychiatr (i)
(ii)		 301,924
  		78,478
  		15,456
  		24,171
  		15,876
  		435,905
  		 
 
(8)Lisa BradyCOO / Senior VP Strat & Sys Develop (i)
(ii)		 406,427
  		127,399
  		19,210
  		11,475
  		15,876
  		580,387
  		 
 
(9)Mary NolanVP Nursing & Patient Care Services (i)
(ii)		 151,996
  		 
  		 
  		 
  		 
  		151,996
  		 
 
(10)Michael Carius MDChairman, ED (i)
(ii)		 424,167
  		99,571
  		25,243
  		27,883
  		14,416
  		591,280
  		 
 
(11)Patrick MinicusCFO (i)
(ii)		 405,511
  		150,981
  		18,526
  		7,994
  		14,776
  		597,788
  		 
 
(12)Renee MaurielloVP Nursing & Patient Care Services (i)
(ii)		 320,139
  		71,465
  		20,523
  		7,650
  		13,376
  		433,153
  		 
 
(13)Robert Capodanno MDPhysician (i)
(ii)		 249,120
  		133,613
  		7,721
  		22,218
  		13,376
  		426,048
  		 
 
(14)Stven Rosenberg - Eff 1114CFO (i)
(ii)		  
505,212 		 
185,034 		 
27,395 		 
12,750 		 
32,659 		 
763,050 		 
 
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
Page 3
Part III
Supplemental Information
Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II.
Also complete this part for any additional information.
Return Reference Explanation
Part I, Line 7: Non-Fixed payments not listed above Bonuses are provided based on achievement of quantifiable and measurable goals. Goals are established for eligible executives at the beginning of each fiscal year. Bonuses are paid in accordance with the overall financial performance of the Hospital as well as the executive's success in meeting or exceeding those goals.Target incentive award opportunities range from 15% to 25% for senior leaders and 40% for the President and CEO. Maximum award opportunities are 150% of target, awarded for exceptional and superior performance evidenced by actual, measurable results.Actual incentive awards were approved by the President and CEO and the compensation committee based on each senior leaders individual performance and achievement of goals that were established for Norwalk Hospital, goals that were related to the integration of Norwalk Hospital with Western Connecticut Health Network and goals for Western Connecticut Health Network. The weighting of those goals was dependent upon the individual's position and ranged from 40% to 50% for individual goals, 20% to 40% for Norwalk Hospital goals, 7.5% to 10% for integration goals and 7.5% to 20% for WCHN goals.
Part III, Additional Information The organization relied on related organizations, Norwalk Health Services Corporation (thru 12/31/2013) and Western Connecticut Health Network, Inc.(effective 1/1/2014) which used the following methods described below to establish top management's compensation:-Compensation committee-Independent compensation consultant-Written employment contract-Compensation survey or study-Approval by board or compensation committee
Schedule J (Form 990) 2013

Additional Data


Software ID: 13000170
Software Version: 2013v4.0
Schedule K
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Information on Tax Exempt Bonds
SchKMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,
explanations, and any additional information in Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
SchKMediumBulletInformation about Schedule K (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
The Norwalk Hospital Association
 
Employer identification number
06-6068853
Part I
Bond Issues
(a) Issuer name (b) Issuer EIN (c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased (h) On
behalf of
issuer 		(i) Pool
financing
Yes No Yes No Yes No
A St of CT Hlth & Educ Fac
  		06-0806186   12-09-2010 46,840,000 See Part VI   X   X   X
B St of CT Hlth & Educ Fac
  		06-0806186   12-01-2012 82,000,000 See Part VI   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 9,405,000      
2 Amount of bonds legally defeased . . . . . . . . . . .        
3 Total proceeds of issue . . . . . . . . . . . . . . 46,844,821 82,010,551    
4 Gross proceeds in reserve funds . . . . . . . . . . . .        
5 Capitalized interest from proceeds . . . . . . . . . . . 1,010,853      
6 Proceeds in refunding escrows . . . . . . . . . . . .        
7 Issuance costs from proceeds . . . . . . . . . . . . 829,268 639,886    
8 Credit enhancement from proceeds . . . . . . . . . . .        
9 Working capital expenditures from proceeds . . . . . . . . . 463,600      
10 Capital expenditures from proceeds . . . . . . . . . . . 44,541,100 57,965,258    
11 Other spent proceeds . . . . . . . . . . . . . .        
12 Other unspent proceeds . . . . . . . . . . . . . . 23,405,407 23,405,407    
13 Year of substantial completion . . . . . . . . . . . . 2012 2015
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . .   X   X        
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X   X        
16 Has the final allocation of proceeds been made? . . . . . . . . X     X        
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X   X          
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . . . . . .   X   X        
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X   X          
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
Page 2
Part III
Private Business Use (Continued)
A B C D
Yes No Yes No Yes No Yes No
3a Are there any management or service contracts that may result in private business use of bond-financed property? . . . . . . . . . . . .   X   X        
b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property?                
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . .   X X          
d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property?                
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 1.570 %      
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0.420 %      
6 Total of lines 4 and 5 . . . . . . . . . . . . . 1.990 %      
7 Does the bond issue meet the private security or payment test? . . . . .   X   X        
8a Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?. . . . . . . . . . . . . . . . .   X   X        
b If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of.        
c If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . .                
9 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2? . . . . . . . 		X   X          
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has the issuer filed Form 8038-T? . . . . .   X   X        
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . . X   X          
b Exception to rebate? . . . . . . . .   X   X        
c No rebate due? . . . . . . . .   X   X        
If you checked "No rebate due" in line 2c, provide in
Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . .                
4a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue?   X X          
b Name of provider . . . . . . . . . Peoples United Bk
  		Peoples United Bk
  		 
  		 
 
c Term of hedge . . . . . . . . . . 12.0000 12.0000    
d Was the hedge superintegrated? . . . .   X   X        
e Was the hedge terminated? . . . . . .   X   X        
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
Page 3
Part IV
Arbitrage (Continued)
A B C D
Yes No Yes No Yes No Yes No
5a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . . . . .   X   X        
b Name of provider . . . . . . . . .  
  		 
  		 
  		 
 
c Term of GIC . . . . . . . . . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . .                
6 Were any gross proceeds invested beyond an available temporary period? . . . . . . . .   X   X        
7 Has the organization established written procedures to monitor the requirements of section 148? . . .   X   X        
Part V
Procedures To Undertake Corrective Action
A B C D
Yes No Yes No Yes No Yes No
Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations? X   X          
Part VI
Supplemental Information. Provide additional information for responses to questions on Schedule K (see instructions).
Return Reference Explanation
Part VI Part I - Bond Issue, (a) Issuer Name - A CHEFA Series G,H and I - State of Connecticut Health and Educational Facilities AuthorityPart I - Bond Issue, (a) Issuer Name - B CHEFA Series J - State of Connecticut Health and Educational Facilities AuthorityPart I - Bond Issue, (f) Description of Purpose - A CHEFA Series G,H and IThe proceeds of the bond were used for construction of a parking garage and for the purchase of other capital equipment.Part I - Bond Issue, (f) Description of Purpose - B CHEFA Series JThe proceeds of the bond are being used for construction of an ambulatory pavilion and for the purchase of other capital equipment.Part II - Proceeds, A CHEFA Series G, H and I - total proceeds of issue includes interest income of $4,821 received on the construction fund, cost of issuance fund and capitalized interest fundPart II - Proceeds, B CHEFA Series J - total proceeds of issue includes interest income of $10,551 received on the construction fund and cost of issuance fundPart III - Private Business Use - A CHEFA Series G,H and I - Private business use is based on physician reserved spaces in financed parking garage. These reserved spaces are used by both employees and attending physicians visiting Hospital patients to further the Hospital's mission. Part III - Private Business Use - B CHEFA Series J - No private business use in fiscal 2014 - pavilion is not complete and occupied. Anticipate the leasing of 8,688 sq ft of 95,500 sq ft of space in the pavilion to a physician group which provides services to Cancer Center patients. Also a portion of the cancer center which will be located in the new pavilion will be dedicated to cancer research once the pavilion is complete and operational. The funding of the pavilion will include $30,000,000 of philanthropy and approximately $2,300,000 of working capital. These amounts will be allocated to the portion of the pavilion that will be used by outside entites. Part III, Line 9 Post Issuance Compliance - Nonqualified BondsEffective 1/1/2014, Western Connecticut Health Network (WCHN) became the sole corporate member of Norwalk Health Services Corporation and a corporate affiliation was completed. Norwalk Health Services Corporation and all subsidiaries are covered under the policies of WCHN and as such, the tax exempt debt policy applies to Norwalk Hospital as of 1/1/2014.Part IV - Arbitrage Line 4b - Name of Provider - CHEFA Series J - People's United BankPart V - Procedures to Undertake Correcive ActionEffective 1/1/2014, Western Connecticut Health Network (WCHN) became the sole corporate member of Norwalk Health Services Corporation and a corporate affiliation was completed. Norwalk Health Services Corporation and all subsidiaries are covered under th policies of WCHN and as such, the tax exempt debt policy applies to Norwalk Hospital as of 1/1/2014.
Schedule K (Form 990) 2013

Additional Data


Software ID: 13000170
Software Version: 2013v4.0

Schedule L
(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Transactions with Interested Persons
MediumBullet Complete if the organization answered
"Yes" on Form 990, Part IV, lines 25a, 25b, 26, 27, 28a, 28b, or 28c,
or Form 990-EZ, Part V, line 38a or 40b.
MediumBullet Attach to Form 990 or Form 990-EZ. MediumBullet See separate instructions.
MediumBulletInformation about Schedule L (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
The Norwalk Hospital Association
 
Employer identification number

06-6068853
Part I
Excess Benefit Transactions (section 501(c)(3) and section 501(c)(4) organizations only).
Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b.
1(a) Name of disqualified person (b) Relationship between disqualified person and organization (c) Description of transaction (d) Corrected?
Yes No





2
Enter the amount of tax incurred by organization managers or disqualified persons during the year under section 4958. ........................... Bullet Image$
 
3
Enter the amount of tax, if any, on line 2, above, reimbursed by the organization ....... Bullet Image$
 

Part II
Loans to and/or From Interested Persons.
Complete if the organization answered "Yes" on Form 990-EZ, Part V, line 38a, or Form 990, Part IV, line 26; or if the organization reported an amount on Form 990, Part X, line 5, 6, or 22
(a) Name of interested person (b) Relationship with organization (c) Purpose of loan (d) Loan to or from the organization? (e)Original principal amount (f)Balance due (g) In default? (h) Approved by board or committee? (i)Written agreement?
To From Yes No Yes No Yes No
Total ......Small Bullet $  
Part III
Grants or Assistance Benefitting Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 27.
(a) Name of interested person (b) Relationship between interested person and the organization (c) Amount of assistance (d) Type of assistance (e) Purpose of assistance
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2013
Schedule L (Form 990 or 990-EZ) 2013
Page 2
Part IV
Business Transactions Involving Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 28a, 28b, or 28c.
(a) Name of interested person (b) Relationship between interested person and the organization (c) Amount of transaction (d) Description of transaction (e) Sharing of organization's revenues?
Yes No
(1) Norwalk Medical Group
  		See Part V 328,972 See Part V   No
Part V
Supplemental Information
Provide additional information for responses to questions on Schedule L (see instructions).
Return Reference Explanation
Schedule L, Part V Supplemental Information Schedule L, Part IV, Line 1Richard Zelkowitz, MD is a member of the Board of NHA and the medical director of Norwalk Medical Group. NHA paid Norwalk Medical Group $328,972 for cancer services.
Schedule L (Form 990 or 990-EZ) 2013

Additional Data


Software ID: 13000170
Software Version: 2013v4.0




SCHEDULE O
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Supplemental Information to Form 990 or 990-EZ

Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.
MediumBullet Attach to Form 990 or 990-EZ.
MediumBullet Information about Schedule O (Form 990 or 990-EZ) and its instructions is at
www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
The Norwalk Hospital Association
 
Employer identification number

06-6068853
Return Reference Explanation
Form 990, Part III, Line 4d: Other Program Services Description OTHER PROGRAM SERVICES 4: Other Program Services include:Emergency Services - Norwalk Hospital provides a comprehensive range of high-quality emergency medical services, for the most critically ill and injured patients, from pre-hospital EMS/paramedic services to an Emergency Department featuring a Level II Trauma Center to a nationally recognized Critical Care Unit. Our Emergency Department features modern lifesaving technology and is staffed by board-certified physicians and experienced nurses with advanced skills. For patients experiencing a stroke, Norwalk Hospital is certified as a Stroke Center by the Joint Commission. For patients experiencing an acute heart attack, Norwalk Hospital is certified as a Primary Angioplasty Center. Once identified as a candidate by EMS or by the emergency physician, a critical pathway ensures the rapid evaluation of the patient and movement to the Cardiac Cath Lab for definitive care to minimize long-term consequences. Norwalk Hospital's Critical Care Unit has been nationally recognized for the exemplary level of care provided. The Unit's nurses have been awarded the Beacon Award for Critical Care Excellence by the American Association of Critical Care Nurses three times. The Emergency Department had 36,190 treated and released visits and 2,870 observation visits for the fiscal year ended 9/30/2014.Cardiovascular Services - Norwalk Hospital offers a premier cardiovascular program to meet the needs of patients with cardiac and vascular problems. Led by a specialist team of cardiologists, interventional cardiologists and vascular surgeons, this program has achieved wide acclaim for providing leading-edge prevention, diagnosis, treatment and rehabilitation of cardiovascular disease. One of Norwalk Hospital's signature clinical services, our cardiovascular program offers outstanding inpatient and outpatient care for those suffering a heart attack or from heart disease, congestive heart failure, angina, atherosclerosis, and vascular conditions, including aortic aneurysms, carotid artery stenosis, deep vein thrombosis and peripheral artery disease. Additionally, The Hospital has on staff several interventional cardiologists who perform diagnostic cardiac catherizations and emergency cardiac angioplasty among other invasive procedures. Our Cardiac Rehabilitation Program helps cardiac patients live life to the fullest and is accredited by the American Association of Cardiovascular and Pulmonary Rehabilitation for providing the highest standard of care. Cardiovascular Services had 1,571 inpatient discharges; 354 Cardiac Lab procedures-including Pacemakers, Defibs, Catherization and Vascular; 1,263 Diagnostic Cardiology procedures; 436 Cardiac Rehabilitation services for the fiscal year ended 9/30/2014.Cancer Services - Norwalk Hospital has a long tradition of providing the very best in cancer care. We are widely recognized for providing excellent outcomes and a multidisciplinary approach to cancer care that brings cancer specialists together to individualize treatments for each patient. We feature highly experienced, nationally acclaimed cancer doctors; the most modern equipment and state-of-the-art treatments; cutting-edge clinical trials testing new ways to treat cancer; counseling, nutrition and integrative medicine services and warmth - an atmosphere of community and true caring. We provide a unique level of support to patients and their families, who require compassion, sensitivity and help with day-to-day affairs to meet the many challenges presented by a cancer diagnosis. Norwalk Hospital is recognized by the Joint Commission as a Center for Excellence for both lung cancer and colorectal cancer care. Norwalk Hospital is home to two exceptional cancer centers - the Whittingham Cancer Center and the Smilow Family Breast Health Center. The Whittingham Cancer Center is nationally accredited as a Comprehensive Cancer Center by the American College of Surgeons and is a member of the Alliance for Clinical Trials in Oncology. Our physicians have academic affiliations with major university hospitals in New York and Connecticut and work closely with those hospitals to coordinate the care of our patients. Our weekly cancer-specific multidisciplinary tumor board brings cancer surgeons, medical oncologists, radiation oncologists, pathologists, radiologists and other physicians together to discuss the optimal management of patient's care. The Smilow Family Breast Health Center provides specialized resources for women with benign breast abnormalities as well as those diagnosed with breast cancer and is accredited by the National Accreditation Program for Breast Cancer (NAPBC). Our experienced staff supports all women with breast concerns throughout screening, diagnosis, treatment and aftercare. Smilow features dedicated breast surgeons and medical oncologists who specialize in, and focus on, treating breast cancer. These physicians meet weekly in a multidisciplinary tumor board to discuss new cases, and coordinate the best care for patients. Our experienced surgeons offer advanced surgical techniques and a large variety of breast reconstruction options. Cancer Services had 661 inpatient discharges including Chemotherapy, Hematology, Medical Oncology, Surgical Oncology and Neuroscience Oncology for the year ended 9/30/2014.Asthma and Pulmonary - Norwalk Hospital's Section of Pulmonary and Critical Care Medicine offers leading-edge treatments for a wide range of pulmonary conditions. Our physicians provide the leadership and bedside care for patients in our nationally recognized Intensive Care Unit. We provide comprehensive diagnostic and therapeutic services to patients with all forms of pulmonary conditions including Asthma, Bronchiectasis, Chronic Bronchitis, Chronic Cough, Chronic Obstructive Pulmonary Disease (COPD), Emphysema, Idiopathic Pulmonary Fibrosis, Interstitial Lung Disease, Lung Cancer, Pulmonary Hypertension, Sarcoidosis, Tuberculosis and other infectious lung diseases. A nationally accredited Sleep Center provides diagnosis and management of the full range of sleep disorders, including sleep apnea and insomnia. The Section of Pulmonary and Critical Care Medicine has 1,099 inpatient discharges for the fiscal year ended 9/30/2014.Rehabilitation Services - Norwalk Hospital offers both inpatient and outpatient rehabilitation services. Accredited by the Joint Commission, we specialize in the comprehensive rehabilitation needs of patients with neurological problems, complex medical problems, those who have sustained multiple trauma and those who have undergone amputations. Norwalk Hospital's Outpatient Rehabilitation service provides treatment for conditions such as Stroke, Traumatic Brain Injury, Spinal Cord Injury, Multiple Sclerosis, Joint Replacements, and Post-Surgical Recovery. Rehabilitation Services had total inpatient discharges of 117 and 9,631 billed outpatient months for the fiscal year ended 9/30/2014.Psychiatry - Norwalk Hospital provides inpatient psychiatric services for adult and geriatric patients. The 20 bed unit provides individualized care for patients with acute psychiatric illness, complex medical-psychiatric illness or a need for dual-diagnosis detoxification. Norwalk Hospital also provides an intensive outpatient program, offering both individual treatment and group therapy. Psychiatry had inpatient discharges of 351 and 9,257 billed months for the fiscal year ended 9/30/2014.Pediatrics - Norwalk Hospital Pediatric Services include the Jeffrey Peter Bauer Newborn Intensive Care Unit (NICU), Pediatric Inpatient Care, Pediatric Subspecialty Care, and the Pediatric Development and Therapy Center. Pediatrics had inpatient discharges of 448 for the fiscal year ended 9/30/2014. Surgical Services - Norwalk Hospital's experienced and expert surgeons perform a wide variety of advanced inpatient and outpatient surgical procedures. Patients have access to state-of-the-art technology and the latest clinically proven surgical techniques. Norwalk Hospital offers advanced surgical centers that include: Advanced Minimally Invasive and Robotic Surgery Center, Comprehensive Joint Replacement Center; Surgical Weight Loss Center. Surgical Services performed 2,076 inpatient surgeries & 5,245 outpatient surgeries for the fiscal year ended 9/30/2014.Radiology - Norwalk Hospital offers a variety of Radiology Services including, CT, PET/CT, CT Lung Screening, Virtual Colonography, MRI and Open MRI, Ultrasound, Bone Density Measurement/Osteoporosis Screening, General Xray, Digital Mammography, Digital Breast Tomosynthesis, Breast MRI and Ultrasound, Stereotactic, MRI-Guided and Ultrasound Guided Breast Biopsy, Nuclear Medicine, Interventional Radiology, Cancer Screening, Stereotactic Radiosurgery, Intensity-Modulated Radiation Therapy (IMRT) and Prostate Cancer Treatment with Radioactive Seeds. Radiology Services performed 66,525 procedures & 909 billed Radiation Therapy months for the fiscal year en
Form 990, Part VI, Line 4: Description of Significant Changes to Organizational Documents On 1/1/2014 Western Connecticut Health Network (WCHN) became the sole corporate member of Norwalk Health Services Corporation, and a corporate affiliation was completed.Certificate of IncorporationArticle IV The Certificate of Incorporation was amended to describe the rights of NHSC, the sole member of NHA (Member), including the right to amend the NHA bylaws (Bylaws), to elect NHAs board of directors (the Board) and appoint individuals to fill vacancies on the Board.Article V The Certificate of Incorporation was amended to provide that in the event of NHAs dissolution, any assets remaining after payment of obligations will be distributed to NHSC. If at the time of NHAs dissolution, NHSC is not exempt, not in existence, or it is unwilling or unable to accept such assets, the remaining assets shall be distributed for use restricted to purposes substantially similar to those set forth in the Certificate of Incorporation.Article VI This Article provides that the Board shall not consist of less than three directors. Article VIII This Article limits the personal liability of the Board members.Article IX This Article indemnifies and advances expenses to directors and permits the Board to indemnify and advance expenses to officers, employees and agents of NHA who are not directors of the Board. NHA also may procure insurance providing for greater indemnification than provided by law.BylawsArticle I Section 1.1 Purpose - The purpose provides that the Bylaws supplement certain provisions of the NHA Certificate of Incorporation and the Connecticut Revised Non stock Corporation Act (the Act) and that NHA is an affiliate of WCHN.Article II Section 2.1 Membership- NHSC is the sole member of NHA and WCHN is the sole corporate member of NHSC. The Member has the rights, privileges and obligations conferred on it by the NHA Certificate of Incorporation, the Bylaws and the Act.Article II Section 2.2 Powers of the Member The Member has the following powers which do not require approval of the Board: (i) amendment of the Bylaws; and (ii) election or removal of a director. The following actions taken for NHA itself and in its capacity as a shareholder or member of a subsidiary (NHA Subsidiary), require approval of the Board and the Member: (i) election and removal of a director of aNHA Subsidiary; (ii) except as otherwise provided in the Bylaws, the election of officers of the Board; (iii) closure of NHA or the closure or material diminution of a material program at NHA; (iv) approval of the capital budget and operating budget of NHA and of any NHA Subsidiary; (v) amendment of the Certificate of Incorporation of NHA or any NHA subsidiary; (vi) amendment of the bylaws or operating agreement of any NHA Subsidiary; (vii) sale, lease, exchange or other disposition of all or substantially all of the property or assets of NHA or any NHA Subsidiary; (viii) approval of the creation of any corporation of which NHA or any NHA Subsidiary is the sole or controlling member or sole or controlling shareholder; the merger or consolidation of NHA or any NHA Subsidiary with another corporation; and the reorganization, liquidation or dissolution of NHA or any NHA Subsidiary; (ix) approval of loans by NHA or any NHA Subsidiary or the incurring of any indebtedness, secured or unsecured, which exceeds $2Million or which has a term longer than one year; (x)approval of policies relating to the control and supervision of the investment of NHAs and any NHA Subsidiary's funds, including but not limited to those funds and properties which may have been donated, bequeathed or devised, or given in trust for the limited or general use of NHA or any NHA Subsidiary; (xi)approval of unbudgeted expenditures in excess of $2Million or any increase in any approved annual operating or capital budget; (xii) approval of any agreement ortransaction of NHA or an NHA Subsidiary involving an amount greater than $2 Million with another individual or entity; (xiii) approval of the affiliation of NHA or anNHA Subsidiary with any other entity for purposes of the joint conduct of business or other purposes, whether in the form of participation in said entity through theholding of stock or by membership or in the form of partnership, joint venture, co-tenancy or any other form of ownership or control; (xiv) creation of any committeewhich shall have the authority to act on behalf of the Board or on behalf of any NHA Subsidiary; (xv)approval of any conveyance of, or the granting of mortgages or trusts on any real property assets of NHA or of any NHA Subsidiary; (xvi) approval of any change to any employee pension or other employee benefit plans of NHA or any NHA Subsidiary (xvii) approval of the adoption of or amendment to the policies and procedures governing: (a) indemnification of directors and officers of NHA or any NHA subsidiary; (b) conflicts or dualities of interest; (c) accounting and investment standards and practices; and (d) such other policies as the Member mayfrom time to time determine; (xviii) approval of the strategic plan of NHA and any NHA Subsidiary; (xix)approval of the engagement in managed care and otherthird party payor contracting on behalf of NHA or any NHA Subsidiary; (xx) approval of any commencement, cessation, location, relocation or consolidation ofsignificant clinical services provided by NHA or any NHA Subsidiary and approval of the filing of any application for a certificate of need by NHA or any NHA Subsidiary; (xxi) approval of system-wide quality, performance and credentialing standards and procedures to which NHA and any NHA Subsidiary is expected toadhere; and (xxii) approval of regulatory compliance and methodology for physician compensation arrangements.Article II Section 2.3 Meetings of Member -The Bylaws provide for annual and special meetings of the Member, as determined by the Board. At each annual meeting or special meeting called for such purpose, the Member shall: (i) appoint directors in accordance with the Bylaws; (ii) receive reports from the NHA directors, officers and committees; and (iii) conduct any other business relating to the affairs of NHA consistent with the rights of the Member.Article III Section 3.1 Authority - The Board of Directors has all corporate powers not reserved to the Member. The activities, properties and affairs of NHA shall be managed by or under the direction of the Board, subject to limitations in the Certificate of Incorporation, which include, but are not limited to: (i) review local quality and service goals and improvement programs; (ii) monitor local quality, service and financial performance; (iii) support management in making local communications with external audiences, including but not limited to, local governments and the media; (iv) support fundraising efforts conducted by the Norwalk Hospital Foundation, Inc.; (v) oversee community benefit programs in the local community; (vi) approve medical staff bylaws and medical staff appointments based on standardized Member applications and review process; and (vii)participate in the search process for President and CEO of NHA, when needed.Article III Section 3.2 Number and Composition - The Board shall have no less than twelve and not more than twenty-five voting directors. Of that number, the President and CEO of NHA, the President and CEO of WCHN and the Chairman of the Board of the Norwalk Hospital Foundation, Inc. shall serve as ex-officio directors and shall be counted for purposes of a quorum and shall have the right to vote. At least one director, other than the President and CEO of WCHN, shall be an individual who also serves on the board of each of WCHN, The Danbury Hospital and the New Milford Hospital. All directors shall be individuals who serve on the board of the Member.Article III Section 3.3 Appointment of Terms of Office - There shall be three classes of directors. Directors are elected at each annual meeting of the Member. Directors terms are for three years. Directors can serve for three consecutive terms on the Board. After serving three consecutive terms, a director may again serve after a one year hiatus from service.Article III Section 3.4 Vacancies -Vacancies occurring on the Board shall be filled by the Member.Article V Committees of the Board - The Committees of the Board include the Nominating Committee and the Budget and Finance Committee. At least annually, the Board, by the affirmative vote of all directors then serving shall appoint a Nominating Committee and a Budget and Finance Committee. NHA shall also participate in the matrix of committees established by WCHN to provide advice to WCHN and its affiliates.Article VI President and CEO - NHA may contract with WCHN for the services of a President and CEO. Following the first anniversary of the Effective Date, WCHNs President and CEO shall have the unilateral authority to hire or fire the NHA President and CEO after obtaining input on such action from the Board, subject to the terms of any
Form 990, Part VI, Line 6: Explanation of Classes of Members or Shareholder As of September 30, 2014 Norwalk Health Services Corporation, Inc.(NHSC) is the sole member of Norwalk Hospital Association (NHA) and appoints NHA's Trustees. On October 1, 2014 NHSC merged into Western Connecticut Health Network (WCHN), WCHN became the sole corporate member of NHA.
Form 990, Part VI, Line 11b: Form 990 Review Process Steven Rosenberg, CFO, will review the 990 prior to it being sent to the IRS. A preliminary 990, is presented to the Audit Committee in June, who reviews it on behalf of the Board. E&Y is on hand to review the 990 with the Audit Committee and answer any questions. Prior to the 990 being filed with the IRS, the Board will receive a full and accurate copy on a secured website for their review.
Form 990, Part VI, Line 12c: Explanation of Monitoring and Enforcement of Conflicts The Organization's Process for Monitoring and Enforcing Conflicts of InterestThe Western Connecticut Health Network and its affiliates' (The Network)Conflict of Interest Policy provides that annually, its Representatives shall sign a statement affirming that they disclosed all potential conflicts, as documented in the Conflict of Interest Policy. In addition, General Counsel is part of the routine contracts review process and watches for potential conflicts with any of The Network's Representatives.Who Is Covered By the PolicyThe Network's Conflict of Interest Policy covers each director, officer and manager of The Network, also referred to as "Representatives". Level At Which Determinations of Whether There Is a Conflict In connection with any actual or possible conflict of interest, an interested person must disclose the facts of the conflict. The Compliance Officer and the Audit Committee review and evaluate each disclosure to determine if there is a conflict of interest. After presentation of a potential transaction or arrangement is made by an interested person, the remaining disinterested Board or Committee members shall decide if a conflict of interest exist. Level That Reviews and Determines What To Do If There Is a ConflictAfter exercising due diligence the full Board would determine what actions should be taken for all conflicts by Officers and Directors. Any conflicts occurring by a manager are reviewed by the Compliance Committee to determine what further action should be taken.Restrictions on The Conflicted PersonNo director having a conflict of interest on any matter shall vote on that matter or be counted in determining the quorum for the meeting at which the vote is taken, even when permitted by law. No Representative having a conflict of interest on any matter shall use his or her personal influence on the matter.If the Board of Directors, in its sole discretion, determines that any Representative has conflicts of interest sufficient in number and/or importance that the effectiveness of such individual on behalf of The Network may be significantly impaired, the Board may ask the individual to resign.
Form 990, Part VI, Line 15a: Compensation Review & Approval Process - CEO, Top Management An outside consulting firm conducts an executive compensation analysis utilizing third party, blinded survey data sources. The consultant then presents findings to the compensation committee of the Board, who decide what action to take, if any, for each executive. This procedure only applies to the President, Vice Presidents, and certain key employees. For those key employees whose salaries are not subject to the compensation committee review, their respective Vice Presidents assess their performance and determine salary increase based on guidelines established by the annual review program and final review ratings. Compensation decisions also employ external market survey data and internal analysis based on Norwalk Hospital Association's salary ranges. This process is undertaken each year.
Form 990, Part VI, Line 15b: Compensation Review and Approval Process for Officers and Key Employees An outside consulting firm conducts an executive compensation analysis utilizing third party, blinded survey data sources. The consultant then presents findings to the compensation committee of the Board, who decide what action to take, if any, for each executive. This procedure only applies to the President, Vice Presidents, and certain key employees. For those key employees whose salaries are not subject to the compensation committee review, their respective Vice Presidents assess their performance and determine salary increase based on guidelines established by the annual review program and final review ratings. Compensation decisions also employ external market survey data and internal analysis based on Norwalk Hospital Association's salary ranges. This process is undertaken each year.
Form 990, Part VI, Line 19: Other Organization Documents Publicly Available Governing documents, conflict of interest policy are available to the public upon request. Financial statements are available to the public on the Hospital's web site and upon request.
Other Changes In Net Assets Or Fund Balances - Other Decreases Change in Interest Rate Swap = -$2043924
Other Changes In Net Assets Or Fund Balances - Other Decreases Change in Pension Obligation = -$21796757
Other Changes In Net Assets Or Fund Balances - Other Decreases Decrease in Ben Interest NHF Temp Restr = -$457669
Other Changes In Net Assets Or Fund Balances - Other Increases Fair Value Adjustment = $16395275
Other Changes In Net Assets Or Fund Balances - Other Increases Increase Ben Interest NHF - Unrestricted = $3125357
Other Changes In Net Assets Or Fund Balances - Other Increases Increase Ben Interrest in NHF - Permanently Restr = $6800
Other Changes In Net Assets Or Fund Balances - Other Increases Net Unrestricted changes in Joint Venture = $1795157
Other Changes In Net Assets Or Fund Balances - Other Decreases Norwalk Surgery Center / Joint Venture Income = -$2941038
Other Changes In Net Assets Or Fund Balances - Other Increases Transfer from Norwalk Health Serv Corporation = $36515314
Other Changes In Net Assets Or Fund Balances - Other Increases Transfer from Norwalk Hospital Foundation = $3443973
Other Changes In Net Assets Or Fund Balances - Other Decreases Transfer to Norwalk Health Services Corporation = -$7502519
Joint Venture Policy Form 990, Part VI, Section B, Line 16B While a written policy has not been adopted regarding the evaluation of participation in joint ventures, management follows a procedure in which all possible joint venture arrangements are evaluated under applicable Federal Tax Laws. Management utilized the services of appropriate consultants and legal counsel to evaluate each joint venture opportunity. This evaluation also includes an analysis of how the joint venture will further the Hospital's mission. The hospital has taken all appropriate steps to safeguard its tax exempt status with respects to all joint venture arrangements. Joint venture arrangements are approved by the Board of Trustees
Officers and Trustees Form 990, Part VII Daniel DeBarba was President and CEO thru 12/31/2013. Effective 1/1/2014 he was President of Norwalk Hospital, Danbury Hospital and New Milford Hospital.John Murphy, MD - Chief Executive Officer effective 1/1/2014Ed Kangas - Vice Chairman and Trustee thru 12/31/2013, Trustee only effective 1/1/2014Ed Mahony - Trustee only thru 12/31/2013, Vice Chairman and Trustee effective 1/1/2014Patrick Minicus - Chief Financial Officer and VP Finance thru 12/31/2013, VP Finance Western Connecticut Health NetworkSteven H. Rosenberg - Chief Financial Officer, effective 1/1/2014Andrew Whittingham - Treasurer and Trustee thru 12/31/2013, Trustee only effective 1/1/2014Mark Gudis - Trustee only thru 12/31/2013, Treasurer and Trustee effective 1/1/2014Barbara Butler - Secretary and Trustee thru 12/31/2013, Trustee only effective 1/1/2014Fred Afragola - Trustee only thru 12/31/2013, Secretary and Trustee effective 1/1/2014Joseph Mann - Trustee thru 12/31/2013James Kennedy - Trustee effective 1/1/2014Thomas Ayoub, MD - Trustee and Chief of Staff, compensation received is for services as Chief of Staff of Norwalk Hospital
Other Changes in Net Assets or Fund Balance Form 990, Part XI, Line 9 Fair Value Adjustment - On January 1, 2014 Western Connecticut Health Network (WCHN) became the sole corporate member of Norwalk Health Services Corporation, and a corporate affiliation was completed. All assets and liabilities were revalued to fair value as of January 1, 2014. The $16,395,275 increase in the Hospital's net assets comprised the following (impacting unrestricted net assets):Property, plant and equipment $41,190,025Goodwill (13,843,749)Intangible assets ( 5,760,171)Investment in joint venture ( 627,986)Bond issuance costs, net (1,255,873)Medical malpractice claims reserves 652,000Long-term debt (3,958,971) Total $16,395,275Transfer from Norwalk Health Services Corporation - On September 30, 2014 an agreement was entered into between Norwalk Health Services Corporation (NHSC) and the Hospital under which all of NHSC's cash, investments, and real estate assets were transferred to the Hospital. NHSC's liabilities were also transferred to the Hospital. The transfer consisted of the following:Cash and cash equivalents $ 696,235Investments 26,977,706Beneficial interest in trust 8,007,837Property, plant and equipment 1,075,506Accounts payable (241,970) Total $36,515,314
Part VI Policies, 12a Conflict of Interest Policy A written conflict of interest policy is in place for Norwalk Health Services Corporation (NHSC) and subsidiaries. The Audit Committee of NHSC approved the conflict of interest policy for NHSC and all subsidiaries, in accordance with the authority delegated to the Audit Committee per the NHSC by laws. Effective 1/1/2014 Western Connecticut Health Network (WCHN) became the sole corporate member of NHSC and a corporate affiliation was completed. NHSC and all subsidiaries are now covered under the policies of WCHN and as such, the conflict of interest policy applies to Norwalk Hospital Association as of 1/1/2014.
Part VI Policies, 13 Whistleblower Policy A written whistleblower policy is in place for Norwalk Health Services Corporation (NHSC) and subsidiaries. Effective 1/1/2014 Western Connecticut Health Network (WCHN) became the sole corporate member of NHSC and a corporate affiliation was completed. NHSC and all subsidiaries are now covered under the policies of WCHN and as such, the whistleblower policy applies to Norwalk Hospital Association as of 1/1/2014.
Part VI Policies, 14 Document Retention & Destruction Policy Effective 1/1/2014 Western Connecticut Health Network (WCHN) became the sole corporate member of NHSC and a corporate affiliation was completed. NHSC and all subsidiaries are now covered under the policies of WCHN and as such, the written documentation and destruction policy applies to Norwalk Hospital Association as of 1/1/2014.
Significant Changes to Governing Documents Form 990 Part VI Section A On September 11, 2014 the following governance changes were approved for Norwalk Hospital Association (NHA) as a result of the merger of New Milford Hospital, Inc (NMH) with and into The Danbury Hospital and the merger of Norwalk Health Services Corporation (NHSC) with and into Western Connecticut Health Network (WCHN):Certificate of IncorporationThe member of NHA is being changed to reflect that WCHN will now act directly asthe member. Article VI is also being amended to reflect that the Corporation has both elected and ex-officio directors. No other changes to the certificate of incorporation were made.BylawsReferences to NHSC and NMH have been deleted. In addition, the following changes were made:Section 2.2 We are revising the powers of WCHN as member to allow WCHN to take additional actions without requiring approval of the Board of the NHA. The following actions were added to the list of actions taken by WCHN directly for NHA: Approval of changes to qualified and non-qualified benefit plans Approval of policies, including policies on indemnification, conflict of interest, and accounting and investment standards Approval of quality, performance and credentialing standards Approval of physician compensation methodologySection 2.2 was further amended to delete the requirement that WCHN approve managed care contracts and filing of a certificate of need. Approval of a certificate of need is not legally required and WCHN is required to approve any changes in clinical services. Thus, approval of the actual filing for a certificate of need was deemed duplicative.Section 2.2 is also being amended to delete the requirement that NHA's approval of an action must be accomplished before WCHNs approval of the same action. This change will facilitate approvals when meetings cannot be scheduled to allow NHA to meet prior to WCHNs meeting.Section 3.2 The revisions to this article deleted the requirement that the Presidentand CEO of WCHN serve as one of the two directors who are required to also serve as a director of WCHN and The Danbury Hospital.Section 5.2 The Nominating Committees name is being changed to the Board Development Committee. The committee's responsibilities are being clarified to include new director orientation, board education and board evaluation.Article VII The revisions to this article will allow the Chief Financial Officer ofWCHN to serve as NHA's Treasurer, ex-officio. The Treasurer will have authority to exercise investment management decisions for the NHA, provided that the Treasurer reports regularly to the directors and exercises such authority in accordancewith the investment policies of NHA and in consultation with WCHNs Finance Committee.
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2013

Additional Data


Software ID: 13000170
Software Version: 2013v4.0
SCHEDULE R
(Form 990)
Department of the Treasury
Internal Revenue Service
Related Organizations and Unrelated Partnerships
MediumBulletComplete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.
MediumBulletAttach to Form 990. MediumBullet See separate instructions.
MediumBullet Information about Schedule R (Form 990) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
The Norwalk Hospital Association
 
Employer identification number

06-6068853
Part I
Identification of Disregarded Entities Complete if the organization answered "Yes" on Form 990, Part IV, line 33.
(a)
Name, address, and EIN (if applicable) of disregarded entity


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Total income


 		(e)
End-of-year assets


 		(f)
Direct controlling
entity










Part II
Identification of Related Tax-Exempt Organizations Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related tax-exempt organizations during the tax year.
(a)
Name, address, and EIN of related organization


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Exempt Code section


 		(e)
Public charity status
(if section 501(c)(3))

 		(f)
Direct controlling
entity

 		(g)
Section 512(b)(13) controlled entity?
Yes No
(1) Norwalk Hospital Physicians & Surgeons

24 Stevens Street

Norwalk,CT06850
06-1522078 		Physician Practice CT 501(C)(3) 11 Type 2 Norwalk Health Services Corporation
 
Yes
 
(2) Norwalk Health Care Inc

24 Stevens Street

Norwalk,CT06850
22-2577722 		Inactive CT 501(C)(3) 9 Norwalk Health Services Corporation
 
Yes
 
(3) Norwalk Health Services Corporation

24 Stevens Street

Norwalk,CT06850
22-3688822 		Support Services CT 501(C)(3) 11 Type 2 Western Connecticut Health Network Inc
 
Yes
 
(4) Norwalk Hospital Foundation Inc

24 Stevens Street

Norwalk,CT06850
25-2577708 		Fundraising CT 501(C)(3) 7 Norwalk Health Services Corporation
 
Yes
 
(5) Advanced Center for Rehabilitation Medic

24 Stevens Street

Norwalk,CT06850
06-1304799 		Inactive CT 501(C)(3) 11 Type 2 Norwalk Health Services Corporation
 
Yes
 
(6) Danbury Hospital

24 Hospital Avenue

Danbury,CT06810
06-0646597 		Acute Care Hospital CT 501(C)(3) 3 WCHN
 
Yes
 
(7) Western Connecticut Health Network Inc

24 Hospital Avenue

Danbury,CT06810
22-2594977 		Program Development CT 501(C)(3) 11 Type 2 NA
 
 
No
(8) Western CT Health Network Affiliates

24 Hospital Avenue

Danbury,CT06810
22-2594968 		Outpatient Health Care Services CT 501(C)(3) 9 WCHN
 
Yes
 
(9) Western CT Heatlh Network Foundation

24 Hospital Avenue

Danbury,CT06810
23-7425557 		Admin Contributions CT 501(C)(3) 7 WCHN
 
Yes
 
(10) Western Connecticut Home Care Inc

4 Liberty Street

Danbury,CT06810
06-0655138 		Home Healthcare CT 501(C)(3) 9 WCHN
 
Yes
 
(11) Western CT Medical Group Inc

14 Research Drive Suite 201A

Bethel,CT06801
06-1137531 		Physician Practice CT 501(C)(3) 9 WCHN
 
Yes
 
(12) The New Milford Hospital Inc

21 Elm Street

New Milford,CT06776
06-0669121 		Acute Care Hospital CT 501(C)(3) 3 WCHN
 
Yes
 
(13) Eastern NY Medical Services PC

14 Research Drive Suite 201A

Bethel,CT06801
45-5431389 		Physician Practice NY 501(C)(3) 9 WCHN
 
Yes
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 2
Part III
Identification of Related Organizations Taxable as a Partnership Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a partnership during the tax year.
(a)
Name, address, and EIN of
related organization



 		(b)
Primary activity




 		(c)
Legal
domicile
(state or foreign
country)


 		(d)
Direct controlling
entity



 		(e)
Predominant income(related, unrelated, excluded from tax under sections 512-514)

(f)
Share of total income




 		(g)
Share of end-of-year
assets



 		(h)
Disproprtionate allocations?




 		(i)
Code V-UBI
amount in box 20 of
Schedule K-1
(Form 1065)
 		(j)
General or
managing
partner?



 		(k)
Percentage
ownership
Yes No Yes No
(1) Norwalk Surgery Center LLC

40 Cross Street
Norwalk,CT06850
27-2394942 		Surgery Center CT None
  		Related 2,941,038 5,601,121   No     No 64.110 %
(2) New Milford MRI JV LLC

21 Elm Street
New Milford,CT06776
27-1877801 		Inactive CT NMH
  		N/A       No     No  
(3) Ridgefield Surgical Center LLC

901 Ethan Allen Hwy Suite 105
Ridgefield,CT06877
22-2594977 		Inactive CT WCHN
  		N/A       No     No  








Part IV
Identification of Related Organizations Taxable as a Corporation or Trust Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.
(a)
Name, address, and EIN of
related organization
 		(b)
Primary activity
 		(c)
Legal
domicile
(state or foreign
country)
 		(d)
Direct controlling
entity
 		(e)
Type of entity
(C corp, S corp,
or trust) 		(f)
Share of total income
 		(g)
Share of end-of-year
assets
 		(h)
Percentage
ownership
 		(i)
Section 512(b)(13) controlled entity?
Yes No
(1) SWC Corporation

24 Stevens Street
Norwalk,CT06850
22-2577718 		Pharmacy CT NHSC
  		C Corp       Yes  
(2) Medical Services of Danbury

24 Hospital Avenue
Danbury,CT06810
06-1635945 		Healthcare CT WCMG
  		C Corp       Yes  
(3) Business Systems Inc

24 Hospital Avenue
Danbury,CT06810
06-1119262 		Inactive CT WCHN
  		C Corp       Yes  
(4) Maple Street Indemnity Company Ltd

40 Church Street PO Box 2062
Hamilton HM HX    
BD
98-0549862 		Captive Insurance BD NHSC
  		C Copr       Yes  
(5) Western CT Health Network Insurance Co

23 Lime Tree Bay PO Box 1051
Grand Cayman    
CJ
98-0438151 		Insurance Captive CJ Danbury Hospital
  		C Corp       Yes  




Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 3
Part V
Transactions With Related Organizations Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35b, or 36.
Note. Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule.
Yes
No
1 During the tax year, did the orgranization engage in any of the following transactions with one or more related organizations listed in Parts II-IV?
a Receipt of (i) interest (ii) annuities (iii) royalties or (iv) rent from a controlled entity . . . . . . . . . . . . . . . . . . . . . . .
1a
 
No
b Gift, grant, or capital contribution to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1b
 
No
c Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
Yes
 
d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
 
No
e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
No
f Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
Yes
 
k Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1k
 
No
l Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
Yes
 
m Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .
1m
Yes
 
n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .
1n
 
No
o Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
Yes
 
p Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
Yes
 
q Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
Yes
 
r Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
Yes
 
s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1s
Yes
 
2
If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.
(a)
Name of related organization 		(b)
Transaction
type (a-s) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) Norwalk Hospital Physicians & Surgeons

 j 1,572,906 FMV
(2) Norwalk Hospital Physicians & Surgeons

 m 14,165,863 FMV
(3) Norwalk Hospital Physicians & Surgeons

 o 2,372,240 FMV
(4) Norwalk Hospital Physicians & Surgeons

 q 6,745,285 FMV
(5) Norwalk Hospital Physicians & Surgeons

 r 17,324,141 FMV
(6) Norwalk Hospital Physicians & Surgeons

 s 7,400,000 FMV
(7) Norwalk Hospital Foundation Inc

 c 4,599,996 FMV
(8) Norwalk Hospital Foundation Inc

 l 65,160 FMV
(9) Norwalk Hospital Foundation Inc

 o 713,236 FMV
(10) Norwalk Hospital Foundation Inc

 q 103,463 FMV
(11) Norwalk Hospital Foundation Inc

 s 7,041,125 FMV
(12) Danbury Hospital

 o 1,887,526 FMV
(13) Danbury Hospital

 p 613,334 FMV
(14) Danbury Hospital

 r 1,942,640 FMV
(15) Western CT Medical Group Inc

 m 100,222 FMV
(16) Maple Street Indemnity Company Ltd

 q 936,826 FMV
(17) Maple Street Indemnity Company Ltd

 r 1,826,681 FMV
(18) Maple Street Indemnity Company Ltd

 s 932,241 FMV
(19) SWC Corporation

 l 138,000 FMV
(20) SWC Corporation

 m 3,647,774 FMV
(21) SWC Corporation

 q 248,395 FMV
(22) SWC Corporation

 r 3,250,000 FMV
(23) Western CT Health Network Insurance Co

 r 2,557,353 FMV
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 4
Part VI
Unrelated Organizations Taxable as a Partnership Complete if the organization answered "Yes" on Form 990, Part IV, line 37.
Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization. See instructions regarding exclusion for certain investment partnerships.
(a)
Name, address, and EIN of entity 		(b)
Primary activity 		(c)
Legal domicile
(state or foreign
country) 		(d)
Predominant income (related, unrelated, excluded from tax under sections 512-514)

(e)
Are all partners
section
501(c)(3)
organizations? 		(f)
Share of total income




 		(g)
Share of
end-of-year
assets 		(h)
Disproprtionate allocations? 		(i)
Code V?UBI
amount in box 20
of Schedule K-1
(Form 1065) 		(j)
General or
managing
partner? 		(k)
Percentage
ownership
Yes No Yes No Yes No






























Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 5
Part VII
Supplemental Information
Provide additional information for responses to questions on Schedule R (see instructions).
Return Reference Explanation
Schedule R (Form 990) 2013
Additional Data


Software ID: 13000170
Software Version: 2013v4.0