2024-08-14T10:30:55-05:00 2023-09-30 111986323 MARCUM LLP 555 LONG WHARF DRIVE NEW HAVEN CT 06511 990 2022-10-01 842850813 HEALTH INFORMATION ALLIANCE INC HEAL 8887834410 10 NORTH MAIN STREET 6 WEST HARTFORD CT 061071935 JENN SEARLS EXECUTIVE DIRECTOR 8887834410 2024-08-12 1 1 MARY ANTONETTI P00431862 2037819600 2022 2024-08-08 14:25:15Z JENN SEARLS 10 NORTH MAIN STREET 6 WEST HARTFORD CT 061071935 7584352 0 X HTTPS://CONNIECT.ORG/ X 2019 CT PROVISION OF HEALTH INFORMATION TECHNOLOGY SERVICES (SEE SCHEDULE O)THE MISSION OF HEALTH INFORMATION ALLIANCE INC. OR HIA IS TO ENHANCE THE HEALTH AND WELL-BEING OF CONNECTICUT RESIDENTS THROUGH THE PROVISION OF HEALTH INFORMATION TECHNOLOGY SERVICES. THESE SERVICES EMPOWER CONSUMERS TO MAKE EFFECTIVE HEALTH CARE DECISIONS AND PROMOTE PATIENT CENTERED CARE. THEY ALSO IMPROVE THE QUALITY, SAFETY, AND VALUE OF HEALTH CARE, WHILE REDUCING THE WASTE AND DUPLICATION OF SERVICES. THIS WILL SUPPORT CLINICAL DECISION-MAKING, KEEP CONFIDENTIAL HEALTH INFORMATION SECURE, AND MAKE PROGRESS TOWARD THE STATES PUBLIC HEALTH GOALS.THE MAJOR PROGRAMS ARE:1. ENHANCING THE PROPRIETARY SOFTWARE TO ALLOW FOR NEW FUNCTIONAL SERVICES SUCH AS IMAGE EXCHANGE AND E-REFERRALS.2. DEVELOPING DATA-SHARING USE CASES TO EXPAND ON HEALTH INFORMATION EXCHANGE OPPORTUNITIES SUCH AS DENTAL HEALTH AND ELECTRONIC CASE REPORTING. 9 9 2 10 0 0 6628017 6896168 944840 688184 0 0 0 0 7572857 7584352 0 0 0 0 2016910 2647435 0 0 0 3629579 4166799 5646489 6814234 1926368 770118 5859686 7327807 553731 1251734 5305955 6076073 X HEALTH INFORMATION ALLIANCE, INC. ("HIA") WAS INCORPORATED AS AN INDEPENDENT, NOT-FOR-PROFIT, NEUTRAL, AND TRUSTED ORGANIZATION TO PROVIDE CONNECTICUT'S STATEWIDE HEALTH INFORMATION EXCHANGE (HIE) SERVICES, UNDER THE BRAND NAME CONNIE. (SEE SCHEDULE O)THE COMPANY WAS ESTABLISHED ON JULY 17, 2019 PURSUANT TO CGS SEC. 17B-59D TO EMPOWER CONSUMERS TO MAKE EFFECTIVE HEALTH CARE DECISIONS, PROMOTE PATIENT-CENTERED CARE, IMPROVE THE QUALITY, SAFETY, AND VALUE OF HEALTH CARE, REDUCE WASTE AND DUPLICATION OF SERVICES, SUPPORT CLINICAL DECISION-MAKING, KEEP CONFIDENTIAL HEALTH INFORMATION SECURE AND MAKE PROGRESS TOWARD THE STATE'S PUBLIC HEALTH GOALS. 0 0 5831829 688184 HIA LAUNCHED HEALTH INFORMATION EXCHANGE SERVICES TO PROVIDE VALUE TO THE HEALTH ECOSYSTEM ACROSS CONNECTICUT. DURING 2021, HIA OFFICIALLY COMMENCED OPERATIONS AND HAS ONBOARDED HUNDREDS OF PARTICIPATING ORGANIZATIONS. HIA HAS BECOME A CENTRALIZED SOURCE FOR THE SEAMLESS TRANSFER OF DATA BETWEEN DIFFERENT INTERESTED PARTIES INCLUDING HOSPITALS AND HEALTH SYSTEMS, LABS, PROVIDERS, AND OTHER HEALTH INFORMATION EXCHANGES. HIA CONTINUALLY DEVELOPS AND ENHANCES FUNCTIONAL SERVICES TO ADD VALUABLE DATA AND INFORMATION FOR PROVIDERS AND PATIENTS ALIKE. 5831829 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 16 0 1 2 1 0 0 0 0 0 0 0 0 0 0 0 0 X 9 9 0 0 0 0 0 1 0 1 1 0 0 0 1 1 1 0 0 1 1 0 X JENN SEARLS EXECUTIVE DIRECTOR 8887834410 10 NORTH MAIN STREET 6 WEST HARTFORD CT 061071935 X ALLEN DAVIS BOARD MEMBER 0.75 X 0 0 0 LISA STUMP BOARD MEMBER 0.75 X 0 0 0 PATRICK CHARMEL BOARD MEMBER 0.75 X 0 0 0 STACIA GROSSO BOARD MEMBER 0.75 X 0 0 0 CLAUDIO GUALTIERI TREASURER 0.75 X X 0 0 0 DEIDRE GIFFORD BOARD MEMBER (LEFT 1/23) 0.75 X 0 0 0 JOSE CRESPO BOARD MEMBER 0.75 X 0 0 0 SUMIT SAJNANI CHAIR 0.75 X X 0 0 0 ANDREA BARTON REEVES BOARD MEMBER (FROM 1/4/23) 0.75 X 0 0 0 MARK RAYMOND BOARD MEMBER 0.75 X 0 0 0 JENN SEARLS EXECUTIVE DIRECTOR 40.00 X 319894 0 31200 MICHELLE PUHLICK CHIEF OPERATING OFFICER 40.00 X 256370 0 31200 576264 0 62400 2 0 1 0 CRISP 7160 COLUMBIA GATEWAY DRIVE STE 10 COLUMBIA MD 21046 IT/INFRASTRUCTURE SUPPORT SERVICES 3828293 UCONN HEALTH 263 FARMINGTON AVE FARMINGTON CT 06030 CONSULTING SERVICES 622587 SECURE EXCHANGE SOLUTIONS 9600 BLACKWELL ROAD STE 250 ROCKVILLE MD 20850 CLINICAL EXCHANGE SOFTWARE SERVICES 435000 3 6896168 6896168 SERVICE REVENUE 518210 688184 688184 688184 7584352 688184 0 0 X 693772 557294 136478 1924948 1630108 294840 28715 22972 5743 226695 162223 64472 102585 102585 3561842 3426052 135790 16856 16856 32606 32606 7936 7936 25810 8221 17589 9978 2848 7130 167896 167896 MEMBERSHIP DUES 14389 5255 9134 AWARDS 206 206 6814234 5831829 982405 0 2641811 3705520 2906200 3365686 311675 256601 5859686 7327807 553731 1251734 553731 1251734 X 0 0 0 0 5305955 6076073 5305955 6076073 5859686 7327807 770118 0 X X 0 1 X 1 1 1 X 367153 12133598 6628017 6896168 26024936 367153 12133598 6628017 6896168 26024936 26024936 26024936 1633024 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 X 7584352 0 7584352 0 7584352 6814234 0 6814234 0 6814234 PART X, LINE 2: THE COMPANY HAS BEEN RECOGNIZED BY THE INTERNAL REVENUE SERVICE AS A NOT-FOR-PROFIT ENTITY AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND IS EXEMPT FROM FEDERAL INCOME TAXES EXCEPT FOR UNRELATED BUSINESS INCOME. THE COMPANY DID NOT RECEIVE ANY UNRELATED BUSINESS INCOME FOR THE YEARS ENDED SEPTEMBER 30, 2023 AND 2022. THE COMPANY ACCOUNTS FOR UNCERTAIN TAX PROVISIONS UNDER FASB ASC 740, INCOME TAXES, WHICH PROVIDES A FRAMEWORK FOR HOW ENTITIES SHOULD RECOGNIZE, MEASURE, PRESENT AND DISCLOSE UNCERTAIN TAX POSITIONS IN THEIR FINANCIAL STATEMENTS. THE COMPANY MAY RECOGNIZE THE TAX BENEFIT FROM AN UNCERTAIN TAX POSITION ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY THE TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. THE TAX BENEFITS RECOGNIZED IN THE FINANCIAL STATEMENTS FROM SUCH POSITION ARE MEASURED BASED ON THE LARGEST BENEFIT THAT HAS A GREATER THAN 50% LIKELIHOOD OF BEING REALIZED UPON ULTIMATE SETTLEMENT. THE COMPANY DOES NOT HAVE ANY UNCERTAIN TAX POSITIONS AS OF SEPTEMBER 30, 2023 AND 2022. AS OF SEPTEMBER 30, 2023 AND 2022, THE COMPANY DID NOT RECORD ANY PENALTIES OR INTEREST ASSOCIATED WITH UNCERTAIN TAX POSITIONS. THERE ARE NO TAX EXAMINATIONS PENDING OR IN PROGRESS. X X X X 0 0 0 0 0 0 0 1 0 JENN SEARLS EXECUTIVE DIRECTOR 283594 0 36300 0 0 0 0 0 31200 0 351094 0 0 0 MICHELLE PUHLICK CHIEF OPERATING OFFICER 227990 0 28380 0 0 0 0 0 31200 0 287570 0 0 0 PART I, LINE 7 AT THE END OF THE YEAR, PERFORMANCE OF EACH INDIVIDUAL IS REVIEWED IN LINE WITH CERTAIN CRITERIA. THE EXECUTIVE DIRECTOR'S PERFORMANCE IS REVIEWED BY THE BOARD OF DIRECTORS, AND THE COO'S PERFORMANCE IS REVIEWED BY THE EXECUTIVE DIRECTOR. BASED ON THE OVERALL REVIEW OF THEIR PERFORMANCE AND GOALS MET, A BONUS AMOUNT IS DETERMINED, WHICH IS THEN APPROVED BY THE BOARD. DURING THE YEAR ENDED SEPTEMBER 30, 2023, THE BONUS AMOUNTS FOR THE FOLLOWING INDIVIDUALS WERE DETERMINED USING THIS PROCESS: JENN SEARLS MICHELLE PUHLICK FORM 990, PART VI, SECTION A, LINE 7A SECTION 3.3 OF THE BYLAWS DEFINES THE COMPOSITION OF THE BOARD OF DIRECTORS AS FOLLOWS: THE BOARD SHALL BE COMPRISED OF THE FOLLOWING EIGHT MEMBERS: (I) ONE MEMBER WHO SHALL HAVE EXPERTISE AS AN ADVOCATE FOR CONSUMERS OF HEALTH CARE, APPOINTED BY THE GOVERNOR; (II) ONE MEMBER WHO SHALL HAVE EXPERTISE AS A CLINICAL MEDICAL DOCTOR, APPOINTED BY THE PRESIDENT PRO TEMPORE OF THE SENATE; (III) ONE MEMBER WHO SHALL HAVE EXPERTISE IN THE AREA OF HOSPITAL ADMINISTRATION, APPOINTED BY THE SPEAKER OF THE HOUSE OF REPRESENTATIVES; (IV) ONE MEMBER WHO SHALL HAVE EXPERTISE IN THE AREA OF CORPORATE LAW OR FINANCE, APPOINTED BY THE MINORITY LEADER OF THE SENATE; (V) ONE MEMBER WHO SHALL HAVE EXPERTISE IN GROUP HEALTH INSURANCE COVERAGE, APPOINTED BY THE MINORITY LEADER OF THE HOUSE OF REPRESENTATIVES; (VI) THE CHIEF INFORMATION OFFICER AND THE SECRETARY OF THE OFFICE OF POLICY AND MANAGEMENT, OR THEIR DESIGNEES, WHO SHALL SERVE AS EX OFFICIO, VOTING MEMBERS OF THE BOARD; (VII) THE HEALTH INFORMATION TECHNOLOGY OFFICER, DESIGNATED IN ACCORDANCE WITH SECTION 19A-754A OF THE CONNECTICUT GENERAL STATUTES, WHO SHALL SERVE AS CHAIRPERSON OF THE BOARD; AND (VIII) THE COMMISSIONER OF THE DEPARTMENT OF SOCIAL SERVICES, OR THE COMMISSIONER'S DESIGNEE, WHO SHALL SERVE AS EX-OFFICIO, VOTING MEMBER OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B HIA'S FORM 990 IS PREPARED BY AN INDEPENDENT ACCOUNTING FIRM AND REVIEWED BY MANAGMENT PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C HIA HAS A CONFLICT OF INTEREST POLICY DESIGNED TO SUPPLEMENT, BUT NOT REPLACE, THE CODE OF ETHICS FOR PUBLIC OFFICIALS OF THE STATE OF CONNECTICUT SET FORTH IN CHAPTER 10, SECTIONS 1-79 ET, SEQ. OF THE CONNECTICUT GENERAL STATUES, INCLUDING BUT NOT LIMITED TO SECTIONS 1-84 & 1-85 REGARDING INTERESTS IN CONFLICT WITH DISCHARGE OF A PUBLIC OFFICIAL'S DUTIES, AS WELL AS ANY OTHER APPLICABLE FEDERAL OR STATE LAWS GOVERNING CONFLICTS OF INTEREST APPLCIABLE TO NON PROFIT OR ALL TYPES OF CORPORATIONS. IN CONNECTION WITH ANY ACTUAL OR POSSIBLE CONFLICT OF INTEREST, AN INTERESTED PERSON MUST DISCLOSE THE EXISTENCE OF HIS OR HER FINANCIAL INTEREST AND MUST BE GIVEN THE OPPORTUNITY TO DISCLOSE ALL MATERIAL FACTS TO THE CORPORATION'S DIRECTORS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. IF AN INTERESTED PERSON BELIEVE THAT HE OR SHE HAS A CONFLICT OF INTEREST, SUCH PERSON SHALL RECUSE HIMSELF OR HERSELF FROM ALL FURTHER DISCUSSIONS WITH RESPECT TO THE MATTER GIVING RISE TO THE CONFLICT OF INTEREST AND SHALL NOT VOTE ON ANY MATTERS WITH RESPECT THERETO. AN INTERESTED PERSON IS UNCERTAIN AS TO WHETHER HE OR SHE HAS A CONFLICT OF INTEREST, HE OR SHE SHALL SEEK A DETERMINATION BY THE BOARD OF DIRECTORS AS TO WHETHER A CONFLICT OF INTEREST EXISTS. SUCH INTERESTED PERSON SHALL BE BOUND BY A DECISION OF THE BOARD OF DIRECTORS WITH RESPECT TO THE EXISTENCE OF A CONFLICT OF INTEREST. AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS, AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, THE INTERESTED PERSON SHALL LEAVE THE BOARD MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS DISCUSSED AND VOTED UPON. THE REMAINING BOARD MEMBERS SHALL DECIDE A CONFLICT OF INTEREST EXISTS. THE FOLLOWING PROCEDURES EXIST REGARDING POSSIBLE CONFLICTS OF INTEREST: A. AN INTERESTED PERSON MAY MAKE A PRESENTATION AT THE BOARD MEETING, BUT AFTER SUCH PRESENTATION, HE OR SHE SHALL LEAVE THE MEETING DURING THE DISCUSSION OF, AND THE VOTE ON, THE TRANSACTION OR ARRANGEMENT THAT GIVES RISE TO THE CONFLICT OF INTEREST. B. THE REMAINING DIRECTORS SHALL, THEY, IN THEIR SOLE DISCRETION DETERMINE APPROPRIATE, APPOINT A DISINTERESTED PERSON OR COMMITTEE TO INVESTIGATE ALTERNATIVES TO THE PROPOSED TRANSACTION OR ARRANGEMENT. C. AFTER EXERCISING DUE DILIGENCE, THE BOARD OR COMMITTEE SHALL DETERMINE WHETHER THE CORPORATION CAN OBTAIN A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT WITH REASONABLE EFFORTS FROM A PERSON OR ENTITY THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST. D. IF A MORE ADVANTAGEOUS TRANSACTION OR ARRANGEMENT IS NOT REASONABLY ATTAINABLE UNDER CIRCUMSTANCES THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST, THE BOARD SHALL DETERMINE BY A MAJORITY VOTE OF THE DISINTERESTED DIRECTORS WHETHER THE TRANSACTION OR ARRANGEMENT IS IN THE CORPORATION'S BEST INTEREST AND FOR ITS OWN BENEFIT AND WHETHER THE TRANSACTION IS FAIR AND REASONABLE TO THE CORPORATION AND SHALL MAKE ITS DECISION AS TO WHETHER TO ENTER INTO THE TRANSACTION OR ARRANGEMENT IN CONFORMITY WITH SUCH DETERMINATION. THE MINUTES OF THE MEETING OF THE BOARD OF DIRECTORS SHALL DOCUMENT THE MEETING REGARDING A POTENTIAL CONFLICT OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 EMPLOYEE COMPENSATION IS GOVERNED BY BOARD POLICY. EMPLOYEES COMPENSATED BY THE ORGANIZATION ARE EVALUATED ANNUALLY FOR THEIR PERFORMANCE, SEEK INPUT ON MATTERS OF PERFORMANCE AND COMPENSATION, AND HAVE A REASONABLENESS DETERMINATION CONDUCTED WITH RESPECT TO PROPOSED COMPENSATION. RESEARCH AND INFORMATION TO MAKE RECOMMENDATIONS FOR COMPENSATION BASED ON A REVIEW OF COMPARABILITY DATA ARE OBTAINED DURING THIS PROCESS AND HOW CONCLUSIONS ARE REACHED, INCLUDING THE DATA RELIED UPON, ARE DOCUMENTED. DECISIONS REGARDING REASONABLENESS OF THE COMPENSATION ARRANGEMENTS ARE ARRIVED AT INDEPENDENTLY WITHOUT UNDUE INFLUENCE FROM ANY OF THE INDIVIDUALS WHOSE COMPENSATION IS BEING DETERMINED. FORM 990, PART VI, SECTION C, LINE 19 HIA WILL MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. 990 PART VII, SECTION B, LINE 1: PAYMENTS TO CRISP, LISTED AS AN INDEPENDENT CONTRACTOR, INCLUDE AMOUNTS PAID FOR THE STAFF OF HEALTH INFORMATION ALLIANCE. THESE INDIVIDUALS RECEIVE THEIR W-2S FROM CRISP, PAID BY HEALTH INFORMATION ALLIANCE AS A PASS-THROUGH AMOUNT. HEALTH INFORMATION ALLIANCE TREATS THE STAFF FROM CRISP AS ITS OWN EMPLOYEES IN EVERY OTHER WAY, AND SO THESE COMPENSATION AMOUNTS ARE INCLUDED AS SALARY EXPENSE ON THE STATEMENT OF FUNCTIONAL EXPENSES AND ALSO INCLUDED ON PART VII, SECTION B FOR THE CALENDAR YEAR ENDING WITHIN THE FISCAL YEAR OF HEALTH INFORMATION ALLIANCE. FORM 990, PART IX, LINE 11G BUCKNER CONSULTING GROUP: PROGRAM SERVICE EXPENSES 56,375. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 56,375. CASTLEMARK CONSULTING: PROGRAM SERVICE EXPENSES 80,450. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 80,450. COMMUNICATEHEALTH: PROGRAM SERVICE EXPENSES 96,673. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 96,673. CRISP SHARED SERVICES (CSS): PROGRAM SERVICE EXPENSES 2,385,384. MANAGEMENT AND GENERAL EXPENSES 34,000. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,419,384. DEFINITIVE HEALTHCARE: PROGRAM SERVICE EXPENSES 54,000. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 54,000. DELLA HUGHES CONSULTING: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 1,000. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 1,000. EPLUS: PROGRAM SERVICE EXPENSES 38,001. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 38,001. HES ADVISORS, LLC: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 43,141. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 43,141. INNSENA: PROGRAM SERVICE EXPENSES 69,575. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 69,575. IMAJ ASSOCIATES: PROGRAM SERVICE EXPENSES 15,000. MANAGEMENT AND GENERAL EXPENSES 15,000. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 30,000. ITHP: PROGRAM SERVICE EXPENSES 147,225. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 147,225. MICHAEL MATTHEWS: PROGRAM SERVICE EXPENSES 8,938. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 8,938. NOVUS INSIGHT: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 14,670. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 14,670. SECURE EXCHANGE SOLUTIONS: PROGRAM SERVICE EXPENSES 217,500. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 217,500. UCONN HEALTH: PROGRAM SERVICE EXPENSES 256,931. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 256,931. WTW: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 27,979. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 27,979. FORM 990, PART XII, LINE 2C: THE FINANCE AND AUDIT COMMITTEE ARE RESPONSIBLE FOR SELECTING AN INDEPENDENT AUDIT FIRM AND OVERSEEING THE FINANCIAL STATEMENT PREPARATION PROCESS. THE FINANCE AND AUDIT COMMITTEE PROVIDES THE STATUS OF FINANCIAL REPORTING AND OBTAINS BOARD APPROVAL FOR DESIGNATION OF AN AUDIT FIRM DURING THE BOARD MEETINGS.