2024-03-05T09:55:02-06:00 2023-04-30 135565207 KPMG LLP 60 SOUTH STREET TWO FINANCIAL CENTER BOSTON MA 02111 990 2022-05-01 383017223 INSTITUTE FOR HEALTHCARE IMPROVEMENT INST 6173014800 53 STATE STREET 18TH FL BOSTON MA 02109 AMY HOSFORD-SWAN CHIEF FIN & ADMIN OFFICER 6173014800 2024-02-29 1 AMY HOSFORD-SWAN XXX-XX-XXXX 0 GENEVA FURLANO P01877392 6179881000 2023-09-11 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z KEDAR MATE 53 STATE STREET 19TH FL BOSTON MA 02109 65138636 0 X HTTP://WWW.IHI.ORG X 1992 MA TO IMPROVE HEALTH AND HEALTH CARE WORLDWIDE. 15 13 225 50 0 0 37639242 13847265 35854522 38417451 32871516 -1627172 820511 1718129 107185791 52355673 2964040 10549384 0 0 30220079 33139790 0 0 0 19466064 24969788 52650183 68658962 54535608 -16303289 160308217 154882961 27998304 35966665 132309913 118916296 X PLEASE REFER TO IHI'S MISSION STATEMENT AS OUTLINED ON SCHEDULE O. 0 0 28229180 10549384 IHI RECEIVED AND EXPENDED FUNDS FOR A VARIETY OF PURPOSES IN THE PURSUIT OF ITS MISSION ACROSS THE WORLD. THESE INCLUDED PROGRAMS TO IMPROVE MATERNAL AND NEWBORN HEALTH SERVICES; IMPROVE THE CARE OF OLDER ADULTS; INTEGRATE HEALTH EQUITY OF ACCESS, TREATMENTS, AND OUTCOMES; COMBAT BURNOUT AND INCREASE JOY IN WORK AND WELL-BEING IN THE WORKFORCE; ENHANCE QUALITY IMPROVEMENT SKILLS; AND ENCOURAGE COMMUNICATION ABOUT END-OF-LIFE VALUES AND PREFERENCES. THESE EFFORTS CONTRIBUTE TO IHI'S GROWING KNOWLEDGE OR RESPONSIVE AND RESILIENT SYSTEM DESIGNS THAT CAN DRAMATICALLY IMPROVE PATIENT CARE AND SAFETY. 16022665 24809111 IHI MAINTAINS A VARIETY OF CLOSELY ALIGNED, STRATEGIC RELATIONSHIPS WITH ORGANIZATIONS IN REGIONS AROUND THE WORLD, INCLUDING THE U.S., THE UNITED KINGDOM, SWEDEN, DENMARK, QATAR, AUSTRALIA, BRAZIL, AND ETHIOPIA. CONTRACTED SERVICES ARE FOCUSED ON ACHIEVING STRATEGIC OBJECTIVES, SYSTEM-LEVEL IMPROVEMENT, AND CAPABILITY BUILDING. 9447991 9626408 PROFESSIONAL DEVELOPMENT PROGRAMSPROFESSIONAL DEVELOPMENT PROGRAMS, CONFERENCES, AND OTHER EDUCATIONAL OFFERINGS SUPPORT INDIVIDUALS AND ORGANIZATIONS TO DEVELOP INTERNAL CAPACITY AND INFRASTRUCTURE FOR QUALITY IMPROVEMENT, PATIENT SAFETY, LEADERSHIP, JOY IN WORK AND WELL-BEING, AND HEALTH EQUITY. IHI'S PROGRAMS OFFER HEALTHCARE AND OTHER PROFESSIONALS MANY OPPORTUNITIES TO LEARN THE LATEST IMPROVEMENT IDEAS, CONNECT WITH LIKE-MINDED COLLEAGUES, AND GENERATE MOMENTUM FOR CHANGE IN THEIR ORGANIZATIONS.IHI PATIENT SAFETY CONGRESSTHIS ANNUAL CONFERENCE BRINGS TOGETHER PEOPLE WHO ARE PASSIONATE ABOUT ENSURING THAT SAFE CARE IS EQUITABLY PROVIDED FOR ALL. THE CONGRESS IS DESIGNED FOR COMMITTED HEALTHCARE PROFESSIONALS WHO CONTINUE TO SHAPE SMARTER, SAFER CARE FOR PATIENTS WHEREVER IT'S PROVIDED FROM THE HOSPITAL TO OUTPATIENT SETTINGS TO THE HOME.INTERNATIONAL FORUMS ON QUALITY AND SAFETY IN HEALTHCAREIHI PARTNERS WITH ORGANIZATIONS IN DIFFERENT REGIONS OF THE WORLD TO BRING LARGE CONFERENCES TO HEALTHCARE LEADERS, CLINICIANS, AND IMPROVERS. IHI, SOMETIMES IN PARTNERSHIP WITH LOCAL ORGANIZATIONS, CURRENTLY HOLDS FORUMS IN AFRICA, EUROPE, THE MIDDLE EAST, ASIA, AND LATIN AMERICA. PARTICIPANTS OF INTERNATIONAL FORUMS TAKE PART IN A MULTITUDE OF SESSIONS THAT RANGE FROM THE BASIC DISCIPLINES OF QUALITY IMPROVEMENT TO THE LATEST THINKING ON HOW TO IMPROVE QUALITY AND SAFETY.IHI LEADERSHIP ALLIANCE AND HEALTH IMPROVEMENT ALLIANCE EUROPEAN EXCLUSIVE LEADERSHIP INITIATIVE FOR AMBITIOUS HEALTHCARE LEADERS AND THEIR TEAMS, THE U.S.-BASED AND EUROPE-BASED ALLIANCES AIMS TO DELIVER GREAT HEALTHCARE AND HIGH VALUE TODAY AND INNOVATE FOR THE EMERGING HEALTH AND HEALTHCARE MODELS OF TOMORROW. 4997252 3981932 NATIONAL FORUM:HELD EACH DECEMBER, THIS MAJOR CONFERENCE ON IMPROVEMENT IN HEALTHCARE DRAWS NEARLY 5,000 PARTICIPANTS FROM AROUND THE WORLD WHO ATTEND HUNDREDS OF WORKSHOPS, SPOTLIGHT AND KEYNOTE SESSIONS, AND SPECIAL INTEREST MEETINGS. INNOVATION:AT THE CENTER OF IHI'S WORK IS THE CREATION AND TESTING OF NEW IDEAS- NOVEL CONCEPTS FOR IMPROVING PATIENT CARE. IHI WORKS INTENSELY WITH CUTTING-EDGE ORGANIZATIONS TO TEST AND PROTOTYPE UNIQUE MODELS AND NEW SOLUTIONS TO OLD PROBLEMS. THIS IS THE INNOVATION ENGINE THAT FUELS MUCH OF IHI'S CONTENT DEVELOPMENT WORK. 4997252 3981932 58697088 1 1 0 1 0 0 0 0 0 0 1 0 0 1 1 1 1 0 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 237 0 1 225 1 0 1 ET 0 0 0 0 0 0 0 0 0 0 X 15 13 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 MA X X AMY HOSFORD-SWAN 6173014800 53 STATE STREET 18TH FL BOSTON MA 02109 KEDAR MATE CEO 40.00 0.00 X X 853389 0 32216 DONALD BERWICK FORMER CEO, DIRECTOR 19.00 0.00 X 275000 0 0 ANN SCOTT BLOUIN RN PHD FACHE DIRECTOR 1.00 0.00 X 0 0 0 TORITSESAN TOSAN BOYO MPH DIRECTOR 1.00 0.00 X 0 0 0 YVONNE V COGHILL CBE DIRECTOR 1.00 0.00 X 0 0 0 MICHAEL J DOWLING BOARD CHAIR 1.00 0.00 X 0 0 0 REBEKAH E GEE MD MPH DIRECTOR 1.00 0.00 X 0 0 0 GERALD B HICKSON MD DIRECTOR 1.00 0.00 X 0 0 0 BEVERLY LOUISE MALONE PHD RN DIRECTOR 1.00 0.00 X 0 0 0 MARY BETH NAVARRA-SIRIO MBA RN DIRECTOR 1.00 0.00 X 0 0 0 ENRIQUE RUELAS MD MPA MHSC DIRECTOR 4.00 0.00 X 0 0 0 SYLVIA DENISE TRENT-ADAMS DIRECTOR 1.00 0.00 X 0 0 0 KARA WALKER MD MPH MSHS DIRECTOR 1.00 0.00 X 0 0 0 SAM R WATSON MSA CPPS DIRECTOR 1.00 0.00 X 0 0 0 BETH DALEY ULLEM MBA DIRECTOR 1.00 0.00 X 0 0 0 AMY HOSFORD-SWAN CHIEF FIN/ADMIN OFFICER 40.00 0.00 X 454947 0 31046 PIERRE BARKER CHIEF SCIENTIFIC OFFICER 40.00 0.00 X 472217 0 28858 NANA TWUM-DANSO SENIOR VICE PRESIDENT 40.00 0.00 X 362182 0 55457 CYNTHIA BARGINERE CHIEF OPERATING OFFICER 40.00 0.00 X 453781 0 64236 JENNIFER LENOCI-EDWARDS VICE PRESIDENT, DELIVERY 40.00 0.00 X 274924 0 5262 PEDRO DELGADO VICE PRESIDENT, DELIVERY 40.00 0.00 X 287706 0 28494 SODZI SODZI-TETTEY VICE PRESIDENT, DELIVERY 40.00 0.00 X 314352 0 0 KAREN BALDOZA VICE PRESIDENT, IMPROVEMENT 40.00 0.00 X 230138 0 31960 VALERIE SPALDING VICE PRESIDENT, BUSINESS DEVELOPMENT 40.00 0.00 X 250151 0 28644 CATHLEEN DUFFY VICE PRESDIENT, FINANCE 40.00 0.00 X 277761 0 15708 NEEL VORA VICE PRESIDENT, INFORMATION 40.00 0.00 X 247485 0 26772 NINON LEWIS VICE PRESIDENT, DELIVERY 40.00 0.00 X 238232 0 14353 LESLIE NICHOL VICE PRESIDENT, DELIVERY 40.00 0.00 X 234788 0 27658 JENNIFER WALKER VICE PRESIDENT, HUMAN RESOURCES 40.00 0.00 X 234306 0 30306 JILL DUNCAN VICE PRESIDENT, DELIVERY 40.00 0.00 X 237990 0 32108 PATRICIA MCGAFFIGAN VICE PRESIDENT, DELIVERY 40.00 0.00 X 344069 0 26269 ROBERT LLOYD VICE PRESIDENT 40.00 0.00 X 321740 0 31956 DAVID COLETTA EXECUTIVE DIRECTOR, ALLIANCE 40.00 0.00 X 232132 0 27779 ALICE BONNER SENIOR DIRECTOR 40.00 0.00 X 230180 0 19087 PAULO BOREM SENIOR DIRECTOR 40.00 0.00 X 198341 0 32400 DEREK FEELEY FORMER CEO 12.00 0.00 X 113300 0 0 7139111 0 590569 89 1 1 0 MAUVE CORPORATE SYSTEMS BLAKE HOUSE 18 BLAKE STREET YORK YORK UK Y01 8QG MANAGEMENT SERVICE COMPANY 1130528 MAUVE CORPORATE SYSTEMS (PTYLTD - AUSTR LEVEL ONE 54 NERIDAH STREET CHATSWOOD CHATSWOOD AS NSW 2067 MANAGEMENT SERVICE COMPANY 614699 GLOBALIZATION PARTNERS LLC 175 FEDERAL ST 17TH FLOOR BOSTON MA 02110 MANAGEMENT SERVICE COMPANY 610841 WHITE CORAL CONSULTING PREMISES NO SD2-04 GROUND FLOOR DUBAI DUBAI AE MANAGEMENT SERVICE COMPANY 561274 MUSA TECHNOLOGY 330 BEAR HILL ROAD - STE 205 WALTHAM MA 02451 IT SERVICES 520905 41 1451021 12396244 13847265 CONTRACT SERVICES 900099 24809110 24809110 PARTICIPATION, MEETING 900099 8890230 8890230 MEMBERSHIP DUES 900099 2971319 2971319 OPEN SCHOOL 900099 1746792 1746792 38417451 2280425 2280425 1718129 0 1718129 1718129 1718129 8875366 12782963 -3907597 -3907597 -3907597 52355673 38417451 0 90957 X 10496206 10496206 53178 53178 7755294 3877647 3877647 23015743 19489804 3525939 535644 455297 80347 1833109 1558143 274966 181457 40211 141246 179532 179532 45000 45000 82478 82478 12790758 12361074 429684 347530 84104 263426 341084 311666 29418 1807883 1506877 301006 2239105 2075406 163699 2106466 1984394 122072 2841585 2771051 70534 777312 668601 108711 273488 26396 247092 MISCELLANEOUS 743802 679725 64077 INTERNATIONAL TAXES 212308 212308 68658962 58697088 9961874 0 55144654 38290571 833403 952426 5194254 8174924 1564686 1894840 13076817 9365575 4154036 3711242 93167184 89950450 250000 250000 11658508 160308217 154882961 6223142 4075226 9747309 9015358 12027853 22876081 27998304 35966665 X 109517511 107011915 22792402 11904381 132309913 118916296 160308217 154882961 -16303289 2909672 0 X 0 1 X 1 1 0 X 16457802 11678310 14449803 37639242 13847265 94072422 16457802 11678310 14449803 37639242 13847265 94072422 50043009 44029413 2257635 2490079 2183428 2555301 3998555 13484998 107557420 184764403 0.40940 0.38550 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 45000 45000 0 PART II-B, LINE 1: THE INSTITUTE FOR HEALTHCARE IMPROVEMENT ENGAGED A LOBBYING FIRM TO CONDUCT STRATEGIC REPRESENTATION BEFORE VARIOUS U.S. FEDERAL AGENCIES REGARDING EFFORTS TO COMBAT SEPSIS. 5573352 2233847 3339505 2530844 2225032 305812 4972621 4906696 65925 3711242 RIGHT OF USE ASSETS 11658508 11658508 LEASE LIABILITIES 14516178 REFUNDABLE ADVANCES 6929389 DEFERRED COMPENSATION 1430514 22876081 X 55182866 2909671 2909671 52273195 82478 82478 52355673 68576484 0 68576484 82478 82478 68658962 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, 2023 AND 2022, THAT THE INSTITUTE DID NOT HAVE ANY LIABILITIES FOR ANY UNCERTAIN TAX POSITIONS. 1 EUROPE 11 PROGRAM SERVICES SEE SCHEDULE F PART V 4502259 SUB-SAHARAN AFRICA 0 GRANTMAKING SEE SCHEDULE F PART V 53178 SUB-SAHARAN AFRICA 1 33 PROGRAM SERVICES SEE SCHEDULE F PART V 4443340 SOUTH ASIA 6 PROGRAM SERVICES SEE SCHEDULE F PART V 850520 EAST ASIA AND THE PACIFIC 13 PROGRAM SERVICES SEE SCHEDULE F PART V 3507145 MIDDLE EAST AND NORTH AFRICA 2 PROGRAM SERVICES SEE SCHEDULE F PART V 2826080 SOUTH AMERICA 5 PROGRAM SERVICES SEE SCHEDULE F PART V 2462447 1 70 0 0 1 70 18644969 0 18644969 SUB-SAHARAN AFRICA HEALTH CARE 14597 WIRE 0 SUB-SAHARAN AFRICA HEALTH CARE 38581 WIRE 0 2 0 0 0 0 0 1 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 ANNUALLY AND AS FREQUENTLY AS MONTHLY. FINANCIAL REPORTING REQUIREMENTS MUST BE ABIDED BY BEFORE WIRES ARE PROCESSED TO THE SUB-GRANTEE. ANNUAL AUDITS AND MANAGEMENT LETTERS ARE COLLECTED FROM MOST SUB-GRANTEES (IF AVAILABLE). PART III ACCOUNTING METHOD: PARTS II AND III AFRICA: THE BILL & MELINDA GATES FOUNDATION CONTINUED TO PROVIDE SUBSTANTIAL GRANT SUPPORT FOR THE FOLLOWING PROJECTS: REDUCTION OF NEONATAL AND MATERNAL MORTALITY AND THE DESIGNING MATERNAL AND NEWBORN SPACES FOR QUALITY OF CARE GLOBAL GOODS, BOTH IN ETHIOPIA; AND SCALE-UP OF TUBERCULOSIS CARE IN SOUTH AFRICA. SEVERAL PROJECTS ARE FUNDED BY USAID, INCLUDING BUILDING QUALITY IMPROVEMENT CAPACITY IN MOZAMBIQUE. EUROPE: IHI MAINTAINS A VIBRANT PORTFOLIO OF LEADERSHIP- AND IMPROVEMENT FOCUSED WORK WITH A RANGE OF HEALTH TRUSTS WITHIN THE ENGLISH NATIONAL HEALTH SERVICE (NHS). ADDITIONAL UK BASED WORK IS OCCURRING IN SCOTLAND AND WALES. SMALLER QUALITY IMPROVEMENT AND LEADERSHIP PROJECTS ARE OCCURRING IN DENMARK, GREECE, AND SWEDEN. LATIN AMERICA: IHI CONTINUES TO SUPPORT THE PROADI-SUS HOSPITALS TO PROVIDE INSTRUCTIONAL SUPPORT AND COACHING FOR A LARGE NATIONAL INITIATIVE TO INCREASE PATIENT SAFETY AND BUILD CAPABILITY FOR IMPROVEMENT IN BRAZIL'S PUBLIC HOSPITALS (SAUDE EM NOSSAS MAOS). IHI CONTINUES TO SUPPORT ST. JUDE CHILDREN'S RESEARCH HOSPITAL TO SUPPORT A SCALE-UP COLLABORATIVE TO SPREAD BEST PRACTICES IN ANTIBIOTIC TREATMENT OF FEBRILE PEDIATRIC ONCOLOGY PATIENTS IN 80 HOSPITALS IN MEXICO. MIDDLE EAST, ASIA, AND THE PACIFIC: SAFER CARE VICTORIA (AUSTRALIA) AND HAMAD MEDICAL CORPORATION (QATAR) REMAIN IHI'S LARGEST FUNDERS IN THIS REGION. IHI CONTINUED WORKING ON A MULTI YEAR, GRANT FUNDED PROJECT IN COLLABORATION WITH SAVE THE CHILDREN AND FUNDED BY USAID TO IMPROVE MATERNAL AND NEWBORN CARE IN BANGLADESH. 1 BOSTON MEDICAL CENTER 1 BOSTON MEDICAL CENTER PLACE BOSTON MA 02118 043314093 501(C)(3) 1260829 0 HEALTH CARE ATRIUS HEALTH INC 275 GROVE STREET SUITE 3-300 NEWTON MA 02466 043397450 501(C)(3) 1212063 0 HEALTH CARE STEWARD HEALTH CARE NETWORK 30 PERWAL ST WESTWOOD MA 02090 273075212 N/A 1048850 0 HEALTH CARE BETH ISRAEL LAHEY HEALTH INC 247 STATION DRIVE SUITE NW1 WESTWOOD MA 02019 832671600 501(C)(3) 968713 0 HEALTH CARE SOUTHCOAST HEALTH NETWORK LLC 200 MILL ROAD SUITE 190 FAIRHAVEN MA 02719 813430690 N/A 962349 0 HEALTH CARE RELIANT MEDICAL GROUP INC 5 NEPONSET STREET WORCESTER MA 01606 042472266 501(C)(3) 836000 0 HEALTH CARE SOUTHERN NEW ENGLAND HEALTH CARE 95 WOODLAND STREET 4TH FLOOR HARTFORD CT 06105 208176133 501(C)(3) 756250 0 HEALTH CARE BAYCARE HEALTH PARTNERS INC 101 WASON AVENUE SUITE 200 SPRINGFIELD MA 01107 043240830 N/A 687500 0 HEALTH CARE BOSTON CHILDREN'S HOSPITAL 300 LONGWOOD AVENUE 9 SOUTH CB 9146 BOSTON MA 02115 042774441 501(C)(3) 474013 0 HEALTH CARE TUFTS MEDICINE INTEGRATED NETWORK INC 800 DISTRICT AVENUE SUITE 520 BURLINGTON MA 01803 871600172 501(C)(3) 387036 0 HEALTH CARE SOUTH SHORE HEALTH INTEGRATED DELIVERY NETWORK 55 FOGG ROAD SOUTH WEYMOUTH MA 02191 852785921 N/A 366589 0 HEALTH CARE VALLEY HEALTH PARTNERS 575 BEECH STREET HOLYOKE MA 01040 043265339 N/A 318750 0 HEALTH CARE COMMUNITY CARE COOPERATIVE INC 75 FEDERAL STREET 7TH FLOOR BOSTON MA 02110 813005904 N/A 317350 0 HEALTH CARE ACTON MEDICAL ASSOCIATES 321 MAIN STREET ACTON MA 01720 043038356 N/A 307705 0 HEALTH CARE LAWRENCE GENERAL HOSPITAL 1 GENERAL STREET LAWRENCE MA 01842 042103586 501(C)(3) 175000 0 HEALTH CARE FOUNDATION FOR ATLANTA VETERANS EDUCATION AND RESEARCH INC 1670 CLAIRMONT ROAD 151F DECATUR GA 30033 581857346 501(C)(3) 135002 0 HEALTH CARE MASS GENERAL BRIGHAM INCORPORATED 399 REVOLUTION DRIVE SUITE 645 SOMERVILLE MA 02145 043230035 501(C)(3) 89531 0 HEALTH CARE NEBRASKA HOSPITAL ASSOCIATION 3255 SALT CREEK CIRCLE SUITE 100 LINCOLN NE 68504 470384546 501(C)(6) 80926 0 HEALTH CARE ASSOCIATION OF COMMUNITY CANCER CENTERS 1801 RESEARCH BLVD SUITE 400 ROCKVILLE MD 20850 510137807 501(C)(3) 45000 0 HEALTH CARE CINCINNATI'S CHILDREN HOSPITAL MEDICAL CENTER 3333 BURNETT AVENUE MLC 7035 CINCINNATI OH 45229 310833936 501(C)(3) 22500 0 HEALTH CARE CIVITAS NETWORKS FOR HEALTH 700 12TH STREET NW SUITE 700 PMB95712 WASHINGTON DC 20005 451754340 501(C)(3) 11250 0 HEALTH CARE NEWTON WELLESLEY HOSPITAL MASS GENERAL BRIGHAM PO BOX 414769 BOSTON MA 02241 043230035 501(C)(3) 9600 0 HEALTH CARE MEDICAL ASSOCIATES OF ERIE ONE LECOM PLACE ERIE PA 16505 113716896 501(C)(3) 7800 0 HEALTH CARE NEW YORK CITY HEALTH AND HOSPITAL 50 WATER STREET - 3RD FLOOR - COMPTROLLERS OFFICE NEW YORK NY 10004 132655001 501(C)(3) 7800 0 HEALTH CARE COMMUNITY HEALTH CENTER OF BUFFALO INC 34 BENWOOD AVENUE BUFFALO NY 14214 161566929 501(C)(3) 7800 0 HEALTH CARE 17 8 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. X X 1 1 X X X X 0 1 0 0 0 0 0 1 0 KEDAR MATE CEO 621943 0 156045 0 75401 0 3825 0 28391 0 885605 0 0 0 CYNTHIA BARGINERE CHIEF OPERATING OFFICER 403781 0 50000 0 0 0 53120 0 11116 0 518017 0 0 0 PIERRE BARKER CHIEF SCIENTIFIC OFFICER 390923 0 50000 0 31294 0 4800 0 24058 0 501075 0 0 0 AMY HOSFORD-SWAN CHIEF FIN/ADMIN OFFICER 361527 0 50000 0 43420 0 4800 0 26246 0 485993 0 0 0 NANA TWUM-DANSO SENIOR VICE PRESIDENT 322182 0 40000 0 0 0 43380 0 12077 0 417639 0 0 0 PATRICIA MCGAFFIGAN VICE PRESIDENT, DELIVERY 206745 0 30000 0 107324 0 2391 0 23878 0 370338 0 48183 0 ROBERT LLOYD VICE PRESIDENT 261173 0 30000 0 30567 0 4800 0 27156 0 353696 0 0 0 PEDRO DELGADO VICE PRESIDENT, DELIVERY 255626 0 32080 0 0 0 12631 0 15863 0 316200 0 0 0 SODZI SODZI-TETTEY VICE PRESIDENT, DELIVERY 284352 0 30000 0 0 0 0 0 0 0 314352 0 0 0 CATHLEEN DUFFY VICE PRESDIENT, FINANCE 242408 0 30000 0 5353 0 4800 0 10908 0 293469 0 0 0 JENNIFER LENOCI-EDWARDS VICE PRESIDENT, DELIVERY 239571 0 30000 0 5353 0 3825 0 1437 0 280186 0 0 0 VALERIE SPALDING VICE PRESIDENT, BUSINESS DEVELOPMENT 215115 0 30000 0 5036 0 4800 0 23844 0 278795 0 0 0 DONALD BERWICK FORMER CEO, DIRECTOR 275000 0 0 0 0 0 0 0 0 0 275000 0 0 0 NEEL VORA VICE PRESIDENT, INFORMATION 212520 0 30000 0 4965 0 2738 0 24034 0 274257 0 0 0 JILL DUNCAN VICE PRESIDENT, DELIVERY 198377 0 35000 0 4613 0 3837 0 28271 0 270098 0 0 0 JENNIFER WALKER VICE PRESIDENT, HUMAN RESOURCES 199693 0 30000 0 4613 0 3825 0 26481 0 264612 0 0 0 LESLIE NICHOL VICE PRESIDENT, DELIVERY 200175 0 30000 0 4613 0 1532 0 26126 0 262446 0 0 0 KAREN BALDOZA VICE PRESIDENT, IMPROVEMENT 200138 0 30000 0 0 0 3825 0 28135 0 262098 0 0 0 DAVID COLETTA EXECUTIVE DIRECTOR, ALLIANCE 212132 0 20000 0 0 0 1743 0 26036 0 259911 0 0 0 NINON LEWIS VICE PRESIDENT, DELIVERY 203619 0 30000 0 4613 0 3825 0 10528 0 252585 0 0 0 ALICE BONNER SENIOR DIRECTOR 210180 0 20000 0 0 0 4622 0 14465 0 249267 0 0 0 PAULO BOREM SENIOR DIRECTOR 183341 0 15000 0 0 0 4800 0 27600 0 230741 0 0 0 DEREK FEELEY FORMER CEO 113300 0 0 0 0 0 0 0 0 0 113300 0 0 0 PART I, LINE 1A THE INSTITUTE PROVIDES CERTAIN MEMBERS OF THE LEADERSHIP 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 HEALTH AND HEALTH CARE WORLDWIDE. PART I, LINE 1B 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. HOUSING ALLOWANCE THE INSTITUTE PROVIDES A HOUSING ALLOWANCE TO SODZI SODZI-TETTEY THESE AMOUNTS ARE INCLUDED IN TAXABLE INCOME AND REPORTED ON PART II COLUMN (B)(III). PART I, LINE 4B RETIREMENT PLANS NONQUALIFIED RETIREMENT PLAN COMPENSATION PAID THROUGH AN IRC SECTION 457 PLAN HAS BEEN DISCLOSED ON SCHEDULE J, COLUMN B(III) FOR EACH REPORTED INDIVIDUAL. KEDAR MATE - $75,401 AMY HOSFORD-SWAN- $43,420 PIERRE BARKER - $31,294 ROBERT LLOYD - $30,567 PATRICIA MCGAFFIGAN - $107,324, WHICH INCLUDES $87,884 PAYOUT OF AMOUNT PREVIOUSLY VESTED JENNIFER LENOCI-EDWARDS - $5,353 VALERIE SPALDING - $5,036 CATHLEEN DUFFY - $5,353 NEEL VORA - $4,965 NINON LEWIS - $4,613 LESLIE PELTON NICHOL - $4,613 JENNIFER WALKER - $4,613 JILL DUNCAN - $4,613 THE FOLLOWING INDIVIDUALS PARTICIPATED IN A NONQUALIFIED RETIREMENT PLAN UNDER IRC SECTION 457(F) AND HAVE NOT RECEIVED A TAXABLE DISTRIBUTION UNTIL VESTED. THE 2022 DEFERRED AMOUNTS ARE REPORTED AS DEFERRED COMPENSATION AND REPORTED IN PART II, COLUMN (C). CYNTHIA BARGINERE NANA TWUM-DANSO PART I, LINE 7 NON-FIXED PAYMENTS THE PRESIDENT/CEO IS ELIGIBLE FOR AN ANNUAL NON-FIXED BONUS BASED ON A PERCENTAGE OF GROSS SALARY SUBJECT TO BENCHMARKING RESEARCH OF THE BUSINESS SECTOR BY EXTERNAL CONSULTANTS AND SUBJECT TO BOARD APPROVAL EACH YEAR. FORM 990, PART III, LINE 1 FOR MORE THAN 30 YEARS, THE INSTITUTE FOR HEALTHCARE IMPROVEMENT, INC. (IHI OR THE INSTITUTE) HAS USED IMPROVEMENT SCIENCE TO ADVANCE AND SUSTAIN BETTER OUTCOMES IN HEALTH AND HEALTH SYSTEMS ACROSS THE WORLD. WE BRING AWARENESS OF SAFETY AND QUALITY TO MILLIONS, ACCELERATE LEARNING AND THE SYSTEMATIC IMPROVEMENT OF CARE, DEVELOP SOLUTIONS TO PREVIOUSLY INTRACTABLE CHALLENGES, AND MOBILIZE HEALTH SYSTEMS, COMMUNITIES, REGIONS, AND NATIONS TO REDUCE HARM AND DEATHS. WE WORK IN COLLABORATION WITH THE GROWING IHI COMMUNITY TO SPARK BOLD, INVENTIVE WAYS TO IMPROVE THE HEALTH OF INDIVIDUALS AND POPULATIONS. WE GENERATE OPTIMISM, HARVEST FRESH IDEAS, AND SUPPORT ANYONE, ANYWHERE WHO WANTS TO PROFOUNDLY CHANGE HEALTH AND HEALTH CARE FOR THE BETTER. LEARN MORE AT IHI.ORG. ON MAY 1, 2017, IHI MERGED WITH NATIONAL PATIENT SAFETY FOUNDATION (NPSF) AND IHI IS THE SURVIVING ORGANIZATION. THE MERGER INVOLVED SIGNIFICANT NEW INVESTMENT FROM IHI IN PATIENT SAFETY. THE MERGED PATIENT SAFETY TEAMS COMBINED EXISTING NPSF AND IHI PATIENT SAFETY PROGRAMS AND REFLECT AN ENHANCED COMMITMENT TO ACHIEVE PATIENT SAFETY AROUND THE WORLD. MOST PROGRAMS, INCLUDING THE LUCIAN LEAPE INSTITUTE, HAVE CONTINUED SINCE THE MERGER. THE CERTIFIED PROFESSIONAL IN PATIENT SAFETY CREDENTIALING PROGRAM CONTINUES AND IS OVERSEEN BY THE CERTIFICATION BOARD FOR PROFESSIONALS IN PATIENT SAFETY. IHI.ORG (WWW.IHI.ORG) IS THE ONLINE AUTHORITY FOR TOOLS, EDUCATION, AND RESOURCES TO HELP IMPROVE HEALTH AND HEALTH CARE. WITH MORE THAN 230,000 WEBSITE USERS PER MONTH DURING THE YEAR ENDED APRIL 30, 2023, THE SITE CONTAINS A WEALTH OF HELPFUL IMPROVEMENT IDEAS, TOOLS, AND RESOURCES TO SUPPORT CHANGE EFFORTS IN ANY HEALTH CARE SETTING. IN ADDITION, IHI'S ELECTRONIC NEWSLETTER, THIS WEEK AT IHI, IS SENT TO MORE THAN 100,000 SUBSCRIBERS EACH WEEK, PROVIDING UPDATES ON IMPROVEMENT ACTIVITIES AND FEATURING THE VARIETY AND BREADTH OF IHI'S WORK AND COLLABORATION WITH OTHERS. IHI ALSO SENDS OUT BULLETINS SPECIFIC TO OUR PROJECTS AND SOME REGIONAL SPECIFIC NEWSLETTERS LIKE "UBUNTU" TO OUR AFRICAN CONSTITUENTS. IHI MOBILIZES TEAMS, ORGANIZATIONS, AND INCREASINGLY NATIONS, THROUGH ITS STAFF OF MORE THAN 200 PEOPLE AND PARTNERSHIPS WITH HUNDREDS OF FACULTY AROUND THE WORLD. IHI PROVIDES IMPORTANT BENEFITS TO THE COMMUNITY WITH ACTIVITIES. FOR EXAMPLE: THE IHI OPEN SCHOOL IS AN INTERPROFESSIONAL EDUCATIONAL COMMUNITY THAT OFFERS STUDENTS, TRAINEES, AND PROFESSIONALS THE SKILLS AND SUPPORT NETWORK TO BECOME LEADERS IN HEALTHCARE. A GROWING CATALOG OF 37+ ONLINE, SELF PACED COURSES IN QUALITY IMPROVEMENT, HEALTH EQUITY, PATIENT SAFETY, LEADERSHIP, POPULATION HEALTH, AND OTHER KEY TOPICS IN HEALTHCARE TRANSFORMATION HAVE BEEN COMPLETED MORE THAN 5 MILLION TIMES BY LEARNERS AROUND THE WORLD. SELECT COURSES HAVE BEEN TRANSLATED INTO SPANISH, PORTUGUESE, AND FRENCH, AND HAVE BEEN INTEGRATED INTO MORE THAN 1,500 UNIVERSITY AND HEALTHCARE ORGANIZATIONAL TRAINING PROGRAMS. MORE THAN 1,000 IN PERSON OPEN SCHOOL CHAPTERS HAVE BEEN STARTED IN MORE THAN 100 COUNTRIES, WITH THE AIM OF SPREADING QUALITY AND SAFETY AWARENESS AND IMPROVING THE HEALTH OF PATIENTS AND COMMUNITIES. - IHI BUILDS WILL FOR IMPROVEMENT BY SUPPLYING CLARITY, FOCUS, AND PRACTICAL SOLUTIONS THROUGH IHI INITIATIVES LIKE THE BREAKTHROUGH SERIES COLLABORATIVES, PURSUING EQUITY AND JOY IN WORK RESULTS ORIENTED NETWORK. - IHI LAUNCHED THE FORUM ON QUALITY IMPROVEMENT IN HEALTH CARE AND THE INTERNATIONAL FORUM ON QUALITY AND SAFETY IN HEALTHCARE TO BRING THOUSANDS OF PEOPLE TOGETHER TO TELL STORIES AND HELP SPARK INNOVATIVE IDEAS AND CHANGES IN HEALTH AND HEALTH CARE IMPROVEMENT. IHI BRINGS THE SCIENCE OF IMPROVEMENT AND LEARNING TOGETHER TO INNOVATE NEW WAYS TO LEARN. IHI LAUNCHED GROUNDBREAKING IMPROVEMENT PROGRAMS IN ETHIOPIA, NIGERIA, AND MOZAMBIQUE, 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. - 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. FORM 990, PART VI, SECTION B, LINE 11B 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). THE 990 EXTENSION IS FILED BY KPMG (OR OUR CURRENT OUTSIDE INDEPENDENT AUDIT FIRM) AND A COPY IS MAINTAINED BY IHI. THE 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 SEPTEMBER 15TH THEN THE EXTENDED FILING DATE IS MARCH 15TH. THE MAJORITY OF SCHEDULES ARE PREPARED BY THE SENIOR DIRECTOR OF FINANCE AND THE DIRECTOR OF EXPENSE MANAGEMENT REVIEWED BY VICE PRESIDENT OF FINANCE, AS WELL AS BY THE CHIEF FINANCIAL AND ADMINISTRATION OFFICER. THE SENIOR DIRECTOR OF FINANCE PREPARES THE FINANCIAL STATEMENT RECONCILIATION TO THE FORM 990 FINANCIAL SECTION OF THE FORM. THIS IS REVIEWED BY THE VICE PRESIDENT OF FINANCE. UPDATES TO POLICIES APPLICABLE TO THE FORM 990 ARE PERFORMED THROUGHOUT THE YEAR AND REVIEWED BY EITHER THE CHIEF FINANCIAL AND ADMINISTRATIVE OFFICER (CFAO) OR VICE PRESIDENT OF FINANCE. CERTAIN POLICY UPDATES ARE REVIEWED BY THE EXECUTIVE 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 VICE PRESIDENT OF FINANCE. ANY ADJUSTMENTS ARE DISCUSSED AND THEN PROCESSED (AS NEEDED) WITH KPMG. THE NEXT DRAFT IS REVIEWED BY THE CFAO. 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 CFAO 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. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST 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 ADDRESSING 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 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. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION POLICY 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 FINANCE COMMITTEE AND REVIEWED FOR AFFORDABILITY. 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 BONUSES WILL BE BASED ON THE DOCUMENTED ASSESSMENT BY THE FINANCE COMMITTEE AND THE BOARD OF THE ORGANIZATION'S OVERALL ACHIEVEMENTS IN FURTHERING ITS MISSION AND OBJECTIVES. 6. BONUSES TO ALL EMPLOYEES, EXCEPT THE CEO, 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, IS ADJUSTED PRO RATA FOR FULL-TIME EQUIVALENCY. THE BOARD REVIEWS AND APPROVES THE CEO BONUS. 7. BOARD REVIEW AND APPROVAL OF EXECUTIVE COMPENSATION: THE COMPENSATION, BENEFITS, AND BONUSES FOR THE CEO, WILL BE ESTABLISHED BY THE IHI BOARD WITH GUIDANCE FROM INDEPENDENT, OUTSIDE CONSULTANTS. THE INDEPENDENT OUTSIDE CONSULTANT PROVIDES AN OPINION ON THE REASONABLENESS OF ALL EXECUTIVES COMPENSATION THAT IS REVIEWED BY THE BOARD 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. 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. FORM 990, PART VI, LINE 13 WHISTLEBLOWER POLICY AS NOTED IN OUR ETHICS POLICY AND GUIDELINES FOR IHI CITIZENSHIP A WHISTLEBLOWER AS DEFINED BY THIS POLICY IS AN EMPLOYEE WHO REASONABLY BELIEVES THAT SOME POLICY, PRACTICE, OR ACTIVITY OF IHI IS IN VIOLATION OF LAW OR IS DISHONEST, AND REPORTS OR THREATENS TO REPORT SUCH CONDUCT TO IHI OR TO A PUBLIC AUTHORITY. 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 CHIEF FINANCIAL AND ADMINISTRATION OFFICER OR THE CHAIRMAN OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS (CONTACT INFORMATION IS PROVIDED IN THE EMPLOYEE HANDBOOK). IF A STAFF MEMBER IS NOT COMFORTABLE REPORTING TO EITHER OF THESE TWO INDIVIDUALS, THE STAFF MEMBER SHOULD ALWAYS FEEL FREE TO CONTACT THE CHIEF OF STAFF, ANOTHER MEMBER OF THE EXECUTIVE TEAM, OR A BOARD MEMBER TO REPORT THE CONCERNS. IN REPORTING UNDER THIS POLICY, AN EMPLOYEE MUST BE ACTING IN GOOD FAITH, MUST HAVE A REASONABLE BASIS FOR BELIEVING A VIOLATION OF LAW OR DISHONEST ACTIVITY HAS OCCURRED OR IS OCCURRING, AND MUST EXERCISE SOUND JUDGMENT TO AVOID BASELESS ALLEGATIONS. ANY ALLEGATIONS THAT ARE NOT SUBSTANTIATED AND WHICH PROVE TO HAVE BEEN MADE MALICIOUSLY OR WITH FOREKNOWLEDGE THAT THEY WERE FALSE WILL BE VIEWED AS A SERIOUS OFFENSE. WHISTLEBLOWER PROTECTIONS ARE PROVIDED IN TWO IMPORTANT AREAS -- CONFIDENTIALITY AND AGAINST RETALIATION. INSOFAR AS POSSIBLE, THE CONFIDENTIALITY OF THE WHISTLEBLOWER WILL BE MAINTAINED. HOWEVER, THE 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. IT IS ILLEGAL TO RETALIATE AGAINST A WHISTLEBLOWER IN THE TERMS AND CONDITIONS OF THEIR EMPLOYMENT, AND IHI CANNOT AND WILL NOT TOLERATE ANY SUCH RETALIATION. THIS INCLUDES, BUT IS NOT LIMITED TO, PROTECTION FROM RETALIATION IN THE FORM OF AN ADVERSE EMPLOYMENT ACTION SUCH AS TERMINATION, DEMOTION, SUSPENSION, COMPENSATION DECREASES, POOR WORK ASSIGNMENTS, AND/OR THREATS OF INTIMIDATION OR PHYSICAL HARM. ANY WHISTLEBLOWER WHO BELIEVES HE OR SHE IS BEING RETALIATED AGAINST MUST CONTACT AMY HOSFORD SWAN, CHIEF FINANCIAL AND ADMINISTRATION OFFICER, OR SAM WATSON, CHAIR OF THE AUDIT COMMITTEE, IMMEDIATELY. AN IHI EMPLOYEE WHO RETALIATES AGAINST A WHISTLEBLOWER IS SUBJECT TO DISCIPLINE, UP TO AND INCLUDING TERMINATION OF EMPLOYMENT. FORM 990, PART VI, LINE 14 RECORD RETENTION POLICY IHI RECORD RETENTION POLICY AS NOTED IN OUR STAFF GUIDEBOOK: DISPOSING OF IHI'S RECORDS AND FILES IS NOT DISCRETIONARY. THERE ARE CERTAIN LEGAL REQUIREMENTS FOR 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, 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 IMMEDIATELY. 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 MAINTAINED 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 MAINTAINED FOR 6 YEARS. 3. YEAR END TREASURER'S FINANCIAL REPORT/STATEMENT ARE KEPT PERMANENTLY. 4. TREASURER'S REPORTS ARE MAINTAINED 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 MAINTAINED FOR SEVEN YEARS AND ARE STORED WITH FINANCIAL RECORDS. FEDERAL LAW REQUIRES THAT THE THREE MOST RECENT YEARS RETURNS BE KEPT 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 IS KEPT ON FILE FOR 3 YEARS. FORM 990, PART VI, LINE 16 POLICY ON BUSINESS RELATIONSHIPS IHI SEEKS AND ACCEPTS EXTERNAL SUPPORT IN THE FORM OF GRANTS, CONTRACTS, SPONSORSHIPS, DONATIONS OR GIFTS IN SUPPORT OF OUR MISSION. IHI ALSO PARTNERS WITH A WIDE RANGE OF ORGANIZATIONS IN DELIVERING OUR MISSION. EXTERNAL SUPPORT FALLS INTO THE FOLLOWING BROAD CATEGORIES: - SUPPORTING THE DEVELOPMENT OR DELIVERY OF INNOVATION/R&D, CONTENT, OR PROGRAMMING. - SPONSORING EVENTS OR OTHER EDUCATIONAL PROGRAMS. - HELPING US UNDERTAKE INITIATIVES THAT ACCELERATE THE RATE OF IMPROVEMENT IN HEALTH CARE AND HEALTH. - FUNDING BY DONORS THAT IS TARGETED TOWARD SPECIFIC IHI PROGRAM AREAS. - SUPPORTING THE DELIVERY OF IHI CONFERENCES OR COURSES, INCLUDING DIRECT SUPPORT TO PROGRAMS AND PRESENTERS, PROVIDING SCHOLARSHIPS, AND FURNISHING CONFERENCE MATERIALS. - PROVIDING SUPPORT FOR IHI'S WORK WITH SCHOOLS OF MEDICINE, NURSING, PHARMACY, AND ADMINISTRATIVE HEALTH CARE TO TEACH NEW HEALTH PROFESSIONALS THE METHODS TO IMPROVE CARE. - ASSISTING IHI IN REACHING BROADER AUDIENCES. - PROVIDING ACCESS TO SKILLS AND RESOURCES THAT IHI DOES NOT HAVE AVAILABLE INTERNALLY. COMMERCIAL ENTITIES ARE ORGANIZATIONS THAT OFFER PRODUCTS OR SERVICES TO A MARKET WITH THE INTENT OF MAKING A PROFIT. IN A COMMERCIAL ENTITY, SHAREHOLDERS, PARTNERS, INVESTORS, OR EMPLOYEES MAY OWN (OR HAVE RIGHTS TO OWN) THE PROFITS, RESIDUAL INCOME, OR SURPLUSES OF THE ORGANIZATION. THIS CONTRASTS WITH NOT-FOR-PROFIT ENTITIES (LIKE IHI) WHERE ANY SURPLUSES OR FUND BALANCES ARE HELD FOR PUBLIC BENEFIT AND NO INDIVIDUALS OR ENTITIES HAVE ANY OWNERSHIP CLAIM. A NONPROFIT FOUNDATION ESTABLISHED BY A FOR-PROFIT ENTITY WOULD NORMALLY BE CONSIDERED A NONPROFIT BY IHI IN EVALUATING POTENTIAL SPONSORSHIP OR FUNDING ARRANGEMENTS. GUIDELINES FOR COMMERCIAL SUPPORT AND ENGAGEMENT IHI'S ABILITY TO ADVANCE HEALTH AND HEALTH SYSTEM IMPROVEMENT DEPENDS CRUCIALLY ON MAINTAINING AN INDEPENDENT POSITION WITH RESPECT TO COMMERCIAL PRODUCTS AND SERVICES. 'INDEPENDENCE' IS A MATTER OF BOTH ACTUAL AND PERCEIVED RELATIONSHIP WITH POTENTIAL SPONSORS AND PARTNERS. THE FACT OR APPEARANCE OF ENDORSEMENT TOWARD A SPECIFIC COMMERCIAL PRODUCT OR SERVICE HAS THE POTENTIAL TO DAMAGE IHI'S REPUTATION. WITH BOTH THE BENEFITS AND RISKS OF COMMERCIAL SUPPORT IN MIND, IHI HAS ESTABLISHED THE FOLLOWING PRINCIPLES AND GUIDELINES, WHICH APPLY PRIMARILY TO THE ACCEPTANCE OF 'COMMERCIAL SUPPORT,' THAT IS, EXTERNAL FUNDS FROM FOR-PROFIT CORPORATIONS, PARTNERSHIPS OR OTHER ENTITIES SELLING GOODS OR SERVICES RELATED TO HEALTH AND HEALTH CARE, OR WHO OTHERWISE STAND TO GAIN FINANCIALLY FROM ASSOCIATION WITH IHI. IHI MAY ACCEPT SUPPORT FROM OR ENGAGEMENT WITH COMMERCIAL ENTITIES WHEN AN OPPORTUNITY: 1. IS CONSISTENT WITH IHI STRATEGY, VALUES, AND IMPROVEMENT METHODS: - IHI ENGAGES WITH COMMERCIAL ORGANIZATIONS ONLY (A) FOR UNRESTRICTED SUPPORT FOR IHI CONTENT OR PROGRAMMING OR (B) FOR SPECIFIC PROJECTS THAT ARE CONSISTENT WITH OUR MISSION AND BUSINESS STRATEGY. - IHI DOES NOT ENGAGE WITH COMMERCIAL ORGANIZATIONS THAT REQUIRE AN EXCLUSIVE WORKING RELATIONSHIP. - IHI DOES NOT ACCEPT EXTERNAL FUNDS FROM COMPANIES THAT MAKE TOBACCO PRODUCTS, INCLUDING OTHER COMPANIES OWNED BY TOBACCO COMPANIES, OR THEIR PARENT COMPANIES. 2. REFLECTS IHI'S COMMITMENT TO THE FREE, NON-COMMERCIAL FLOW OF IMPROVEMENT KNOWLEDGE AND RESOURCES: - IHI BELIEVES THAT THE FREE FLOW OF IDEAS PROVIDES THE BEST OPPORTUNITIES FOR IMPROVEMENT AND WE PROVIDE EXTENSIVE FREE AND PUBLIC ACCESS TO CONTENT THROUGH OUR WEBSITE, PUBLICATIONS, AND OTHER MECHANISMS. IHI RESERVES RIGHTS TO THE INTELLECTUAL PROPERTIES RESULTING FROM THE PROJECT, UNLESS OTHERWISE AGREED UPON IN ADVANCE. - IHI DOES NOT ENGAGE WITH FUNDERS THAT WOULD SET LIMITS ON THE BROAD AND UNFETTERED DISSEMINATION OF WORK PRODUCT OR LEARNING. - IHI RETAINS THE RIGHT TO PUBLISH RESULTS OR CONTENT. - ANY PERMISSIONS OR LICENSING AGREEMENTS WITH COMMERCIAL ENTITIES MUST ADHERE TO APPROPRIATE STANDARDS THAT PREVENT MISUSE, UNINTENDED USE, AND MODIFICATION OF LICENSED MATERIALS, PROHIBIT MODIFICATION THAT CHANGES MEANING, AND PROHIBIT USE OF IHI TRADEMARKS OR LOGOS TO ENDORSE COMPANY PRODUCTS/SERVICES. - IHI DOES NOT PERMIT COMMERCIAL PARTNERS TO GENERATE COMMERCIAL ACTIVITY AROUND IHI IMPROVEMENT KNOWLEDGE AND RESOURCES. 3. AVOIDS REAL OR PERCEIVED CONFLICTS THAT IMPAIR OR GIVE THE APPEARANCE OF IMPAIRING THE ABILITY OF IHI PROGRAM PARTICIPANTS TO MAKE INFORMED OR OBJECTIVE DECISIONS: - IHI DOES NOT ENGAGE WITH COMMERCIAL ORGANIZATIONS ON RESEARCH AND EDUCATION PROGRAMS THAT RELATE TO SPECIFIC PHARMACEUTICALS, MEDICAL DEVICES, DIAGNOSTICS, INFORMATION TECHNOLOGY, OR ANY OTHER PRODUCT PURPORTED TO HAVE DIRECT HEALTH BENEFITS TO PATIENTS OR TO HEALTH SYSTEM PERFORMANCE. - IHI DOES NOT ENGAGE IN PARTNERSHIP WITH COMMERCIAL ORGANIZATIONS THAT DIRECTLY ADVANCE THAT ORGANIZATION'S COMMERCIAL INTERESTS. - IHI PROGRAMS MUST COMPLY WITH THE ACCREDITATION COUNCIL FOR CONTINUING MEDICAL EDUCATION (ACCME) GUIDELINES FOR COMMERCIAL SUPPORT. IHI DESIGNS ALL MEETINGS AND EVENTS TO MAXIMIZE THE IMPACT ON IMPROVEMENT. IHI RETAINS CONTROL OVER EDUCATIONAL CONTENT, SELECTION OF SPEAKERS, AND THE REVIEW OF EDUCATIONAL MATERIALS. 4. PRESERVES IHI'S STRATEGIC, METHODOLOGICAL, AND OPERATIONAL INDEPENDENCE AND CONTROL: - IHI RETAINS CONTROL OF THE SELECTION OF ALL PROJECT PERSONNEL. - IHI ENSURES THAT THE DESIGN OF PROJECT ACTIVITIES IS CONSISTENT WITH OUR IMPROVEMENT METHODS AND CONTENT EXPERTISE. 5. TRANSPARENTLY DISCLOSES ALL RELATIONSHIPS: - IHI DISCLOSES ALL SPONSORED ACTIVITIES THAT ARE PARTIALLY OR COMPLETELY FINANCED BY EXTERNAL FUNDS, INCLUDING FUNDS FROM COMMERCIAL ENTITIES. - SPEAKERS AT IHI EVENTS ARE REQUIRED TO DISCLOSE WHETHER ANY PART OF THEIR PRESENTATION RESULTED FROM EXTERNAL FUNDING AND WHETHER THEY HAVE ANY PERSONAL FINANCIAL INTEREST IN THE SUBJECT MATTER OF THE PRESENTATION. 6. ACKNOWLEDGES COMMERCIAL SUPPORT OR ENGAGEMENT AND USES THE IHI BRAND APPROPRIATELY: - ACKNOWLEDGMENT OF COMMERCIAL SUPPORT OR INVOLVEMENT MAY BE INCLUDED IN IHI'S PUBLICATIONS, MEETING MATERIALS, WEB PAGES, REPORTS OF PROJECT RESULTS, AND ALL OTHER SIMILAR MATERIALS, AS APPROPRIATE. GUIDANCE IS DOCUMENTED IN THE IHI BRAND STANDARDS GUIDE (CURRENT GUIDE LAST UPDATED IN FEBRUARY 2021). - IHI PERMITS ACKNOWLEDGEMENT OF COMMERCIAL SUPPORT IN COMMUNICATIONS, WITH ADVANCE REVIEW AND APPROVAL OF SUCH COMMUNICATIONS BY IHI. - REVIEW AND APPROVAL IS REQUIRED BY THE IHI MARKETING DEPARTMENT FOR NARRATIVE STATEMENTS ABOUT IHI MADE BY FUNDERS AND FOR USE OF THE IHI NAME AND/OR LOGO. 7. IS SUBJECT TO APPROPRIATE GOVERNANCE AND OVERSIGHT, INCLUDING: - IHI EXECUTIVE TEAM REVIEWS AND APPROVES EXCEPTIONS TO THIS POLICY. - IHI EXECUTIVE TEAM REPORTS TO THE IHI BOARD OF DIRECTORS ON ANY COMMERCIAL RELATIONSHIPS THAT ARE NEW OR UNUSUAL IN SCOPE OR APPROACH. - IHI PROVIDES A YEARLY SUMMARY OF COMMERCIAL FUNDING RECEIVED TO THE BOARD OF DIRECTORS FOR REVIEW. - IHI BOARD, FACULTY, AND STAFF ARE REQUIRED TO DISCLOSE POTENTIAL CONFLICTS OF INTEREST ANNUALLY AND DOCUMENTATION IS MAINTAINED THROUGH AN ELECTRONIC SYSTEM. - IHI MAINTAINS JOINT CONTINUING EDUCATION ACCREDITATION THROUGH ACCME, ANCC, AND ACPE. CURRENT ACCREDITATION RUNS THROUGH 2018. - COMMERCIAL ENTITIES PROVIDING SUPPORT TO IHI CONFERENCES OR OTHER PROGRAMS ARE NOT PERMITTED TO INFLUENCE OR PROVIDE INPUT TO THE CONTENT, DESIGN, OBJECTIVES, METHODS, OR SELECTION OF FACULTY FOR IHI PROGRAMS. POST-EVENT PARTICIPANT SURVEYS ASK ATTENDEES TO IDENTIFY POTENTIAL BIASES SO THAT IHI CAN RECTIFY ANY SITUATIONS WHERE COMMERCIAL INFLUENCE MIGHT OCCUR. - THE IHI ETHICS POLICY AND GUIDELINES FOR CITIZENSHIP IS REVIEWED AND UPDATED ANNUALLY. NEW STAFF ARE ORIENTED UPON HIRE AND CURRENT STAFF ARE ORIENTED TO THE POLICY ANNUALLY. 8. MEETS IHI'S STANDARDS FOR ADMINISTRATION AND ACCOUNTING: - WRITTEN AGREEMENTS ARE REQUIRED WHEN ENTERING INTO RELATIONSHIPS WITH COMMERCIAL ENTITIES. - FUNDS RECEIVED FROM COMMERCIAL ENTITIES WILL BE FULLY ACCOUNTED FOR IN LINE WITH IHI'S NORMAL HIGH STANDARDS OF FINANCIAL MANAGEMENT. OPERATIONAL GUIDANCE ALL IHI PROGRAM, DELIVERY, FUNCTIONAL, AND ADMINISTRATIVE STAFF AND LEADERS ARE RESPONSIBLE FOR ACTING IN ACCORDANCE WITH THIS POLICY. THE FOLLOWING GUIDANCE IS PROVIDED: - WHEN IHI LEADERS OR STAFF IDENTIFY OPPORTUNITIES FOR IHI TO RECEIVE COMMERCIAL SUPPORT THEY WILL PROMPTLY BRING THE OPPORTUNITY FORWARD THROUGH THE NEW BUSINESS PROCESS. - EACH OPPORTUNITY FOR COMMERCIAL SUPPORT WILL BE VETTED USING THE PRINCIPLES LISTED ABOVE IN ADDITION TO IHI'S NORMAL STRATEGIC CRITERIA. - IN CASE OF AMBIGUITY, OPPORTUNITIES WILL BE ESCALATED TO THE IHI EXECUTIVE TEAM FOR REVIEW AND INPUT. - THE EXECUTIVE TEAM WILL DETERMINE WHETHER CONSULTATION WITH THE BOARD OF DIRECTORS IS WARRANTED, PARTICULARLY IN CASES THAT ARE NEW OR UNUSUAL IN SCOPE OR APPROACH. - FOR ANY COMMERCIALLY-SOURCED SUPPORT IN EXCESS OF $500,000 THE TEAM PROPOSING SUPPORT WILL SEEK REVIEW AND INPUT FROM THE EXECUTIVE TEAM. FORM 990, PART VI, LINE 16 CONTINUED - ANY EXCEPTIONS TO THIS POLICY WILL BE REVIEWED AND APPROVED BY THE EXECUTIVE TEAM BEFORE ACCEPTING SUPPORT. POLICY APPROVED MARCH 2015. FORM 990, PART IX, LINE 11G CONSULTING SERVICES: PROGRAM SERVICE EXPENSES 10,265,396. MANAGEMENT AND GENERAL EXPENSES 227,519. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 10,492,915. PROFESSIONAL FEES: PROGRAM SERVICE EXPENSES 2,095,678. MANAGEMENT AND GENERAL EXPENSES 202,165. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,297,843.