2013-05-14T13:52:32-05:00 2012-06-30 911194016 CLARK NUBER PS 10900 NE 4TH STREET SUITE 1700 BELLEVUE WA 98004 990 2011-07-01 911220843 ASSOCIATION OF UNIVERSITY PHYSICIANS ASSO 2065436420 501 EASTLAKE AVENUE EAST NO 400 SEATTLE WA 98109 MAUREEN HOOLEY 2065436420 2013-05-14 1 SARA ELIZABETH J HYRE P00235495 4254544919 2013-05-13 2011 2016-02-24 21:20:13Z UW PHYSICIANS CATHERINE BOELKE 501 EASTLAKE AVENUE EAST NO 400 SEATTLE WA 98109 231717612 0 X SEE SCHEDULE O 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. 26 0 1241 234 0 0 0 0 130763452 177894873 9616096 8875721 0 0 140379548 186770594 0 0 0 0 115892040 147433112 0 0 0 30545464 32855916 146437504 180289028 -6057956 6481566 128026246 105334098 128026246 105334098 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 156298543 177894873 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. 156298543 1 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 1 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 0 1 12 0 1 1241 1 0 0 0 0 0 0 0 0 0 0 X 26 0 0 0 0 0 0 1 1 1 1 0 0 0 1 1 1 1 1 0 0 0 WA X MAUREEN HOOLEY 2065436420 501 EASTLAKE AVENUE EAST SUITE 400 SEATTLE WA 98109 X NORMAN J BEAUCHAMP MD 40.00 X 191208 311205 83049 JOHN S BRAMHALL MD 40.00 X 122582 178068 70550 WILLIAM J BREMNER MD PHD 40.00 X 185304 249318 60616 JENS R CHAPMAN MD 40.00 X 630226 235594 244909 RICHARD G ELLENBOGEN MD 40.00 X 379051 347916 124921 DAVID A ESCHENBACH MD 40.00 X 190032 209616 57552 PETER C ESSELMAN MD 40.00 X 149859 246783 78381 JAMES FINE MD 40.00 X 142152 237624 83512 NEAL DAVID FUTRAN MD 40.00 X 138560 362652 61278 GEORGE E LARAMORE MD PHD 40.00 X 311865 220488 84744 THOMAS J MONTINE MD PHD 40.00 X 53220 252610 46578 MICHAEL S MULLIGAN MD 40.00 X 115278 358937 79113 THOMAS E NORRIS MD 40.00 X 174096 145350 47969 BRANT K OELSCHLAGER MD 40.00 X 198132 149540 62534 JUDITH A PAUWELS MD 35.00 X 26502 125237 45155 CARLOS A PELLEGRINI MD 40.00 X 279192 421968 71674 BRUCE ROBERT RANSOM MD PHD 40.00 X 109608 221820 51043 DEBRA A SCHWINN MD 40.00 X 226391 185100 66311 APRIL C STEMPIEN MD 40.00 X 64877 103962 41626 RUSSELL VAN GELDER MD PHD 40.00 X 84708 350961 45446 RICHARD VEITH MD 40.00 X 156372 190284 52186 HUNTER WESSELLS MD 40.00 X 57200 333146 47693 MIKA N SINANAN MD PHD 40.00 X X 214200 148968 54162 PETER M MCGOUGH MD 40.00 X X 231710 0 59779 ANNELIESE M SCHLEYER MD 40.00 X X 0 162149 33190 F BRUDER STAPLETON MD 8.00 X 0 234252 28864 CATHERINE BOELKE 40.00 X 238276 0 50022 MAUREEN HOOLEY 40.00 X 183020 0 45813 MARGARET PEYTON 40.00 X 188590 0 48795 MARK S GREEN 40.00 X 7500 287435 16224 RUTH M MAHAN 40.00 X 140004 407006 56482 PAUL G RAMSEY MD 40.00 X 491604 291792 67834 JOHNESE M SPISSO 40.00 X 157833 516941 59213 LALIGAM N SEKHAR 40.00 X 444012 536380 75330 JORGE DIONISIO REYES 40.00 X 251819 517200 71600 CARLO BELLABARBA 40.00 X 510136 197448 243008 NICHOLAS VEDDER 40.00 X 336309 331644 162705 RICHARD BRANSFORD 40.00 X 412116 237512 255294 WILLIAM J ELLIS 40.00 X 203345 178764 79569 BRUCE SANGEORZAN 40.00 X 220921 261210 153536 8217810 9746880 3168260 340 1 1 0 KFORCE INC 1001 EAST PALM AVE TAMPA FL 33605 CONTRACT LABOR 554626 STATE COLLECTION SERVICE 2509 S STOUGHTON RD MADISON WI 53716 COLLECTION AGENCY 387268 KAYE-SMITH 4101 OAKESDALE AVE SW RENTON WA 98057 INVOICE PROCESSING SERVICES 256962 RSM MCGLADREY INC 3600 AMERICAN BLVD WEST BLOOMINGTON MN 55431 CONSULTING 222163 MEDICAL PRESENT VALUE INC 8820 NE 15TH PLACE BELLEVUE WA 98004 CONTRACT ADMINISTRATION SERVICES 170000 8 PATIENT PROF FEES 621110 177274105 177274105 BILLING AND COLLECTION 561000 620768 620768 177894873 5898773 5898773 47923966 44947018 2976948 2976948 2976948 186770594 177894873 0 8875721 6991911 6232197 759714 181905 181905 123405415 110231278 13174137 6502844 5367994 1134850 6717634 3977610 2740024 3633403 2577112 1056291 69363 69363 97570 97570 177559 177559 7677627 7184867 492760 12447 12447 4973158 3369452 1603706 2115072 2115072 1438604 1438604 102110 102110 403011 403011 3573372 3485434 87938 CITY/STATE BUSINESS TAX 5473523 5473523 DEPARTMENT EXPENSES 3525769 3525769 3216731 2494520 722211 180289028 156298543 23990485 0 780934 268702 10673157 6189457 3209931 5040502 480880 0 7393152 6866647 889068 526505 111556438 93125700 435838 183232 128026246 105334098 17411146 18525929 110615100 86808169 128026246 105334098 X 0 0 128026246 105334098 X 6481566 -6481566 X 0 1 1 X 0 X X 0 0 0 UNIVERSITY OF WASHINGTON 916001537 GOVERNMENT 1 1 1 77656667 1 77656667 1396887 1105033 291854 5996265 5761614 234651 526505 CLINICAL MEDICINE FUND PAYABLE 28044854 DEPARTMENTAL PAYABLES 58763315 86808169 186770594 180289028 6481566 -6481566 -6481566 0 180289028 -6481566 -6481566 186770594 0 186770594 180289028 0 180289028 0 180289028 0 0 0 0 0 0 0 1 0 NORMAN J BEAUCHAMP MD 191208 283205 0 0 0 28000 39961 18375 6029 18684 237198 348264 0 0 JOHN S BRAMHALL MD 66903 159925 55679 0 0 18143 35960 18143 2887 13560 161429 209771 27507 0 WILLIAM J BREMNER MD PHD 185304 224818 0 0 0 24500 18530 24500 4134 13452 207968 287270 0 0 JENS R CHAPMAN MD 171731 211615 458495 0 0 23979 202000 23979 4530 14400 836756 273973 177603 0 RICHARD G ELLENBOGEN MD 254960 323416 124091 0 0 24500 83591 24500 4530 12300 467172 384716 59091 0 DAVID A ESCHENBACH MD 190032 188329 0 0 0 21287 19003 21287 3810 13452 212845 244355 0 0 PETER C ESSELMAN MD 80556 222283 69303 0 0 24500 35921 24500 3605 14355 189385 285638 42541 0 JAMES FINE MD 92852 213620 49300 0 0 24004 39267 24004 7629 12612 189048 274240 24648 0 NEAL DAVID FUTRAN MD 138560 338152 0 0 0 24500 14256 24500 8530 13992 161346 401144 0 0 GEORGE E LARAMORE MD PHD 281904 198060 29961 0 0 22428 40194 22428 8130 13992 360189 256908 10866 0 THOMAS J MONTINE MD PHD 53220 227997 0 0 0 24613 5322 24613 2919 13724 61461 290947 0 0 MICHAEL S MULLIGAN MD 66696 339790 48582 0 0 19147 42276 19147 3698 13992 161252 392076 20721 0 THOMAS E NORRIS MD 174096 130560 0 0 0 14790 17410 14790 3017 12752 194523 172892 0 0 BRANT K OELSCHLAGER MD 160028 138167 38104 0 0 11373 35559 11373 3296 12306 236987 173219 21848 0 JUDITH A PAUWELS MD 0 112455 26502 0 0 12782 18092 12782 1503 12778 46097 150797 12486 0 CARLOS A PELLEGRINI MD 279192 375472 0 0 0 46496 24500 24500 4530 18144 308222 464612 0 0 BRUCE ROBERT RANSOM MD PHD 109608 199228 0 0 0 22592 10961 22592 3186 14304 123755 258716 0 0 DEBRA A SCHWINN MD 226391 166042 0 0 0 19058 23039 19058 8530 15684 257960 219842 0 0 APRIL C STEMPIEN MD 35196 95892 29681 0 0 8070 17902 8070 1662 13992 84441 126024 16531 0 RUSSELL VAN GELDER MD PHD 84708 331264 0 0 0 19697 7624 19697 4133 13992 96465 384650 0 0 RICHARD VEITH MD 156372 163561 0 0 0 26723 15637 19391 3334 13824 175343 223499 0 0 HUNTER WESSELLS MD 57200 299771 0 0 0 33375 5670 18375 9586 14062 72456 365583 0 0 MIKA N SINANAN MD PHD 214200 133692 0 0 0 15276 21420 15276 3474 13992 239094 178236 0 0 PETER M MCGOUGH MD 209974 0 21361 0 375 0 25218 0 24361 10200 281289 10200 0 0 ANNELIESE M SCHLEYER MD 0 149340 0 0 0 12809 0 12809 1541 18840 1541 193798 0 0 F BRUDER STAPLETON MD 0 210332 0 0 0 23920 0 23920 0 4944 0 263116 0 0 CATHERINE BOELKE 235365 0 2371 0 540 0 31633 0 18389 0 288298 0 1163 0 MAUREEN HOOLEY 180610 0 1870 0 540 0 24278 0 21535 0 228833 0 925 0 MARGARET PEYTON 186092 0 1958 0 540 0 23667 0 25128 0 237385 0 979 0 MARK S GREEN 7500 287435 0 0 0 0 750 0 2862 12612 11112 300047 0 0 RUTH M MAHAN 140004 382506 0 0 0 24500 14000 24500 4530 13452 158534 444958 0 0 PAUL G RAMSEY MD 491604 251800 0 0 0 39992 24500 24500 4530 14304 520634 330596 0 0 JOHNESE M SPISSO 157833 492441 0 0 0 24500 15783 24500 4530 14400 178146 555841 0 0 LALIGAM N SEKHAR 444012 489884 0 0 0 46496 24500 24500 4530 21800 473042 582680 0 0 JORGE DIONISIO REYES 245768 470704 6051 0 0 46496 28266 24500 4530 14304 284615 556004 2356 0 CARLO BELLABARBA 151596 165824 358540 0 0 31624 208954 15124 4530 14400 723620 226972 171912 0 NICHOLAS VEDDER 145656 285148 190653 0 0 46496 119096 24500 5549 13560 460954 369704 96147 0 RICHARD BRANSFORD 45054 219541 367062 0 0 17971 220493 17971 4530 12300 637139 267783 184026 0 WILLIAM J ELLIS 131676 160718 71669 0 0 18046 46199 18046 3432 11892 252976 208702 27586 0 BRUCE SANGEORZAN 72536 216214 148385 0 0 44996 106506 24500 4530 18000 331957 303710 79590 0 PART I, LINE 3 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, 1999" (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. SUPPLEMENTAL INFORMATION PART III SCHEDULE J, 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 UNIVERSITY OF WASHINGTON 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. 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 SIX-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, 1999." 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 SPOUSE OF RUSSELL VAN GELDER, TRUSTEE 97689 EMPLOYMENT 0 ANNE-MARIE AIMES OELSCHLAGER SPOUSE OF BRANT OELSCHLAGER, TRUSTEE 84215 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, SECTION J, WEBSITE WWW.UWMEDICINE.ORG/PATIENT-CARE/OUR-SERVICES/UWP/PAGES/DEFAULT.ASPX FORM 990, PART VI, SECTION A, LINE 1 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), A PHYSICIAN-PRESIDENT, AND THREE COMMUNITY TRUSTEES. EACH OF THE PHYSICIAN BOARD MEMBERS IS A FACULTY MEMBER OF THE UNIVERSITY OF WASHINGTON AND EMPLOYED BY UWP, THE UNIVERSITY OF WASHINGTON, OR BOTH. THE COMMUNITY TRUSTEES ARE NOT EMPLOYED BY THE UNIVERSITY OR BY UWP, HOWEVER, THESE INDIVIDUALS DO NOT VOTE. FORM 990, PART VI, SECTION A, LINE 7A THE UW MEDICINE CEO APPOINTS THREE NON-VOTING COMMUNITY TRUSTEES TO THE BOARD OF TRUSTEES AND ALSO APPOINTS THE PRESIDENT OF UWP. THE CHAIRS OF THE UNIVERSITY OF WASHINGTON SCHOOL OF MEDICINE CLINICAL DEPARTMENTS AND THE MEDICAL DIRECTOR FOR UW PHYSICIANS NETWORK SERVE AS EX OFFICO MEMBERS OF THE BOARD. THE UW MEDICINE CEO PARTICIPATES IN THE PROCESS OF APPOINTMENT TO THE CLINICAL DEPARTMENT CHAIR POSITIONS AS WELL AS THE UW PHYSICIANS NETWORK MEDICAL DIRECTOR POSITION. 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 11 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 ASSOCIATE DEAN FOR BUSINESS FOR THE UW SCHOOL OF MEDICINE, THE ENTERPRISE FINANCE OFFICER OF UW MEDICINE AND ASSOCIATE VICE PRESIDENT OF MEDICAL AFFAIRS OF UW. THE VOTING MEMBERS OF THE UWP BOARD OF TRUSTEES ARE EMPLOYED PHYSICIANS OF UWP, AND AS SUCH, IN THEIR GOVERNANCE ROLE WITH UWP, DO NOT OVERSEE OR REVIEW PHYSICIAN COMPENSATION OR THE COMPENSATION FOR OTHER EXECUTIVES WITHIN UW MEDICINE (THE ACADEMIC MEDICAL HEALTH SYSTEM OF THE UNIVERSITY OF WASHINGTON). ALL COMPENSATION FOR PHYSICIANS AND THE KEY PERSONNEL FOR UWP IS REVIEWED AND APPROVED REGULARLY BY DISINTERESTED PERSONS THROUGH A PROCESS WITHIN UW MEDICINE (SEE RESPONSE TO QUESTION 15 FOR FURTHER DETAIL REGARDING THIS PROCESS). 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 ADMINISTRATIVE STAFF ARE SUBJECT TO AN ADMINISTRATIVE CONFLICT OF INTEREST POLICY CONTAINED IN THE UWP EMPLOYEE HANDBOOK. 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. 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, 1999" (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. HOURS FOR RELATED ORGANIZATIONS FORM 990, PART VII, COLUMN B ALL OF THE KEY EMPLOYEES AND BOARD MEMBERS, EXCEPT THE THREE COMMUNITY TRUSTEES AND THE UWP EXECUTIVE DIRECTOR, CHIEF FINANCIAL OFFICER, AND GENERAL COUNSEL, 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. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -6,481,566. 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