Form990
Click to see attachment
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 05-01-2013 , 2013, and ending 04-30-2014
BCheck if applicable:
CName of organization
INSTITUTE FOR HEALTHCARE IMPROVEMENT
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
20 UNIVERSITY ROAD
Suite 7TH FL
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
CAMBRIDGE, MA02138
D Employer identification number

38-3017223
E Telephone number

G Gross receipts $ 56,745,741
F Name and address of principal officer:
MAUREEN BISOGNANO
20 UNIVERSITY ROAD
CAMBRIDGE,MA02138
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
HTTP://WWW.IHI.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: 1992
M State of legal domicile: MA
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: TO IMPROVE HEALTH AND HEALTH CARE WORLDWIDE.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 16
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 15
5 Total number of individuals employed in calendar year 2013 (Part V, line 2a) ...... 5 177
6 Total number of volunteers (estimate if necessary) ............. 6 42
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 0
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b  
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 9,117,386 8,512,462
9 Program service revenue (Part VIII, line 2g) ......... 28,932,319 30,195,508
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 3,826,804 4,789,152
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 155,965 224,235
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 42,032,474 43,721,357
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 3,348,976 3,353,468
14 Benefits paid to or for members (Part IX, column (A), line 4)..... 0 0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 17,269,804 17,218,388
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 0 0
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet0    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 20,491,801 19,079,941
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 41,110,581 39,651,797
19 Revenue less expenses. Subtract line 18 from line 12....... 921,893 4,069,560
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 89,987,955 97,670,526
21 Total liabilities (Part X, line 26)............. 11,467,839 12,420,962
22 Net assets or fund balances. Subtract line 21 from line 20..... 78,520,116 85,249,564
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: Please refer to IHI's mission statement as outlined on pages 1 - 3 of Schedule O.
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 $ 9,718,013 including grants of $ 3,353,157 ) (Revenue $   )
GRANTS: THE ORGANIZATION RECEIVED AND EXPENDED FUNDS FOR A VARIETY OF PURPOSES IN THE PURSUIT OF ITS MISSION. THESE INCLUDED PROGRAMS TO PROVIDE PATIENT SELF-MANAGEMENT SKILLS, IMPROVE CARE AT THE BEDSIDE, DISSEMINATE MEDICAL BEST PRACTICES, IMPROVE CHRONIC CARE, AND reduce mortality and unnecessary hospitalizations. THESE EFFORTS CONTRIBUTE TO IHI'S GROWING KNOWLEDGE OF OPTIMAL SYSTEM DESIGNS THAT CAN DRAMATICALLY IMPROVE PATIENT CARE.
4b (Code:   ) (Expenses $ 9,447,398 including grants of $ 311 ) (Revenue $ 13,018,920 )
STRATEGIC PARTNERS AND CONTRACTS: IHI MAINTAINS A VARIETY OF CLOSELY ALIGNED, STRATEGIC RELATIONSHIPS WITH ORGANIZATIONS IN REGIONS AROUND THE WORLD, INCLUDING THE UNITED STATES, THE UNITED KINGDOM, EUROPE, NEW ZEALAND, MIDDLE EAST, ASIA, AND LATIN AMERICA. CONTRACTED SERVICES ARE FOCUSED ON ACHIEVING STRATEGIC OBJECTIVES, SYSTEM-LEVEL IMPROVEMENT, THE IHI FELLOWSHIP PROGRAM, AND CAPABILITY BUILDING.
4c (Code:   ) (Expenses $ 7,185,532 including grants of $   ) (Revenue $ 10,777,800 )
COURSES AND OTHER PROGRAMS: -PROFESSIONAL DEVELOPMENT PROGRAMS PROFESSIONAL DEVELOPMENT PROGRAMS AND SHORTER TWO DAY SEMINARS ARE OFFERED TO HELP ORGANIZATIONS DEVELOP THEIR INTERNAL CAPACITY AND INFRASTRUCTURE FOR SAFETY AND IMPROVEMENT. IHI'S SEMINARS OFFER HEALTH CARE PROFESSIONALS MANY OPPORTUNITIES TO LEARN THE LATEST IMPROVEMENT IDEAS, CONNECT WITH LIKE MINDED COLLEAGUES, AND GENERATE MOMENTUM FOR CHANGE IN THEIR ORGANIZATIONS. -National Forum on Quality Improvement in Health Care Held each December, this major U.S. conference on improvements in health care draws nearly 6,000 participants from around the world who attend hundreds of workshops, plenary sessions, and special interest meetings. Thousands more join the conference via satellite broadcast. -INTERNATIONAL SUMMIT ON IMPROVING PATIENT CARE IN THE OFFICE PRACTICE AND THE COMMUNITY THIS ANNUAL WORLD CLASS CONFERENCE FEATURES TOP FACULTY WHO BRING THE BEST IDEAS ON AREAS THAT ARE RIPE FOR IMPROVEMENT WITHIN THE OFFICE PRACTICE AND COMMUNITY BASED CARE SETTINGS. OFFICE PRACTICE STAFF AND COMMUNITY CARE ORGANIZATIONS COME TOGETHER TO SHARE THEIR GROWING KNOWLEDGE AND BUILD NEW PARTNERSHIPS TO DELIVER RELIABLE, PATIENT CENTERED, EVIDENCE BASED CARE FOR EVERY PATIENT, EVERY TIME. -Global Forums on Quality and Safety in Healthcare IHI partners with organizations in different regions of the world to bring large conferences to health care leaders, clinicians, and improvers. IHI, in partnership with local organizations, is currently planning to hold forums in Europe, the Middle East, and Latin America. Participants of global forums take part in a multitude of sessions that range from the basic disciplines of quality improvement to the latest thinking in how to improve quality and safety. -PASSPORT AND EXPEDITIONS PASSPORT AND EXPEDITIONS ARE TWO PROGRAMS THAT PROVIDE ADDITIONAL SUPPORT TO ORGANIZATIONS IN THEIR IMPROVEMENT EFFORTS. PASSPORT IS THE INSTITUTE'S COST EFFECTIVE MEMBERSHIP PROGRAM THAT PROVIDES ACCESS TO PRACTICAL TOOLS AND EXPERT SUPPORT TO HELP ORGANIZATIONS REACH THEIR IMPROVEMENT GOALS. EXPEDITIONS ARE TWO TO FOUR MONTH, INTERACTIVE, WEB BASED PROGRAMS THAT HELP HOSPITALS IMPLEMENT KEY CLINICAL CHANGES TO IMPROVE THE SAFETY AND RELIABILITY OF THEIR CARE SYSTEMS. THE INSTITUTE OFFERS TEN EXPEDITION PROGRAMS EACH CALENDAR YEAR. -IHI TRIPLE AIM IHI BELIEVES THAT DRAMATIC IMPROVEMENT OF A HEALTH CARE SYSTEM CAN BEST BE ACHIEVED THROUGH AN OVERARCHING AGENDA THAT SEEKS TO OPTIMIZE PERFORMANCE ON THREE DIMENSIONS OF CARE: BETTER CARE FOR INDIVIDUALS, BETTER HEALTH FOR POPULATIONS, AND LOWER PER CAPITA COSTS. IHI IS LEADING CUTTING EDGE INITIATIVES ORGANIZED AROUND THE SIMULTANEOUS PURSUIT OF THESE GOALS - WHAT IHI CALLS THE TRIPLE AIM. -IHI OPEN SCHOOL FOR HEALTH PROFESSIONS THE IHI OPEN SCHOOL IS AN INTERPROFESSIONAL EDUCATIONAL COMMUNITY THAT PROVIDES STUDENTS WITH THE SKILLS TO BECOME CHANGE AGENTS IN HEALTH CARE. THE IHI OPEN SCHOOL HAS OVER 638 CHAPTERS IN MORE THAN 60 COUNTRIES AROUND THE WORLD, AND A GROWING CATALOG OF ONLINE COURSES IN QUALITY IMPROVEMENT; PATIENT SAFETY; LEADERSHIP; PERSON- AND FAMILY-CENTERED CARE; TRIPLE AIM FOR POPULATIONS; AND QUALITY, COST, AND VALUE. THE COURSES HAVE BEEN TRANSLATED INTO SPANISH AND PORTUGUESE, AND HAVE BEEN INTEGRATED INTO MORE THAN 800 UNIVERSITY AND HEALTH CARE ORGANIZATIONAL TRAINING PROGRAMS AROUND THE WORLD.
(Code:   ) (Expenses $ 4,270,510 including grants of $   ) (Revenue $ 6,525,008 )
NATIONAL FORUM
(Code:   ) (Expenses $ 1,130,452 including grants of $   ) (Revenue $ 98,015 )
INNOVATION
4d Other program services (Describe in Schedule O.)
(Expenses $ 5,400,962 including grants of $   ) (Revenue $ 6,623,023 )
4e Total program service expensesMediumBullet31,751,905
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 I..........
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 II........
4
 
No
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 III............................
5
 
 
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
 
No
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
 
No
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
 
No
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
Yes
 
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
Yes
 
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
 
No
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
Yes
 
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......... Click to see attachment
14b
Yes
 
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 IVClick to see attachment
15
Yes
 
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... Click to see attachment
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....
20a
 
No
b
If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return?
20b
 
 
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................
24a
 
No
b
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...
24b
 
 
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
 
 
d
Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?...
24d
 
 
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........
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...................
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....................
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.........
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 ..........................
28a
 
No
b
A family member of a current or former officer, director, trustee, or key employee? If "Yes,"
complete Schedule L, Part IV.....................
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...
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........
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........................
34
 
No
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
 
No
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...
35b
 
 
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.............
36
 
 
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 VI
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
158
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
177
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
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?...
3a
 
No
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
Yes
 
b
If "Yes," enter the name of the foreign country: MediumBulletMI , SF
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
 
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
 
 
h
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C?..........................
7h
 
 
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
 
 
9
Sponsoring organizations maintaining donor advised funds.
a
Did the organization make any taxable distributions under section 4966?..........
9a
 
 
b
Did the organization make a distribution to a donor, donor advisor, or related person?.......
9b
 
 
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
 
 
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
 
 
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
 
 
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
16
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
15
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
 
No
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
 
No
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
 
No
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
 
No
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
Yes
 
b
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ..........................
12b
Yes
 
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
Yes
 
13
Did the organization have a written whistleblower policy? ...............
13
Yes
 
14
Did the organization have a written document retention and destruction policy? .........
14
Yes
 
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
Yes
 
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be filedMediumBullet
MA
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:
MediumBulletAMY HOSFORD-SWAN20 UNIVERSITY ROADCAMBRIDGEMA02138 (617) 301-4800
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) MAUREEN BISOGNANO........................................................................
PRESIDENT/CEO
 40.0
.......................   		X   X       599,132 0 12,404
(2) JAMES M ANDERSON........................................................................
DIRECTOR
 1.0
.......................   		X                
(3) A BLANTON GODFREY PHD........................................................................
DIRECTOR
 1.0
.......................   		X           0 0 0
(4) GARY S KAPLAN MD........................................................................
BOARD CHAIR
 1.0
.......................   		X           0 0 0
(5) DIANA CHAPMAN WALSH MS PHD........................................................................
Board VICE CHAIR
 1.0
.......................   		X           0 0 0
(6) RUDOLPH F PIERCE ESQ........................................................................
DIRECTOR
 1.0
.......................   		X                
(7) BRENT C JAMES MD MSTAT........................................................................
DIRECTOR
 1.0
.......................   		X                
(8) MICHAEL DOWLING........................................................................
SECRETARY/TREASURER
 1.0
.......................   		X                
(9) ELLIOTT S FISHER MD MPH........................................................................
DIRECTOR
 1.0
.......................   		X                
(10) TERRY FULMER PHD RN FAAN........................................................................
DIRECTOR
 1.0
.......................   		X                
(11) JENNIE CHIN HANSEN........................................................................
DIRECTOR
 1.0
.......................   		X                
(12) HELEN HASKELL MA........................................................................
DIRECTOR
 1.0
.......................   		X                
(13) ARNOLD MILSTEIN MD PHD........................................................................
DIRECTOR
 1.0
.......................   		X                
(14) NANCY L SNYDERMAN MD........................................................................
DIRECTOR
 1.0
.......................   		X                
(15) Thomas W Chapman MPH EdD........................................................................
Director
 1.0
.......................   		X                
(16) Mark D Smith MD MBA........................................................................
Director
 1.0
.......................   		X                
(17) DONALD GOLDMANN MD........................................................................
Chief Sci. & Medical Officer
 40.0
.......................   		    X       336,491 0 12,214
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) JOANNE HEALY........................................................................
SENIOR Vice President
 40.0
.......................   		    X       233,270 0 10,329
(19) AMY HOSFORD-SWAN........................................................................
CHIEF FINANCIAL OFFICER
 40.0
.......................   		    X       235,587 0 7,322
(20) JEFFREY SELBERG........................................................................
EXECUTIVE VP/COO
 40.0
.......................   		    X       396,478   39,258
(21) PIERRE BARKER........................................................................
SENIOR Vice President
 40.0
.......................   		    X       287,731   37,527
(22) Trissa Torres........................................................................
Senior Vice President
 40.0
.......................   		    X       251,955   20,883
(23) Derek Feeley........................................................................
Executive VP/COO
 40.0
.......................   		    X       178,726   3,459
(24) CAROL BEASLEY........................................................................
DIRECTOR OF STRATEGIC PROJECTS
 40.0
.......................   		      X     269,218 0 10,588
(25) PAUL HAMNETT........................................................................
VICE PRESIDENT OF ENGINEERING
 40.0
.......................   		      X     221,912 0 15,927
(26) FRANK FEDERICO........................................................................
DIRECTOR OF STRATEGIC PARTNERS
 40.0
.......................   		      X     162,650   13,290
(27) KATHY LUTHER........................................................................
VICE PRESIDENT
 40.0
.......................   		      X     188,896   29,267
(28) Nneka Mobisson-Etuk........................................................................
Exec. Director of African Ops.
 40.0
.......................   		      X     305,806   13,604
(29) CAROL HARADEN........................................................................
VICE PRESIDENT
 40.0
.......................   		        X   207,726   11,322
(30) ANDREA KABCENELL........................................................................
VICE PRESIDENT
 40.0
.......................   		        X   191,740   16,411
(31) ROBERT LLOYD........................................................................
EXEC DIR PERFORMANCE IMPROV
 40.0
.......................   		        X   193,977   13,329
(32) JANE ROESSNER........................................................................
LEAD WRITER
 40.0
.......................   		        X   190,328   10,990
(33) Gail Freeman........................................................................
Vice President
 40.0
.......................   		        X   219,589   27,424
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 4,671,212 0 305,548
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet43
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
 
No
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
TOM NOLAN, 1110 BONIFANT ST 420SILVER SPRINGSMD20910 PROGRAM CONSULTING 236,842
JOHN WHITTINGTON, 1 MARTHA AVENORMALIL61761 PROGRAM CONSULTING 265,500
LLOYD PROVOST, 115 E 5TH ST SUITE 300AUSTINTX78701 PROGRAM CONSULTING 241,980
BlackPearl Solutions Inc, 14 Harding StLEOMINSTERMA01453 IT Services 343,691
Abridge Info Systems Inc, 255 Noth Rd Unit 78CHELMSFORDMA01824 IT Services 358,778
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet21
Form 990 (2013)
Form 990 (2013)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII .............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512-514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a  
b Membership dues....1b  
c Fundraising events....1c  
d Related organizations...1d  
e Government grants (contributions)1e 1,196,563
f All other contributions, gifts, grants, and
similar amounts not included above1f 		7,315,899
g Noncash contributions included in lines
1a-1f:$ 		 
h Total. Add lines 1a-1f.......MediumBullet 8,512,462
Program Service RevenueAmt Business Code
2a PARTICIPATION/MEETING/CONFERENCE FEES 900099 11,826,049 11,826,049    
b CONTRACT SERVICES 900099 14,768,721 14,768,721    
c MEMBERSHIP DUES 900099 2,558,238 2,558,238    
d OPEN SCHOOL 900099 1,042,500 1,042,500    
e
f All other program service revenue .        
g Total. Add lines 2a–2f........MediumBullet 30,195,508
OtherAmt RevenueAmt 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 3,572,147     3,572,147
4 Income from investment of tax-exempt bond proceeds..MediumBullet 0      
5 Royalties...........MediumBullet 0      
(i) Real (ii) Personal
6a Gross rents    
b Less: rental expenses    
c Rental income or (loss) 0 0
d Net rental income or (loss).......MediumBullet 0      
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 14,241,389  
b Less: cost or other basis and sales expenses 13,024,384  
c Gain or (loss) 1,217,005  
d Net gain or (loss)..........MediumBullet 1,217,005     1,217,005
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  
b Less: cost of goods sold ..b  
c Net income or (loss) from sales of inventory..MediumBullet 0      
Miscellaneous Revenue Business Code
11a OTHER REVENUE 900099 224,235 224,235    
b            
c            
d All other revenue ....        
e Total. Add lines 11a–11d ...... MediumBullet 224,235
12 Total revenue. See Instructions......MediumBullet 43,721,357 30,419,743   4,789,152
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 21 438,630 438,630
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 2,914,838 2,914,838
4 Benefits paid to or for members 0  
5 Compensation of current officers, directors, trustees, and key employees .... 3,274,118 1,379,889 1,894,229 0
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 10,843,556 8,383,974 2,459,582  
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 695,468 480,990 214,478  
9 Other employee benefits ....... 1,409,942 975,124 434,818  
10 Payroll taxes ........... 995,304 688,358 306,946  
11 Fees for services (non-employees):        
a Management ...... 0      
b Legal ......... 91,333 74,534 16,799  
c Accounting ........... 131,581 107,380 24,201  
d Lobbying ........... 0      
e Professional fundraising services. See Part IV, line 17 0  
f Investment management fees ...... 184,587   184,587  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 320,038 261,174 58,864  
12 Advertising and promotion .... 524,709 474,817 49,892  
13 Office expenses ....... 456,416 363,985 92,431  
14 Information technology ...... 740,213 544,204 196,009  
15 Royalties .. 0      
16 Occupancy ........... 1,152,792 919,334 233,458  
17 Travel ............ 2,979,424 2,657,844 321,580  
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0      
19 Conferences, conventions, and meetings .... 3,977,381 3,894,317 83,064  
20 Interest ........... 0      
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization ..... 1,923,420 1,547,417 376,003  
23 Insurance .............. 112,495 89,713 22,782  
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 CONSULTING 5,979,019 5,088,879 890,140  
b EDUCATION & TRAINING 184,269 169,708 14,561  
c INTERNATIONAL TAXES 193,461 178,173 15,288  
d MISCELLANEOUS 128,803 118,623 10,180  
e All other expenses        
25 Total functional expenses. Add lines 1 through 24e 39,651,797 31,751,905 7,899,892 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 ............. 0 1 0
2 Savings and temporary cash investments ......... 5,095,354 2 8,360,240
3 Pledges and grants receivable, net ........... 1,732,794 3 755,618
4 Accounts receivable, net ............. 3,717,522 4 4,371,468
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..................
0 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
0 6 0
7 Notes and loans receivable, net ............. 0 7 0
8 Inventories for sale or use .............. 0 8 0
9 Prepaid expenses and deferred charges .......... 760,722 9 554,266
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 7,266,474
b Less: accumulated depreciation ..... 10b 5,407,971 2,810,203 10c 1,858,503
11 Investments—publicly traded securities .......... 75,871,360 11 81,770,431
12 Investments—other securities. See Part IV, line 11 ..... 0 12 0
13 Investments—program-related. See Part IV, line 11 ..... 0 13 0
14 Intangible assets ............... 0 14 0
15 Other assets. See Part IV, line 11 ........... 0 15 0
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 89,987,955 16 97,670,526
Liabilities 17 Accounts payable and accrued expenses ......... 2,951,696 17 1,906,774
18 Grants payable ................. 0 18 0
19 Deferred revenue ................ 2,863,799 19 3,736,677
20 Tax-exempt bond liabilities ............. 0 20 0
21 Escrow or custodial account liability. Complete Part IV of Schedule D.. 0 21 0
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.......... 0 22 0
23 Secured mortgages and notes payable to unrelated third parties .. 0 23 0
24 Unsecured notes and loans payable to unrelated third parties .... 0 24 0
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.................... 5,652,344 25 6,777,511
26 Total liabilities. Add lines 17 through 25......... 11,467,839 26 12,420,962
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 .............. 75,680,164 27 82,765,122
28 Temporarily restricted net assets ........... 2,839,952 28 2,484,442
29 Permanently restricted net assets ........... 0 29 0
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 ........... 78,520,116 33 85,249,564
34 Total liabilities and net assets/fund balances ........ 89,987,955 34 97,670,526
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
43,721,357
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
39,651,797
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
4,069,560
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
78,520,116
5
Net unrealized gains (losses) on investments ...............
5
2,659,888
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
 
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
85,249,564
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:  
Software Version:  
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
INSTITUTE FOR HEALTHCARE IMPROVEMENT
 
Employer identification number

38-3017223
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.") . 5,947,678 6,151,282 8,334,929 9,117,386 8,512,462 38,063,737
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...... 26,647,527 31,496,243 31,952,555 29,088,284 30,419,743 149,604,352
3 Gross receipts from activities that are not an unrelated trade or business under section 513..           0
4 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...           0
5 The value of services or facilities furnished by a governmental unit to the organization without charge..           0
6 Total. Add lines 1 through 5. 32,595,205 37,647,525 40,287,484 38,205,670 38,932,205 187,668,089
7a Amounts included on lines 1, 2, and 3 received from disqualified persons...           0
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.           0
c Add lines 7a and 7b..           0
8 Public support (Subtract line 7c from line 6.) 187,668,089
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... 32,595,205 37,647,525 40,287,484 38,205,670 38,932,205 187,668,089
10a Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources.. 1,080,070 1,384,775 1,799,674 2,777,070 3,572,147 10,613,736
b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.           0
c Add lines 10a and 10b. 1,080,070 1,384,775 1,799,674 2,777,070 3,572,147 10,613,736
11 Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on.           0
12 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.) ..           0
13 Total support. (Add lines 9, 10c, 11, and 12.).. 33,675,275 39,032,300 42,087,158 40,982,740 42,504,352 198,281,825
14
Section C. Computation of Public Support Percentage
15
15
94.647 %
16
16
95.871 %
Section D. Computation of Investment Income Percentage
17
17
5.353 %
18
18
4.129 %
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:  
Software Version:  
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
INSTITUTE FOR HEALTHCARE IMPROVEMENT
 
Employer identification number

38-3017223
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
INSTITUTE FOR HEALTHCARE IMPROVEMENT
  		Employer identification number

38-3017223
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
INSTITUTE FOR HEALTHCARE IMPROVEMENT
  		Employer identification number

38-3017223
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
INSTITUTE FOR HEALTHCARE IMPROVEMENT
  		Employer identification number

38-3017223
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:  
Software Version:  
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
INSTITUTE FOR HEALTHCARE IMPROVEMENT
 
Employer identification number

38-3017223
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 ....          
b Contributions ........          
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 ......          
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 Bullet  
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)
 
 
(ii) related organizations ........................
3a(ii)
 
 
b
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
 
 
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 .................      
b Buildings ................        
c Leasehold improvements ............   433,077 116,799 316,278
d Equipment ................   1,080,999 779,551 301,448
e Other .................   5,752,398 4,511,621 1,240,777
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 1,858,503
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  
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








Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........Small Bullet  
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 0
DEFERRED COMPENSATION LIABILITY 2,586,043
REFUNDABLE ADVANCES 4,191,468







Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 6,777,511
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 46,196,657
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a 2,659,888
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 2,659,888
3 Subtract line 2e from line 1..................... 3 43,536,769
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 184,588
b Other (Describe in Part XIII.) ........... 4b  
c Add lines 4a and 4b....................... 4c 184,588
5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ...... 5 43,721,357
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 39,467,209
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 39,467,209
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 184,588
b Other (Describe in Part XIII.) ............ 4b  
c Add lines 4a and 4b....................... 4c 184,588
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5 39,651,797
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
FIN 48 (ASC 740) FOOTNOTE PART X, LINE 2 THE INSTITUTE IS A TAX-EXEMPT ORGANIZATION DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE CODE) AND IS GENERALLY EXEMPT FROM FEDERAL INCOME TAXES PURSUANT TO SECTION 501(A) OF THE CODE. ACCORDINGLY, NO PROVISION FOR FEDERAL AND STATE INCOME TAXES HAS BEEN MADE. GAAP REQUIRES THE INSTITUTE TO EVALUATE UNCERTAIN TAX POSITIONS. MANAGEMENT CONCLUDED AS OF AND FOR THE YEARS ENDED APRIL 30, 2014 AND 2013, THAT THE INSTITUTE DID NOT HAVE ANY LIABILITIES FOR ANY UNCERTAIN TAX POSITIONS.
Schedule D (Form 990) 2013

Additional Data


Software ID:  
Software Version:  




SCHEDULE F(Form 990)
Department of the Treasury
Internal Revenue Service
Statement of Activities Outside the United States
Right pointing arrow large image Complete if the organization answered "Yes" to Form 990,Part IV, line 14b, 15, or 16.Right pointing arrow large image Attach to Form 990. Right pointing arrow large image See separate instructions.Right pointing arrow large image Information about Schedule F (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
INSTITUTE FOR HEALTHCARE IMPROVEMENT
 
Employer identification number

38-3017223
Part I
General Information on Activities Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 14b.
1
For grantmakers.Does the organization maintain records to substantiate the amount of its grants and
other assistance, the grantees’ eligibility for the grants or assistance, and the selection criteria used
to award the grants or assistance? ...............................
2
For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of its grants and other assistance outside the United States.
3
Activites per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees, agents, and independent contractors in region (d) Activities conducted in region (by type) (e.g., fundraising, program services, investments, grants to recipients located in the region) (e) If activity listed in (d) is a program service, describe specific type of
service(s) in region		 (f) Total expenditures
for and investments
in region
Europe (Including Iceland and Greenland) 1 1 Program Services SEE SCHEDULE F PART V 934,053
Sub-Saharan Africa 4 4 Program Services SEE SCHEDULE F PART V 4,611,909
East Asia and the Pacific     Program Services SEE SCHEDULE F PART V 93,872
Middle East and North Africa     Program Services SEE SCHEDULE F PART V 341,438
South America     Program Services SEE SCHEDULE F PART V 89,068
           
           
           
           
           
           
           
           
           
           
           
           
3a Sub-total ..... 5 5 6,070,340
b Total from continuation sheets to Part I ...      
c Totals (add lines 3a and 3b) 5 5 6,070,340
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
Page 2
Part II
Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 15, for any recipient who received more than $5,000. Part II can be duplicated if additional space is needed.
1 (a) Name of organization (b) IRS code section
and EIN (if applicable)		 (c) Region (d) Purpose of
grant 		(e) Amount of
cash grant 		(f) Manner of
cash
disbursement 		(g) Amount
of non-cash
assistance 		(h) Description
of non-cash
assistance 		(i) Method of
valuation
(book, FMV,
appraisal, other)
Sub-Saharan Africa HEALTH CARE 2,381,400 Wire      
Sub-Saharan Africa HEALTH CARE 497,917 Wire      
Europe (Including Iceland and Greenland) HEALTH CARE 35,521 Wire      
             
             
             
             
             
             
             
             
             
             
             
             
             
2 Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter ....MediumBullet
3
3
Enter total number of other organizations or entities .......................MediumBullet
 
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013Page 3
Part III
Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 16.
Part III can be duplicated if additional space is needed.
(a) Type of grant or assistance (b) Region (c) Number of recipients (d) Amount of
cash grant 		(e) Manner of cash
disbursement 		(f) Amount of
non-cash
assistance 		(g) Description
of non-cash
assistance 		(h) Method of
valuation
(book, FMV,
appraisal, other)
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
Page 4
Part IV
Foreign Forms
1 Was the organization a U.S. transferor of property to a foreign corporation during the tax year? If "Yes,"the organization may be required to file Form 926, Return by a U.S. Transferor of Property to a Foreign Corporation (see Instructions for Form 926)......................................
2 Did the organization have an interest in a foreign trust during the tax year? If "Yes," the organization may be required to file Form 3520, Annual Return to Report Transactions with Foreign Trusts and Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust With a U.S. Owner (see Instructions for Forms 3520 and 3520-A).......................................
3 Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 5471, Information Return of U.S. Persons with Respect to Certain Foreign Corporations. (see Instructions for Form 5471)..............................
4 Was the organization a direct or indirect shareholder of a passive foreign investment company or a qualified electing fund during the tax year? If “Yes,” the organization may be required to file Form 8621, Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see Instructions for Form 8621)...............................................
5 Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," the organization may be required to file Form 8865, Return of U.S. Persons with Respect to Certain Foreign Partnerships. (see Instructions for Form 8865)....................................
6 Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organization may be required to file Form 5713, International Boycott Report (see Instructions for Form 5713)................................................
Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
Page 5
Part V
Supplemental Information
Provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information (see instructions).
ReturnReference Explanation
FOREIGN ACTIVITIES SCHEDULE F, PARTS I AND II IHI'S WORK IN DEVELOPING COUNTRIES SEEKS TO SAVE LIVES THROUGH HIGHLY LEVERAGED INTERVENTIONS AMONG LARGE POPULATIONS. THE MODELS AND METHODS UTILIZED IN SOUTH AFRICA, MALAWI, AND GHANA ARE BORROWED FROM EFFORTS IN THE US, UK, RUSSIA, AND PERU. THROUGH LOCAL ADAPTATION OF THESE METHODS IN AFRICA, IHI DEVELOPED NEW STYLES OF PROTOTYPING, IMPLEMENTATION AND SPREAD THAT CURRENTLY INFLUENCE IHI'S WORK ON LARGE POPULATIONS IN THE US AND AROUND THE WORLD. WITH EVER-INCREASING DEMANDS TO IMPROVE ACCESS TO HEALTH CARE AND TO MAINTAIN COST, THE US AND OTHER COUNTRIES CAN BENEFIT FROM LESSONS LEARNED IN AFRICA WHERE DISEASE BURDENS ARE HIGH AND RESOURCES ARE LIMITED. MALAWI: FOUNDED IN 2006, MAIKHANDA (MEANING MOTHER AND NEONATE IN A LOCAL DIALECT, CHICHEWA) WORKS TO REDUCE MATERNAL AND NEONATAL MORBIDITY AND MORTALITY IN THE KASUNGU, LILONGWE, AND SALIMA DISTRICTS. IHI HAS PARTNERED WITH THE HEALTH FOUNDATION, INSTITUTE OF CHILD HEALTH AT UNIVERSITY COLLEGE LONDON, CINCINNATI CHILDREN'S HOSPITAL, AND WOMEN AND CHILDREN FIRST TO MEET THSE GOALS. MAIKHANDA WORKS CLOSELY WITH COMMUNITIES TO ENSURE THAT IMPROVEMENTS ARE POSITIVE AND SUSTAINABLE. MAIKHANDA IS SOLELY FUNDED BY THE HEALTH FOUNDATION. IT IS A CHARITABLE TRUST (GOVERNED BY A BOARD OF TRUSTEES) THAT EMPLOYS APPROXIMATELY 4 EMPLOYEES WORKING IN THE PROGRAM TEACHING QUALITY IMPROVEMENT METHODOLOGIES IN HEALTH CARE FACILITIES AND NUMEROUS COMMUNITY GROUPS. MAIKHANDA EMPLOYS ADMINISTRATIVE, CLERICAL, PROGRAM STAFF AND DRIVERS. MAIKHANDA HAS THREE LOCATIONS INCLUDING A MAIN OFFICE IN LILONGWE, AN OFFICE IN SALIMA, AND AN OFFICE IN KASUNGU. GHANA: PROJECT FIVES ALIVE! WORKS TO ASSIST GHANA IN ACHIEVING MILLENNIUM DEVELOPMENT GOAL 4 - REDUCING MORTALITY IN CHILDREN UNDER FIVE BY SIXTY-SEVEN PERCENT BY 2015. THE PROGRAM IS BEING IMPLEMENTED IN FOUR WAVES AND IS FUNDED BY THE BILL & MELINDA GATES FOUNDATION. IHI WORKS IN COLLABORATION WITH THE NATIONAL CATHOLIC HEALTH SERVICE TO BUILD CAPACITY FOR CONTINUOUS IMPROVEMENT ACROSS THE HEALTH SYSTEMS AND IS CURRENTLY SPREADING HIGH IMPACT CHANGES FOR IMPROVING CARE NATIONWIDE IN VARIOUS HOSPITALS AND HEALTH CENTERS WITH ACTIVE COMMUNITY INVOLVEMENT. THE PROJECT WAS LAUNCHED IN JULY 2008. WE CURRENTLY HAVE ONE GHANAIAN STAFF PERSON WORKING ON THE GROUND IN ACCRA, GHANA. HE WORKS OUT OF AN OFFICE PROVIDED BY THE NCHS, AS PROJECT DIRECTOR. SOUTH AFRICA: IHI BEGAN ITS WORK IN SOUTH AFRICA IN 2004, WITH A FOCUS ON IMPROVING TREATMENT OF HIV/AIDS. Today we are WORKING with partner organizations ACROSS several districts to improve HIV/TB care and treatment, and on the elimination of mother to child transmission of HIV (eMTCT). Additionally we offer courses in Quality Improvement and Leadership. WE CURRENTLY HAVE staff and FACULTY/CONSULTANTS WORKING ON THE GROUND IN THE COUNTRY. THEY WORK OUT OF OFFICES PROVIDED BY OUR PARTNERS OR THEIR HOMES. Ethiopia: IHI was awarded a 15-month planning grant to lay the foundation for a fast-moving large-scale quality improvement (QI) initiative with the ultimate aim of accelerating the Federal Ministry of Healths (MoH) efforts to improve maternal and neonatal health (MNH) outcomes in Ethiopia. During this planning phase IHI aims to develop a deep understanding of the Ethiopian health system and its key support systems, build capacity and experience for the use of QI methods, and co-design with the MoH a phased scale-up of a QI-based intervention to strengthen existing Ethiopian efforts to significantly reduce maternal and neonatal mortality, particularly in rural areas. MONITOR FUNDS OUTSIDE THE US PART I, LINE 2 ALL GRANTS PROVIDED ARE PASS-THROUGH GRANTS. OUR PROCEDURES FOR MONITORING ARE DICTATED BOTH BY THE REQUIREMENTS OF THE ORIGINAL FUNDER, IHI INTERNAL POLICIES AND PROCEDURES, AND THE RESULTS OF OUR EVALUATION PRIOR TO GRANTING THE ACTUAL AWARD. THERE ARE REQUIREMENTS FOR REGULAR PROGRAM, PROGRAM EVALUATION AND ASSESSMENT AND FINANCIAL REPORTING, NO LESS REGULARLY THAN BI-ANNUALLY AND AS FREQUENTLY AS MONTHLY. FINANCIAL REPORTING REQUIREMENTS MUST BE ABIDED BY BEFORE WIRES ARE PROCESSED TO THE SUB-GRANTEE. ALL FINANCIAL REPORTS MUST BE ACCOMPANIED BY SUPPORTING GENERAL LEDGER DETAIL AND DEPENDING ON THE GRANT, STATEMENT OF CASH FLOWS, BALANCE SHEET, BANK STATEMENTS, ETC. ANNUAL AUDITS AND MANAGEMENT LETTERS ARE COLLECTED FROM MOST SUB-GRANTEES (IF AVAILABLE). ALL SUB-GRANTEES, RECEIVING MATERIAL AWARDS, HAVE IHI STAFF HELPING ON THE GROUND OR ARE VISITED ON A REGULAR BASIS FOR PROGRAM MONITORING AND OFTEN ONCE OR TWICE PER YEAR FOR FINANCIAL MONITORING/INTERNAL AUDITING. DEPENDING ON THE SUB-GRANTEE, OUR FINANCIAL MONITORING MAY CONSIST OF A FINANCE STAFF VISITING THE SITE AND PERFORMING INTERNAL AUDIT PROCEDURES, PROGRAM STAFF COLLECTING DOCUMENTATION/PERFORMING TEST WORK AND REPORTING BACK TO FINANCE, OR SUB-GRANTEE STAFF SENDING DOCUMENTATION TO OUR FINANCE AND INTERNAL AUDITOR FOR REVIEW. PROGRAM SERVICE PART I, LINE 3 EUROPE: IHI WORKS IN EUROPE ON IMPROVING HEALTHCARE DELIVERY AND SAFETY THROUGH A VARIETY OF CONTRACTUAL RELATIONSHIPS. IHI ALSO CO-SPONSORS THE INTERNATIONAL FORUM ON HEALTHCARE IMPROVEMENT HELD ANNUALLY, TYPICALLY IN A EUROPEAN LOCATION. SUB-SAHARAN AFRICA: OUR PROGRAMS OPERATED IN MALAWI AND GHANA WORK ON REDUCING MOTHER AND CHILD MORTALITY. IN SOUTH AFRICA, OUR PROGRAM IS STRIVING TO IMPROVE THE TREATMENT ON HIV AND AIDS. BRAZIL: IHI IS WORKING WITH THE INSTITUTO QUALISA DE GESTAO (IDG) TO IMPROVE THE QUALITY AND SAFETY OF HEALTH CARE FOR THE PEOPLE OF BRAZIL. MIDDLE EAST: IHI PROVIDES ONSITE PROFESSIONAL DEVELOPMENT TRAINING TO THE SAUDI ARABIA NATIONAL HEALTH AFFAIRS and the hamad medical corporation in Qatar. East Asia and the Pacific: IHI worked in the East Asia and Pacific region to improve health and healthcare through contractual relationships with the Singapore Ministry of Health and Counties Manukau District Health Board in New Zealand.
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule F (Form 990) 2013
Additional Data


Software ID:  
Software Version:  



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
INSTITUTE FOR HEALTHCARE IMPROVEMENT
 
Employer identification number
38-3017223
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) RAND CORP
1776 MAIN STREET
SANTA MONICA,CA90407 		95-1958142 501(C)(3) 332,898       HEALTH CARE
(2) UNIVERSITY OF CALIFORNIA IRVINE
BIOLOGICAL SCIENCES III SUITE 1400
IRVIE,CA92697 		95-2226406 501(C)(3) 105,731       HEALTH CARE




















2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image
2
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
 
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
PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS PART I, LINE 2 ALL GRANTS PROVIDED TO FOREIGN ENTITIES ARE PASS-THROUGH GRANTS. OUR PROCEDURES FOR MONITORING ARE DICTATED BOTH BY THE REQUIREMENTS OF THE ORIGINAL FUNDER, IHI INTERNAL POLICIES AND PROCEDURES, AND THE RESULTS OF OUR EVALUATION PRIOR TO GRANTING THE ACTUAL AWARD. THERE ARE REQUIREMENTS FOR REGULAR PROGRAM, PROGRAM EVALUATION AND ASSESSMENT, AND FINANCIAL REPORTING, NO LESS REGULARLY THAN BI-ANNUALLY AND AS FREQUENTLY AS MONTHLY. FINANCIAL REPORTING REQUIREMENTS MUST BE ABIDED BY BEFORE WIRES ARE PROCESSED TO THE SUB-GRANTEE. ALL FINANCIAL REPORTS MUST BE ACCOMPANIED BY SUPPORTING GENERAL LEDGER DETAIL AND DEPENDING ON THE GRANT, STATEMENT OF CASH FLOWS, BALANCE SHEET, BANK STATEMENTS, ETC. ANNUAL AUDITS AND MANAGEMENT LETTERS ARE COLLECTED FROM MOST SUB-GRANTEES (IF AVAILABLE). ALL SUB-GRANTEES, RECEIVING MATERIAL AWARDS, HAVE IHI STAFF HELPING ON THE GROUND OR ARE VISITED ON A REGULAR BASIS FOR PROGRAM MONITORING AND OFTEN ONCE OR TWICE PER YEAR FOR FINANCIAL MONITORING/INTERNAL AUDITING. DEPENDING ON THE SUB-GRANTEE, OUR FINANCIAL MONITORING MAY CONSIST OF A FINANCE STAFF VISITING THE SITE AND PERFORMING INTERNAL AUDIT PROCEDURES, PROGRAM STAFF COLLECTING DOCUMENTATION/PERFORMING TEST WORK AND REPORTING BACK TO FINANCE, OR SUB-GRANTEE STAFF SENDING A DOCUMENTATION TO OUR FINANCE AND INTERNAL AUDITOR FOR REVIEW.
Schedule I (Form 990) 2013


Additional Data


Software ID:  
Software Version:  


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
INSTITUTE FOR HEALTHCARE IMPROVEMENT
 
Employer identification number

38-3017223
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
Yes
 
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
Yes
 
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
 
No
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
 
 
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)MAUREEN BISOGNANOPRESIDENT/CEO (i)
(ii)		 490,236
0 		0
0 		108,896
0 		4,050
0 		8,354
0 		611,536
0 		0
0
(2)DONALD GOLDMANN MDChief Sci. & Medical Officer (i)
(ii)		 288,526
0 		0
0 		47,965
0 		4,050
0 		8,164
0 		348,705
0 		0
0
(3)JOANNE HEALYSENIOR Vice President (i)
(ii)		 205,627
0 		0
0 		27,643
0 		3,375
0 		6,954
0 		243,599
0 		0
0
(4)AMY HOSFORD-SWANCHIEF FINANCIAL OFFICER (i)
(ii)		 197,493
0 		0
0 		38,094
0 		3,375
0 		3,947
0 		242,909
0 		0
0
(5)CAROL BEASLEYDIRECTOR OF STRATEGIC PROJECTS (i)
(ii)		 180,587
0 		0
0 		88,631
0 		4,183
0 		6,405
0 		279,806
0 		44,587
0
(6)PAUL HAMNETTVICE PRESIDENT OF ENGINEERING (i)
(ii)		 159,746
0 		0
0 		62,166
0 		4,050
0 		11,877
0 		237,839
0 		34,506
0
(7)CAROL HARADENVICE PRESIDENT (i)
(ii)		 173,821
  		0
  		33,905
  		4,050
  		7,272
  		219,048
  		0
 
(8)ANDREA KABCENELLVICE PRESIDENT (i)
(ii)		 154,382
  		0
  		37,358
  		4,125
  		12,286
  		208,151
  		0
 
(9)ROBERT LLOYDEXEC DIR PERFORMANCE IMPROV (i)
(ii)		 182,463
  		0
  		11,514
  		1,725
  		11,604
  		207,306
  		0
 
(10)JANE ROESSNERLEAD WRITER (i)
(ii)		 166,433
  		0
  		23,895
  		4,050
  		6,940
  		201,318
  		0
 
(11)FRANK FEDERICODIRECTOR OF STRATEGIC PARTNERS (i)
(ii)		 152,714
  		0
  		9,936
  		2,002
  		11,288
  		175,940
  		0
 
(12)JEFFREY SELBERGEXECUTIVE VP/COO (i)
(ii)		 369,914
  		0
  		26,564
  		33,429
  		5,829
  		435,736
  		0
 
(13)PIERRE BARKERSENIOR Vice President (i)
(ii)		 254,736
  		0
  		32,995
  		24,583
  		12,944
  		325,258
  		0
 
(14)KATHY LUTHERVICE PRESIDENT (i)
(ii)		 163,242
  		0
  		25,654
  		18,309
  		10,958
  		218,163
  		0
 
(15)Trissa TorresSenior Vice President (i)
(ii)		 222,351
  		0
  		29,604
  		15,042
  		5,841
  		272,838
  		0
 
(16)Derek FeeleyExecutive VP/COO (i)
(ii)		 114,108
  		0
  		64,618
  		0
  		3,459
  		182,185
  		0
 
(17)Nneka Mobisson-EtukExec. Director of African Ops. (i)
(ii)		 219,885
  		0
  		85,921
  		3,375
  		10,229
  		319,410
  		0
 
(18)Gail FreemanVice President (i)
(ii)		 196,493
  		0
  		23,096
  		20,447
  		6,977
  		247,013
  		0
 
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 4B NONQUALIFIED RETIREMENT PLAN COMPENSATION PAID THROUGH AN IRC SECTION 457 PLAN HAS BEEN DISCLOSED ON SCHEDULE J FOR EACH REPORTED INDIVIDUAL. MAUREEN BISOGNANO - $ 83,333 JEFFREY SELBERG - $ 29,229 PIERRE BARKER - $ 20,533 TRISSA TORRES - $ 11,667 KATHY LUTHER - $ 14,109 GAIL FREEMAN - $ 16,397 CAROL BEASLEY - $ 59,767 PAUL HAMNETT - $ 34,506 DONALD GOLDMANN - $ 23,472 AMY HOSFORD-SWAN - $ 16,185 JOANNE HEALY - $ 10,495 CAROL HARADEN - $ 9,972 ANDREA KABCENELL - $ 13,357
PART I, COLUMN F MANAGEMENT TEAM BENEFITS THE INSTITUTE PROVIDES CERTAIN EXECUTIVES BENEFITS UNDER ITS MANAGEMENT TEAM FLEXIBLE BENEFIT PLAN. COVERED EXECUTIVES ARE PROVIDED WITH A FLEXIBLE BENEFIT ALLOWANCE WHICH CAN BE USED TO SELECT CERTAIN BENEFITS, INCLUDING A CAPITAL ACCUMULATION ACCOUNT. THE CAPITAL ACCUMULATION ACCOUNTS ARE MAINTAINED BY THE INSTITUTE AND THE EXECUTIVES ARE NOT VESTED IN THEIR ACCOUNTS UNTIL THEY REACH 5 YEARS OF SERVICE. THE EXECUTIVES ARE UNSECURED CREDITORS OF THE INSTITUTE FOR THE AMOUNT OF THEIR CAPITAL ACCUMULATION ACCOUNTS. THIS BENEFIT PLAN IS EXAMINED IN THE COURSE OF OUR COMPENSATION REVIEW (DICTATED BY OUR COMPENSATION POLICY DESCRIBED IN SCHEDULE O), AND CONSIDERED FAIR, REASONABLE AND WITHIN THE SAFE HARBOR GUIDELINES FOR EXECUTIVE COMPENSATION BY THE ORGANIZATION. IN ADDITION, OUR COMPENSATION STRUCTURE IS REVIEWED BY AN EXTERNAL COMPENSATION ADVISOR. IHI STRONGLY BELIEVES THAT THE ORGANIZATION NEEDS TO MAINTAIN ADEQUATE BENEFITS NECESSARY TO RETAIN THE TALENTED TEAM REQUIRED TO ACCOMPLISH OUR MISSION OF IMPROVING HEALTHCARE WORLDWIDE.
PART I, LINE 1 FIRST CLASS TRAVEL IHI'S TRAVEL POLICY REQUIRES THAT EMPLOYEES PERSONALLY PAY FOR ANY UPGRADE TO FIRST CLASS. ANY PURCHASE OF FIRST CLASS TICKETS WERE EXCEPTIONS DUE TO SPECIAL NEEDS AND APPROVED BY IHI MANAGEMENT. DURING THIS TIME IHI PAID FOR A SMALL AMOUNT (LESS THAN 20) OF FIRST CLASS TRAVEL TICKETS WHEN, FOR EXAMPLE, STAFF OR FACULTY TRAVELED AT THE REQUEST OF IHI, EXCEPTIONALLY LONG DISTANCES, IN A SHORT TIMELINE AND WERE EXPECTED TO BEGIN WORKING DIRECTLY UPON ARRIVAL; TRAVELED WITH AN INJURY; AND OTHER EXTRAORDINARY CIRCUMSTANCES.
PART II COMPENSATION OF FORMER DIRECTOR/OFFICER DR. DONALD M. BERWICK, MD WAS PAID $112,000 FOR SERVICES HE PROVIDED TO IHI AS A FACULTY MEMBER.
Schedule J (Form 990) 2013

Additional Data


Software ID:  
Software Version:  
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
INSTITUTE FOR HEALTHCARE IMPROVEMENT
 
Employer identification number

38-3017223
Return Reference Explanation
ORGANIZATION'S MISSION Form 990, PART III, LINE 1 IHI IS A LEADING INNOVATOR IN HEALTH AND HEALTH CARE IMPROVEMENT WORLDWIDE. FOR MORE THAN 25 YEARS, WE HAVE PARTNERED WITH AN EVER-GROWING COMMUNITY OF VISIONARIES, LEADERS, AND FRONT-LINE PRACTITIONERS AROUND THE GLOBE TO SPARK BOLD, INVENTIVE WAYS TO IMPROVE THE HEALTH OF INDIVIDUALS AND POPULATIONS. TOGETHER, WE BUILD THE WILL FOR CHANGE, SEEK OUT INNOVATIVE MODELS OF CARE, AND SPREAD PROVEN BEST PRACTICES. TO ADVANCE OUR MISSION, IHI IS DEDICATED TO: OPTIMIZING HEALTH CARE DELIVERY SYSTEMS, DRIVING THE TRIPLE AIM FOR POPULATIONS, REALIZING PERSON- AND FAMILY-CENTERED CARE, AND BUILDING IMPROVEMENT CAPABILITY. WHEN IT COMES TO RAISING THE QUALITY OF HEALTH FOR ALL, IHI SEES BOUNDLESS POSSIBILITIES, AND WHILE WE SEE THE WALLS IN FRONT OF US, WE WILL NOT REST UNTIL WE REACH THE OTHER SIDE. IHI MOBILIZES TEAMS, ORGANIZATIONS, AND INCREASINGLY NATIONS, THROUGH ITS STAFF OF MORE THAN 100 PEOPLE AND PARTNERSHIPS WITH HUNDREDS OF FACULTY AROUND THE WORLD. IHI PROVIDES IMPORTANT BENEFITS TO THE COMMUNITY WITH ACTIVITIES. FOR EXAMPLE: - IHI CREATED THE IHI OPEN SCHOOL AND CONVENED 80,000 STUDENTS TO ENABLE THE PASSION AND GROWTH OF THE NEXT GENERATION OF IMPROVERS. - IHI BUILDS WILL FOR IMPROVEMENT BY BRINGING CLARITY, FOCUS, AND SIMPLE SOLUTIONS TO THE TABLE THROUGH IHI INITIATIVES LIKE OUR BREAKTHROUGH SERIES COLLABORATIVES, 100,000 LIVES CAMPAIGN, AND THE IHI TRIPLE AIM. - IHI LAUNCHED THE IHI NATIONAL FORUM ON QUALITY IMPROVEMENT IN HEALTH CARE AND THE INTERNATIONAL FORUM TO BRING THOUSANDS OF PEOPLE TOGETHER TO TELL STORIES AND HELP SPARK INNOVATIVE IDEAS AND CHANGES IN HEALTH CARE IMPROVEMENT. - IHI ARCHITECTED THE UNPRECEDENTED 100,000 LIVES AND 5 MILLION LIVES CAMPAIGNS, WHICH SPURRED HOSPITALS ACROSS THE UNITED STATES TO JOIN US IN MAKING BREAKTHROUGH COMMITMENTS TO QUALITY AND PATIENT SAFETY. - IHI BRINGS THE SCIENCE OF IMPROVEMENT AND LEARNING TOGETHER TO INNOVATE NEW WAYS TO LEARN. - AS HEALTH CARE QUALITY IMPROVEMENT MOVEMENT PIONEERS, IHI THINKS DIFFERENTLY. FOR EXAMPLE, WE ARE COMMITTED TO ILLUMINATING POWERFUL MODELS FOR IMPROVEMENT FROM CORNERS OF THE WORLD THAT ARE OFTEN OVERLOOKED. - IHI DEVELOPED THE TRIPLE AIM AND IS NOW WORKING WITH OUR PARTNERS TO MOBILIZE SYSTEMS, COMMUNITIES, AND COUNTRIES TO ACHIEVE TRIPLE AIM RESULTS THAT RETURN SAVINGS TO COMMUNITIES. - IN SCOTLAND, THE IHI COMMUNITY IS ENGAGING HOSPITALS ACROSS THE COUNTRY TO BUILD IMPROVEMENT SKILLS, MEASUREMENT METHODS, AND SCIENTIFIC APPROACHES FOR BETTER CARE. THE RESULTS ARE INSPIRING. - IHI LAUNCHED GROUNDBREAKING IMPROVEMENT PROGRAMS IN SOUTH AFRICA AND GHANA THAT HAVE CONTRIBUTED TO A REDUCTION IN MATERNAL AND NEONATAL MORTALITY, THE PREVENTION OF MOTHER-TO-CHILD TRANSMISSION (PMTCT) OF HIV/AIDS, AND INCREASED ACCESS TO TREATMENT AND TESTING OF HIV/AIDS. - UNDER THE STAAR INITIATIVE, IHI IS WORKING WITH THE STATES OF MASSACHUSETTS, MICHIGAN, OREGON, OHIO, AND WASHINGTON TO REDUCE AVOIDABLE REHOSPITALIZATIONS. - IHI'S WEB SITE, WWW.IHI.ORG, IS A FREE GLOBAL RESOURCE FOR HEALTH CARE IMPROVEMENT KNOWLEDGE. - IHI'S FREE PUBLICATIONS, SUCH AS WHITE PAPERS AND HOW-TO-GUIDES, DOCUMENT AND DISSEMINATE THE ORGANIZATION'S INNOVATION WORK QUICKLY AND WIDELY.
PROGRAM SERVICE ACCOMPLISHMENTS Form 990, PART III, LINES 4A-D LINE 4D: EXPENSE = $4,270,510 REVENUE = $6,525,007 NATIONAL FORUM: IHI'S National Forum on quality improvement in health care, held each December, is a major U.S. conference on improvement in health care that draws nearly 6,000 participants from around the world who attend hundreds of workshops, plenary sessions, and special interest meetings. Thousands more join the conference via satellite broadcast. EXPENSE = $1,130,452 REVENUE = $ 98,015 INNOVATION: At the center of our work is the creation and testing of new ideas novel concepts for improving patient care. Here, we work intensely with cutting-edge organizations to test and prototype unique models and new solutions to old problems. This is our research and development function, the innovation engine that fuels all of our work.
FORM 990 REVIEW PROCESS FORM 990, PART VI, SECTION A, LINE 11A THE MAJORITY OF SUPPORT SCHEDULES FOR THE FORM 990 ARE PREPARED DURING THE ANNUAL AUDIT PREPARATION PROCESS IN THE MAY-JUNE TIMEFRAME. THE REMAINING ITEMS ARE COMPLETED BY THE END OF OCTOBER OF EACH FISCAL YEAR. THE FORM 990 IS DUE FIVE MONTHS AFTER THE CLOSE OF THE FISCAL YEAR, WHICH FOR IHI IS SEPTEMBER 15TH (WITH AN APRIL 30TH FISCAL YEAR END). ALL 990 EXTENSIONS ARE FILED BY KPMG (OR OUR CURRENT OUTSIDE INDEPENDENT AUDIT FIRM) AND A COPY IS MAINTAINED BY IHI. TWO EXTENSIONS ARE ALLOWED AND THEY EACH PROVIDE FOR AN ADDITIONAL THREE MONTH EXTENSION. THUS, THE MAXIMUM EXTENSION PERIOD ALLOWED ANNUALLY IS SIX MONTHS FROM THE ORIGINAL DUE DATE. THE FILING DATES ARE AS FOLLOWS: SEPTEMBER 15TH; IF EXTENSION IS FILED BY 9/15 THEN THE NEXT FILING DATE IS DECEMBER 15TH. IF THE SECOND EXTENSION (AND LAST POSSIBLE EXTENSION) IS FILED BY 12/15, THEN THE FINAL FILING DATE IS MARCH 15TH. THE MAJORITY OF SCHEDULES ARE PREPARED BY THE SENIOR STAFF ACCOUNTANT AND REVIEWED BY THE CONTROLLER. THE CONTROLLER PREPARES THE FINANCIAL STATEMENT RECONCILIATION TO THE FORM 990 FINANCIAL SECTION OF THE FORM. THIS IS REVIEWED BY THE CFO. UPDATES TO POLICIES APPLICABLE TO THE FORM 990 ARE PERFORMED THROUGHOUT THE YEAR AND REVIEWED BY EITHER THE CFO OR INTERNAL AUDITOR (DEPENDING ON THE PERSON WHO AUTHORS THE EDIT). CERTAIN POLICY UPDATES ARE REVIEWED BY THE STRATEGY TEAM OR THE AUDIT COMMITTEE FOR THEIR APPROVAL. AFTER THE REVIEW PROCESS, ALL SUPPORTING DOCUMENTATION AND WORK PAPERS ARE SENT TO KPMG WHO PRODUCES THE DRAFT FORM 990. THE DRAFT FORM 990 IS REVIEWED AND TIED BACK TO SUPPORTING DOCUMENTATION AND WORK PAPERS (INCLUDING THE AUDITED FINANCIAL STATEMENTS AND TRIAL BALANCE) BY THE CONTROLLER. ANY ADJUSTMENTS ARE DISCUSSED AND THEN PROCESSED (AS NEEDED) WITH KPMG. THE NEXT DRAFT IS REVIEWED BY THE CONTROLLER AND CFO. ANY ADJUSTMENTS ARE DISCUSSED AND THEN PROCESSED (AS NEEDED) WITH KPMG. THE FINAL DRAFT IS ALSO REVIEWED BY THE INTERNAL AUDITOR. AFTER THE DRAFT IS READY TO BE REVIEWED, IT IS SENT TO THE AUDIT COMMITTEE BEFORE THE LATE NOVEMBER/DECEMBER MEETING. AFTER ALL QUESTIONS AND ADJUSTMENTS (IF ANY) ARE RESOLVED, THE AUDIT COMMITTEE APPROVES THE FORM 990 TO BE PRESENTED TO THE FULL BOARD OF DIRECTORS. THE CFO AND AUDIT COMMITTEE CHAIR REVIEW THE FORM 990 WITH THE ENTIRE BOARD AND REQUEST BOARD APPROVAL. THE FULL BOARD MUST VOTE TO APPROVE THE FORM 990 BEFORE IT IS FILED BY KPMG WITH THE IRS.
CONFLICT OF INTEREST Form 990, PART VI, SECTION B, LINE 12 AS NOTED IN OUR STAFF GUIDEBOOK, THIS CONFLICT OF INTEREST POLICY IS DESIGNED TO HELP DIRECTORS, OFFICERS, AND SENIOR-LEVEL EMPLOYEES OF IHI IDENTIFY SITUATIONS THAT PRESENT POTENTIAL CONFLICTS OF INTEREST, AND TO PROVIDE IHI WITH A PROCEDURE FOR RESOLVING THOSE CONFLICTS. I. DEFINITIONS A. A "CONFLICT OF INTEREST" IS ANY SITUATION WHERE: I. YOUR PERSONAL INTERESTS, OR II. THE PERSONAL INTERESTS OF A CLOSE FRIEND, FAMILY MEMBER, BUSINESS ASSOCIATE, PERSON TO WHOM YOU OWE AN OBLIGATION, OR CORPORATION, PARTNERSHIP OR OTHER ORGANIZATION IN WHICH YOU HOLD A SIGNIFICANT INTEREST, COULD REASONABLY BE EXPECTED TO OR DOES INFLUENCE YOUR DECISIONS OR IMPAIR YOUR ABILITY TO: 1. ACT IN IHI'S BEST INTERESTS, OR 2. REPRESENT IHI FAIRLY, IMPARTIALLY, AND WITHOUT BIAS. B. AN "INDIRECT BENEFIT" IS: I. A BENEFIT DERIVED BY A CLOSE FRIEND, FAMILY MEMBER, BUSINESS ASSOCIATE, OR A CORPORATION, PARTNERSHIP, OR OTHER ORGANIZATION IN WHICH YOU HOLD A SIGNIFICANT INTEREST, OR II. A BENEFIT THAT ADVANCES OR PROTECTS YOUR INTERESTS ALTHOUGH IT MAY NOT BE MEASURABLE IN MONEY. C. A "CONFLICTING RELATIONSHIP" IS A CONFLICT OF INTEREST OR AN INDIRECT BENEFIT. D. "PERSONAL INTERESTS" IS ONE'S STATUS AS AN EMPLOYEE (OTHER THAN AS AN EMPLOYEE OF IHI), CONSULTANT, OFFICER, DIRECTOR, TRUSTEE, MANAGER, SIGNIFICANT INVESTOR, OR SIGNIFICANT LENDER. II. PROCEDURES A. A PERSON WHO HAS A CONFLICTING RELATIONSHIP SHALL DISCLOSE SUCH RELATIONSHIP THAT HE OR SHE MAY HAVE IN ANY MATTER AFFECTING OR INVOLVING IHI. IF A PERSON IS IN DOUBT ABOUT WHETHER THERE IS A CONFLICTING RELATIONSHIP, ADVICE MUST BE REQUESTED FROM THE CEO, THE CHAIRMAN OF THE BOARD OF DIRECTORS, OR A PERSON THE BOARD DESIGNATES. B. AFTER DISCLOSURE, A PERSON WHO HAS A CONFLICTING RELATIONSHIP SHALL NOT PARTICIPATE IN OR BE PRESENT AT THE BOARD'S OR COMMITTEE'S DISCUSSION OF THE MATTER GENERATING THE CONFLICTING RELATIONSHIP, EXCEPT, UPON REQUEST, TO DISCLOSE MATERIAL FACTS AND TO RESPOND TO QUESTIONS. NOTWITHSTANDING THE FOREGOING, THE BOARD (OR COMMITTEE), AFTER RECEIVING SUCH DISCLOSURE, MAY DETERMINE BY MAJORITY VOTE OF THE BOARD MEMBERS (OR COMMITTEE MEMBERS) WHO DO NOT HAVE A CONFLICTING RELATIONSHIP, THAT THE PERSON MAY NEVERTHELESS PARTICIPATE IN SAID MATTER. C. A PERSON WHO HAS A CONFLICTING RELATIONSHIP CONCERNING A PARTICULAR MATTER AS TO WHICH THE PERSON HAS MADE DISCLOSURE, SHALL NOT BE COUNTED IN DETERMINING THE PRESENCE OF A QUORUM FOR PURPOSES OF ANY VOTES RELATING TO THAT MATTER. D. EACH DIRECTOR, OFFICER, AND SENIOR-LEVEL EMPLOYEE OF IHI SHALL ANNUALLY, DURING THE MONTH OF MAY (OR IF SOONER, WITHIN THIRTY (30) DAYS OF HIS OR HER ELECTION, APPOINTMENT, HIRING, OR ASSUMPTION TO SUCH POSITION) FILE A CONFLICTING RELATIONSHIP INFORMATION FORM. EACH INFORMATION FORM SHALL BE FILED WITH THE CEO AND, IN THE CASE OF FORMS FILED BY ANY DIRECTOR AND OFFICER AND THE CEO, SHALL BE AVAILABLE FOR INSPECTION BY ANY DIRECTOR OR OFFICER. FORMS FILED BY EMPLOYEES (OTHER THAN THE CEO) SHALL BE AVAILABLE FOR INSPECTION ONLY BY THE CEO (OR SUCH OTHER EMPLOYEES AS THE CEO MAY DESIGNATE). EACH PERSON FILING AN INFORMATION FORM SHALL UPDATE THE FORM IMMEDIATELY UPON BECOMING AWARE OF ANY INACCURACY OR INCOMPLETENESS IN SUCH FORM.
WHISTLEBLOWER POLICY Form 990, PART VI, SECTION B, LINE 13 AS NOTED IN OUR STAFF GUIDEBOOK A WHISTLEBLOWER AS DEFINED BY THIS POLICY IS AN EMPLOYEE OF IHI WHO REPORTS AN ACTIVITY THAT HE/SHE CONSIDERS TO BE ILLEGAL OR DISHONEST TO ONE OR MORE OF THE PARTIES SPECIFIED IN THIS POLICY. THE WHISTLEBLOWER IS NOT RESPONSIBLE FOR INVESTIGATING THE ACTIVITY OR FOR DETERMINING FAULT OR CORRECTIVE MEASURES; APPROPRIATE MANAGEMENT OFFICIALS ARE CHARGED WITH THESE RESPONSIBILITIES. EXAMPLES OF ILLEGAL OR DISHONEST ACTIVITIES ARE VIOLATIONS OF FEDERAL, STATE OR LOCAL LAWS; BILLING FOR SERVICES NOT PERFORMED OR FOR GOODS NOT DELIVERED; AND OTHER FRAUDULENT FINANCIAL REPORTING. IF AN EMPLOYEE HAS KNOWLEDGE OF OR A CONCERN OF ILLEGAL OR DISHONEST FRAUDULENT ACTIVITY, THE EMPLOYEE CAN CONTACT THE VICE PRESIDENT OF HUMAN RESOURCES, OR JIM ANDERSON, CHAIRMAN OF THE AUDIT COMMITTEE (CONTACT INFORMATION IS PROVIDED IN THE EMPLOYEE HANDBOOK). THE EMPLOYEE MUST EXERCISE SOUND JUDGMENT TO AVOID BASELESS ALLEGATIONS. AN EMPLOYEE WHO INTENTIONALLY FILES A FALSE REPORT OF WRONGDOING WILL BE SUBJECT TO DISCIPLINE UP TO AND INCLUDING TERMINATION. WHISTLEBLOWER PROTECTIONS ARE PROVIDED IN TWO IMPORTANT AREAS -- CONFIDENTIALITY AND AGAINST RETALIATION. INSOFAR AS POSSIBLE, THE CONFIDENTIALITY OF THE WHISTLEBLOWER WILL BE MAINTAINED. HOWEVER, IDENTITY MAY HAVE TO BE DISCLOSED TO CONDUCT A THOROUGH INVESTIGATION, TO COMPLY WITH THE LAW AND TO PROVIDE ACCUSED INDIVIDUALS THEIR LEGAL RIGHTS OF DEFENSE. IHI WILL NOT RETALIATE AGAINST A WHISTLEBLOWER. THIS INCLUDES, BUT IS NOT LIMITED TO, PROTECTION FROM RETALIATION IN THE FORM OF AN ADVERSE EMPLOYMENT ACTION SUCH AS TERMINATION, COMPENSATION DECREASES, OR POOR WORK ASSIGNMENTS AND THREATS OF PHYSICAL HARM. ANY WHISTLEBLOWER WHO BELIEVES HE/SHE IS BEING RETALIATED AGAINST MUST CONTACT THE VICE PRESIDENT OF HUMAN RESOURCES OR JIM ANDERSON IMMEDIATELY. THE RIGHT OF A WHISTLEBLOWER FOR PROTECTION AGAINST RETALIATION DOES NOT INCLUDE IMMUNITY FOR ANY PERSONAL WRONGDOING THAT IS ALLEGED AND INVESTIGATED.
RECORD RETENTION POLICY Form 990, PART VI, SECTION B, LINE 14 IHI RECORD RETENTION POLICY AS NOTED IN OUR STAFF GUIDEBOOK: DISPOSING OF IHI'S RECORDS AND FILES IS NOT DISCRETIONARY. THE GOVERNMENT REQUIRES THE RETENTION OF CERTAIN RECORDS FOR SPECIFIC PERIODS OF TIME, PARTICULARLY RECORDS RELATED TO: EMPLOYEES, HEALTH AND SAFETY, THE ENVIRONMENT, TAXES, FINANCES, CONTRACTS, AND CORPORATE AREAS. RELEVANT RECORDS MUST NOT BE DESTROYED WHENEVER LITIGATION OR A GOVERNMENT INVESTIGATION OR AUDIT IS PENDING. UNTIL THE MATTER IS CLOSED, DESTROYING RECORDS TO AVOID DISCLOSURE IN A LEGAL PROCEEDING MAY CONSTITUTE A CRIMINAL OFFENSE. PLEASE REFER TO THE POLICY BELOW, AND WHEN IN DOUBT, CONTACT HUMAN RESOURCES. RECORD TYPE: ORGANIZATIONAL 1. INCORPORATION DOCUMENTS INCLUDING ARTICLES OF INCORPORATION, BYLAWS, AND RELATED DOCUMENTS ARE PERMANENTLY KEPT ON FILE. 2. TAX-EXEMPTION DOCUMENTS INCLUDING APPLICATION FOR TAX EXEMPTION (IRS FORM 1023), IRS DETERMINATION LETTER, AND ANY RELATED DOCUMENTS ARE PERMANENTLY KEPT ON FILE. FEDERAL LAW REQUIRES COPIES OF THESE DOCUMENTS TO BE HELD AT ORGANIZATION'S HEADQUARTERS OFFICE. THESE RECORDS MUST BE MADE AVAILABLE FOR PUBLIC INSPECTION UPON REQUEST. 3. MEETING/BOARD DOCUMENTS INCLUDING AGENDAS, MINUTES AND RELATED DOCUMENTS ARE PERMANENT. CARE IS TAKEN TO INCLUDE ONLY NECESSARY INFORMATION IN THESE DOCUMENTS. RECORD TYPE: FINANCIAL 1. PAYCHECKS ARE KEPT ON FILE FOR 8 YEARS. 2. PAYROLL RECORDS-INCLUDING NAME, ADDRESS, SOCIAL SECURITY NUMBER, WAGE RATE, NUMBER OF HOURS WORKED DAILY, AND WEEKLY GROSS WAGES, DEDUCTIONS, ALLOWANCES CLAIMED AND NET WAGES ARE KEPT ON FILE FOR 6 YEARS. 3. YEAR END TREASURER'S FINANCIAL REPORT/STATEMENT ARE KEPT PERMANENTLY. 4. TREASURER'S REPORTS, ARE KEPT ON FILE FOR THREE YEARS AND ARE STORED WITH FINANCIAL RECORDS. 5. BANK STATEMENTS, CANCELED CHECKS, CHECK REGISTERS, INVESTMENT STATEMENTS, GENERAL LEDGER, AND RELATED DOCUMENTS ARE KEPT ON FILE FOR SEVEN YEARS AND ARE STORED WITH FINANCIAL RECORDS. 6. ANNUAL INFORMATION RETURNS (IRS FORMS 990) ARE KEPT ON FILE FOR SEVEN YEARS AND ARE STORED WITH FINANCIAL RECORDS. FEDERAL LAW REQUIRES THAT THE THREE MOST RECENT YEARS RETURNS BE KEPT IN THE ORGANIZATION'S HEADQUARTERS OFFICE AND BE MADE AVAILABLE FOR PUBLIC INSPECTION UPON REQUEST. RECORD TYPE: HUMAN RESOURCES 1. PERSONNEL FILE RECORDS-INCLUDING APPLICATION, PRE-EMPLOYMENT TESTS, PERFORMANCE APPRAISAL, RATE CHANGES, POSITION CHANGES, TRANSFERS, PROMOTIONS, DEMOTIONS, DOCUMENTATION OF DISCIPLINARY ACTIONS AND JOB DESCRIPTIONS ARE KEPT ON FILE FOR 6 YEARS AFTER TERMINATION. 2. EMPLOYEE MEDICAL RECORDS AND ANALYSIS AS REQUIRED BY OSHA ARE KEPT ON FILE FOR THE DURATION OF EMPLOYMENT PLUS 30 YEARS. 3. MSDS (MATERIAL SAFETY DATA SHEETS) OR SOME IDENTIFICATION OF SUBSTANCE USED OR FOUND ARE KEPT ON FILE FOR THE DURATION OF EMPLOYMENT PLUS 30 YEARS. 4. RECORDS PERTAINING TO UNFAIR OR DISCRIMINATORY EMPLOYMENT PRACTICES AND AMERICANS WITH DISABILITIES ACT ARE KEPT UNTIL THE FINAL DISPOSITION OF THE CHARGE OR ACTION. 5. ACCIDENT REPORTS AND WORKERS' COMPENSATION CLAIMS ARE KEPT ON FILE FOR 11 YEARS. 6. APPLICATIONS (NON-HIRES) ARE KEPT ON FILE FOR 1 YEAR. 7. ATTENDANCE RECORDS ARE KEPT ON FILE FOR 4 YEARS. 8. COBRA RECORDS ARE KEPT ON FILE FOR 3 YEARS. 9. EMPLOYEE BENEFIT PLANS ARE KEPT ON FILE FOR 2 YEARS FOLLOWING THE TERMINATION OF THE PLAN. 10. EMPLOYMENT ADVERTISEMENTS ARE KEPT ON FILE FOR 3 YEARS. 11. ERISA RETIREMENT AND PENSION RECORDS (EMPLOYEE RETIREMENT INCOME SECURITY ACT) ARE KEPT ON FILE INDEFINITELY. 12. I-9 FORMS ARE KEPT ON FILE FOR 3 YEARS AFTER EMPLOYMENT BEGINS OR 1 YEAR BEYOND TERMINATION, WHICHEVER IS LATER. 13. LABOR CONTRACTS ARE KEPT ON FILE INDEFINITELY. 14. MEDICAL AND EXPOSURE RECORDS RELATING TO TOXIC SUBSTANCES ARE KEPT ON FILE FOR 40 YEARS. 15. OSHA LOGS (OCCUPATIONAL SAFETY AND HEALTH ACT) EMPLOYERS MUST MAINTAIN A LOG THAT RECORDS WORKER'S JOB-RELATED INJURIES OR ILLNESSES, THE DATES, AND THE NATURE OF THE INCIDENTS. LOGS ARE KEPT ON FILE FOR 5 YEARS FOLLOWING THE END OF THE YEAR WHICH THEY RELATE, PLUS THE CURRENT YEAR. 16. OSHA TRAINING DOCUMENTATION ARE KEPT ON FILE FOR 3 YEARS.
COMPENSATION POLICY Form 990, PART VI, SECTION B, LINES 15A AND 15B AIMS: THE PRIMARY AIMS OF THE COMPENSATION POLICY AND COMPENSATION PRACTICES OF THE INSTITUTE FOR HEALTHCARE IMPROVEMENT ARE THESE: (A) TO PRESERVE AND ENHANCE THE VITALITY OF IHI AS A SYSTEM, (B) TO ATTRACT AND RETAIN WORLD-CLASS STAFF AND FACULTY BEST ABLE TO ADVANCE IHI'S MISSION, (C) TO FOSTER A CULTURE OF TEAMWORK, TRUST, AND TRANSPARENCY, AND (D) TO NURTURE PRIDE AND JOY IN WORK. IN PURSUIT OF OUR AIMS, IHI EMBRACES "TOTAL COMPENSATION" AS A MANAGERIAL RESOURCE. THUS, CONSISTENT WITH REGULATORY AND LEGAL REQUIREMENTS, IHI EMPLOYEES EXPERIENCE GROWTH AND EDUCATION OPPORTUNITIES, CELEBRATIONS, ENGAGEMENT IN TEAMS AND PROJECTS, FLEXIBILITY REGARDING FAMILY AND PERSONAL CIRCUMSTANCES, AND OTHER NON-FINANCIAL BENEFITS OF BEING RESPECTED AND VALUED MEMBERS OF A COMMUNITY WITH A SHARED AND INSPIRING PURPOSE. 1. REGULATORY AND LEGAL COMPLIANCE: THE COMPENSATION POLICY OF THE INSTITUTE FOR HEALTHCARE IMPROVEMENT (IHI) WILL REMAIN AT ALL TIMES CONSISTENT WITH THE REGULATORY AND LEGAL REQUIREMENTS OF COMPENSATION IN A 501(C)(3) NON-PROFIT ORGANIZATION. THE IHI BOARD AND MANAGEMENT WILL REGULARLY SEEK, OBTAIN, AND DOCUMENT INDEPENDENT OUTSIDE CONSULTATIVE REVIEW TO ASSURE SUCH CONSISTENCY. 2. BASE SALARY AND TOTAL CASH COMPENSATION TARGET LEVELS: IHI AIMS TO COMPENSATE EMPLOYEES WITH BASE SALARIES AND TOTAL CASH COMPENSATION WITHIN THE 50TH TO 75TH PERCENTILE OF SALARIES AND TOTAL CASH COMPENSATION FOR COMPARABLE JOBS IN COMPARABLE ORGANIZATIONS. IHI WILL REGULARLY SEEK AND OBTAIN INFORMATION ON COMPARABILITY FROM INDEPENDENT CONSULTANTS AND RELEVANT, ACCESSIBLE DATABASES. 3. ADJUSTMENT TO BASE SALARY AND TOTAL CASH COMPENSATION FOR CHANGES IN RESPONSIBILITY: IHI MANAGEMENT WILL REGULARLY REVIEW AND ADJUST SALARIES AND TOTAL CASH COMPENSATION FOR INDIVIDUAL EMPLOYEES TO TARGET THE 50TH TO 75TH PERCENTILE AS INDIVIDUALS' SPANS OF CONTROL AND RESPONSIBILITY CHANGE, AND WILL REPORT ANNUALLY TO THE IHI BOARD, FOR BOARD REVIEW AND APPROVAL, ON THE OVERALL PROFILE OF SALARY AND TOTAL CASH COMPENSATION LEVELS. 4. ANNUAL ADJUSTMENTS TO BASE SALARIES: AT LEAST ANNUALLY, IHI MANAGEMENT, THROUGH THE BUDGET PROCESS, WILL REVIEW COMPARATIVE LOCAL AND NATIONAL COMPENSATION DATA AND RECOMMEND INCREASES, IF ANY, TO THE BASE SALARIES OF EMPLOYEES. IT IS THE INTENT OF IHI TO MAINTAIN COMPETITIVE TOTAL COMPENSATION AT THE TARGETED LEVELS (SEE #2 ABOVE) COMPARED TO THE MARKETS WHERE THE ORGANIZATION RECRUITS TALENT. MANAGEMENT RECOMMENDATION WILL BE PRESENTED TO THE FINANCE COMMITTEE AND BE APPROVED BY THE IHI BOARD, RECOGNIZING THE OVERALL CIRCUMSTANCES OF IHI AND THE AIMS OF THE COMPENSATION POLICY AND PRACTICES. 5. FOCUS ON ORGANIZATIONAL PERFORMANCE: IHI DOES NOT USE INDIVIDUALIZED "MERIT PAY" OR INDIVIDUALIZED PERFORMANCE-BASED CHANGES IN COMPENSATION OR BONUSES. THE AWARDING OF PERIODIC CASH BONUSES WILL BE BASED ON THE DOCUMENTED ASSESSMENT BY THE COMPENSATION COMMITTEE AND THE BOARD OF THE ORGANIZATION'S OVERALL ACHIEVEMENTS IN FURTHERING ITS MISSION AND OBJECTIVES. 6. BONUSES TO NON-EXECUTIVE EMPLOYEES: BONUSES TO ALL NON-EXECUTIVE EMPLOYEES AS A GROUP, BASED ON SUCCESSFUL OVERALL PERFORMANCE, MAY BE AWARDED IN GRATITUDE AND CELEBRATION BY THE BOARD ANNUALLY OR OTHERWISE, UPON RECOMMENDATION FROM IHI MANAGEMENT. IN GENERAL, THE ABSOLUTE BONUS AMOUNT FOR ALL SALARIED, NON-EXECUTIVE EMPLOYEES WILL BE EQUAL, ADJUSTED PRO RATA FOR FULL-TIME EQUIVALENCY AND, FOR THE FIRST TWO YEARS OF EMPLOYMENT, LENGTH OF SERVICE. 7. BOARD REVIEW AND APPROVAL OF EXECUTIVE COMPENSATION: THE COMPENSATION, BENEFITS, AND BONUSES FOR THE CEO, COO, AND OTHER IHI EXECUTIVES WILL BE ESTABLISHED BY THE IHI BOARD WITH GUIDANCE FROM INDEPENDENT, OUTSIDE CONSULTANTS, AND REVIEWED NO LESS FREQUENTLY THAN EVERY THREE YEARS. 8. BENEFITS: TO THE EXTENT ALLOWED BY LAW AND REGULATION, THE IHI FAVORS HIGHLY FLEXIBLE BENEFITS FOR EMPLOYEES, ENCOURAGING INDIVIDUALS TO CUSTOMIZE THEIR BENEFIT PACKAGES TO MEET THEIR INDIVIDUAL NEEDS. OVERALL BENEFIT LEVELS WILL BE REVIEWED AND APPROVED BY THE BOARD NO LESS OFTEN THAN EVERY THREE YEARS WITH OUTSIDE CONSULTATION FOR COMPETITIVENESS AND COMPARABILITY WITH BENEFITS IN SIMILAR ORGANIZATIONS. 9. ROLE AND PROCEDURES FOR IHI BOARD COMPENSATION COMMITTEE: PROCEDURES FOR OVERSIGHT OF COMPENSATION AND BENEFITS FOR IHI EXECUTIVES ARE EXERCISED ON BEHALF OF THE IHI BOARD BY THE IHI BOARD COMPENSATION COMMITTEE, WHOSE MEMBERSHIP IS ESTABLISHED BY THE FULL BOARD. THE CONCLUSIONS AND RECOMMENDATIONS OF THE COMPENSATION COMMITTEE ARE REVIEWED AND APPROVED REGULARLY BY THE FULL IHI BOARD. THE COMPENSATION COMMITTEE ALSO REVIEWS AND GUIDES MANAGEMENT ACTIVITY WITH RESPECT TO IMPLEMENTATION OF THE COMPENSATION POLICY FOR NON-EXECUTIVE EMPLOYEES. DISCUSSIONS OF ALL COMPENSATION MATTERS WITHIN THE COMPENSATION COMMITTEE OR THE FULL BOARD ARE DOCUMENTED IN WRITING. THIS POLICY WAS APPROVED BY THE IHI BOARD OF DIRECTORS ON SEPTEMBER 20, 2007.
JOINT VENTURE Form 990, PART VI, SECTION B, LINES 16A AND 16B POLICY ON BUSINESS RELATIONSHIPS - COMMERCIAL CO-VENTURES, PARTNERSHIPS, ETC. APRIL 2009 POLICY: THIS POLICY REQUIRES THE ORGANIZATION TO EVALUATE ITS PARTICIPATION IN JOINT VENTURES AND OTHER ARRANGEMENTS UNDER APPLICABLE FEDERAL TAX LAW, AND TAKE STEPS TO SAFEGUARD THE ORGANIZATION'S EXEMPT STATUS WITH RESPECT TO SUCH ARRANGEMENTS. PRIOR TO ENTERING INTO ANY POTENTIAL BUSINESS RELATIONS, IHI REQUIRES THAT ALL RELATIONSHIPS GO THOROUGH A VETTING PROCESS THAT INCLUDES A THOROUGH REVIEW BY OUR NEW BUSINESS TEAM WHICH INCLUDES REPRESENTATIVES THROUGHOUT THE ORGANIZATION INCLUDING BUSINESS DEVELOPMENT, MARKETING, FINANCE, RESOURCES AND THE EXECUTIVE TEAM. DURING THE VETTING PROCESS, RELATIONSHIPS THAT MAY CONSTITUTE CO-VENTURES, PARTNERSHIPS, ETC. NEED TO BE REVIEWED WITH OUR ATTORNEYS (GOULSTON AND STORRS) AND OUR AUDIT AND TAX FIRM (KPMG). OUR SENIOR VICE PRESIDENT MANAGES THE RELATIONSHIP WITH OUR LEGAL TEAM, AND OUR CHIEF FINANCIAL OFFICER MANAGES OUR RELATIONSHIP WITH OUR AUDIT FIRM. BEFORE PROCEEDING WITH ENTERING INTO ANY NEW AGREEMENTS THAT WOULD CONSTITUTE A CO-VENTURE, OR PARTNERSHIP, OR ARRANGEMENT THAT COULD AFFECT OUR EXEMPT STATUS, BOTH LEGAL AND AUDIT/TAX CONCLUSIONS ARE PRESENTED TO THE NEW BUSINESS TEAM FOR REVIEW AND APPROVAL. WHEN APPROPRIATE THE CHIEF OPERATING OFFICER AND EXECUTIVE VICE PRESIDENT MAY REQUEST THAT THE RELATIONSHIP/AGREEMENT BE PRESENTED TO AND APPROVED BY THE EXECUTIVE COMMITTEE OF THE BOARD AND OR THE ENTIRE BOARD BEFORE PROCEEDING. DEFINITIONS: COMMERCIAL CO-VENTURE - AN ARRANGEMENT BETWEEN A CHARITABLE OR NONPROFIT ORGANIZATION AND A FIRM OTHERWISE ENGAGED IN BUSINESS, WHERE A PRODUCT, SERVICE OR EVENT IS PROMOTED BY THE COMMERCIAL BUSINESS ON THE REPRESENTATION THAT SOME PART OF THE PROCEEDS WILL BENEFIT THE CHARITABLE ORGANIZATION. THE LAWS INVOLVING COMMERCIAL CO-VENTURES ARE COMPLEX AND STILL EMERGING AT BOTH THE FEDERAL AND STATE LEVELS. A FEW STATES REQUIRE REGISTRATION. IN OTHERS, THE CONTRACT BETWEEN THE ORGANIZATION AND THE COMMERCIAL CO-VENTURER IS REQUIRED TO CONTAIN A NUMBER OF PROVISIONS AND, IN SOME STATES, THE CONTRACT HAS TO BE FILED. PARTNERSHIP - A CONTRACTUAL ARRANGEMENT MAY CREATE A PARTNERSHIP FOR FEDERAL INCOME TAX PURPOSES IF THE PARTIES CARRY ON A TRADE, BUSINESS OR OTHER VENTURE AND DIVIDE THE PROFITS ARISING FROM SUCH ACTIVITIES. CHARITABLE STATUS AND JOINT VENTURE STRUCTURE BELOW ARE SOME OF THE OPERATIONAL AND ORGANIZATIONAL REQUIREMENTS IMPOSED ON JOINT VENTURES BETWEEN TAX-EXEMPT ORGANIZATIONS AND FOR-PROFIT ORGANIZATIONS AND OTHER LEGAL CONCERNS IN ORDER TO PROTECT IHI'S TAX-EXEMPT STATUS. THESE REPRESENT ONLY A PORTION OF THE LEGAL AND TAX REQUIREMENTS AND ALL INDIVIDUAL AGREEMENTS NEED TO BE REVIEW BY COUNSEL AS WELL AS AUDIT AND TAX STAFF (AS REFERENCED ABOVE). THESE REQUIREMENTS AND CONCERNS INCLUDE THE FOLLOWING: 1. IHI NEEDS EITHER TO CONTROL ANY GOVERNING BOARD RELATED TO THE RELATIONSHIP OR, AT THE MINIMUM, TO CONTROL ANY ACTION TAKEN OR DECISION MADE BY THE BOARD IN CONNECTION WITH IHI'S CHARITABLE MISSION TO ENSURE THAT THE ACTION OR DECISION FURTHERS IHI'S EXEMPT PURPOSE UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE OF 1986, AS AMENDED (THE "CODE"). FOR EXAMPLE, IHI SHOULD HAVE APPROVAL OVER CONTENT OF ANY EVENT OR CONFERENCE TO ENABLE IT TO ENSURE THAT IT IS CONSISTENT WITH IHI'S EXEMPT PURPOSES. 2. IHI SHOULD BE ABLE TO TERMINATE THE AGREEMENT IF IT MAKES A DETERMINATION IN GOOD FAITH THAT THE OPERATION OF THE FORUM IS INCONSISTENT WITH THE FURTHERANCE OF ITS EXEMPT PURPOSE UNDER SECTION 501(C)(3) OF THE CODE. 3. THE SHARING OF REVENUES, LOSSES AND TAX ITEMS SHOULD BE IN PROPORTION WITH OWNERSHIP INTERESTS. ADDITIONALLY, THE AGREEMENT SHOULD SPECIFY WHETHER TAX ITEMS TO BE SHARED EQUALLY ARE DETERMINED UNDER U.S. OR THE COUNTRY OF ORIGIN (OF THE OTHER ENTITY) TAX PRINCIPLES. 4. THE PARTIES SHOULD ASSIGN SOME VALUE TO THEIR CONTRIBUTIONS TO THE AGREEMENT IN ORDER TO SUPPORT THEIR RESPECTIVE OWNERSHIP INTERESTS. 5. THE AGREEMENT SHOULD SPECIFY HOW OFTEN DISTRIBUTIONS SHOULD BE MADE TO THE PARTIES AND WHETHER THERE WILL BE ANY DISTRIBUTIONS FOR THE PURPOSE OF PAYING TAX ON THE INCOME FROM THE AGREEMENT, IF ANY. 6. ANY COMPENSATION ARRANGEMENT, LEASES, SERVICE PROVIDER AGREEMENT OR ANY OTHER TYPE OF OBLIGATION OF THE AGREEMENT MUST BE REASONABLE AND REFLECT THE FAIR MARKET VALUE OF WHAT IS BEING PROVIDED. 7. ALL INCOME ARISING FROM ACTIVITIES NOT SUBSTANTIALLY RELATED TO IHI'S CHARITABLE MISSION (E.G. ADVERTISING INCOME) WILL BE UBTI TO IHI. IHI'S ORGANIZING DOCUMENTS AND APPLICATION FOR EXEMPTION (FORM 1023) SHOULD BE REVIEWED TO DETERMINE WHETHER INCOME FROM AN OWNERSHIP INTEREST IN THE FORUM (OTHER THAN ADVERTISING INCOME) IS UBTI. AS A JOINT VENTURE/PARTNERSHIP, IHI MAY RECEIVE INCOME FROM SOURCES OUTSIDE THE U.S., I.E., REVENUE FROM CONFERENCE FEES OR ADMISSIONS. THIS MEANS THAT EVEN THOUGH IHI WOULD BE EXEMPT FROM U.S. TAX ON THE INCOME, IF ANY, IT RECEIVES FROM THE AGREEMENT, IT MAY BE SUBJECT TO TAXES OUTSIDE THE U.S. FOR EXAMPLE: UNDER UK TAX LAW, A NON-UK RESIDENT MAY BE TAXED ON THE PROFITS OF ANY TRADE CARRIED ON WITHIN THE UK. THIS MEANS THAT EVEN THOUGH IHI WOULD BE EXEMPT FROM U.S. TAX ON THE INCOME, IF ANY, IT RECEIVES FROM THE FORUM, IT MAY BE SUBJECT TO UK TAX.
PUBLIC DISCLOSURE Form 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, FINANCIAL STATEMENTS, AND FORM 990 ARE AVAILABLE UPON REQUEST. THE FORM 990 IS ALSO POSTED ON WWW.GUIDESTAR.ORG AND THE WEBSITE OF THE MASSACHUSETTS ATTORNEY GENERAL.
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

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