2011-11-14T09:34:13-06:00 2010-12-31 RSM MCGLADREY INC 4801 MAIN STREET SUITE 400 KANSAS CITY MO 64112 990 2010-01-01 430957840 SWOPE HEALTH SERVICES SWOP 8166272191 3801 BLUE PARKWAY KANSAS CITY MO 64130 VERNEDA ROBINSON 8166272191 2011-11-10 1 CONNIE HENDERSON 8167533000 2010 2016-03-07 17:11:31Z VERNEDA ROBINSON 3801 BLUE PARKWAY KANSAS CITY MO 64130 43445836 0 X WWW.SWOPECOMMUNITY.ORG X 1969 MO SWOPE HEALTH SERVICES PROVIDES PRIMARY COMPREHENSIVE AMBULATORY HEALTH AND BEHAVIORAL HEALTH CARE SERVICES TO THE MEDICALLY UNINSURED, UNDERINSURED AND HOMELESS POPULATION OF THE GREATER KANSAS CITY AREA. 14 13 632 0 0 0 13766050 13871892 24189535 28590450 401360 440649 1110691 523363 39467636 43426354 0 0 0 0 25445480 26479116 0 0 0 11794213 12187953 37239693 38667069 2227943 4759285 36859741 43759611 4021652 4911753 32838089 38847858 X SWOPE HEALTH SERVICES (SHS) IMPROVES THE WELL BEING OF INDIVIDUALS AND FAMILIES BY DELIVERING QUALITY COMPREHENSIVE PHYSICAL AND BEHAVIORAL HEALTH CARE SERVICES. WE COORDINATE SERVICES FOR THE NEEDS OF ALL WHO SEEK CARE REGARDLESS OF SOCIO-ECONOMIC STATUS. WE PARTNER FOR CREATIVE SOLUTIONS TO MEET THE DIVERSE NEEDS OF INDIVIDUALS, FAMILIES, AND COMMUNITIES. 0 0 34175041 28590450 IN 2010, SHS PROVIDED MEDICAL, DENTAL AND BEHAVIORAL HEALTH CARE TO NEARLY 40,000 PATIENTS WHO RECEIVED SOME 220,000 UNITS OF SERVICE - OR AN AVERAGE OF 5.5 UNITS PER PATIENT - IN THE FORM OF PROVIDER VISITS AND OTHER DIRECT SERVICES.MORE THAN EIGHT IN TEN OF OUR PATIENTS WHO REPORTED INCOME LIVED AT OR BELOW THE FEDERAL POVERTY LEVEL. FOR A SINGLE MOM WITH TWO CHILDREN, THAT REPRESENTS A MAXIMUM OF $1,544 A MONTH OR $18,500 A YEAR - HARDLY ENOUGH TO LIVE ON MUCH LESS PAY FOR HEALTH CARE.SHS SERVED SEVERAL RACIAL AND ETHNIC GROUPS IN 2010. MORE THAN HALF OF SHS' PATIENTS ARE AFRICAN AMERICAN, NEARLY A QUARTER ARE WHITE AND MOST OF THE REST ARE HISPANIC/LATINO OR AMERICAN INDIAN/ALASKA NATIVE. WE ARE EXPERIENCING A GROWING HISPANIC POPULATION AT MOST LOCATIONS CONSISTENT WITH RECENT NATIONAL CENSUS DATA.FREE AND LOW-COST MEDICATIONS: SHS SECURED FOR ITS PATIENTS APPROXIMATELY $1.7 MILLION IN FREE AND VERY LOW-COST MEDICATIONS THROUGH TWO PHARMACEUTICAL PATIENT ASSISTANCE PROGRAMS AND ITS OWN "SWOPE CARE" IN-HOUSE PRESCRIPTION ASSISTANCE PROGRAM. THIS WAS CRITICAL TO MAINTAINING THE HEALTH OF THE NEARLY FIVE IN TEN PATIENTS WHO HAVE NO HEALTH INSURANCE TO PURCHASE PRESCRIBED MEDICATIONS AS WELL AS MANY OF THE REST OF SHS' PATIENTS WHO ARE WOEFULLY UNDERINSURED.MATERNAL AND CHILDREN'S SERVICES: PREGNANT WOMEN IN SHS' TARGET SERVICE AREA OFTEN DON'T RECEIVE EARLY AND CONSISTENT PRENATAL CARE. AS A RESULT, THEY ARE MORE LIKELY THAN OTHER PREGNANT WOMEN TO EXPERIENCE INFANT MORTALITY OR DELIVER PREMATURE AND/OR LOW-BIRTH-WEIGHT INFANTS WITH DEVELOPMENTAL DELAYS AND OTHER EXPENSIVE AND DEBILITATING LONG-TERM HEALTH AND SOCIAL PROBLEMS. SHS PROVIDES CASE MANAGEMENT AND RELATED SUPPORT SERVICES DESIGNED TO IDENTIFY, ENROLL AND KEEP PREGNANT WOMEN IN ITS PRENATAL PROGRAM. IN 2008, SHS ADDED A FULL-TIME WOMEN'S HEALTH SPECIALIST TO ITS OB/GYN STAFF TO IMPROVE ACCESS TO PRENATAL SERVICES. IN 2010 WE ADDED AN ADDITIONAL WOMEN'S HEALTH SPECIALIST TO WORK WITH OUR OB/GYN PHYSICIAN. SHS DATA SHOWS THAT WOMEN IN ITS PRENATAL PROGRAM EXPERIENCE A LOWER INCIDENCE OF NEGATIVE OUTCOMES, TWO PERCENT LOWER THAN THE MEDICAID POPULATION AVERAGE OF ELEVEN PERCENT. SHS SUPPORTS NEW MOTHERS AFTER BIRTH THROUGH A VARIETY OF PROGRAMS AND SERVICES. FOR EXAMPLE, IT OFFERS CLASSES AND ONE-TO-ONE COUNSELING TO ENCOURAGE WOMEN TO BREASTFEED THEIR BABIES, A STRATEGY THAT IS NOT ONLY COST-SAVING BUT THAT PROVIDES A HOST OF LONG-TERM HEALTH BENEFITS TO BOTH THE MOTHER AND CHILD. SHS PROVIDED HEALTH CARE SERVICES TO MORE THAN 11,500 CHILD AND ADOLESCENT PATIENTS, TREATING EVERYTHING FROM SPRAINS AND CUTS TO COLDS AND THE FLU TO CHRONIC CONDITIONS SUCH AS ASTHMA. BECAUSE THERE ARE SO MANY THINGS THAT CAN IMPAIR THE PHYSICAL, SOCIAL AND INTELLECTUAL DEVELOPMENT OF A CHILD, SHS MAKES EVERY EFFORT TO IDENTIFY THESE POTENTIAL PROBLEMS EARLY SO APPROPRIATE TREATMENT CAN BE INITIATED BEFORE A DEVELOPMENTAL PROBLEM BECOMES A PERMANENT DISABILITY. IN 2010, SHS PROVIDED EARLY SCREENINGS, KNOWN AS EPSDT (EARLY PERIODIC SCREENING DIAGNOSES AND TREATMENT) EXAMINATIONS, TO MORE THAN 4,000 CHILDREN. TO PROVIDE CHILDREN IN A HIGH-CRIME URBAN AREA WITH A SAFE AND EXCITING HALLOWEEN EXPERIENCE, SHS SPONSORED TREAT TOWN AT THE SHOPS ON BLUE PARKWAY. THE MORE THAN 900 ATTENDEES WHO ATTENDED THIS ANNUAL EVENT IN 2010 RECEIVED LOTS OF TASTY GOODIES AS WELL AS TOOTH BRUSHES TO PREVENT TOOTH DECAY AND INFORMATION ON ACCESSING DENTAL SERVICES AT OUR FACILITIES.ADULT MEDICAL SERVICES: SHS HAS TAKEN A GIANT STEP TOWARD IMPROVING THE LONG-TERM HEALTH OF ITS PATIENTS BY MORE CLOSELY MONITORING THOSE WITH DIABETES AND CARDIOVASCULAR DISEASE, TWO HIGH-RISK CHRONIC DISEASES THAT AFFECT A DISPROPORTIONATE SHARE OF OUR PATIENTS. IF NOT PROPERLY MANAGED, DIABETES AND CARDIOVASCULAR DISEASE CAN LEAD TO HEART DISEASE, STROKE AND A NUMBER OF OTHER SERIOUS AND VERY EXPENSIVE-TO-TREAT CONDITIONS. IN 2008, SHS ENHANCED ITS CHRONIC DISEASE MANAGEMENT PROGRAM BY ADDING A CHRONIC DISEASE MANAGEMENT NURSE WHO WORKS ONE-TO-ONE WITH PATIENTS. THIS POSITION WAS COMPLEMENTARY TO A MO MEDICAID CHRONIC DISEASE PROGRAM. NURSES MONITOR THE CRITICAL INDICATORS OF PATIENT CHRONIC DISEASES; EXPLAIN THE IMPORTANCE OF ADHERING TO MEDICATION REGIMENS; AND ADVISES THEM ABOUT DIET, EXERCISE AND OTHER SELF MANAGEMENT LIFESTYLE CHANGES THAT ARE KNOWN TO SLOW THE PROGRESSION OF THEIR DISEASE. WE ADDED A SECOND EMPLOYED CASE MANAGEMENT NURSE VIA GRANT FUNDING THIS PAST YEAR. THE RESULT: THESE NURSES HELPED 1,250 PATIENTS IMPROVE THE QUALITY OF THEIR LIVES IN 2010. HOWEVER, AS A RESULT OF LACK OF FUNDING, THE STATE DISCONTINUED FUNDING ITS CHRONIC DISEASE INITIATIVE AND NURSE POSITION FOR THE PROGRAM IN THE SECOND HALF OF 2010.THE HOMELESS: IN 2010, SHS ASSISTED SOME 4,000 HOMELESS PEOPLE WITH HEALTH CARE, HOUSING AND OTHER ESSENTIAL SERVICES. SHS STAFF MEMBERS GO TO WHERE THE HOMELESS GATHER, ASSESSING THEIR BASIC NEEDS IN THE FIELD AND INVITING THEM TO VISIT SHS' DEDICATED CLINIC FOR THE HOMELESS AT ITS BLUE PARKWAY COMPLEX. IN 2010 WE INITIATED SERVICES UNDER AGREEMENT WITH FIVE HOMELESS SHELTERS TO SUPPORT IMPROVED CARE CONTINUITY. INTAKES ARE PROVIDED TO HELP DETERMINE WHAT SERVICES ONE MIGHT NEED AND WHAT SERVICES ONE MIGHT QUALIFY FOR. CASE MANAGERS HELP TO ASSIST THOSE WHOM NEED HELP OBTAINING PHYSICAL AND MENTAL HEALTH TREATMENT AS WELL AS HOUSING, TRANSPORTATION, AND FINANCIAL ASSISTANCE. CASE MANAGERS HELP TO FIND PERMANENT HOUSING FOR THOSE WHOM ARE HOMELESS, THROUGH PROGRAMS SUCH AS SECTION 8 AND SHELTER PLUS CARE, AS WELL AS LOW INCOME AND OTHER SUBSIDIZED HOUSING. FOR THOSE WITH MENTAL HEALTH CONCERNS BOTH INDIVIDUAL AND GROUP THERAPY ARE OFFERED TO ASSIST WITH OBTAINING OVERALL MENTAL AND PHYSICAL HEALTH GOALS. MEDICAL STAFF INCLUDING DOCTORS AND NURSES HELPS TO ASSESS MEDICAL ISSUES AND OFFER TREATMENT AS NECESSARY, INCLUDING MEDICATION MANAGEMENT, AND MEDICATION ASSISTANCE. A RYAN WHITE CASE MANAGER IS ALSO LOCATED IN THE OUTREACH DEPARTMENT TO PROVIDE ASSISTANCE WITH OBTAINING TEST RESULTS, MEDICATIONS, AND OBTAINING MEDICAL SERVICES AS NEEDED.DENTAL CARE: GOOD DENTAL CARE IS A PREREQUISITE TO GOOD HEALTH. IN FACT, STUDIES SHOW THAT CHILDREN WITH POOR ORAL HYGIENE ARE AT INCREASED RISK FOR HEART DISEASE, STROKE AND A NUMBER OF OTHER AILMENTS LATER IN LIFE. UNFORTUNATELY, MOST LOW-INCOME PEOPLE DO NOT RECEIVE ADEQUATE DENTAL CARE, AND PUBLIC INSURANCE PROGRAMS, SUCH AS MEDICAID AND MEDICARE, INCREASINGLY LIMIT THE DENTAL SERVICES THEY WILL COVER, PARTICULARLY FOR ADULTS. IN 2010, SHS PROVIDED COMPREHENSIVE DENTAL CARE (SCREENINGS, EXAMINATIONS, X-RAYS, FILLINGS, EXTRACTIONS, ETC.) TO NEARLY 10,200 ADULTS AND CHILDREN. TO REACH MORE CHILDREN IN HIGH-NEED AREAS, SHS PURCHASED AND EQUIPPED A VAN TO TRANSPORT OUR PORTABLE DENTAL EQUIPMENT. BEHAVIORAL HEALTH: STUDIES INDICATE THAT AS POVERTY INCREASES, SO DOES DEPRESSION, MENTAL ILLNESS AND SUBSTANCE ABUSE. IN TODAY'S TROUBLED ECONOMY, WHERE THE POOR ARE RAPIDLY LOSING ECONOMIC GROUND GAINED IN PREVIOUS DECADES, IT'S NOT SURPRISING THAT A RECORD NUMBER OF PEOPLE IN THE SHS URBAN CORE TARGET AREA ARE SEEKING MENTAL HEALTH AND SUBSTANCE ABUSE SERVICES. IN 2010, SHS PROVIDED MENTAL HEALTH AND/OR SUBSTANCE ABUSE SERVICES TO CLOSE TO 6,000 PATIENTS WHO HAD NOWHERE ELSE TO TURN. THIS CARE INCLUDED PSYCHIATRIC EVALUATION AND MEDICATION MANAGEMENT SERVICES, OUTPATIENT THERAPY, CASE MANAGEMENT AND OTHER SUPPORT SERVICES FOR THOSE EXPERIENCING SHORT-TERM CRISES AS WELL AS INTENSIVE LONG-TERM SUPPORT PROGRAMMING FOR THOSE WITH SCHIZOPHRENIA, BIPOLAR DISORDER OR OTHER SERIOUS AND PERSISTENT MENTAL ILLNESSES. THROUGH IMANI HOUSE AND OTHER PROGRAMS, SHS OFFERS STRUCTURED ADDICTION RECOVERY PROGRAMS ON BOTH AN OUTPATIENT AND INPATIENT BASIS. SHS HELPED TO ESTABLISH AND CURRENTLY OVERSEES MENTAL HEALTH COURT IN KANSAS CITY, JACKSON COUNTY. THESE COURTS ARE A HUMANE AND ECONOMICALLY VIABLE ALTERNATIVE TO THE GROWING TREND OF INCARCERATING PEOPLE WHOSE NON-VIOLENT, MINOR CRIMINAL OFFENSES ARE MORE THE RESULT OF MENTAL ILLNESS THAN AN INTENT TO CAUSE HARM. IN 2010, THE POST-DISCHARGE RECIDIVISM RATE AMONG THOSE WHO COMPLETED THEIR LOCAL MENTAL HEALTH COURT-IMPOSED TREATMENT PLAN WAS 14 PERCENT, COMPARED TO 27 PERCENT OF THE NATIONAL AVERAGE FOR RECIDIVISM IN MENTAL HEALTH COURTS. 34175041 1 1 0 1 0 0 0 0 0 1 0 0 0 0 1 0 1 0 0 1 0 0 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 89 0 1 632 1 0 1 CJ EI 0 0 0 0 0 0 0 0 X 14 13 0 0 0 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 0 X GREGORY ADAMS 8166272013 3801 BLUE PARKWAY KANSAS CITY MO 64130 EDWARD RICHARD JONES 2.00 X 0 0 0 RUPERT G THOMAS 2.00 X 0 0 0 CHARLOTTE M TILLMAN 2.00 X 0 0 0 WILLIAM M WASHINGTON 2.00 X 0 0 0 DR LESLIE E BECKER MD 2.00 X 0 0 0 DANA TIPPIN CUTLER 2.00 X X 0 0 0 JUDGE LISA WHITE HARDWICK 2.00 X 0 0 0 DAVID WARM 2.00 X X 0 0 0 SHARON JACKSON 2.00 X 0 0 0 IRENE CAUDILLO 2.00 X 0 0 0 E WYNN PRESSON 2.00 X 0 0 0 E FRANK ELLIS 8.00 X X 0 1117277 38860 ELLEN JUNGER 2.00 X 0 0 0 DR HARRY E WILKINS III MD 2.00 X 0 0 0 NAIMISH PATEL 50.00 X 204873 0 23905 VERNEDA ROBINSON 50.00 X 352455 0 23634 JIMMY BROWN 50.00 X 199152 0 12722 WILLIAM ARNIE PANKEY 50.00 X 285387 0 26134 GLORIA BROWNELL JOSEPH 50.00 X 170512 0 12248 OTIS LATIMER 50.00 X 243759 0 18837 DHANALAKSHMI RENGACHARY 40.00 X 396214 0 18453 JAMES TRUE 40.00 X 252407 0 31963 DAVID DEMBINKSKI 40.00 X 227204 0 30736 LATHA VENKATESH 40.00 X 233312 0 9293 CAROL MARINOVICH 2.00 X 0 0 0 DAVID ODEGARD 2.00 X 0 0 0 BARRETT HATCHES 0.00 X 0 229912 1780 2565275 1347189 248565 34 1 1 0 SOFTCHOICE CORPORATION 13200 METCALF AVENUE SUITE 265 OVERLAND PARK KS 66213 TECHNOLOGY SERVICES 359550 ALEXANDER OPEN SYSTEMS 12851 FOSTER STREET 200 OVERLAND PARK KS 66213 TECHNOLOGY CONSULTING 359519 BURTIN & ASSOCIATES INC 5227 BLUE PARKWAY KANSAS CITY MO 64130 BUILDING CLEANING SERVICES 262472 IBM CORPORATION PO BOX 676673 DALLAS TX 752676673 MAINTENANCE SERVICES 175528 RSM MCGLADREY INC 4801 MAIN STREET SUITE 400 KANSAS CITY MO 64112 PROFESSIONAL SERVICES 173470 5 12199478 1672414 13871892 GRANTS & CONTRACTS REV 621400 12489767 12489767 PATIENT CARE 621400 10472158 10472158 SETTLEMENTS 621400 5628525 5628525 28590450 366098 366098 59202 59202 59202 59202 34551 45000 5000 34551 40000 74551 74551 15205 14482 723 723 MISCELLANEOUS REVENUES 900099 463438 463438 463438 43426354 29113090 0 441372 20996571 18791217 2205354 1530449 1530449 2473367 2473367 1478729 1478729 726935 556431 170504 63597 63597 86370 86370 1312301 1312301 87822 87822 5066639 4864248 202391 577366 577366 1746514 341083 1405431 304179 292446 11733 223487 223487 982954 850302 132652 232230 232230 MEMBERSHIPS AND DUES 323973 323973 MISCELLANEOUS 259177 45181 213996 CONSTRUCTION & OTHER CO 190323 190323 COMMUNITY ACTIVITIES 4086 4086 38667069 34175041 4492028 0 18754416 25665297 2157460 1885313 365145 225894 156677 193324 81374 152028 30355700 15596187 13950363 14759513 44203 44203 1350103 834039 36859741 43759611 3689254 4395369 332398 516384 4021652 4911753 X 32838089 38847858 32838089 38847858 36859741 43759611 X 4759285 1250484 X X 0 1 1 X 1 1 X 14165786 14502481 15504267 13766050 13871892 71810476 14165786 14502481 15504267 13766050 13871892 71810476 71810476 388378 442886 64390 292836 366098 1554588 1235609 147191 12312 1118128 443437 2956677 76321741 86924481 0.94090 0.92920 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 44000 44000 38681551 38725551 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 28053 30863 21266 44000 124182 250000 250000 250000 250000 1000000 1500000 PART IV, SUPPLEMENTAL INFORMATION: SWOPE HEALTH SERVICES (SHS) PAID ROBERT BUGG AND ASSOCIATES ($20,249), CRYSTAL WILLIAMS ($20,668), AND BENNIE LEWIS ($3,083) TO REVIEW PROSPECTIVE STATE LEGISLATION AND ADVISE SHS AND STATE LEGISLATIVE OFFICIALS OF THE IMPACT OF SUCH LEGISLATION ON COMMUNITY DEVELOPMENT ORGANIZATIONS. IN ADDITION, MR. BUGG WORKED ON BEHALF OF SHS TO ATTEMPT TO SECURE GRANT FUNDING AT THE STATE LEGISLATIVE LEVEL TO SUPPORT THE MISSION OF SHS. 846955 846955 20151093 8613734 11537359 382587 15715 366872 2673490 2321545 351945 6301575 4645193 1656382 14759513 43426354 38667069 4759285 1250484 1250484 6009769 43478624 37788 14482 52270 43426354 0 43426354 38719339 37788 14482 52270 38667069 0 38667069 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: UNCERTAIN TAX PROVISIONS, IF ANY, ARE RECORDED IN ACCORDANCE WITH FASB ASC 740, INCOME TAXES (PREVIOUSLY FIN 48). FASB ASC 740 REQUIRES THE RECOGNITION OF A LIABILITY FOR TAX POSITIONS TAKEN THAT DO NOT MEET THE MORE-LIKELY-THAN-NOT STANDARD THAT THE POSITION WILL BE SUSTAINED UPON EXAMINATION BY THE TAXING AUTHORITIES. THERE IS NO LIABILITY FOR UNCERTAIN TAX POSITIONS RECORDED AT DECEMBER 31, 2010, OR 2009. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 14,482. PART XIII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 14,482. CENTRAL AMERICA & THE CARIBBEAN INVESTMENTS 0 IRELAND INVESTMENTS 0 0 0 0 0 0 0 0 0 0 0 0 0 JAZZ EVENT 15205 15205 14482 15205 15205 14482 14482 723 X X X X X X 1 1 0 0 0 0 0 0 0 E FRANK ELLIS 0 539553 0 170000 0 407724 0 10685 0 33383 0 1161345 0 0 NAIMISH PATEL 181731 0 17500 0 5642 0 3183 0 26559 0 234615 0 0 0 VERNEDA ROBINSON 289336 0 53120 0 9999 0 5261 0 21536 0 379252 0 0 0 JIMMY BROWN 181474 0 8000 0 9678 0 5624 0 13881 0 218657 0 0 0 WILLIAM ARNIE PANKEY 265674 0 12000 0 7713 0 7924 0 24773 0 318084 0 0 0 GLORIA BROWNELL JOSEPH 156047 0 8000 0 6465 0 4763 0 7539 0 182814 0 0 0 OTIS LATIMER 234926 0 2000 0 6833 0 813 0 21448 0 266020 0 0 0 DHANALAKSHMI RENGACHARY 382974 0 2000 0 11240 0 8792 0 9715 0 414721 0 0 0 JAMES TRUE 243498 0 5000 0 3909 0 7665 0 28078 0 288150 0 0 0 DAVID DEMBINKSKI 224094 0 1000 0 2110 0 6550 0 24240 0 257994 0 0 0 LATHA VENKATESH 230170 0 1000 0 2142 0 3475 0 5872 0 242659 0 0 0 BARRETT HATCHES 0 72662 0 0 0 157250 0 371 0 8908 0 239191 0 0 PART I, LINES 4A-B BARRETT HATCHES, FORMER SWOPE COMMUNITY ENTERPRISES (RELATED PARTY) COO: 156,750 SUPPLEMENTAL INFORMATION PART III SCHEDULE J, PART II, E. FRANK ELLIS: E. FRANK ELLIS WAS THE CHIEF EXECUTIVE OFFICER AND CHAIRMAN OF FIRSTGUARD HEALTH PLAN, INC. (FIRSTGUARD), A FOR-PROFIT INSURANCE COMPANY AND SUBSIDIARY OF SCE WITH REVENUES OF IN EXCESS OF $245,340,000 IN 2003. SCE SOLD FIRSTGUARD IN 2004. FIRSTGUARD ESTABLISHED A SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (SERP) FOR MR. ELLIS IN RECOGNITION OF HIS LONG SERVICE WITH THE COMPANY, TAKING INTO ACCOUNT BOTH HIS PRIOR SERVICE AND ANTICIPATED FUTURE SERVICE. IN CONNECTION WITH THE SALE OF FIRSTGUARD IN 2004, FIRSTGUARD ALLOCATED ONE-HALF OF THE ESTIMATED SERP OBLIGATION TO A RABBI TRUST ESTABLISHED WITH RESPECT TO THE SERP, AND SCE ASSUMED THE BALANCE OF THE SERP OBLIGATION. MR. ELLIS RECEIVED $393,000 DISTRIBUTION FROM THE SERP IN 2010 IN ACCORDANCE WITH THE TERMS OF THAT PLAN. PRIOR TO THIS DISTRIBUTION, SCE'S COMPENSATION COMMITTEE RETAINED INDEPENDENT LEGAL COUNSEL, AND ALSO ENGAGED AN INDEPENDENT COMPENSATION CONSULTANT TO ADVISE AND ASSESS THE REASONABLENESS OF COMPENSATION PAID PURSUANT TO THE FIRSTGUARD SALE. MR. ELLIS DID NOT PARTICIPATE IN THE COMPENSATION COMMITTEE'S DELIBERATIONS ON THAT TOPIC. PROGRAM SERVICE ACCOMPLISHMENTS (CONTINUED) FORM 990, PART III, LINE 4A CREATING A ONE-STOP, INTEGRATED HEALTH CARE SYSTEM: IN 2008, SHS MADE SIGNIFICANT PROGRESS IN DEVELOPING AND IMPLEMENTING A MODEL FOR A FULLY INTEGRATED HEALTH CARE DELIVERY SYSTEM. THE REASON: WHEN PATIENTS MUST TRAVEL TO DIFFERENT SITES ON DIFFERENT DAYS TO GET ALL THE MEDICAL, DENTAL AND BEHAVIORAL HEALTH CARE THEY NEED - THE NORM IN MOST HEALTH CARE SYSTEMS - THEY OFTEN FAIL TO KEEP ONE OR MORE APPOINTMENTS. SHS' NEW INTEGRATED MODEL ALLOWS PATIENTS TO RECEIVE ONE OR MORE MEDICAL, DENTAL AND BEHAVIORAL HEALTH CARE AT ONE FACILITY DURING A SINGLE VISIT, THEREBY SAVING THEIR TIME AND MAXIMIZING THE USE OF SHS' RESOURCES. SHS CONTINUED TO BUILD UPON THE INTEGRATED HEALTHCARE SYSTEM DEVELOPMENT IN 2009 INCLUDING DISCUSSIONS WITH KEY STAKEHOLDERS IN THE COMMUNITY INCLUDING EXPANDING MEDICAL SERVICES IN DIFFERENT GEOGRAPHIC AREAS AROUND KANSAS CITY. MORE DEFINITIVE PLANNING WAS DONE IN 2010 WITH IDENTIFICATION OF FUNDING TO SUPPORT AN INTEGRATED MODEL WITHIN A LOCAL COMMUNITY MENTAL HEALTH CENTER IN THE EASTERN PORTION OF KANSAS CITY. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS A SOLE MEMBER: SWOPE COMMUNITY ENTERPRISES, A NONPROFIT 501(C)(3) ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION HAS A SOLE MEMBER: SWOPE COMMUNITY ENTERPRISES, A NONPROFIT 501(C)(3) ORGANIZATION, WHO APPROVES ALL DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7B THE ORGANIZATION HAS A SOLE MEMBER: SWOPE COMMUNITY ENTERPRISES, A NONPROFIT 501(C)(3) ORGANIZATION, WHO APPROVES ALL MATERIAL TRANSACTIONS OF SHS. FORM 990, PART VI, SECTION B, LINE 11 THE ORGANIZATION PRESENTS AND DISCUSSES A DRAFT OF ITS FORM 990 WITH THE ORGANIZATION'S SENIOR MANAGEMENT, AS WELL AS THE EXECUTIVE FINANCE COMMITTEE OF THE BOARD OF DIRECTORS. THE REMAINING BOARD MEMBERS ARE PROVIDED WITH A COPY FOR REVIEW AND COMMENT, AS WELL. COMMENTS AND QUESTIONS OF THE REVIEWING INDIVIDUALS ARE ADDRESSED BY THOSE RESPONSIBLE FOR PREPARING THE FORM 990, AND APPROPRIATE MODIFICATIONS ARE MADE TO THE DRAFT BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C ALL DIRECTORS, OFFICERS AND KEY EMPLOYEES ARE REQUIRED TO COMPLETE ANNUALLY THE CONFLICT OF INTEREST DISCLOSURE FORM AND PROVIDE PERIODIC UPDATES TO THE FORM AS MAY BE NECESSARY. ALL COMPLETED FORMS AND PERIOD UPDATES ARE PROVIDED TO GENERAL COUNSEL FOR THE CORPORATION FOR REVIEW AND SUBMISSION TO MEMBERS OF THE BOARD OF DIRECTORS. CONFLICTS IDENTIFIED THROUGH THIS PROCESS WILL REQUIRE RECUSAL OF THE DIRECTOR, OFFICER, OR KEY EMPLOYEE WHERE APPROPRIATE. FORM 990, PART VI, SECTION B, LINE 15 THE ORGANIZATION'S GOVERNANCE PROCESS FOR DETERMINING COMPENSATION OF THE PRESIDENT/CEO INCLUDES AN ANNUAL REVIEW OF SUCH COMPENSATION BY THE COMPANY'S BOARD OF DIRECTORS. IN CARRYING OUT THIS ANNUAL REVIEW, THE BOARD RETAINS INDEPENDENT COUNSEL AND ENGAGES AN INDEPENDENT COMPENSATION CONSULTANT TO ADVISE AND ASSESS THE REASONABLENESS OF THE COMPENSATION OF THE PRESIDENT/CEO AND OTHER MEMBERS OF THE SENIOR LEADERSHIP TEAM, NONE OF WHOM PARTICIPATE IN THIS REVIEW OF HIS/HER OWN COMPENSATION. THE BOARD ALSO CONSIDERS RECOMMENDATIONS FROM THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS OF SWOPE COMMUNITY ENTERPRISES, WHICH ALSO RETAINS INDEPENDENT COUNSEL AND ENGAGES AN INDEPENDENT COMPENSATION CONSULTANT TO ADVISE AND ASSESS THE REASONABLENESS OF THE COMPENSATION OF VARIOUS MEMBERS OF MANAGEMENT ACROSS THE SCE MEMBER COMPANIES, INCLUDING THE SHS PRESIDENT/CEO. THE SCE COMPENSATION COMMITTEE MET FIVE TIMES IN 2010 AND CONSIDERED COMPARABILITY DATA RELATED TO THE BASE AND TOTAL COMPENSATION PAID TO SIMILARLY SITUATED EXECUTIVES AT SIMILAR ENTITIES, AS PRESENTED BY ITS INDEPENDENT COMPENSATION CONSULTANT AND CONTEMPORANEOUSLY DOCUMENTED ITS DECISIONS AND DELIBERATIONS. FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE MADE AVAILABLE ON REQUEST. PORTIONS OF THE FORM 990 ARE INCLUDED IN ON THE COMPANY'S WEBSITE CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 1,250,484. AUDIT PROCESS FORM 990, PART XI, LINE 2C THE ORGANIZATION'S GOVERNANCE STRUCTURE INCLUDES A FINANCE COMMITTEE, WHICH IS A SEPARATE STANDING COMMITTEE OF THE BOARD OF DIRECTORS. THIS COMMITTEE ASSUMES RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT PROCESS, INCLUDING REVIEWING AND DISCUSSING THE RESULTS OF THE ANNUAL AUDIT WITH THE INDEPENDENT ACCOUNTANT AS WELL AS THE SELECTION AND ENGAGEMENT OF THE INDEPENDENT ACCOUNTANT (IN CONJUNCTION WITH THE FINANCE AND AUDIT COMMITTEE OF SWOPE COMMUNITY ENTERPRISES, PARENT AND SOLE MEMBER OF SWOPE HEALTH SERVICES. FOREIGN FINANCIAL ACCOUNT FORM 990, PART V, LINE 4B SHS INVESTS IN A PROFESSIONALLY-MANAGED PORTFOLIO SUPERVISED BY THE FINANCE COMMITTEE APPROVED BY THE BOARD OF DIRECTORS. SHS'S FORMAL INVESTMENT POLICY STATEMENT CREATES THE FRAMEWORK FOR A WELL-DIVERSIFIED PORTFOLIO, DESIGNED TO GENERATE LONG TERM RETURNS WITH AN ACCEPTABLE LEVEL OF RISK. THE PORTFOLIO IS ALLOCATED ACROSS VARIOUS TYPES OF INVESTMENTS: EQUITIES, FIXED INCOME SECURITIES, AND ALTERNATIVE INVESTMENTS. AT CERTAIN TIMES DURING 2010, AS MUCH AS 7% OF THE PORTFOLIO WAS INVESTED IN ALTERNATIVE HEDGE FUND POOLS THAT ARE INCORPORATED IN THE CAYMAN ISLANDS, IN ACCORDANCE WITH SHS'S INVESTMENT POLICY STATEMENT. THESE WERE THE ONLY ASSETS CUSTODIED OUTSIDE OF THE UNITED STATES. SWOPE COMMUNITY ENTERPRISES 3801 BLUE PARKWAY KANSAS CITY MO 64130 542081401 PERFORM STRATEGIC AND BUSINESS PLANNING FOR, AND TO COORDINATE THE ACTIVITIE MO 501(C)(3) 509(A)(3) N/A 0 SWOPE COMMUNITY BUILDERS 4001 BLUE PARKWAY SUITE 102 KANSAS CITY MO 64130 431583953 FOCUSED ON IMPROVING THE GENERAL WELL BEING OF COMMUNITIES. MO 501(C)(3) 170(B)(1) (A)(VI) SWOPE COMMUNITY ENTERPRISES 0 APPLIED URBAN RESEARCH INSTITUTE 3801 BLUE PARKWAY KANSAS CITY MO 64130 431685733 PROVIDES A FULL RANGE OF URBAN PLANNING AND RESEARCH SERVICES MO 501(C)(3) 509(A)(3) SWOPE COMMUNITY ENTERPRISES 0 SWOPE CENTER FOR CAREER ADVANCEMENT 4001 BLUE PARKWAY SUITE 270 KANSAS CITY MO 64130 260404412 WORKFORCE DEVELOPMENT MO 501(C)(3) 170(B)(1) (A)(VI) SWOPE COMMUNITY ENTERPRISES 0 SWOPE HEALTH FOUNDATION 3801 BLUE PARKWAY KANSAS CITY MO 64130 431497518 RAISE FUNDS TO SUPPORT THE CLINICAL PROGRAMS OF SWOPE HEALTH SERVICES MO 501(C)(3) 170(B)(1) (A)(VI) N/A 0 SWOPE PARKWAY HOUSING 3801 BLUE PARKWAY KANSAS CITY MO 64130 431531202 PROVIDES HOUSING TO ELDERLY AND DISABLED PERSONS. MO 501(C)(3) 170(B)(1) (A)(VI) N/A 0 SHOPS ON BLUE PARKWAY LLC 4001 BLUE PARKWAY LLC KANSAS CITY MO 64130 161753176 MANAGEMENT COMPANY MO SWOPE COMMUNITY BUILDERS INVESTMENT 0 0 SWOPE COMMUNITY ENTERPRISE SERVICES 3801 BLUE PARKWAY KANSAS CITY MO 64130 421556306 TO SUPPLY CERTAIN ADMINISTRATIVE SUPPORT SERVICES. MO SWOPE COMMUNITY ENTERPRISES C CBKC HOUSING INC 4001 BLUE PARKWAY SUITE 270 KANSAS CITY MO 64130 431803022 LOW INCOME HOUSING MO SWOPE COMMUNITY BUILDERS C CBKC HOUSING II INC 4001 BLUE PARKWAY SUITE 270 KANSAS CITY MO 64130 431937376 LOW INCOME HOUSING MO SWOPE COMMUNITY BUILDERS C SHOPS ON BLUE PARKWAY MANAGER INC 4001 BLUE PARKWAY SUITE 270 KANSAS CITY MO 64130 161753175 MANAGEMENT COMPANY MO SWOPE COMMUNITY BUILDERS C 0 0 1 0 0 0 0 0 0 1 0 1 0 0 1 1 0 0 SWOPE COMMUNITY BUILDERS J 146381 FMV SWOPE COMMUNITY BUILDERS P 346274 FMV SWOPE COMMUNITY ENTERPRISES L 265185 FMV SWOPE COMMUNITY ENTERPRISES O 93518 FMV SWOPE HEALTH FOUNDATION C 110641 FMV