2023-05-09T12:38:19-05:00 2022-06-30 911194016 CLARK NUBER PS 10900 NE 4TH STREET SUITE 1400 BELLEVUE WA 98004 990 2021-07-01 911220843 THE ASSOCIATION OF UNIVERSITY PHYSICIANS ASSO 2065205778 701 5TH AVENUE 700 SEATTLE WA 98104 ERICA FLOYD CHIEF FINANCIAL OFFICER 2065205778 2023-05-08 1 ERICA FLOYD XXX-XX-XXXX LISA MCCREEDY P01771202 4254544919 2023-05-08 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z UW PHYSICIANS ANTHONY DORSCH 701 5TH AVENUE 700 SEATTLE WA 98104 469049426 0 X WWW.UWMEDICINE.ORG/UW-PHYSICIANS X 1983 WA PRACTICE PLAN FOR THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE ("UWSOM") FACULTY PHYSICIANS AND NON-PHYSICIAN PRACTITIONERS THAT PROVIDES SUBSTANTIAL SUPPORT TO THE UWSOM. 28 0 1751 123 0 0 2944412 1183612 344255463 415868219 8169952 21005676 0 0 355369827 438057507 0 0 0 0 252656937 269901646 0 0 0 121673619 127169394 374330556 397071040 -18960729 40986467 217739908 230661951 217739908 230661951 0 0 X THE ASSOCIATION OF UNIVERSITY PHYSICIANS IS A CLINICAL PRACTICE PLAN FOR THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE ("UWSOM") FACULTY PHYSICIANS AND NON-PHYSICIAN PRACTITIONERS AND PROVIDES SUBSTANTIAL SUPPORT TO THE UWSOM. 0 0 347597068 415868219 THE PHYSICIANS AND OTHER HEALTH CARE PRACTITIONERS OF THE ASSOCIATION OF UNIVERSITY PHYSICIANS (TOGETHER, "UWP PRACTITIONERS") PROVIDE CLINICAL CARE AT UNIVERSITY OF WASHINGTON OWNED, OPERATED, AND AFFILIATED FACILITIES. UWP PRACTITIONERS ARE REQUIRED TO BE FACULTY MEMBERS OF THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE AS A CONDITION OF PRACTICE PLAN MEMBERSHIP AND PRACTICE ONLY AT SITES APPROVED BY THE CEO OF UW MEDICINE, EVP FOR MEDICAL AFFAIRS AND DEAN OF THE UWSOM (UW MEDICINE CEO). UWP PRACTITIONERS ALSO PROVIDE CLINICAL CARE IN OTHER LOCAL AND NATIONAL COMMUNITY SETTINGS AS APPROVED BY THE UW MEDICINE CEO. THESE ACTIVITIES INCREASE COMMUNITY ACCESS TO SPECIALIST AND SUB-SPECIALIST CLINICAL CARE AND EXPERTISE, PROVIDE PRIMARY CARE IN COMMUNITIES THAT MAY NOT HAVE SUFFICIENT LOCAL RESOURCES, AND HELP TO ASSURE SUFFICIENT PRACTICE SITES AND PATIENT POPULATIONS TO MAINTAIN THE UWSOM TEACHING AND RESEARCH ACTIVITIES. PURSUANT TO AN OPERATING AGREEMENT BETWEEN THE ASSOCIATION OF UNIVERSITY PHYSICIANS ("UWP") AND THE UNIVERSITY OF WASHINGTON BOARD OF REGENTS, ALL UWP REVENUES IN EXCESS OF ITS OPERATING EXPENSES AND PHYSICIAN COMPENSATION ARE HELD IN AN ACADEMIC SUPPORT FUND SOLELY FOR THE SUPPORT OF THE UWSOM. THE UW MEDICINE CEO CONTROLS ALL PHYSICIAN COMPENSATION BY UWP AND HIS APPROVAL IS REQUIRED FOR THE SIGNIFICANT ACTIONS OF THE UWP BOARD OF TRUSTEES. 347597068 1 1 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 0 1 4 0 1751 1 0 0 0 0 0 0 0 0 0 0 0 0 X 28 0 1 0 0 0 0 1 1 1 1 0 0 0 1 1 1 1 1 0 0 0 WA X ERICA FLOYD 2065205669 701 5TH AVENUE SUITE 700 SEATTLE WA 98104 X GEOFFREY BAIRD MD PHD TRUSTEE 40.00 0.00 X 121476 370009 52043 HOWARD CHANSKY MD TRUSTEE 40.00 0.00 X 409176 328185 203441 TIMOTHY DELLIT MD PRESIDENT 40.00 0.00 X X 294728 403704 81829 RICHARD ELLENBOGEN MD TRUSTEE 40.00 0.00 X 564826 532456 176719 PETER ESSELMAN MD TRUSTEE 40.00 0.00 X 32836 420125 66454 NEAL FUTRAN MD TRUSTEE 40.00 0.00 X 287556 469365 143253 BARBARA GOFF MD TRUSTEE 40.00 0.00 X 247296 373386 113218 PAUL JAMES MD TRUSTEE 40.00 0.00 X 139024 320177 61277 SUE STERN MD TRUSTEE 40.00 0.00 X 150000 378425 62196 JURGEN UNUTZER MD TRUSTEE 40.00 0.00 X 137620 399962 96190 RUSSELL VAN GELDER MD PHD TRUSTEE 40.00 0.00 X 153860 456537 82723 HUNTER WESSELLS MD TRUSTEE 40.00 0.00 X 118864 480132 78411 DOUGLAS WOOD MD TRUSTEE 40.00 0.00 X 568852 487952 81229 LISA CHEW MD SECRETARY-TREASURER (THRU 8/21) 40.00 0.00 X X 0 273761 37870 RAMESH RENGAN MD TRUSTEE 40.00 0.00 X 497964 293529 105722 DUSHYANT SAHANI MD TRUSTEE 40.00 0.00 X 239032 453607 66420 LESLIE WALKER-HARDING MD TRUSTEE 40.00 0.00 X 0 326547 39773 SANTIAGO NEME MD VICE PRESIDENT 40.00 0.00 X X 143863 270125 53067 ERIK VAN EATON MD TRUSTEE (THRU 8/21) 40.00 0.00 X 162789 96374 65873 BARBARA JUNG MD TRUSTEE 40.00 0.00 X 324136 307840 79558 NICHOLAS POOLOS MD PHD TRUSTEE (THRU 7/21) 40.00 0.00 X 2619 298135 52070 DAVID DUGDALE MD TRUSTEE 40.00 0.00 X 0 261996 43825 JENNIE MAO MD TRUSTEE 40.00 0.00 X 38652 267124 61892 DAVID BYRD MD TRUSTEE (THRU 8/2021) 40.00 0.00 X 191500 286752 99861 HEIDI COMBS MD MS TRUSTEE 40.00 0.00 X 28106 279046 48329 VICTORIA FANG MD TRUSTEE 40.00 0.00 X 268950 78853 49952 CRYSTAL KONG-WONG MD TRUSTEE 40.00 0.00 X 175437 104051 46274 BURKHARD MACKENSEN MD PHD FASE TRUSTEE 40.00 0.00 X 377130 318383 77889 THABELE BAY LESLIE-MAZWI MD TRUSTEE (AS OF 8/21) 40.00 0.00 X 115835 505637 32895 ESTELL WILLIAMS MD SECRETARY-TREASURER (AS OF 9/21) 40.00 0.00 X X 212376 62577 64952 THOMAS PURCELL MD TRUSTEE 40.00 0.00 X 0 0 1316 SHIREESHA DHANIREDDY MD TRUSTEE 40.00 0.00 X 0 254352 37988 ANTHONY DORSCH UWP EXECUTIVE DIRECTOR 40.00 0.00 X 67255 288168 51826 MAUREEN HOOLEY CFO 40.00 0.00 X 59356 261883 47150 JACQUELINE CABE UW MEDICINE CFO 40.00 0.00 X 201532 631535 62708 RUTH MAHAN UW MEDICINE CHIEF BUSINESS OFFICER 40.00 0.00 X 220632 621073 70461 LISA BRANDENBURG UW MEDICINE CHSO 40.00 0.00 X 238275 702218 127886 MARK GREEN VICE DEAN ADMIN AND FIN (THRU 10/21) 40.00 0.00 X 0 538426 67556 PAUL RAMSEY MD UW MEDICINE CEO 40.00 0.00 X 621180 336035 76572 JULIE REID INTERIM VICE DEAN OF ADMIN & FIN, SOM 40.00 0.00 X 0 392630 40472 LALIGAM SEKHAR MD PROFESSOR 40.00 0.00 X 430882 657752 127223 DANIEL LAZAR MD PROFESSOR 40.00 0.00 X 1322302 74506 55541 LOUIS KIM MD PROFESSOR 40.00 0.00 X 678362 365645 112205 MANUEL FERREIRA MD PHD PROFESSOR 40.00 0.00 X 569722 404488 76465 FANGYI ZHANG MD PROFESSOR 40.00 0.00 X 641165 296428 119260 MIKA SINANAN MD PHD FORMER OFFICER 40.00 0.00 X 192350 203753 76039 SAMAN ARBABI MD FORMER OFFICER 40.00 0.00 X 144110 402553 113526 CYNTHIA HECKER FORMER KEY EMPLOYEE 40.00 0.00 X 212138 530414 104068 PAUL HAYES FORMER KEY EMPLOYEE 40.00 0.00 X 28132 144069 16894 11631896 17010680 3710361 831 1 1 0 ADP INC PO BOX 842875 BOSTON MA 02284 PAYROLL SERVICES 177936 FI-MED MANAGEMENT INC 333 BISHOPS WAY BROOKFIELD WI 53005 MEDICAL BILLING SERVICE 133200 FIDUCENT ADVISORS LLC PO BOX 856577 MINNEAPOLIS MN 55485 INVESTMENT ADVISORY SERVICES 106603 3 1183612 1183612 PATIENT PROF FEES 621110 410839129 410839129 BILLING AND COLLECTION 561000 5029090 5029090 415868219 7020461 7020461 44977134 30991919 13985215 13985215 13985215 438057507 415868219 0 21005676 9197813 8339047 858766 1193514 1193514 232555139 231928812 626327 14947587 14947587 3977435 3938597 38838 8030158 8020179 9979 8419 8419 75065 75065 192388 192388 28387030 28387030 262662 262662 5306883 2866069 2440814 374885 374885 12883 12883 39781 39781 88618 88618 1578143 1578143 11332760 11227244 105516 DEPARTMENT EXPENSES 50817245 50817245 UW MEDICINE ALLOCATIONS 14053592 14053592 CITY/STATE BUSINESS TAX 11740342 11740342 ESC SESSION FEE EXPENSE 1647557 1647557 1251141 930875 320266 397071040 347597068 49473972 0 333723 612760 51160852 65489465 21125345 10883480 254937 271414 3662616 2779810 1242304 882806 143542122 149265297 80625 3256729 217739908 230661951 26348376 27544847 14914466 125017 176477066 202992087 217739908 230661951 X 0 0 0 0 0 0 0 0 217739908 230661951 40986467 -40986467 0 X 0 1 X 1 0 X X 1 UNIVERSITY OF WASHINGTON 916001537 6 1 113065945 0 1 113065945 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 2743530 2046462 697068 919086 733348 185738 882806 CLINICAL MEDICINE FUND & DEPARTMENT PAYABLES 178119290 OTHER RELATED PARTY PAYABLES 20724402 LEASE LIABILITY 4148395 202992087 0 0 0 0 0 0 0 1 0 DANIEL LAZAR MD PROFESSOR 271052 55006 1051250 0 0 19500 26100 6077 3969 19395 1352371 99978 0 0 RICHARD ELLENBOGEN MD TRUSTEE 363550 508456 201276 0 0 24000 129638 29000 3969 14112 698433 575568 100638 0 LALIGAM SEKHAR MD PROFESSOR 334026 631760 96856 0 0 25992 74645 29000 3968 19610 509495 706362 0 0 LOUIS KIM MD PROFESSOR 589246 346145 89116 0 0 19500 65324 21750 3969 21162 747655 408557 0 0 DOUGLAS WOOD MD TRUSTEE 568852 487952 0 0 0 0 29000 29000 3969 19260 601821 536212 0 0 LISA BRANDENBURG UW MEDICINE CHSO 238275 676726 0 0 0 25492 23827 82930 3969 17160 266071 802308 0 0 FANGYI ZHANG MD PROFESSOR 566480 273436 74685 0 0 22992 71776 23677 3969 19838 716910 339943 0 0 MANUEL FERREIRA MD PHD PROFESSOR 550996 404488 18726 0 0 0 33886 21750 3969 16860 607577 443098 0 0 PAUL RAMSEY MD UW MEDICINE CEO 621180 320543 0 0 0 15492 29000 29000 3961 14611 654141 379646 0 0 HOWARD CHANSKY MD TRUSTEE 149176 302525 260000 0 0 25660 159000 29000 3969 11472 572145 368657 130000 0 RUTH MAHAN UW MEDICINE CHIEF BUSINESS OFFICER 220632 597073 0 0 0 24000 22063 29000 3969 15429 246664 665502 0 0 NEAL FUTRAN MD TRUSTEE 162540 469365 125016 0 0 0 91264 29000 3969 19020 382789 517385 62508 0 RAMESH RENGAN MD TRUSTEE 433260 274533 64704 0 0 18996 58452 21750 3969 21551 560385 336830 32352 0 JACQUELINE CABE UW MEDICINE CFO 201532 631535 0 0 0 0 20153 21750 3969 16836 225654 670121 0 0 CYNTHIA HECKER FORMER KEY EMPLOYEE 212138 507422 0 0 0 22992 21214 62690 3969 16195 237321 609299 0 0 TIMOTHY DELLIT MD PRESIDENT 294728 403704 0 0 0 0 29000 29000 3969 19860 327697 452564 0 0 BURKHARD MACKENSEN MD PHD FASE TRUSTEE 351576 318383 25554 0 0 0 29000 29000 3969 15920 410099 363303 0 0 DUSHYANT SAHANI MD TRUSTEE 239032 439839 0 0 0 13768 23903 21750 3969 16798 266904 492155 0 0 BARBARA GOFF MD TRUSTEE 167296 373386 80000 0 0 0 64730 29000 3945 15543 315971 417929 40000 0 BARBARA JUNG MD TRUSTEE 324136 307840 0 0 0 0 29000 25803 3969 20786 357105 354429 0 0 RUSSELL VAN GELDER MD PHD TRUSTEE 105896 456537 47964 0 0 0 39368 23706 3881 15768 197109 496011 23982 0 HUNTER WESSELLS MD TRUSTEE 85864 465132 33000 0 0 15000 28386 29000 3702 17323 150952 526455 16500 0 SAMAN ARBABI MD FORMER OFFICER 18532 402553 125578 0 0 0 64422 29000 3244 16860 211776 448413 59535 0 THABELE BAY LESLIE-MAZWI MD TRUSTEE (AS OF 8/21) 115835 505637 0 0 0 0 11413 8775 1549 11158 128797 525570 0 0 JURGEN UNUTZER MD TRUSTEE 71620 399962 66000 0 0 0 46762 28875 3373 17180 187755 446017 33000 0 MARK GREEN VICE DEAN ADMIN AND FIN (THRU 10/21) 0 538426 0 0 0 0 0 55625 0 11931 0 605982 0 0 SUE STERN MD TRUSTEE 150000 378425 0 0 0 0 15000 29000 3253 14943 168253 422368 0 0 DAVID BYRD MD TRUSTEE (THRU 8/2021) 146508 286752 44992 0 0 0 51658 29000 3096 16107 246254 331859 22496 0 GEOFFREY BAIRD MD PHD TRUSTEE 121476 370009 0 0 0 0 10933 21750 3153 16207 135562 407966 0 0 PAUL JAMES MD TRUSTEE 139024 295685 0 0 0 24492 13902 29000 2717 15658 155643 364835 0 0 PETER ESSELMAN MD TRUSTEE 0 420125 32836 0 0 0 19499 29000 2835 15120 55170 464245 14227 0 MIKA SINANAN MD PHD FORMER OFFICER 153756 179753 38594 0 0 24000 42155 19970 2442 11472 236947 235195 20587 0 SANTIAGO NEME MD VICE PRESIDENT 142344 250625 1519 0 0 19500 12948 20660 2647 16812 159458 307597 0 0 JULIE REID INTERIM VICE DEAN OF ADMIN & FIN, SO 0 386230 0 0 0 6400 0 29000 0 11472 0 433102 0 0 ANTHONY DORSCH UWP EXECUTIVE DIRECTOR 67255 288168 0 0 0 0 6725 29000 1041 15060 75021 332228 0 0 VICTORIA FANG MD TRUSTEE 268950 78853 0 0 0 0 26895 8012 2304 12741 298149 99606 0 0 MAUREEN HOOLEY CFO 59356 254037 0 0 0 7846 5936 26153 949 14112 66241 302148 0 0 JENNIE MAO MD TRUSTEE 13376 241132 25276 0 0 25992 14930 27250 1902 17810 55484 312184 13259 0 LESLIE WALKER-HARDING MD TRUSTEE 0 326547 0 0 0 0 0 20811 0 18962 0 366320 0 0 HEIDI COMBS MD MS TRUSTEE 0 279046 28106 0 0 0 5096 25687 1634 15912 34836 320645 0 0 NICHOLAS POOLOS MD PHD TRUSTEE (THRU 7/21) 0 298135 2619 0 0 0 1967 29000 1743 19360 6329 346495 1058 0 ESTELL WILLIAMS MD SECRETARY-TREASURER (AS OF 9/21) 192376 62577 20000 0 0 0 26397 5411 1869 31275 240642 99263 0 0 CRYSTAL KONG-WONG MD TRUSTEE 158169 104051 17268 0 0 0 15789 8454 1892 20139 193118 132644 0 0 ERIK VAN EATON MD TRUSTEE (THRU 8/21) 108336 96374 54453 0 0 0 41272 7480 1490 15631 205551 119485 24700 0 LISA CHEW MD SECRETARY-TREASURER (THRU 8/21) 0 273761 0 0 0 0 0 20645 1745 15480 1745 309886 0 0 DAVID DUGDALE MD TRUSTEE 0 261388 0 0 0 608 0 26602 1703 15520 1703 304118 0 0 SHIREESHA DHANIREDDY MD TRUSTEE 0 254352 0 0 0 0 0 19481 1647 16860 1647 290693 0 0 PAUL HAYES FORMER KEY EMPLOYEE 28132 144069 0 0 0 0 2813 9023 538 4520 31483 157612 0 0 PART I, LINE 3 THE UWP GOVERNING BOARD DOES NOT REVIEW COMPENSATION OF ITS EXECUTIVES. INSTEAD, COMPENSATION OF THE UWP EXECUTIVE DIRECTOR AND CHIEF FINANCIAL OFFICER IS REVIEWED AND SET BY REPRESENTATIVES OF THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE. THE REVIEW RELIES ON COMPARISON OF COMPENSATION TO SIMILARLY SITUATED INDIVIDUALS, IN LIKE-SIZED ORGANIZATIONS ENGAGED IN SIMILAR ACTIVITIES. THE COMPARISON IS PERFORMED BY AN INDEPENDENT CONTRACTOR CONSULTANT WITH EXPERIENCE AND EXPERTISE IN COMPENSATION OF ACADEMIC MEDICAL CENTER PERSONNEL. THE COMPENSATION COMPARISON DATA IS REVIEWED BY DISINTERESTED EMPLOYEES OF THE UWSOM, AS PART OF AN OVERALL REVIEW OF COMPENSATION FOR SIMILARLY SITUATED INDIVIDUALS IN OTHER COMPONENTS OF THE UW MEDICINE SYSTEM. THE REVIEW IS PERFORMED REGULARLY, AND DOCUMENTATION IS MAINTAINED BY THE UWSOM. COMPENSATION OF UWP BOARD MEMBERS, INCLUDING THE UWP PRESIDENT, IN THEIR CAPACITY AS UWP MEMBERS EMPLOYED BY UWP AND/OR THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE, IS REVIEWED REGULARLY THROUGH A UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE PROCESS THAT INVOLVES DISINTERESTED SCHOOL OF MEDICINE EMPLOYEES WHO REVIEW COMPENSATION OF ALL UWSOM FACULTY. FOR UWP MEMBERS, REVIEW OF COMPENSATION ALSO INCLUDES APPLICATION OF THE "UNIVERSITY OF WASHINGTON PHYSICIANS METHOD OR STANDARD REGARDING BASIC INDIVIDUAL CAPS UNDER AMENDED INCOME DISTRIBUTION PLAN, AS OF JULY 1, 2017" (UWP CAP POLICY). THE UWP CAP POLICY LIMITS COMPENSATION OF UWP MEMBERS BY COMPARISON TO OBJECTIVE DATA FOR SIMILAR POSITIONS IN SIMILAR ORGANIZATIONS, SUCH AS THAT ESTABLISHED BY THE AAMC. THE REVIEW IS PERFORMED REGULARLY AND DOCUMENTATION IS MAINTAINED BY THE SCHOOL OF MEDICINE. PART I, LINE 7 UWP IS THE PRACTICE PLAN FOR UNIVERSITY OF WASHINGTON FACULTY PHYSICIANS AND HEALTH CARE PRACTITIONERS WHO PROVIDE CLINICAL CARE PRIMARILY TO ADULT PATIENTS. UWP BILLS AND COLLECTS REVENUE GENERATED BY THE CLINICAL SERVICES OF THESE FACULTY PHYSICIANS. ALL REVENUES COLLECTED BY UWP ARE ALLOCATED IN ACCORDANCE WITH THE ASSOCIATION OF UNIVERSITY PHYSICIANS D/B/A UW PHYSICIANS AMENDED AND RESTATED INCOME DISTRIBUTION PLAN (IDP). UWP MAINTAINS A "MASTER" IDP AND EACH UWP DEPARTMENT OR DIVISION ALSO MAINTAINS A DEPARTMENTAL (OR DIVISIONAL) IDP THAT PROVIDES MORE DETAIL AS TO HOW ADDITIONAL COMPENSATION (INCENTIVE PAYMENT) IS CALCULATED AND PAID TO PARTICIPATING INDIVIDUALS (THE PHYSICIANS AND HEALTH CARE PRACTITIONERS WITH PRACTICE AGREEMENTS MAKING THEM ELIGIBLE FOR INCENTIVE PAYMENTS). DEPARTMENTS AND DIVISIONS ARE COMPRISED OF THE FACULTY PHYSICIANS WITHIN EACH SPECIALTY OR PRIMARY CARE AREA OF CLINICAL PRACTICE. THE DEPARTMENTAL AND DIVISIONAL IDPS ALIGN WITH THE CLINICAL DEPARTMENTS OF THE UWSOM. EACH CLINICAL DEPARTMENT OF THE UWSOM HAS A DEPARTMENT CHAIR WHO APPROVES THE IDP FOR THE UWP DEPARTMENT/DIVISION. THE UW MEDICINE CEO ALSO MUST APPROVE EACH DEPARTMENT/DIVISION IDP. UNDER ALL IDPS, REVENUES GENERATED BY FACULTY ARE ALLOCATED TO THE FACULTY MEMBER'S DEPARTMENT, AND THE FUNDS FLOW IS SUBJECT TO CERTAIN STANDARDIZED DEDUCTIONS AS FOLLOWS: FIRST, REVENUES ARE USED TO PAY UWP OPERATING EXPENSES. OF THE REMAINING REVENUES, A PORTION IS ALLOCATED TO THE UWSOM CLINICAL MEDICINE FUND. THE REMAINING REVENUES ARE USED TO PAY DEPARTMENT DIRECT CLINICAL COSTS, THEN PHYSICIAN/PRACTITIONER SALARY AND BENEFITS. THERE IS A PERCENTAGE CONTRIBUTION TO DEPARTMENT (AND DIVISION) OPERATIONS AND RESERVE FUNDS, AND FINALLY, A POOL IS CREATED FOR ADDITIONAL COMPENSATION. WHILE SOME ADDITIONAL COMPENSATION MAY BE IN THE FORM OF FIXED PAYMENTS FOR A DEFINED PERIOD, EACH DEPARTMENTAL/DIVISIONAL IDP PROVIDES FOR PARTICIPATING INDIVIDUALS TO RECEIVE VARIABLE ADDITIONAL COMPENSATION. THE METRICS FOR CALCULATING ADDITIONAL COMPENSATION GENERALLY ARE BASED ON WORK PERSONALLY PERFORMED BY THE PRACTICE PLAN PHYSICIAN OR HEALTH CARE PROFESSIONAL DURING THE PERIOD OF RECORD. WHERE PERSONAL WORK IS NOT THE METRIC, THE DEPARTMENTAL TRUSTEE/DEPARTMENTAL CHAIR FOR THE DEPARTMENT ESTABLISHES A PER CAPITA DISTRIBUTION OF THE POOL TO ALL PARTICIPATING INDIVIDUALS. IN ADDITION TO THE UWP DEPARTMENTS THAT CORRESPOND TO THE SCHOOL OF MEDICINE CLINICAL DEPARTMENTS, UWP ALSO HAS SEVERAL DEPARTMENTS COMPRISED OF MULTIPLE SPECIALTIES THAT PRACTICE IN A COMMON CLINICAL SETTING. THE IDPS FOR THOSE DEPARTMENTS ARE SIMILAR TO THOSE FOR THE SCHOOL OF MEDICINE CLINICAL DEPARTMENTS. THE PERCENTAGE OF REVENUES ALLOCATED TO THE DEPARTMENT AND/OR DIVISION OPERATING AND RESERVE FUND IS ESTIMATED BY THE DEPARTMENT AND APPROVED BY THE UW MEDICINE CEO OR HIS DESIGNEE IN A BUDGET ESTABLISHED PRIOR TO THE PERIOD OF RECORD. THE PERIOD OF RECORD IS EITHER A 12-MONTH OR 6-MONTH PERIOD DURING WHICH THE REVENUES AND EXPENSES FOR THE PRACTICE PLAN ARE ALLOCATED. THE ACTUAL PERCENTAGE FOR DEPARTMENTAL/DIVISIONAL OPERATIONS AND RESERVE CONTRIBUTION MAY BE MODIFIED FROM THE ORIGINAL ESTIMATE BASED ON THE OPERATIONAL NEEDS OF THE DEPARTMENT OR DIVISION, AND WHEN THAT OCCURS, THE PERCENTAGE MAY BE ADJUSTED RETROACTIVELY BY THE CHAIR OF THE DEPARTMENT UPON APPROVAL OF THE UW MEDICINE CEO. AT THE END OF THE PERIOD OF RECORD, AMOUNTS REMAINING AFTER ALL ALLOCATIONS HAVE BEEN MADE ARE AVAILABLE TO PAY THE ADDITIONAL COMPENSATION TO PARTICIPATING INDIVIDUALS. ADDITIONAL COMPENSATION IS CALCULATED FOR EACH PARTICIPATING INDIVIDUAL AND THE ADDITIONAL COMPENSATION AMOUNT IS PAID APPROXIMATELY THREE MONTHS LATER. ADDITIONAL COMPENSATION PAYMENTS ARE SUBJECT TO THE COMPENSATION CAP POLICY ADOPTED BY UWP: THE "UWP METHOD OR STANDARD REGARDING BASIC INDIVIDUAL CAPS UNDER AMENDED INCOME DISTRIBUTION PLAN, AS OF JULY 1, 2017." THIS COMPENSATION CAP POLICY LIMITS THE AMOUNT OF COMPENSATION TO INDIVIDUAL PHYSICIANS AND HEALTH CARE PROFESSIONALS BY COMPARISON TO OBJECTIVE DATA FOR LIKE ACTIVITIES AND LIKE PHYSICIANS OR PRACTITIONERS, INCLUDING SURVEYS SUCH AS THE ASSOCIATION OF AMERICAN MEDICAL COLLEGE (AAMC) AND MEDICAL GROUP MANAGEMENT ASSOCIATION (MGMA) COMPENSATION SURVEYS. FOR THE MOST FREQUENTLY USED MEASURE (AAMC SURVEY), THE MAXIMUM "BASIC INDIVIDUAL CAP" GENERALLY IS 90% OF THE APPLICABLE STANDARD OR MEASURE. IF AAMC DATA IS NOT AVAILABLE OR DOES NOT PROVIDE THE MOST APPROPRIATE COMPARATIVE DATA, THE POLICY ALLOWS FOR OTHER COMPARATORS TO BE USED. IN GENERAL, THE 90TH PERCENTILE IS THE MAXIMUM BASIC INDIVIDUAL CAP IMPOSED UNDER ANY SURVEY OR DATA. IN ALL INSTANCES, COMPENSATION IS LIMITED BY A CAP ESTABLISHED USING A COMPARATIVE SURVEY OR DATA DETERMINED BY THE UWSOM PRIOR TO THE PERIOD OF RECORD. BEFORE PAYMENT OF ADDITIONAL COMPENSATION FOLLOWING A PERIOD OF RECORD, UWP REVIEWS AND, WHERE NECESSARY, LIMITS INDIVIDUAL COMPENSATION PURSUANT TO THE APPLICABLE CAP. THUS, WHILE THE AMOUNT OF ADDITIONAL COMPENSATION MAY NOT BE FIXED, THE TOTAL COMPENSATION, INCLUDING BASE SALARY AND ADDITIONAL COMPENSATION, IS SUBJECT TO LIMITS ESTABLISHED BY RELEVANT COMPARATORS. SUZANNE DINTZIS SEE PART V SPOUSE OF RUSSELL VAN GELDER, TRUSTEE 140951 EMPLOYMENT 0 DEAN SHIBATA SEE PART V SPOUSE OF LISA CHEW, SECRETARY-TREASURER 322747 EMPLOYMENT 0 FERRIC FANG SEE PART V SPOUSE OF VICTORIA FANG, TRUSTEE 72504 EMPLOYMENT 0 FORM 990, PART I, LINE 6 VOLUNTEERS HAVE BOTH UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE FACULTY APPOINTMENTS AS WELL AS A WRITTEN PRACTICE AGREEMENT WITH THE ASSOCIATION OF UNIVERSITY PHYSICIANS ("UWP"). THEY PERFORM CLINICAL SERVICES TO PATIENTS AT UW MEDICINE FACILITIES. VOLUNTEERS ARE TRACKED IN THE PAYROLL SYSTEM EVEN THOUGH NOT PAID BY UWP. FORM 990, PART VI, SECTION A, LINE 1A NONE OF THE VOTING MEMBERS ARE INDEPENDENT. THE UWP BOARD OF TRUSTEES IS COMPRISED OF THE 18 CLINICAL CHAIRS OF THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE, SIX AT-LARGE MEMBERS ELECTED BY THE VOTING UWP MEMBERSHIP, THE MEDICAL DIRECTOR FOR THE UW PHYSICIANS NETWORK (A NON-PROFIT, TAX EXEMPT CORPORATION CLOSELY AFFILIATED WITH THE UNIVERSITY OF WASHINGTON), THE MEDICAL DIRECTOR FOR UW MEDICAL CENTER - NORTHWEST (A HOSPITAL CAMPUS OF THE UW MEDICAL CENTER), THE MEDICAL DIRECTOR FOR THE SEATTLE CANCER CARE ALLIANCE (A TAX EXEMPT ENTITY FOR WHICH THE UNIVERSITY OF WASHINGTON PARTICIPATES AS ONE OF THREE CORPORATE MEMBERS), AND A PHYSICIAN-PRESIDENT. THE PHYSICIAN MEMBERS OF THE BOARD ARE FACULTY MEMBERS OF THE UNIVERSITY OF WASHINGTON AND EMPLOYED BY ONE OF THE FOLLOWING: UWP, THE UNIVERSITY OF WASHINGTON, SEATTLE CANCER CARE ALLIANCE (FOR ITS MEDICAL DIRECTOR), THE ASSOCIATION OF CHRMC AND UNIVERSITY PHYSICIANS (FOR THE DEPARTMENT OF PEDIATRICS) OR A COMBINATION OF THESE EMPLOYERS. FORM 990, PART VI, SECTION A, LINE 2 PAUL RAMSEY, MD, IS THE CEO OF UW MEDICINE, EXECUTIVE VICE PRESIDENT FOR MEDICAL AFFAIRS AND DEAN OF THE SCHOOL OF MEDICINE, UNIVERSITY OF WASHINGTON. THE FOLLOWING INDIVIDUALS ALSO ARE EMPLOYED BY THE UNIVERSITY OF WASHINGTON AND REPORT DIRECTLY OR INDIRECTLY TO DR. RAMSEY IN THAT CAPACITY: BARBARA GOFF, RAMESH RENGAN, DOUGLAS WOOD, DUSHYANT SAHANI, GEOFFREY BAIRD, HOWARD CHANSKY, HUNTER WESSELLS, JACQUELINE CABE, JURGEN UNUTZER, MARK GREEN, ANTHONY DORSCH, NEAL FUTRAN, PAUL JAMES, MAUREEN HOOLEY, PETER ESSELMAN, RICHARD ELLENBOGEN, RUSSEL VAN GELDER, RUTH MAHAN, SUE STERN, TIMOTHY DELLIT, LISA CHEW, LESLIE WALKER-HARDING, SANTIAGO NEME, LISA BRANDENBURG, ERIK VAN EATON, BARBARA JUNG, NICHOLAS POOLOS, DAVID DUGDALE, JENNIE MAO, DAVID BYRD, HEIDI COMBS, VICTORIA FANG, CRYSTAL KONG-WONG, BURKHARD MACKENSEN, THABELE (BAY) LESLIE-MAZWI, ESTELL WILLIAMS, THOMAS PURCELL, SHIREESHA DHANIREDDY, AND JULIE REID. FORM 990, PART VI, SECTION A, LINE 7A THE UW MEDICINE CEO APPOINTS THE PRESIDENT OF UWP. THE CHAIRS OF THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE CLINICAL DEPARTMENTS SERVE AS EX OFFICIO MEMBERS OF THE BOARD. THE UW MEDICINE CEO PARTICIPATES IN THE PROCESS OF APPOINTMENT TO THE CLINICAL DEPARTMENT CHAIR POSITIONS. FORM 990, PART VI, SECTION A, LINE 7B MOST DECISIONS OF THE UWP BOARD OF TRUSTEES ARE SUBJECT TO THE APPROVAL OF THE UW MEDICINE CEO. FORM 990, PART VI, SECTION B, LINE 11B THE BOARD HAS BEEN PRESENTED WITH INFORMATION RELATED TO THE PURPOSE AND RELEVANCE OF THE FORM 990 TO TAX EXEMPT ENTITIES SUCH AS UWP, AND BOARD MEMBERS MAY REQUEST A COPY OF THE FORM 990 FROM THE UWP CHIEF FINANCIAL OFFICER. THE COMPLETED FORM 990 IS REVIEWED BY THE UWP EXECUTIVE DIRECTOR, GENERAL COUNSEL, AND THE CHIEF FINANCIAL OFFICER, AS WELL AS THE VICE DEAN FOR ADMINISTRATION AND FINANCE FOR THE UW SCHOOL OF MEDICINE, THE ENTERPRISE FINANCE OFFICER OR DESIGNEE AND THE UWP PRESIDENT OR THE DESIGNEE THEREOF. FORM 990, PART VI, SECTION B, LINE 12C THE UWP BYLAWS CONTAIN A CONFLICT OF INTEREST PROVISION IN ARTICLE III J AND A WRITTEN BOARD POLICY. IN ADDITION, UWP BOARD MEMBERS, OFFICERS, AND KEY EMPLOYEES WHO ARE EMPLOYED BY THE UNIVERSITY OF WASHINGTON AND SERVING ON UWP COMMITTEES ARE SUBJECT TO THE STATE OF WASHINGTON ETHICS IN PUBLIC SERVICE ACT, CHAPTER 45.52 RCW. THE ACT RESTRICTS ACTIVITIES INCOMPATIBLE WITH THE INDIVIDUAL'S ROLE AS A STATE EMPLOYEE AND ALSO LIMITS THE INDIVIDUAL'S INVOLVEMENT IN TRANSACTIONS WHERE A POTENTIAL CONFLICT MAY EXIST. UWP CONDUCTS AN ANNUAL SURVEY AS REQUIRED BY THE UWP BOARD OF TRUSTEES CONFLICT OF INTEREST POLICY AND SURVEYS AS PART OF THE FORM 990 PROCESS. UWP ALSO ADDRESSES CONFLICTS AS THEY ARISE AND/OR ARE REPORTED TO UWP MANAGEMENT OR TO THE BOARD OF TRUSTEES. WHEN A CONFLICT IS IDENTIFIED, DISINTERESTED PERSONS ON THE BOARD, COMMITTEE, OR ADMINISTRATION EVALUATE THE POTENTIAL CONFLICT, CONTEMPORANEOUSLY DOCUMENT THE EVALUATION AND DETERMINATION, AND TAKE APPROPRIATE ACTION. FORM 990, PART VI, SECTION B, LINE 15 THE UWP GOVERNING BOARD DOES NOT REVIEW COMPENSATION OF ITS EXECUTIVES. INSTEAD, COMPENSATION OF THE UWP EXECUTIVE DIRECTOR, CHIEF FINANCIAL OFFICER, AND GENERAL COUNSEL IS REVIEWED AND SET BY REPRESENTATIVES OF THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE. THE REVIEW RELIES ON COMPARISON OF COMPENSATION TO SIMILARLY SITUATED INDIVIDUALS, IN LIKE-SIZED ORGANIZATIONS ENGAGED IN SIMILAR ACTIVITIES. THE COMPARISON IS PERFORMED BY AN INDEPENDENT CONTRACTOR CONSULTANT WITH EXPERIENCE AND EXPERTISE IN COMPENSATION OF ACADEMIC MEDICAL CENTER PERSONNEL. THE COMPENSATION COMPARISON DATA IS REVIEWED BY DISINTERESTED EMPLOYEES OF THE UWSOM, AS PART OF AN OVERALL REVIEW OF COMPENSATION FOR SIMILARLY SITUATED INDIVIDUALS IN OTHER COMPONENTS OF THE UW MEDICINE SYSTEM. THE REVIEW IS PERFORMED REGULARLY, AND DOCUMENTATION IS MAINTAINED BY THE UWSOM. COMPENSATION OF UWP BOARD MEMBERS, INCLUDING THE UWP PRESIDENT, IN THEIR CAPACITY AS UWP MEMBERS EMPLOYED BY UWP AND/OR THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE, IS REVIEWED REGULARLY THROUGH A UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE PROCESS THAT INVOLVES DISINTERESTED SCHOOL OF MEDICINE EMPLOYEES WHO REVIEW COMPENSATION OF ALL UWSOM FACULTY. FOR UWP MEMBERS, REVIEW OF COMPENSATION ALSO INCLUDES APPLICATION OF THE "UNIVERSITY OF WASHINGTON PHYSICIANS METHOD OR STANDARD REGARDING BASIC INDIVIDUAL CAPS UNDER AMENDED INCOME DISTRIBUTION PLAN, AS OF JULY 1, 2017" (UWP CAP POLICY). THE UWP CAP POLICY LIMITS COMPENSATION OF UWP MEMBERS BY COMPARISON TO OBJECTIVE DATA FOR SIMILAR POSITIONS IN SIMILAR ORGANIZATIONS, SUCH AS THAT ESTABLISHED BY THE AAMC. THE REVIEW IS PERFORMED REGULARLY AND DOCUMENTATION IS MAINTAINED BY THE SCHOOL OF MEDICINE. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CORPORATE BYLAWS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE FOR PUBLIC INSPECTION UPON REQUEST TO THE UWP BUSINESS OFFICE. IN ADDITION, THESE DOCUMENTS MAY BE REQUESTED FROM THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE. FORM 990, PART VII, COLUMN B: ALL OF THE KEY EMPLOYEES AND BOARD MEMBERS ARE EMPLOYED FULL TIME BY THE UNIVERSITY OF WASHINGTON AND PARTICIPATE IN UWP'S BUSINESS MATTERS AS A FUNCTION OF THEIR RESPECTIVE POSITIONS WITHIN THE UNIVERSITY OF WASHINGTON. FOR EXAMPLE, BOARD MEMBERS WHO ARE THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE CLINICAL DEPARTMENT CHAIRS ARE REQUIRED AS PART OF THEIR ROLE AS CHAIR TO SERVE ON THE UWP BOARD. OTHER KEY EMPLOYEES EMPLOYED BY THE UNIVERSITY OF WASHINGTON SERVE IN ROLES THAT PROVIDE THE UNIVERSITY OF WASHINGTON OVERSIGHT REQUIRED BY THE UWP ARTICLES OF INCORPORATION AND BYLAWS. FOR THESE INDIVIDUALS, ALTHOUGH EACH MAY ENGAGE IN ACTIVITIES RELATED SOLELY TO THE UNIVERSITY AND UNRELATED TO UWP, WE ARE NOT ABLE TO SEGREGATE THE HOURS DEVOTED TO UWP FROM THE HOURS EACH INDIVIDUAL DEVOTES TO THE UNIVERSITY OF WASHINGTON. THUS, WE ARE REPORTING 40 HOURS FOR EACH INDIVIDUAL, TO REPRESENT THAT INDIVIDUAL'S WORK FOR THE UNIVERSITY OF WASHINGTON. 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