2012-11-01T13:04:08-05:00 2011-12-31 381357951 PLANTE & MORAN PLLC 10 S RIVERSIDE PLAZA 9TH FLOOR CHICAGO IL 60606 990 2011-01-01 362181944 AMERICAN SOCIETY OF ANESTHESIOLOGISTS AMER 8478255586 520 NORTH NORTHWEST HIGHWAY PARK RIDGE IL 600682573 BARBARA M FOSSUM PHD 8478255586 2012-10-31 1 LU ANN TRAPP P01506476 3122071040 2012-10-31 2011 2016-02-24 21:20:13Z JERRY A COHEN MD 520 NORTH NORTHWEST HIGHWAY PARK RIDGE IL 600682573 65315862 0 X WWW.ASAHQ.ORG X 1936 NY ADVANCING THE PRACTICE AND SECURING THE FUTURE OF ANESTHESIOLOGY (SEE SCHEDULE O CONTINUATION)THROUGH MEDICAL EDUCATION, CREATION AND DISSEMINATION OF NEW KNOWLEDGE, IMPROVEMENT OF PATIENT CARE, AND LEGISLATIVE AND REGULATORY ADVOCACY. 65 62 145 708 1077010 0 77036 46292 31396022 32989905 1425653 3521145 3426592 3845014 36325303 40402356 3497500 4566276 0 0 11579421 12366304 0 0 0 18285238 18853244 33362159 35785824 2963144 4616532 72965236 73777110 12802207 12982679 60163029 60794431 X ADVANCING THE PRACTICE AND SECURING THE FUTURE OF ANESTHESIOLOGY THROUGH MEDICAL EDUCATION, CREATION AND DISSEMINATION OF NEW KNOWLEDGE, IMPROVEMENT OF PATIENT CARE, AND LEGISLATIVE AND REGULATORY ADVOCACY. 0 0 MEMBERSHIP - MEMBERS OF ASA INCLUDE MD/DOS WHO ARE LICENSED PHYSICIANS AND HAVE COMPLETED A TRAINING PROGRAM IN ANESTHESIOLOGY, AS WELL AS MEDICAL STUDENTS INTERESTED IN ANESTHESIOLOGY, RESIDENTS ENROLLED IN AN ANESTHESIOLOGY TRAINING PROGRAM. ANESTHESIOLOGISTS PRACTICING OUTSIDE THE US AND SCIENTISTS INVOLVED IN ANESTHESIA RESEARCH MAY BECOME AFFILIATE MEMBERS. EDUCATIONAL MEMBERS INCLUDE CERTIFIED REGISTERED NURSE ANESTHETISTS AND ANESTHESIOLOGIST ASSISTANTS. THE SOCIETY HAS 48,000 MEMBERS. PUBLICATIONS - ASA PRODUCES STATEMENTS, GUIDELINES AND STANDARDS WHICH FOCUS ON WAYS OF IMPROVING THE PRACTICE OF ANESTHESIOLOGY. ADDITIONAL PUBLICATIONS PROVIDE INFORMATION ON THE VARIOUS ASPECTS OF ANESTHETIC CARE FOR BOTH MEDICAL PERSONNEL AND THE LAY PUBLIC. A DISTINGUISHED SCIENTIFIC JOURNAL, 'ANESTHESIOLOGY', IS PUBLISHED MONTHLY, AS IS THE OFFICIAL NEWSLETTER WHICH PROVIDES GENERAL INFORMATION AND NEWS ON CURRENT ISSUES AFFECTING ANESTHESIOLOGY. CONTINUING EDUCATION - ASA SPONSORS CONTINUING MEDICAL EDUCATION DESIGNED TO PROVIDE ANESTHESIOLOGISTS WITH CURRENT INFORMATION ON NEWEST CLINICAL DEVELOPMENTS, TECHNOLOGY ADVANCEMENTS AND RESEARCH.ASA IN-PERSON EDUCATION PROGRAMS INCLUDE AN ANNUAL MEETING, THE WORLD'S LARGEST EDUCATION PROGRAM FOR ANESTHESIOLOGISTS, OFFERING A VARIETY OF SESSIONS AND WORKSHOPS THAT COVER THE CURRENT TOPICS AND EMERGING SCIENCE. OTHER ANNUAL PROGRAMS INCLUDE CONFERENCE ON PRACTICE MANAGEMENT, LEGISLATIVE CONFERENCE AND THE CERTIFICATION IN BUSINESS ADMINISTRATION.SELF STUDY COURSES INCLUDE TWO BASED ON A QUESTION AND ANSWER FORMAT: ANESTHESIOLOGY CONTINUING EDUCATION (ACE) AND THE SELF EDUCATION AND EVALUATION (SEE) THAT ARE USED TO ASSESS PROFESSIONAL KNOWLEDGE AND PREPARE FOR MAINTENANCE OF CERTIFICATION AND LICENSURE. OTHER SELF -STUDY COURSES INCLUDE A JOURNAL CME PROGRAM USING ARTICLES FROM "ANESTHESIOLOGY, REFRESHER COURSES IN ANESTHESIOLOGY" AN EXPANSION OF ANNUAL MEETING COURSES, PATIENT SAFETY AND ANNUAL MEETING HIGHLIGHTS, RECORDED SESSIONS FROM EACH ANNUAL MEETING. OFFICE OF GOVERNMENTAL AFFAIRS - ASA'S OFFICE OF GOVERNMENTAL AFFAIRS (OGA), LOCATED IN WASHINGTON, D.C., MONITORS LEGISLATIVE AND REGULATORY ACTIVITIES AT THE STATE AND FEDERAL LEVEL; PARTICULARLY THOSE ISSUES THAT AFFECT THE PRACTICE OF ANESTHESIOLOGY AND THE DELIVERY OF QUALITY MEDICAL CARE IN THE UNITED STATES. 0 1 1 1 0 0 0 1 0 1 0 0 0 1 1 0 1 0 0 1 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 1 307 0 145 1 1 1 0 0 0 1 1 0 X 65 62 0 0 1 0 0 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 X STEVE LOTHARY 8472689150 520 NORTH NORTHWEST HIGHWAY PARK RIDGE IL 60068 JERRY A COHEN MD 37.50 X X 156250 0 0 MARK A WARNER MD 29.00 X X 187500 563 0 ALEXANDER A HANNENBERG MD 6.00 X X 9291 250 0 JOHN M ZERWAS MD 28.00 X X 68750 0 0 JANE CK FITCH MD 11.00 X X 6014 0 0 ARNOLD J BERRY MD 4.00 X X 5996 0 0 NORMAN A COHEN MD 4.00 X X 7035 0 0 ROBERT E JOHNSTONE MD 5.00 X X 7698 0 0 ARTHUR M BOUDREAUX MD 1.00 X X 1942 0 0 JAMES D GRANT MD 3.00 X X 4607 0 0 LINDA J MASON MD 2.00 X X 3748 0 0 MARY DALE PETERSON MD 3.00 X X 4892 0 0 JEFFREY S PLAGENHOEF MD 1.00 X 1910 0 0 BRION J BEERLE MD 0.00 X 0 0 0 DANIEL J COLE MD 2.00 X 3410 100 0 MICHAEL J VOLLERS MD 1.00 X 1500 0 0 MARK A SINGLETON MD 5.00 X 8146 0 0 RANDALL M CLARK MD 2.00 X 3495 0 0 JEFFREY B GROSS MD 2.00 X 2500 250 0 CHRIS A KITTLE MD 1.00 X 1500 0 0 JOHN F DOMBROWSKI MD 2.00 X 2825 0 0 DAVID VARLOTTA DO 1.00 X 1500 0 0 PEGGY G DUKE MD 2.00 X 3500 0 0 WILLIAM H MONTGOMERY MD 6.00 X 10661 0 0 PHILIP G SCHMID III MD 0.00 X 750 0 0 KENNETH J TUMAN MD 1.00 X 1500 0 0 GERARD T COSTELLO MD 1.00 X 1500 0 0 JOHN R MOYERS MD 1.00 X 2000 0 0 JAMES D KINDSCHER MD 1.00 X 2000 0 0 RAYMOND J SULLIVAN MD 1.00 X 1500 0 0 DAVID M BROUSSARD MD 1.00 X 1955 0 0 GARY E PALMAN DO 1.00 X 1500 0 0 MURRAY A KALISH MD 2.00 X 3000 0 0 BEVERLY K PHILIP MD 3.00 X 5188 0 0 KENNETH ELMASSIAN DO 0.00 X 0 0 0 BRIAN P MCGLINCH MD 1.00 X 2250 0 0 CLAUDE D BRUNSON MD 2.00 X 2835 0 0 DONALD E ARNOLD MD 2.00 X 3101 0 0 MIKE P SCHWEITZER MD 0.00 X 750 0 0 SHEILA J ELLIS MD 1.00 X 1500 0 0 JONATHAN R ZUCKER MB 1.00 X 1500 0 0 STEVEN J HATTAMER MD 11.00 X 18332 0 0 KENNETH I MIRSKY MD 1.00 X 2410 0 0 JOHN H WILLS MD 1.00 X 1500 0 0 KENNETH J FREESE MD 0.00 X 0 0 0 GERALD J MACCIOLI MD 1.00 X 2000 0 0 JOHN C CHATELAIN MD 1.00 X 1500 0 0 RONALD L HARTER MD 3.00 X 5305 0 0 DONALD E MARTIN MD 1.00 X 2250 250 0 RICHARD A BROWNING MD 0.00 X 750 0 0 CHRISTOPHER A YEAKEL MD 1.00 X 2000 0 0 ROBERT G ALLEN JR MD 1.00 X 1500 0 0 JAMES M WEST MD 1.00 X 1500 0 0 SCOTT E KERCHEVILLE MD 20.00 X 32118 0 0 PAUL N CLAYTON MD 0.00 X 955 0 0 JOEL H MUMFORD MD 1.00 X 2000 0 0 STEPHEN P LONG MD 0.00 X 0 0 0 PETER J DUNBAR MD 9.00 X 14601 0 0 PAUL A SKAFF MD 1.00 X 1500 0 0 ROBERT E KETTLER MD 2.00 X 3716 0 0 TODD M WITZELING MD 1.00 X 1500 0 0 STEVEN J BARKER PHD MD 1.00 X 2373 0 0 ZACH W CHAMBERS MD 2.00 X 4300 0 0 CORRY J KUCIK MD 1.00 X 750 417 0 VERNON HILL MD 0.00 X 0 0 0 JOSEPH F CASSADY MD 0.00 X 0 0 0 BRIAN E HARRINGTON MD 0.00 X 0 0 0 BRETT E WINTHROP MD 0.00 X 0 0 0 ARYEH SHANDER MD 0.00 X 0 0 0 SCOTT GROUDINE MD 0.00 X 0 0 0 VIJAY GABA MD 0.00 X 0 0 0 JAY D CUNNINGHAM MD 0.00 X 0 0 0 CHARLES K ANDERSON MD 1.00 X 1091 0 0 LUIS E CUMMINGS JR MD 0.00 X 0 0 0 DEBORAH CAHILL MD 0.00 X 0 0 0 MICHAEL CAHALAN MD 0.00 X 750 0 0 GRANVILLE WORK MD 0.00 X 0 0 0 LESLIE SIMS MD 1.00 X 2250 0 0 JOHN A THORNER JD CAE 37.50 X 402663 0 54066 RONALD SZABAT JD LLM 37.50 X 322792 0 59094 THOMAS CONWAY MBA CPA 37.50 X 233228 0 62004 KAREN BUEHRING 37.50 X 204189 0 55001 MARY KUFFNER 37.50 X 187519 0 61210 SARA MOSER 37.50 X 172812 0 51398 MANUEL BONILLA 37.50 X 171643 0 52199 ROBERT FINE 37.50 X 159232 0 30263 2498528 1830 425235 20 0 1 0 FTI CONSULTING (SC) INC PO BOX 418005 BOSTON MA 022418005 MEDIA AND MARKETING CONSULTING SERVICES 1040197 LAKE COUNTY PRESS PO BOX 9209 WAUKEGAN IL 60079 PRINTING SERVICES 574412 BRIDGEPOINT TECHNOLOGIES LLC 1111 WEST 22ND STREET SUITE 245 OAK BROOK IL 60523 IT SERVICES AND CONSULTING 407573 UNIVERSITY OF WASHINGTON 12455 COLLECTIONS 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185015 12802207 12982679 X 60163029 60794431 60163029 60794431 72965236 73777110 X 4616532 -3985130 X 0 1 1 X 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 AMERICAN SOCIETY OF ANESTHESIOLOGISTS POLITICAL ACTION COMMITTEE 1501 M STREET NW SUITE 300 WASHINGTON DC 20005 363887214 0 64748 0 0 1 17685670 826168 -954431 -128263 1061140 -1189403 ORGANIZATIONS DIRECT AND INDIRECT POLITICAL CAMPAIGN ACTIVITIES: PART I-A, LINE 1: THE ORGANIZATION COLLECTS CONTRIBUTIONS ON BEHALF OF A RELATED POLITICAL ACTION COMMITTEE AND PROMPTLY AND DIRECTLY DELIVERS THE CONTRIBUTIONS TO THE POLITICAL ACTION COMMITTEE. 1 550000 1000000 1000000 550000 0 4527314 4527314 5077219 2621442 2455777 107479 102216 5263 7514809 5338289 2176520 758174 191202 566972 9731846 DEFERRED RENT 185015 185015 40402356 35785824 4616532 -4157552 172422 -3985130 631402 36142685 -4157552 172422 -3985130 40127815 214918 59623 274541 40402356 35511283 0 35511283 214918 59623 274541 35785824 PART IV, LINE 1B: PART IV, LINE 1B: ASA AND ANESTHESIA QUALITY INSTITUTE (AQI), A RELATED ORGANIZATION HAVE NEGOTIATED AN ARRANGEMENT UNDER WHICH THE FUNDS OF AQI WILL BE INVESTED WITH THE FUNDS OF ASA AND UNDER WHICH ASA MAY PROVIDE ASSISTANCE TO AQI UPON REQUEST. ASA AND AQI AGREE TO HAVE FUNDS FROM THEIR RESPECTIVE FUNDS INVESTED BY, AND TO CONFER INVESTMENT RESPONSIBILITY FOR THEIR FUNDS ON, THE INVESTMENT MANAGER(S) SELECTED BY ASA WITH ASA AS AGENT FOR THE INVESTMENT MANAGER. ASA AND AQI AGREE THAT THE INVESTMENT MANAGER(S) SHALL ASSUME THE MANAGEMENT OF, AND INVESTMENT RESPONSIBILITY FOR, THE FUNDS OF ASA AND AQI THAT ARE HELD AND INVESTED, AND PROVIDING THE INFORMATION THAT WILL BE THE BASIS FOR DISCLOSURE MATERIALS. THE INVESTMENT MANAGER'S PERFORMANCE SHALL BE OVERSEEN BY ASA, WHICH SHALL FROM TIME TO TIME DESIGNATE, AND MAY AT ANY TIME TERMINATE THE DESIGNATION OF, INVESTMENT MANAGERS OF THE COMMONLY INVESTED FUNDS. FROM TIME TO TIME, ASA SHALL REVIEW INVESTMENT PERFORMANCE, OBJECTIVES, GOALS AND FUND MANAGEMENT. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE SOCIETY WOULD ACCOUNT FOR ANY POTENTIAL INTEREST OR PENALTIES RELATED TO POSSIBLE FUTURE LIABILITIES FOR UNRECOGNIZED INCOME TAX BENEFITS AS OTHER EXPENSE. THE SOCIETY IS NO LONGER SUBJECT TO EXAMINATION BY TAX AUTHORITIES FOR FEDERAL, STATE OR LOCAL INCOME TAXES FOR PERIODS BEFORE 2008. PART XI, LINE 8 - OTHER ADJUSTMENTS: BENEFIT PLAN CHANGES OTHER THAN NET PERIODIC POSTRETIREMENT BENEFIT COSTS 172,422. PART XII, LINE 2D - OTHER ADJUSTMENTS: BENEFIT PLAN CHANGES OTHER THAN NET PERIODIC POSTRETIREMENT BENEFIT COSTS 172,422. PART XII, LINE 4B - OTHER ADJUSTMENTS: INTEREST EXPENSE NETTED AGAINST REVENUE 59,623. PART XIII, LINE 4B - OTHER ADJUSTMENTS: INTEREST EXPENSE NETTED AGAINST REVENUE 59,623. CENTRAL AMERICA AND THE CARIBBEAN 0 0 DUES REVENUE MEMBERSHIP DUES EAST ASIA AND THE PACIFIC 0 0 DUES REVENUE MEMBERSHIP DUES EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 DUES REVENUE MEMBERSHIP DUES MIDDLE EAST AND NORTH AFRICA 0 0 DUES REVENUE MEMBERSHIP DUES NORTH AMERICA 0 0 DUES REVENUE MEMBERSHIP DUES RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 DUES REVENUE MEMBERSHIP DUES SOUTH AMERICA 0 0 DUES REVENUE MEMBERSHIP DUES SOUTH ASIA 0 0 DUES REVENUE MEMBERSHIP DUES SUB-SAHARAN AFRICA 0 0 DUES REVENUE MEMBERSHIP DUES CENTRAL AMERICA AND THE CARIBBEAN 0 0 REGISTRATION INCOME ANNUAL MEETING EAST ASIA AND THE PACIFIC 0 0 REGISTRATION INCOME ANNUAL MEETING EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 REGISTRATION INCOME ANNUAL MEETING MIDDLE EAST AND NORTH AFRICA 0 0 REGISTRATION INCOME ANNUAL MEETING NORTH AMERICA 0 0 REGISTRATION INCOME ANNUAL MEETING RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 REGISTRATION INCOME ANNUAL MEETING SOUTH AMERICA 0 0 REGISTRATION INCOME ANNUAL MEETING SOUTH ASIA 0 0 REGISTRATION INCOME ANNUAL MEETING SUB-SAHARAN AFRICA 0 0 REGISTRATION INCOME ANNUAL MEETING NORTH AMERICA 0 0 REGISTRATION INCOME CERTIFICATE IN BUSINESS ADMINISTRATION MEETING NORTH AMERICA 0 0 REGISTRATION INCOME TEE WORKSHOP CENTRAL AMERICA AND THE CARIBBEAN 0 0 PUBLICATION SALES SALES OF PUBLICATIONS, INCLUDING CONTINUING EDUCATION MATERIALS EAST ASIA AND THE PACIFIC 0 0 PUBLICATION SALES SALES OF PUBLICATIONS, INCLUDING CONTINUING EDUCATION MATERIALS EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PUBLICATION SALES SALES OF PUBLICATIONS, INCLUDING CONTINUING EDUCATION MATERIALS MIDDLE EAST AND NORTH AFRICA 0 0 PUBLICATION SALES SALES OF PUBLICATIONS, INCLUDING CONTINUING EDUCATION MATERIALS NORTH AMERICA 0 0 PUBLICATION SALES SALES OF PUBLICATIONS, INCLUDING CONTINUING EDUCATION MATERIALS RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 PUBLICATION SALES SALES OF PUBLICATIONS, INCLUDING CONTINUING EDUCATION MATERIALS SOUTH AMERICA 0 0 PUBLICATION SALES SALES OF PUBLICATIONS, INCLUDING CONTINUING EDUCATION MATERIALS SOUTH ASIA 0 0 PUBLICATION SALES SALES OF PUBLICATIONS, INCLUDING CONTINUING EDUCATION MATERIALS SUB-SAHARAN AFRICA 0 0 PUBLICATION SALES SALES OF PUBLICATIONS, INCLUDING CONTINUING EDUCATION MATERIALS 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 FOUNDATION FOR ANESTHESIA EDUCATION & RESEARCH 520 N NORTHWEST HIGHWAY PARK RIDGE IL 60068 521494164 501(C)(3) 2000000 OPERATING SUPPORT ANESTHESIA PATIENT SAFETY FOUNDATION 520 N NORTHWEST HIGHWAY PARK RIDGE IL 60068 510287258 501(C)(3) 500500 OPERATING SUPPORT WOOD LIBRARY MUSEUM 520 N NORTHWEST HIGHWAY PARK RIDGE IL 60068 363573324 501(C)(3) 773500 OPERATING SUPPORT ANESTHESIA QUALITY INSTITUTE 520 N NORTHWEST HIGHWAY PARK RIDGE IL 60068 263848288 501(C)(3) 1000000 OPERATING SUPPORT IOWA SOCIETY OF ANESTHESIOLOGISTS 1215 PLEASANT ST 400 DES MOINES IA 50309 426066162 501(C)(6) 61526 OPERATING SUPPORT CALIFORNIA SOCIETY OF ANESTHESIOLOGISTS 951 MARINERS ISLAND BLVD SUITE 270 SAN MATEO CA 944041590 946076499 501(C)(6) 50000 OPERATING SUPPORT AMERICAN MEDICAL ASSOCIATION - CPT ROYALTY 75 REMITTANCE DRIVE SUITE 6968 CHICAGO IL 60675 360727175 501(C)(6) 25000 OPERATING SUPPORT HOPE FOR THE WARRIORS 44 WATER STREET NEW YORK NY 10041 205182295 501(C)(3) 20000 OPERATING SUPPORT MALIGNANT HYPERTHERMIA ASSOCIATION 11 E STATE ST PO BOX 1069 SHERBURNE NY 13460 061076301 501(C)(3) 20000 OPERATING SUPPORT OKLAHOMA SOCIETY OF ANESTHESIOLOGISTS PO BOX 4087 EDMOND OK 73083 730739936 501(C)(6) 20000 OPERATING SUPPORT KENTUCKY SOCIETY OF ANESTHESIOLOGISTS PO BOX 935 FLORENCE KY 410220935 611045678 501(C)(6) 20000 OPERATING SUPPORT VERMONT SOCIETY OF ANESTHESIOLOGISTS PO BOX 1457 MONTPELIER VT 05601 030355411 501(C)(6) 10000 OPERATING SUPPORT IDAHO SOCIETY OF ANESTHESIOLOGISTS PO BOX 140357 BOISE ID 83714 820462987 501(C)(6) 10000 OPERATING SUPPORT JOHNS HOPKINS ANESTHESIOLOGY 600 N WOLFE STREET BLALOCK 906A BALTIMORE MD 21287 520595110 501(C)(3) 7500 OPERATING SUPPORT NEW MEXICO SOCIETY OF ANESTHESIOLOGISTS 7770 JEFFERSON ST NE SUITE 400 ALBUQUERQUE NM 87109 850352129 501(C)(6) 6000 OPERATING SUPPORT OCHSNER CLINIC FOUNDATION 1514 JEFFERSON HIGHWAY MEDICAL CENTER NEW ORLEANS LA 70121 720502505 501(C)(3) 5000 OPERATING SUPPORT MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 02114 041564655 501(C)(3) 5000 OPERATING SUPPORT 9 9 EDUCATIONAL GRANTS - POLICY RESEARCH ROTATION IN POLITICAL AFFAIRS PROGRAM 6 12000 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ASA ISSUES GRANTS TO ITS RELATED ORGANIZATIONS WHICH, IN TURN, ADHERE TO THEIR PARTICULAR GUIDELINES FOR REVIEWING GRANT APPLICATIONS, THE DISBURSEMENT OF AWARDS AND THE MONITORING OF GRANT FUNDS. ASA ALSO AWARDS GRANTS TO OUTSIDE ENTITIES, WHO ARE THEN REQUIRED TO PROVIDE WRITTEN REPORTS ON THE PROGRESS OF THE INITIATIVE. X X 1 1 X X X X 0 0 0 JERRY A COHEN MD 156250 0 0 0 0 0 0 0 0 0 156250 0 0 0 MARK A WARNER MD 187500 0 0 0 0 563 0 0 0 0 187500 563 0 0 JOHN A THORNER JD CAE 360114 0 37179 0 5370 0 31850 0 22216 0 456729 0 0 0 RONALD SZABAT JD LLM 296479 0 23491 0 2822 0 30326 0 28768 0 381886 0 0 0 THOMAS CONWAY MBA CPA 209252 0 22934 0 1042 0 30736 0 31268 0 295232 0 0 0 KAREN BUEHRING 181583 0 21720 0 886 0 26893 0 28108 0 259190 0 0 0 MARY KUFFNER 168672 0 18298 0 549 0 25442 0 35768 0 248729 0 0 0 SARA MOSER 155915 0 16424 0 473 0 22631 0 28767 0 224210 0 0 0 MANUEL BONILLA 156221 0 14936 0 486 0 22711 0 29488 0 223842 0 0 0 ROBERT FINE 144453 0 14117 0 662 0 20652 0 9611 0 189495 0 0 0 PART I, LINE 1A THE ASA ADMINISTRATIVE PROCEDURES ALLOW DOMESTIC FIRST-CLASS AIRFARE FOR PRESIDENT, PRESIDENT-ELECT, FIRST VP, ROVENSTINE LECTURER, RECIPIENT OF THE DISTINGUISHED SERVICE AWARD, RECIPIENT OF THE EXCELLENCE IN RESEARCH AWARD, AND THE LEGISLATIVE CONFERENCE KEYNOTE SPEAKER, ALONG WITH THE SPOUSES OF EACH. ASA ALLOWS DOMESTIC FIRST-CLASS TRAVEL FOR THE SPEAKER AT THE JOHN W. SEVERINGHAUS LECTURE ON TRANSLATIONAL SCIENCE. THE EXECUTIVE VICE-PRESIDENT'S CONTRACT INCLUDES THAT ASA WILL ALLOW FOUR PAID TRIPS FOR SPOUSE, ANNUALLY. FORM 990, PART VI, SECTION A, LINE 4 THE FOLLOWING CHANGES WERE MADE TO THE ORGANIZATION'S BYLAWS: THE ASA BOARD CREATED THE SPECIAL BOARD COMMITTEE ON EXPERT WITNESS TESTIMONY REVIEW, TO ACT UPON SANCTIONS OF AN ASA MEMBER DUE TO VIOLATIONS OF ASA GUIDELINES FOR EXPERT WITNESS QUALIFICATIONS AND TESTIMONY. ASA ESTABLISHED AN EDITORIAL BOARD FOR PRACTICE PERFORMANCE ASSESSMENT AND IMPROVEMENT MODULES. THE BOARD WILL CONSIST OF AN EDITOR-IN-CHIEF AND FIVE EDITORS. THE BOARD SHALL PLAN, RECOMMEND AND IMPLEMENT PPAI MODULES AND ISSUE CME CREDIT FOR PARTICIPANTS WHO HAVE COMPLETED MODULES. THE BOARD WILL WORK WITH ASA EDUCATION STAFF TO DEVELOP A FEE STRUCTURE FOR NEW EDUCATION PRODUCTS THAT IS SUFFICIENT TO EXCEED ANTICIPATED DEVELOPMENT AND OPERATIONAL EXPENSES. THE ADMINISTRATIVE COUNCIL REDUCED THE NUMBER OF ASA-FUNDED DELEGATES TO THE WFSA TO THREE MEMBERS, BEING THE PRESIDENT, PRESIDENT-ELECT AND CHAIR OF THE GLOBAL HUMANITARIAN OUTREACH. THE REMAINING WFSA DELEGATES WILL BE SUPPORTED BY $1,000 TRAVEL ALLOWANCE OR BE COVERED BY STANDARD ASA TRAVEL REIMBURSEMENT POLICY. CHANGES REQUIRING A BYLAW AMENDMENT OR CHANGE IN POLICY WILL BE SUBMITTED TO THE BOARD OR HOUSE IN A REPORT ORIGINATING FROM THE SECTION ON BOARD ADMINISTRATIVE AFFAIRS. AN "ALL MEMBER SURVEY" WILL BE PERFORMED AT LEAST ONCE EVERY FIVE YEARS TO DETERMINE MEMBER PREFERENCES REGARDING THE ANNUAL MEETING SITE. THE SECTION ON BOARD ADMINISTRATIVE AFFAIRS AND THE GOVERNANCE SUPPORT UNIT SHALL UNDERTAKE TO COMPREHENSIVELY REVISE THE ADMINISTRATIVE PROCEDURES EVERY FIVE YEARS BEGINNING IN 2013. THE PRESIDENT'S DUTIES WERE AMENDED TO EXCLUDE THE ROLE OF CHIEF EXECUTIVE OFFICER. THE CHIEF EXECUTIVE OFFICER SHALL BE RESPONSIBLE FOR THE MANAGEMENT AND PERFORMANCE OF THE SOCIETY IN ACCORDANCE WITH THE POLICIES AND DIRECTIVES OF THE BOARD OF DIRECTORS AND HOUSE OF DELEGATES. THE CHIEF EXECUTIVE OFFICER SHALL BE BOTH THE LEADER OF THE ASA STAFF AND THE LIAISON BETWEEN THE SOCIETY STAFF MANAGEMENT AND THE BOARD OF DIRECTORS. THE CHIEF EXECUTIVE OFFICER SHALL MANAGE AND DIRECT THE DAY-TO-DAY STAFF OPERATIONS OF THE SOCIETY, AS OUTLINED IN THE ADMINISTRATIVE PROCEDURES. THE CHIEF EXECUTIVE OFFICER SHALL BE EVALUATED BY THE BOARD OF DIRECTORS AND SHALL BE UNDER THE DIRECTION AND SUPERVISION OF THE PRESIDENT AND ADMINISTRATIVE COUNCIL. THE BOARD OF DIRECTORS SHALL APPROVE THE SELECTION OF THE CHIEF EXECUTIVE OFFICER, REQUIRING 3/4 VOTE. THE PRESIDENT-ELECT SHALL PRESIDE IN THE ABSENCE OF THE PRESIDENT. THIS RESPONSIBILITY WAS CHANGED FROM THAT OF FIRST VICE-PRESIDENT. BOTH THE PRESIDENT-ELECT AND FIRST VICE-PRESIDENT SHALL ASSIST THE PRESIDENT IN ADMINISTERING THE AFFAIRS OF THE SOCIETY ACCORDING TO POLICIES AND DIRECTIVES OF THE BOARD OF DIRECTORS AND HOUSE OF DELEGATES. FORM 990, PART VI, SECTION A, LINE 7A THE HOUSE OF DELEGATES MEETS ON AN ANNUAL BASIS TO AFFIRM THE MANAGEMENT OF THE ORGANIZATION BY THE BOARD OF DIRECTORS. THE BOARD OF DIRECTORS EXERCISES FINAL AUTHORITY OVER AND MANAGES THE BUSINESS AND FINANCIAL AFFAIRS OF THE SOCIETY, INCLUDING, BUT NOT LIMITED TO, THE ACQUISITION, MANAGEMENT, CONTROL AND DISPOSITION OF ITS PROPERTY AND THE AUTHORIZATION OF ALL CONTRACTS ON ITS BEHALF; THE BOARD OF DIRECTORS MAY DELEGATE PORTIONS OF SUCH AUTHORITY TO THE OFFICERS, COUNCILS, SECTIONS OR COMMITTEES AND PERFORM SUCH OTHER DUTIES AS ARE PROVIDED FOR IN THE BYLAWS. CERTAIN MEMBERS OF THE HOUSE OF DELEGATES ARE MEMBERS OF THE BOARD OF DIRECTORS UNDER THE ORGANIZATION'S BYLAWS. OFFICERS ARE ELECTED BY THE HOUSE OF DELEGATES AT THE ANNUAL MEETING. FORM 990, PART VI, SECTION A, LINE 7B THE HOUSE OF DELEGATES HAS THE AUTHORITY TO CHANGE THE ORGANIZATION'S BYLAWS AND MODIFY SELECT DECISIONS OF THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 11 THE SECTION ON FISCAL AFFAIRS, WHICH IS A SUB-COMMITTEE OF THE BOARD OF DIRECTORS, DURING THE COURSE OF THE AUGUST ANNUAL BOARD MEETING, REVIEWS THE FORM 990 WITH THE INDEPENDENT CPA FIRM THAT PREPARED THE RETURN. A REPORT OF THIS REVIEW AND A FULL COPY WILL BE POSTED TO THE "MEMBERS ONLY" PORTION OF THE WEBSITE, WWW.ASAHQ.ORG, AS SOON AS POSSIBLE FOLLOWING THE MEETING WITH THE CPA FIRM. FORM 990, PART VI, SECTION B, LINE 12C ON AN ANNUAL BASIS, ASA BOARD MEMBERS AND OFFICERS ARE REQUIRED TO DISCLOSE WHETHER OR NOT THEY HAVE ANY POTENTIAL CONFLICTS OF INTEREST, AND IF SO, ARE REQUIRED TO DISCLOSE THEM. THE GOVERNANCE UNIT SHALL MONITOR COMPLIANCE WITH THE POLICY. THE ASA OFFICE OF GENERAL COUNSEL, IN CONSULTATION WITH THE ADMINISTRATIVE COUNCIL, SHALL HAVE PRIMARY RESPONSIBILITY TO MONITOR AND ENFORCE THE CONFLICT OF INTEREST POLICY AS IT PERTAINS TO THE ADMINISTRATIVE COUNCIL. ON OR BEFORE COMMENCEMENT OF A NEW TERM OF OFFICE OR SERVICE, THE INCOMING COMMITTEE CHAIRS, ADMINISTRATIVE COUNCIL, AND THE OFFICE OF GENERAL COUNSEL SHALL INITIATE REVIEW OF THE POTENTIAL CONFLICT OF INTEREST DISCLOSURE STATEMENTS AND COMPLETE INITIAL REVIEW OF SUCH STATEMENTS WITHIN 30 DAYS OF THE COMMENCEMENT OF THE TERM. THE SECRETARY SHALL BE NOTIFIED IN THE EVENT OF AN ALLEGED FAILURE TO CONFORM TO THE STANDARDS. THE SECRETARY SHALL REFER THE EXCEPTION OR FAILURE TO THE ADMINISTRATIVE COUNCIL. THE ADMINISTRATIVE COUNCIL MAY DETERMINE THAT A CONFLICT DOES NOT EXIST, DETERMINE THAT A CONFLICT DOES EXIST BUT GRANT A WAIVER, DETERMINE THAT THE MATTER SHOULD BE HEARD BY THE JUDICIAL COUNCIL, OR IN THE CASE OF ALLEGED CONFLICT BY A DIRECTOR OR ALTERNATE DIRECTOR, REFER THE MATTER TO THE COMPONENT SOCIETY NOMINATING THE DIRECTOR OR ALTERNATE DIRECTOR FOR APPROPRIATE ACTION. THESE REQUIREMENTS SHALL APPLY EQUALLY TO THE MEMBERS OF THE ASA EXECUTIVE STAFF. IN THE CASE OF SUCH INDIVIDUALS, THE EXECUTIVE COMMITTEE OF THE ADMINISTRATIVE COUNCIL SHALL BE RESPONSIBLE FOR MONITORING AND ENFORCING COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY AS IT PERTAINS TO THE ASA EXECUTIVE STAFF, INCLUDING THE DETERMINATION OF ANY WAIVER OR FOR THE APPLICATION OF SANCTIONS IN THE EVENT OF ANY VIOLATIONS OF THE POLICY. THE COI STATEMENT AND FORMS ARE AVAILABLE ON THE ASA WEBSITE IN THE MEMBERS ONLY SECTION. HARD COPIES MAY BE OBTAINED FROM THE ASA EXECUTIVE OFFICE. FORM 990, PART VI, SECTION B, LINE 15 OUTSIDE COMPENSATION EXPERTS ARE UTILIZED REGARDING BENCHMARKED POSITIONS OF THE EXECUTIVE VICE PRESIDENT, PARK RIDGE AND EXECUTIVE VICE PRESIDENT, WASHINGTON D.C. OUTSIDE COMPENSATION EXPERTS ARE UTILIZED FOR RECOMMENDATIONS ON COMPENSATION FOR OTHER OFFICERS AND KEY EMPLOYEES. THE EXECUTIVE COMPENSATION COMMITTEE MAKES DECISIONS ON ANY MERIT INCREASES FOR THE EVP BASED ON DATA PROVIDED BY AN EXTERNAL COMPENSATION CONSULTANT. FORM 990, PART VI, SECTION C, LINE 19 CONFLICT OF INTEREST POLICY, GOVERNING DOCUMENTS, AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -4,157,552. BENEFIT PLAN CHANGES OTHER THAN NET PERIODIC POSTRETIREMENT BENEFIT COSTS 172,422. TOTAL TO FORM 990, PART XI, LINE 5: -3,985,130. WOOD LIBRARY-MUSEUM OF ANESTHESIOLOGY 520 N NORTHWEST HIGHWAY PARK RIDGE IL 60068 363573324 COLLECTION OF ANESTHESIA LITERATURE IL 501(C)(3) LINE 11A, I 1 FOUNDATION FOR ANESTHESIA EDUCATION & RESEARCH 520 N NORTHWEST HIGHWAY PARK RIDGE IL 60068 521494164 ANESTHESIA CARE EDUCATION AND RESEARCH DE 501(C)(3) LINE 7 1 ANESTHESIA PATIENT SAFETY FOUNDATION 520 N NORTHWEST HIGHWAY PARK RIDGE IL 60068 510287258 ANESTHESIA PATIENT SAFETY EDUCATION DE 501(C)(3) LINE 7 1 AMERICAN SOCIETY OF ANESTHESIOLOGISTS POLITICAL ACTION COMMITTEE 520 N NORTHWEST HIGHWAY PARK RIDGE IL 60068 363887214 POLITICAL CAMPAIGN ACTIVITIES IL 527 0 ANESTHESIA QUALITY INSTITUTE 520 N NORTHWEST HIGHWAY PARK RIDGE IL 60068 263848288 ADVANCES IN QUALITY OF CARE MEASUREMENT AND DELIVERY IN ANESTHESIA CARE DC 501(C)(3) LINE 11A, I 1 0 1 0 0 0 0 0 0 0 0 1 0 1 1 0 1 0 0 WOOD LIBRARY-MUSEUM OF ANESTHESIOLOGY B 773500 MAINTAINED RECORDS AT FMV WOOD LIBRARY-MUSEUM OF ANESTHESIOLOGY P 446566 MAINTAINED RECORDS AT FMV FOUNDATION FOR ANESTHESIA EDUCATION & RESEARCH B 2000000 MAINTAINED RECORDS AT FMV FOUNDATION FOR ANESTHESIA EDUCATION & RESEARCH K 14000 MAINTAINED RECORDS AT FMV FOUNDATION FOR ANESTHESIA EDUCATION & RESEARCH P 347622 MAINTAINED RECORDS AT FMV ANESTHESIA PATIENT SAFETY FOUNDATION B 500500 MAINTAINED RECORDS AT FMV ANESTHESIA PATIENT SAFETY FOUNDATION K 14000 MAINTAINED RECORDS AT FMV ANESTHESIA PATIENT SAFETY FOUNDATION P 28009 MAINTAINED RECORDS AT FMV ANESTHESIA QUALITY INSTITUTE B 1000000 MAINTAINED RECORDS AT FMV ANESTHESIA QUALITY INSTITUTE P 322054 MAINTAINED RECORDS AT FMV ANESTHESIA QUALITY INSTITUTE K 37928 MAINTAINED RECORDS AT FMV