efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93493134012526 Return of Organization Exempt From Income Tax OMB No 1545-0047 Form 990 Under section 501(c), 527, or 4947 ( a)(1) of the Internal Revenue Code ( except private foundations) 2O1 3 Do not enter Social Security numbers on this form as it may be made public By law, the IRS Department of the Treasury Open generally cannot redact the information on the form Internal Revenue Service Inspection - Information about Form 990 and its instructions is at www.IRS.gov/form990
For the 2013 calendar year, or tax year beginning 07-01-2013 , 2013, and ending 06-30-2014 C Name of organization B Check if applicable D Employer identification number UNIVERSITY OF ROCHESTER F Address change 16-0743209 Doing Business As F Name change fl Initial return Number and street (or P 0 box if mail is not delivered to street address) Room/suite E Telephone number 910 GENESES STREET p Terminated (585)275-2800 F Amended return City or town, state or province, country, and ZIP or foreign postal code ROCHESTER, NY 146113847 1 Application pending G Gross receipts $ 4,133,004,346
F Name and address of principal officer H(a) Is this a group return for JOEL S SELIGMAN subordinates? (-Yes No 208 WALLIS HALL ROCHESTER,NY 14627 H(b) Are all subordinates 1Yes(-No included? I Tax-exempt status F 501(c)(3) 1 501(c) ( ) I (insert no ) (- 4947(a)(1) or F_ 527 If "No," attach a list (see instructions)
J Website : - www rochester edu H(c) Group exemption number 0-
K Form of organization F Corporation 1 Trust F_ Association (- Other 0- L Year of formation 1850 M State of legal domicile NY Summary 1 Briefly describe the organization's mission or most significant activities PROVISION OF HIGHER EDUCATION IN THE LIBERAL ARTS AND SCIENCES, MEDICINE AND DENTISTRY, NURSING AND MUSIC, AS WELL AS MAINTAINING THE STRONG MEMORIAL HOSPITAL w
2 Check this box Of- if the organization discontinued its operations or disposed of more than 25% of its net assets
3 Number of voting members of the governing body (Part VI, line 1a) ...... 3 50 of :2 4 Number of independent voting members of the governing body (Part VI, line 1 b) . . . . 4 44 5 Total number of individuals employed in calendar year 2013 (Part V, line 2a) . 5 28,551 6 Total number of volunteers (estimate if necessary) 6 7,073 7aTotal unrelated business revenue from Part VIII, column (C), line 12 . 7a 10,953 b Net unrelated business taxable income from Form 990-T, line 34 ...... 7b -3,013,862 Prior Year Current Year 8 Contributions and grants (Part VIII, line 1h) . 368,529,261 356,349,742 9 Program service revenue (Part VIII, line 2g) . 2,225,089,513 2,366,474,111 N 10 Investment income (Part VIII, column (A), lines 3, 4, and 7d . 132,076,317 117,138,508 11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 25,248,793 27,286,495 12 Total revenue-add lines 8 through 11 (must equal Part VIII, column (A), line 12) ...... 2,750,943,884 2,867,248,856 13 Grants and similar amounts paid (Part IX, column (A), lines 1-3) 162,473,998 177,930,185 14 Benefits paid to or for members (Part IX, column (A), line 4) . 0 0 15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5-10) 1,606,722,641 1,676,283,529 16a Professional fundraising fees (Part IX, column (A), line 11e) 280,432 391,353
b Total fundraising expenses (Part IX, column (D), line 25) 0-41,676,525 LLJ 17 Other expenses (Part IX, column (A), lines 11a-11d, 11f-24e) . . . . 886,457,310 921,931,552 18 Total expenses Add lines 13-17 (must equal Part IX, column (A), line 25) 2,655,934,381 2,776,536,619 19 Revenue less expenses Subtract line 18 from line 12 95,009,503 90,712,237 Beginning of Current End of Year Year 20 Total assets (Part X, l i n e 1 6 ) ...... 4,385,214,942 4,954,770,249 M % TS 21 Total l i a b i l i t i e s (Part X, l i n e 2 6 ) ...... 1,668,708,570 1,878,140,871 ZLL 22 Net assets or fund balances Subtract line 21 from line 20 2,716,506,372 3,076,629,378 lijaW Signature Block Under penalties of perjury, I declare that I have examined this return, includin my knowledge and belief, it is true, correct, and complete Declaration of preps preparer has any knowledge
Signature of officer Sign Here HOLLY G CRAWFORD SRVP ADM IN/FIN & CFO Type or print name and title
Print/Type preparer's name Preparers signature ANTONIO C RUSSO Paid Firm's name 1- PricewaterhouseCoopers LLP Pre pare r Use Only Firm's address -2001 MARKET ST SUITE 1700 PHILADELPHIA, PA 19103 May the IRS discuss this return with the preparer shown above? (see instructs
For Paperwork Reduction Act Notice, see the separate instructions. Form 990 (2013) Page 2 Statement of Program Service Accomplishments Check if Schedule 0 contains a response or note to any line in this Part III .F 1 Briefly describe the organization's mission PROVISION OF HIGHER EDUCATION IN THE LIBERAL ARTS AND SCIENCES, MEDICINE AND DENTISTRY, NURSING AND MUSIC, AS WELL AS OPERATING AND MAINTAINING THE STRONG MEMORIAL HOSPITAL
2 Did the organization undertake any significant program services during the year which were not listed on the prior Form 990 or 990-EZ? ...... fl Yes F No If "Yes," describe these new services on Schedule 0 3 Did the organization cease conducting, or make significant changes in how it conducts, any program services? ...... F Yes F No If "Yes," describe these changes on Schedule 0 4 Describe the organization's program service accomplishments for each of its three largest program services, as measured by expenses Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported
4a (Code ) (Expenses $ 592,911,736 including grants of $ 177,904,185 ) (Revenue $ 457,418,250 EDUCATIONAL ACTIVITIES - THE UNIVERSITY IS COMPRISED OF SIX SCHOOLS OFFERING PROGRAMS FROM UNDERGRADUATE TO POST-DOCTORAL DEGREES THESE ARE THE SCHOOL OF ARTS AND SCIENCES, THE HAJIM SCHOOL OF ENGINEERING, THE WARNER SCHOOL OF EDUCATION AND HUMAN DEVELOPMENT, EASTMAN SCHOOL OF MUSIC, SIMON GRADUATE SCHOOL OF BUSINESS ADMINISTRATION, SCHOOL OF NURSING, AND SCHOOL OF MEDICINE AND DENTISTRY THERE ARE ALSO A NUMBER OF IMPORTANT CENTERS OF ACADEMIC EXCELLENCE, FOR EXAMPLE, THE INSTITUTE OF OPTICS, THE LABORATORY FOR LASER ENERGETICS, THE WILMOT CANCER CENTER, AND THE FLAUM EYE INSTITUTE THE FULL-TIME FACULTY OF THE SCHOOL OF MEDICINE AND DENTISTRY PROVIDE CLINICAL SERVICES AS PART OF THE ACADEMIC MEDICAL PROGRAM, THIS ACTIVITY OCCURS 100 PERCENT WITHIN THE MEDICAL SCHOOL AND IS INTERNALLY ORGANIZED AND SUPERVISED AS URMFG OR UNIVERSITY OF ROCHESTER MEDICAL FACULTY GROUP THERE ARE 1,329 FULL-TIME TENURED FACULTY MEMBERS AND 10,606 UNDERGRADUATE AND GRADUATE STUDENTS ENROLLED IN THE UNIVERSITY THE UNIVERSITY HAS ALWAYS PLACED FINANCIAL AID FOR ITS STUDENTS AMONG ITS HIGHEST PRIORITIES THE AVERAGE SCHOLARSHIP COVERS ABOUT 40 PERCENT OF THE COST OF ATTENDING THE UNIVERSITY OF ROCHESTER THE UNIVERSITY IS COMMITTED TO OFFERING THE HIGHEST QUALITY EDUCATION TO ITS STUDENTS, REGARDLESS OF THEIR ECONOMIC CIRCUMSTANCES OR BACKGROUND FOR EXAMPLE, THE UNIVERSITY HAS A PROGRAM TO EXPAND HIGHER EDUCATION OPPORTUNITIES FOR STUDENTS FROM THE ROCHESTER CITY SCHOOL DISTRICT (RCSD), A DISTRICT WITH ONE OF THE HIGHEST POVERTY AND SCHOOL DROPOUT RATES IN NEW YORK STATE THE UNIVERSITY PROVIDES $25,000 PER YEAR FOR FOUR YEARS TO EVERY GRADUATE OF THE SCHOOL DISTRICT WHO IS ADMITTED TO THE UNIVERSITY'S COLLEGE OF ARTS, SCIENCES AND ENGINEERING, THIS IS EQUIVALENT TO AN AWARD OF $100,000 FOR EACH STUDENT THROUGH THE ENDOWMENT, THE UNIVERSITY PERPETUATES AND ENHANCES ITS EDUCATIONAL, RESEARCH, CLINICAL CARE PROGRAMS AND PUBLIC SERVICE MISSIONS THIS COMMITMENT REQUIRES AN ENDOWMENT PAYOUT OF 5 9 PERCENT CALCULATED ON A ROLLING FIVE-YEAR AVERAGE OF THE ENDOWMENT'S MARKET VALUE THE UNIVERSITY'S ENDOWMENT CONSISTS LARGELY OF INDIVIDUAL FUNDS THANKS TO THE GENEROSITY OF CHARITABLE DONORS THE DONORS OF THESE GIFTS OFTEN SPECIFY AND RESTRICT THE PURPOSES FOR WHICH THE INCOME MAY BE SPENT TO ENSURE LONG-TERM BENEFITS
4b (Code ) (Expenses $ 284,559,668 including grants of $ 0 ) (Revenue $ 91,312,899 ) SPONSORED RESEARCH ACTIVITIES - THE UNIVERSITY IS A CENTER FOR PROGRAMS OF RESEARCH MUCH OF THE RESEARCH IS FUNDED IN SUBSTANTIAL PART BY PRIVATE AND GOVERNMENTAL AGENCIES RESEARCH IS UNDERTAKEN IN THE PUBLICS' INTEREST AND ALL RESULTS ARE AVAILABLE TO THE PUBLIC DURING THE 2013-2014 FISCAL YEAR, THERE WERE 5,578 GRANTS AND CONTRACTS IN EFFECT THAT TOTALED $344,622,203 IN REVENUE
4c (Code ) ( Expenses $ 1,624,607,048 including grants of $ 0 ) (Revenue $ 1,746,294,121 ) SERVICES OF HOSPITAL AND CLINICS- THE UNIVERSITY OF ROCHESTER (THE "UNIVERSITY") TO SUPPORT THE TEACHING AND RESEARCH MISSIONS OF ITS SCHOOL OF MEDICINE AND DENTISTRY AND ITS SCHOOL OF NURSING OPERATES A TERTIARY CARE, TEACHING HOSPITAL THAT PROVIDES HEALTH CARE SERVICES THROUGH ITS INPATIENT, OUTPATIENT AND EMERGENCY FACILITIES THE MEDICAL STAFF OF THE HOSPITAL IS THE FACULTY OF THE SCHOOL OF MEDICINE AND DENTISTRY THE ACADEMIC DEPARTMENT CHAIRS ALSO FUNCTION AS THE DEPARTMENT HEADS OF THE MEDICAL SERVICES IN THE HOSPITAL THERE ARE EXTENSIVE INTERN AND RESIDENT PROGRAMS THE HOSPITAL PROVIDES CARE REGARDLESS OF THE PATIENT'S ABILITY TO PAY FOR SERVICES THERE WERE 271,452 PATIENT DAYS AND 1,361,273 EMERGENCY AND CLINICAL VISITS DURING THE 2013-2014 FISCAL YEAR IN ADDITION TO BEING A TEACHING FACILITY, THE HOSPITAL OPERATES IN A CHARITABLE MANNER CONSISTENT WITH THE REQUIREMENTS OF INTERNAL REVENUE CODE SECTION 501(C)(3) AND THE "COMMUNITY BENEFIT STANDARD" OF IRS REVENUE RULING 69-545 IN THIS REGARD, THE GOVERNING BODY OF THE ORGANIZATION IS COMPOSED OF PROMINENT CITIZENS IN THE COMMUNITY MEDICAL STAFF PRIVILEGES IN THE HOSPITAL ARE AVAILABLE TO ALL QUALIFIED PHYSICIANS IN THE AREA WHO ALSO CAN QUALIFY AS FULL OR PART-TIME FACULTY OF THE SCHOOL OF MEDICINE AND DENTISTRY, THE HOSPITAL MAINTAINS A FULL-TIME EMERGENCY ROOM OPEN TO ALL REGARDLESS OF ABILITY TO PAY, THE HOSPITAL PROVIDES CARE TO NEEDY MEMBERS OF ITS COMMUNITY WITH ITS CHARITY CARE POLICY REGARDLESS OF THEIR ABILITY TO PAY FOR SERVICES AND ADMITS AS PATIENTS THOSE ABLE TO PAY FOR CARE, EITHER THEMSELVES OR THROUGH THIRD-PARTY PAYERS SUCH AS PRIVATE HEALTH INSURANCE OR GOVERNMENT PROGRAMS SUCH AS MEDICARE AND MEDICAID THE HOSPITAL'S EXCESS FUNDS ARE GENERALLY APPLIED TO EXPANSION AND REPLACEMENT OF EXISTING FACILITIES AND EQUIPMENT, MEDICAL RESEARCH, AMORTIZATION OF INDEBTEDNESS, IMPROVEMENTS IN PATIENT CARE, COMMUNITY BENEFIT ACTIVITIES AND CHARITY CARE
4d Other program services (Describe in Schedule 0 ) (Expenses $ 90,585,833 including grants of $ 0 ) (Revenue $ 71,448,841 )
4e Total program service expenses 1- 2,592,664,285 Form 990 (2013) Form 990 (2013) Page 3 Checklist of Required Schedules Yes No 1 Is the organization described in section 501(c)(3) or4947(a)(1) (other than a private foundation)? If "Yes," Yes complete Schedule As ...... 1 2 Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? . . 2 No 3 Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to No candidates for public office? If "Yes,"complete Schedule C, Part Is ...... 4 Section 501 ( c)(3) organizations . Did the organization engage in lobbying activities, or have a section 501(h) Yes election in effect during the tax year? If "Yes,"complete Schedule C, Part II ...... 4 5 Is the organization a section 501 (c)(4), 501 (c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Revenue Procedure 98-19? If "Yes," complete Schedule C, N o Part HIS ...... 5 6 Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If "Yes,"complete Yes Schedule D, Part I ...... 6 7 Did the organization receive or hold a conservation easement, including easements to preserve open space, No the environment, historic land areas, or historic structures? If "Yes,"complete Schedule D, Part IIS . . 7 8 Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes," Yes complete Schedule D, Part III IN ...... 8 9 Did the organization report an amount in Part X, line 21 for escrow or custodial account liability, serve as a custodian for amounts not listed in Part X, or provide credit counseling, debt management, credit repair, or debt No negotiation services? If "Yes," complete Schedule D, Part IV ...... 9
10 Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, 10 Yes permanent endowments, or quasi-endowments? If "Yes, " complete Schedule D, Part V . 11 If the organization's answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, VII, VIII, IX, or X as applicable a Did the organization report an amount for land, buildings, and equipment in Part X, line 10? Yes If "Yes," complete Schedule D, Part VI...... lla b Did the organization report an amount for investments-other securities in Part X, line 12 that is 5% or more of Yes its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIIS ...... llb c Did the organization report an amount for investments-program related in Part X, line 13 that is 5% or more of No its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIII ...... llc d Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets No reported i n Part X, l i n e 16? If "Yes," complete Schedule D, Part IX' ...... lld e Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part X lle Yes f Did the organization's separate or consolidated financial statements for the tax year include a footnote that llf No addresses the organization's liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part X...... 12a Did the organization obtain separate, independent audited financial statements for the tax year? If "Yes," complete Schedule D, Parts XI and XII ...... 12a N o b Was the organization included in consolidated, independent audited financial statements for the tax year? If 12b Yes "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional IN I 13 Is the organization a school described in section 170(b)(1)(A)(ii)? If "Yes,"completeScheduleE 13 Yes 14a Did the organization maintain an office, employees, or agents outside of the United States? . 14a Yes b Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts I and IV ...... 14b Yes 15 Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or 15 No for any foreign organization? If "Yes," complete Schedule F, Parts II and IV 95 1 16 Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other No assistance to or for foreign individuals? If "Yes," complete Schedule F, Parts III and IV . . 16 17 Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part 17 Yes IX, column (A), lines 6 and Ile? If "Yes," complete Schedule G, PartI (seeinstructions) . . . . 95 1 18 Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part Yes VIII, lines 1c and 8a? If "Yes," complete Schedule G, Part II ...... 18 19 Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If 19 No "Yes," complete Schedule G, Part III ...... 95 1 20a Did the organization operate one or more hospital facilities? If "Yes,"completeScheduleH . . 20a Yes b If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return? 95 20b Yes Form 990 (2013) Form 990 (2013) Page 4 Checklist of Required Schedules (continued) 21 Did the organization report more than $5,000 of grants or other assistance to any domestic organization or government on Part IX, column (A), line 1? If "Yes, "complete Schedule I, Parts I and II . . . IN 22 Did the organization report more than $5,000 of grants or other assistance to individuals in the United States on Part IX, column (A), line 2? If "Yes," complete Schedule I, Parts I and III ...... S 23 Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's Yes current and former officers, directors, trustees, key employees, and highest compensated employees? If "Yes," 23 complete Schedule J ...... IN 24a Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If"Yes," answer lines 24b through 24d Yes and complete Schedule K. If "No,"go to line 25a ...... 24a
b Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? 24b N o c Did the organization maintain an escrow account other than a refunding escrow at any time during the year No to defease any tax-exempt bonds? . 24c d Did the organization act as an on behalf of issuer for bonds outstanding at any time during the year? 24d No 25a Section 501(c)( 3) and 501 ( c)(4) organizations . Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I ...... 25a N o b Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization's prior Forms 990 or 990-EZ? If 25b I I No "Yes," complete Schedule L, Part I ...... S 26 Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons? 26 N o If so, complete Schedule L, Part II ...... 27 Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family 27 N o member of any of these persons? If "Yes," complete Schedule L, Part III ...... S 28 Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions) a A current or former officer, director, trustee, or key employee? If "Yes,"complete Schedule L, Part IV ...... IN 28a Yes b A family member of a current or former officer, director, trustee, or key employee? If "Yes," Yes complete Schedule L, Part IV ...... 28b c A n entity of which a current or former officer, director, trustee, or key employee ( or a family member thereof) was Yes an officer, director, trustee, or direct or indirect owner? If "Yes,"complete Schedule L, Part IV . . . 28c 29 Did the organization receive more than $25,000 in non-cash contributions? If "Yes,"completeScheduleM . 29 Yes 30 Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified Yes conservation contributions? If "Yes," complete Schedule M ...... 30 31 Did the organization liquidate, terminate , or dissolve and cease operations? If "Yes," complete Schedule N, No PartI ...... 31 32 Did the organization sell, exchange , dispose of, or transfer more than 25% of its net assets? If "Yes, " complete No Schedule N, Part II ...... 32 33 Did the organization own 100% of an entity disregarded as separate from the organization under Regulations Yes sections 301 7701-2 and 301 7701-3? If "Yes," complete Schedule R, PartI ...... IN 33 34 Was the organization related to any tax-exempt or taxable entity? If "Yes,"complete Schedule R, Part II, III, orIV, Yes and Part V, line 1 ...... 95 34 35a Did the organization have a controlled entity within the meaning of section 512(b)(13)? 35a Yes b If'Yes'to line 35a, did the organization receive any payment from or engage in any transaction with a controlled 35b Yes entity within the meaning of section 512 (b)(13 )? If "Yes,"complete Schedule R, Part V, line 2 . . . 36 Section 501(c)( 3) organizations . Did the organization make any transfers to an exempt non-charitable related Yes organization? If "Yes," complete Schedule R, Part V, line2 ...... IS 36 37 Did the organization conduct more than 5% of its activities through an entity that is not a related organization No and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VI 37 38 Did the organization complete Schedule 0 and provide explanations in Schedule 0 for Part VI, lines 1 lb and 19? Yes Note . All Form 990 filers are required to complete Schedule 0 ...... 38 Form 990 (2013) Form 990 (2013) Page 5 Statements Regarding Other IRS Filings and Tax Compliance MEW- Check if Schedule 0 contains a response or note to any line in this Part V (- Yes 1 No la Enter the number reported in Box 3 of Form 1096 Enter -0- if not applicable . la 12,597 b Enter the number of Forms W-2G included in line la Enter -0- if not applicable lb 0 c Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? ...... 1c Yes 2a Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements, filed for the calendar year ending with or within the year covered by this return ...... 2a 28,551 b If at least one is reported on line 2a, did the organization file all required federal employment tax returns? 2b Yes Note . If the sum of lines la and 2a is greater than 250, you may be required to e-file (see instructions)
3a Did the organization have unrelated business gross income of $ 1,000 or more during the year? . . 3a Yes b If"Yes," has it filed a Form 990-T for this year? If "No"to line 3b, provide an explanation in Schedule 0 . . 3b Yes 4a At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)? ...... 4a No
b If "Yes," enter the name of the foreign country 0- See instructions for filing requirements for Form TD F 90-22 1, Report of Foreign Bank and Financial Accounts
5a Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? . . 5a No
b Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? 5b No c If "Yes," to line 5a or 5b, did the organization file Form 8886-T? 5c 6a Does the organization have annual gross receipts that are normally greater than $100,000, and did the 6a No organization solicit any contributions that were not tax deductible as charitable contributions? . . b If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible? . 6b 7 Organizations that may receive deductible contributions under section 170(c). a Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and 7a Yes services provided to the payor? . b If "Yes," did the organization notify the donor of the value of the goods or services provided? . . 7b Yes c Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 82827 . 7c No d If "Yes," indicate the number of Forms 8282 filed during the year 7d
e Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? . 7e No f Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? 7f No g If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required? . 7g h If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C? . 7h 8 Sponsoring organizations maintaining donor advised funds and section 509(a )( 3) supporting organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the year? . 8 No 9 Sponsoring organizations maintaining donor advised funds. a Did the organization make any taxable distributions under section 4966? . . 9a No b Did the organization make a distribution to a donor, donor advisor, or related person? . . 9b No 10 Section 501(c)(7) organizations. Enter a Initiation fees and capital contributions included on Part VIII, line 12 . 10a b Gross receipts, included on Form 990, Part VIII, line 12, for public use of club 10b facilities 11 Section 501(c)(12) organizations. Enter a Gross income from members or shareholders ...... 11a b Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them ) ...... 11b
12a Section 4947( a)(1) non -exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041? 12a b If "Yes," enter the amount of tax-exempt interest received or accrued during the year ...... 12b 13 Section 501(c)( 29) qualified nonprofit health insurance issuers. a Is the organization licensed to issue qualified health plans in more than one state? 13a Note . See the instructions for additional information the organization must report on Schedule 0 b Enter the amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans 13b c Enter the amount of reserves on hand 13c 14a Did the organization receive any payments for indoor tanning services during the tax year? . . . 14a No b If "Yes," has it filed a Form 720 to report these payments? If "No,"provide an explanation in Schedule 0 . 14b Form 990 (2013) Form 990 ( 2013) Page 6 Lam Governance , Management, and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" response to lines 8a, 8b, or 1Ob below, describe the circumstances, processes, or changes in Schedule 0. See instructions. Check if Schedule 0 contains a response or note to any line in this Part VI .F Section A . Governing Body and Management Yes No la Enter the number of voting members of the governing body at the end of the tax la 50 year . . If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule 0 b Enter the number of voting members included in line la, above, who are independent ...... lb 44 2 Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? 2 Yes 3 Did the organization delegate control over management duties customarily performed by or under the direct 3 No supervision of officers, directors or trustees, or key employees to a management company or other person? 4 Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? ...... 4 No 5 Did the organization become aware during the year of a significant diversion of the organization's assets? 5 No 6 Did the organization have members or stockholders? 6 No 7a Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? ...... 7a No b Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, 7b No or persons other than the governing body? 8 Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following a The governing body? ...... 8a Yes b Each committee with authority to act on behalf of the governing body? 8b Yes 9 Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization's mailing address? If "Yes,"provide the names and addresses in Schedule 0 ...... 9 No Section B. Policies ( This Section B requests information about p olicies not required b y the Internal Revenue Code.) Yes No 10a Did the organization have local chapters, branches, or affiliates? 10a No b If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes? 10b 11a Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? ...... 11a Yes b Describe in Schedule 0 the process, if any, used by the organization to review this Form 990 12a Did the organization have a written conflict of interest policy? If "No,"go to line 13 . 12a Yes b Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ...... 12b Yes c Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe in Schedule 0 how this was done . 12c Yes 13 Did the organization have a written whistleblower policy? 13 Yes 14 Did the organization have a written document retention and destruction policy? . 14 Yes 15 Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision? a The organization's CEO, Executive Director, or top management official 15a Yes b Other officers or key employees of the organization 15b Yes If "Yes" to line 15a or 15b, describe the process in Schedule 0 (see instructions) 16a Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? 16a Yes b If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization's exempt status with respect to such arrangements? ...... 16b Yes Section C. Disclosure 17 List the States with which a copy of this Form 990 is required to be filed- CA 18 Section 6104 requires an organization to make its Form 1023 (or 1024 if applicable), 990, and 990-T (501(c) (3 )s only) available for public inspection Indicate how you made these available Check all that apply fl Own website fl Another's website F Upon request fl Other (explain in Schedule O ) 19 Describe in Schedule 0 whether (and if so, how) the organization made its governing documents, conflict of interest policy, and financial statements available to the public during the tax year 20 State the name, physical address, and telephone number of the person who possesses the books and records of the organization 0-JOEL S SELIGMAN 208 WALLIS HALL ROCHESTER, NY 14627 (585)275-2800 Form 990 (2013) Form 990 (2013) Page 7 Compensation of Officers , Directors , Trustees, Key Employees , Highest Compensated Employees, and Independent Contractors Check if Schedule 0 contains a response or note to any line in this Part VII .F Section A. Officers, Directors, Trustees, Kev Employees, and Highest Compensated Employees la Complete this table for all persons required to be listed Report compensation for the calendar year ending with or within the organization's tax year * List all of the organization's current officers, directors, trustees (whether individuals or organizations), regardless of amount of compensation Enter-0- in columns (D), (E), and (F) if no compensation was paid * List all of the organization's current key employees, if any See instructions for definition of "key employee " * List the organization's five current highest compensated employees (other than an officer, director, trustee or key employee) who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the organization and any related organizations * List all of the organization's former officers, key employees, or highest compensated employees who received more than $100,000 of reportable compensation from the organization and any related organizations * List all of the organization's former directors or trustees that received, in the capacity as a former director or trustee of the organization, more than $10,000 of reportable compensation from the organization and any related organizations List persons in the following order individual trustees or directors, institutional trustees, officers, key employees, highest compensated employees, and former such persons fl Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee
(A) (B) (C) (D) (E) (F) Name and Title Average Position (do not check Reportable Reportable Estimated hours per more than one box, unless compensation compensation amount of other week (list person is both an officer from the from related compensation any hours and a director/trustee) organization (W- organizations from the for related 0 = T 2/1099-MISC) (W- 2/1099- organization and organizations fD 3]Z a MISC) related below . m_ art organizations dotted line) ca: 4 rD 0
(D 7
Form 990 (2013) Form 990 (2013) Page 8 Section A. Officers, Directors , Trustees , Key Employees , and Highest Compensated Employees (continued)
(A) (B) (C) (D) (E) (F) Name and Title Average Position (do not check Reportable Reportable Estimated hours per more than one box, unless compensation compensation amount of other week (list person is both an officer from the from related compensation any hours and a director/trustee) organization (W- organizations (W- from the for related 0- ;rl M= T 2/1099-MISC) 2/1099-MISC) organization and organizations - boo a related below 74 m_ organizations dotted line) C: 7. SL ! fD
a ;3 ur
lb Sub-Total ...... 0- c Total from continuation sheets to Part VII, Section A . . . . 0- d Total ( add lines lb and 1c) ...... 0- 19,192,130 0 3,730,611 Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organization-2,479
Yes I No Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line la? If "Yes," complete Schedule Jfor such individual ...... 3 Yes 4 For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,0007 If "Yes," complete Schedule -7 for such individual ...... 4 Yes Did any person listed on line la receive or accrue compensation from any unrelated organization or individual for services rendered to the organization? If "Yes," complete Schedule Jfor such person ...... 5 No
Section B. Independent Contractors 1 Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization Report compensation for the calendar year ending with or within the organization's tax year (A) (B) (C) Name and business address Description of services Compensation LECHASE CONSTRUCTION SERVICES, 300 TROLLEY BLVD ROCHESTER NY 14606 CONSTRUCTION SRVCS 20,089,219 THE PIKE COMPANY, ONE CIRCLE STREET ROCHESTER NY 14607 CONSTRUCTION SRVCS 7,268,208 DELOITTE TAX LLP, NY-2 WORLD FINANCIAL CENTER NEW YORK NY 10281 CONSULTING SRVCS 4,303,253 DGA BUILDERS LLC, 333 W COMMENCIAL ST SUITE 1500 EAST ROCHESTER NY 14445 CONSTRUCTION SRVCS 3,864,269 EPIC SYSTEMS CORP, 1979 MILKY WAY VERONA WI 53593 TRAINING & SUPPORT 3,710,262 2 Total number of independent contractors ( including but not limited to those listed above ) who received more than $100,000 of compensation from the organization 0-408 Form 990 (2013) Form 990 (2013) Page 9 Statement of Revenue Check if Schedule 0 contains a response or note to any line in this Part VIII . F (A) (B) (C) (D) Total revenue Related or Unrelated Revenue exempt business excluded from function revenue tax under revenue sections 512-514 la Federated campaigns . la 404,749
M b Membership dues . . . . lb 6 0 E c Fundraising events . . . . 1c 2,494,540
d Related organizations . ld 1,932,000 tJ' E e Government grants (contributions) le 253,309,304
V f All other contributions, gifts, grants, and if 98,209,149 ^ similar amounts not included above
Noncash contributions included in lines 21,708,876 g la -If $ h Total . Add lines la -1f . 356,349,742
Business Code
2a = 622110 1,746,294,121 1,743,365,894 2,928,227
a2 b EDUCATIONAL ACTIVITIES 611310 457,418,250 457,418,250
a' c RESEARCH & OTHER CONTRACTS 900099 91,312,899 91,312,899
d AUXILIARY ENTERPRISES 900099 71,448,841 46,800,205 24,648,636 e
f All other program service revenue
g Total . Add lines 2a -2f ...... 0- 2,366,474,111 3 Investment income ( including dividends, interest, and other similar amounts ) ...... 77,602,668 572,758 78,175,426 4 Income from investment of tax -exempt bond proceeds 0
5 Royalties 26,024,617 26,024,617 (i) Real (ii) Personal 6a Gross rents b Less rental expenses c Rental income 0 0 or (loss) d Net rental inco me or (loss) lim- 0 (i) Securities (ii) Other 7a Gross amount from sales of 1,304,110,130 assets other than inventory b Less cost or other basis and 1,264,574,290 sales expenses c Gain or (loss) 39,535,840
d Net gain or ( loss) . lim- 39,535,840 39,535,840 8a Gross income from fundraising W events ( not including $ 2,494,540 of contributions reported on line 1c) W See Part IV, line 18
L a 1,859,367
s b Less direct expenses b 1,181,200 678,167 678,167 c Net income or (loss ) from fundraising events 0- 9a Gross income from gaming activities See Part IV, line 19 . . a b Less direct expenses . b c Net income or (loss ) from gaming acti vities . . .- 0 10a Gross sales of inventory, less returns and allowances . a
b Less cost of goods sold . b c Net income or (loss ) from sales of inventory . lim- 0 Miscellaneous Revenue Business Code
11a RESEARCH LABS 900099 322,410 322,410
b ATHLETIC FEES 900099 28,145 28,145
C MAG ROOM RENTAL 900099 153,372 153,372
d All other revenue 79,784 79,784 e Total .Add lines 11a-11d . 0- 583,711 1 12 Total revenue . See Instructions 0- 1 2,867,248,856 2,338,897,248 10,953 171,990,913 Form 990 (2013) Form 990 (2013) Page 10 Statement of Functional Expenses Section 501(c)(3) and 501(c)(4) organizations must complete all columns All other organizations must complete column (A) Check if Schedule 0 contains a response or note to any line in this Part IX ...... (C) (D) Do not include amounts reported on lines 6b, ( A) (B) Program service Management and Fundraising Total expenses 7b, 8b, 9b, and 10b of Part VIII . expenses general expenses expenses 1 Grants and other assistance to governments and organizations in the United States See Part IV, line 21 26,000 26,000
2 Grants and other assistance to individuals in the United States See Part IV, line 22 177,904,185 177,904,185 3 Grants and other assistance to governments, organizations , and individuals outside the United States See Part IV, lines 15 and 16 0 4 Benefits paid to or for members 0
5 Compensation of current officers, directors , trustees, and key employees 16,087,425 12,166,212 2,944,128 977,085 6 Compensation not included above, to disqualified persons (as defined under section 4958( f)(1)) and persons described in section 4958(c)(3)(B) 1,040,269 1,040,269 0 0 7 Other salaries and wages 1,280,700,230 1,212,630,856 46,736,781 21,332,593 8 Pension plan accruals and contributions ( include section 401(k) and 403(b) employer contributions ) 79 ,286,429 75,479,878 2,399,144 1,407,407 9 Other employee benefits 215 ,566,156 205,216,800 6,522,860 3,826,496
10 Payroll taxes 83,603,020 79,589,229 2,529,761 1,484,030 11 Fees for services ( non-employees)
a Management 1,498,867 1,498,867 0 0
b Legal 4,039 ,611 3,874,666 95,713 69,232
c Accounting 1,302,132 0 1,302,132 0
d Lobbying 280,000 280,000 0 0
e Professional fundraising services See Part IV, line 17 391,353 391,353
f Investment management fees 36,306,000 36,306,000
g Other ( If line 11g amount exceeds 10 % of line 25, column ( A) amount, list line 11g expenses on Schedule 0 ) . 68,867,899 65,422,598 1,445,989 1,999,312 12 Advertising and promotion 1,708,828 1,694,790 0 14,038
13 Office expenses 99,821,258 91,669,827 5,483,684 2,667,747
14 Information technology 4,871,282 4,488,806 139,836 242,640 15 Royalties . 0
16 Occupancy 141,201,776 140,173,301 938,773 89,702
17 Travel 15,496,716 10,129,264 882,343 4,485,109 18 Payments of travel or entertainment expenses for any federal, state, or local public officials 0 19 Conferences , conventions, and meetings 12,237,223 11,365,873 544,587 326,763
20 Interest 33,584,528 29,624,912 3,351,736 607,880 21 Payments to affiliates 0
22 Depreciation , depletion, and amortization 154,933,163 144,918,421 9,234,017 780,725
23 Insurance 5,116,360 4,332,952 783,408 0 24 Other expenses Itemize expenses not covered above (List miscellaneous expenses in line 24e If line 24e amount exceeds 10% of line 25, column ( A) amount, list line 24e expenses on Schedule 0 a MEDICAL SUPPLIES 278,908,902 278,908,902 0 0 b PROVISION FOR DOUBTFUL ACCTS 17,864,908 17,864,908 0 0 c FOOD SERVICE PROGRAM 13,532,713 13,532,713 0 0 d OTHER-U BIT STATE TAX PAID 55,678 55,678 0 0
e All other expenses 30,303,708 8,774,378 20,554,917 974,413
25 Total functional expenses. Add lines 1 through 24e 2,776,536,619 2,592,664,285 142,195,809 41,676,525 26 Joint costs. Complete this line only if the organization reported in column ( B) joint costs from a combined educational campaign and fundraising solicitation Check here F- if following SOP 98-2 (ASC 958-720)
Form 990 (2013) Form 990 (2013) Page 11 Balance Sheet Check if Schedule 0 contains a response or note to any line in this Part X F (A) (B) Beginning of year End of year 1 Cash-non-interest-bearing 0 1 0
2 Savings and temporary cash investments ...... 372,344,754 2 323,906,315
3 Pledges and grants receivable, net 143,814,020 3 144,258,065
4 Accounts receivable, net ...... 228,202,939 4 259,755,985 5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees Complete Part II of Schedule L . . 0 5 0 6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary organizations (see instructions) Complete Part II of Schedule L 0 6 0
7 Notes and loans receivable, net 20,979,144 7 20,247,881
8 Inventories for sale or use 28,378,405 8 30,329,733
9 Prepaid expenses and deferred charges . 18,778,289 9 21,994,016 10a Land, buildings, and equipment cost or other basis Complete Part VI of Schedule D 10a 3,362,357,181 b Less accumulated depreciation . . . . 10b 1 ,815,967,883 1,457,452,212 10c 1,546,389,298
11 Investments-publicly traded securities . 761,105,963 11 934,896,035
12 Investments-other securities See Part IV, line 11 1,264,164,347 12 1,587,966,700 13 Investments-program-related See Part IV, line 11 0 13 0 14 Intangible assets ...... 0 14 0
15 Other assets See Part IV, line 11 89,994,869 15 85,026,221
16 Total assets. Add lines 1 through 15 (must equal line 34) . 4,385,214,942 16 4,954,770,249
17 Accounts payable and accrued expenses ...... 391,706,964 17 339,518,515 18 Grants payable ...... 0 18 0
19 Deferred revenue ...... 29,642,825 19 30,109,256
20 Tax-exempt bond liabilities ...... 726,452,838 20 889,184,452 21 Escrow or custodial account liability Complete Part IV of Schedule D . 0 21 0 22 Loans and other payables to current and former officers, directors, trustees, key employees, highest compensated employees, and disqualified persons Complete Part II of Schedule L ...... 0 22 0
23 Secured mortgages and notes payable to unrelated third parties 59,791,497 23 126,411,044
24 Unsecured notes and loans payable to unrelated third parties 16,779,406 24 7,553,398 25 Other liabilities (including federal income tax, payables to related third parties, and other liabilities not included on lines 17-24) Complete Part X of Schedule D . 444, 335, 040 25 485, 364, 206
26 Total liabilities. Add lines 17 through 25 . 1,668,708,570 26 1,878,140,871 Organizations that follow SFAS 117 ( ASC 958), check here 1- F and complete lines 27 through 29, and lines 33 and 34.
C5 27 Unrestricted net assets 1,751,574,535 27 1,946,130,835 M 28 Temporarily restricted net assets 559,346,114 28 674,193,190 ca 29 Permanently restricted net assets ...... 405,585,723 29 456,305,353 r_ W_ Organizations that do not follow SFAS 117 (ASC 958 ), check here 1 F and complete lines 30 through 34. 30 Capital stock or trust principal, or current funds 30 31 Paid-in or capital surplus, or land, building or equipment fund 31 32 Retained earnings, endowment, accumulated income, or other funds 32
33 Total net assets or fund balances 2,716,506,372 33 3,076,629,378
34 Total liabilities and net assets/fund balances ...... 4,385,214,942 34 4,954,770,249 Form 990 (2013) Form 990 (2013) Page 12 « Reconcilliation of Net Assets Check if Schedule 0 contains a response or note to any line in this Part XI . F
1 Total revenue (must equal Part VIII, column (A), line 12) . . 1 2,867,248,856 2 Total expenses (must equal Part IX, column (A), line 25) . . 2 2,776,536,619 3 Revenue less expenses Subtract line 2 from line 1 3 90,712,237 4 Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) 4 2,716,506,372 5 Net unrealized gains (losses) on investments 5 266,543,426 6 Donated services and use of facilities 6 7 Investment expenses . . 7 8 Prior period adjustments . . 8 9 Other changes in net assets or fund balances (explain in Schedule 0) 9 2,867,343 10 Net assets or fund balances at end of year Combine lines 3 through 9 (must equal Part X, line 33, column (B)) 10 3,076,629,378 Financial Statements and Reporting Check if Schedule 0 contains a response or note to any line in this Part XII (-
Yes No
1 Accounting method used to prepare the Form 990 fl Cash 17 Accrual (Other If the organization changed its method of accounting from a prior year or checked " Other," explain in Schedule 0 2a Were the organization 's financial statements compiled or reviewed by an independent accountant? 2a No If'Yes,'check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both fl Separate basis fl Consolidated basis fl Both consolidated and separate basis b Were the organization 's financial statements audited by an independent accountant? 2b Yes If'Yes,'check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis, or both fl Separate basis F Consolidated basis fl Both consolidated and separate basis c If "Yes," to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant? 2c Yes If the organization changed either its oversight process or selection process during the tax year, explain in Schedule 0 3a As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and 0 MB Circular A-1 33? 3a Yes b If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the 3b Yes required audit or audits, explain why in Schedule 0 and describe any steps taken to undergo such audits Form 990 (2013) Additional Data
Software ID: Software Version: EIN: 16 -0743209 Name : UNIVERSITY OF ROCHESTER
Form 990, Part VII - Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors (A) (B) (C) (D) (E) (F) Name and Title Average Position (do not check Reportable Reportable Estimated amount hours per more than one box, unless compensation compensation of other week (list person is both an officer from the from related compensation any hours and a director/trustee) organization (W- organizations (W- from the for related - ,^ = 2/1099-MISC) 2/1099-MISC) organization and -n organizations 'ID boo LD related below c m_ (D 0 r organizations dotted line) c a, SL 'D 0
LEI 4
JOEL SELIGMAN 80 0 X X 784,336 0 276,371 TRUSTEE, PRESIDENT & CEO 0 0 RICHARD TAAB 20 X 0 0 0 TRUSTEE 0 0 MARK S AIN 2 0 X 0 0 0 TRUSTEE 0 0 NAOMI M BERGMAN 2 0 X 0 0 0 TRUSTEE 0 0 LAURENCE H BLOCH 2 0 X 0 0 0 TRUSTEE 0 0 JOHN H BRUNING 2 0 X 0 0 0 TRUSTEE 0 0 WILLIAM M CARPENTER 2 0 X 0 0 0 TRUSTEE 0 0 ARUNAS A CHESONIS 2 0 X 0 0 0 TRUSTEE 0 0 CAROL JOHN A DAVIDSON 2 0 X 0 0 0 TRUSTEE 0 0 LAUNCELOT F DRUMMOND 2 0 X 0 0 0 TRUSTEE 0 0 BERNARD T FERRARI MD 2 0 X 0 0 0 TRUSTEE 0 0 DAVID FLAUM 2 0 X 0 0 0 TRUSTEE 0 0 BARRY W FLORESCUE 2 0 X 0 0 0 TRUSTEE 0 0 ROGER B FRIEDLANDER 2 0 X 0 0 0 TRUSTEE 0 0 ANI GABRELLIAN 2 0 X 0 0 0 TRUSTEE 0 0 ROBERT B GOERGEN 2 0 X 0 0 0 CHAIR EMERITUS 0 0 GWEN MELTZER GREENE 2 0 X 0 0 0 TRUSTEE 0 0 PAUL F GRINER 2 0 X 0 0 0 TRUSTEE 0 0 EDMUND A HAJIM 3 0 X X 0 0 0 CHAIR 0 0 RICHARD B HANDLER 2 0 X 0 0 0 TRUSTEE 0 0 ALAN F HILFIKER 2 0 X 0 0 0 TRUSTEE 0 0 CAROL D KARP 2 0 X 0 0 0 TRUSTEE 0 0 ROBERT KEEGAN 2 0 X 0 0 0 TRUSTEE 0 0 JOHN M KELLY 2 0 X 0 0 0 TRUSTEE 0 0 LAURENCE KESSLER 2 0 X 0 0 0 TRUSTEE 0 0 Form 990, Part VII - Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors (A) (B) (C) (D) (E) (F) Name and Title Average Position (do not check Reportable Reportable Estimated amount hours per more than one box, unless compensation compensation of other week (list person is both an officer from the from related compensation any hours and a director/trustee) organization (W- organizations (W- from the for related 0 ,o = 2/1099-MISC) 2/1099-MISC) organization and -n organizations _ related below m 0 organizations dotted line) i c rt `
D
EVANS Y LAM 2 0 X 0 0 0 TRUSTEE 0 0 LOUIS G LANGE MD 2 0 X 0 0 0 TRUSTEE 0 0 NANCY A LIEBERMAN 2 0 X 0 0 0 TRUSTEE 0 0 GAILA LIONE 2 0 X 0 0 0 TRUSTEE 0 0 CATHY E MINEHAN 2 0 X 0 0 0 TRUSTEE 0 0 NATHAN F MOSER 2 0 X 0 0 0 TRUSTEE 0 0 KATHLEEN ANN MURRAY 2 0 X 0 0 0 TRUSTEE 0 0 SANDRA A PARKER 2 0 X 0 0 0 TRUSTEE 0 0 PHILIP A PIZZO MD 2 0 X 0 0 0 TRUSTEE 0 0 FRANCIS L PRICE 2 0 X 0 0 0 TRUSTEE 0 0 RONALD RETTNER 2 0 X 0 0 0 TRUSTEE 0 0 THOMAS S RICHARDS 2 0 X 0 0 0 TRUSTEE 0 0 MICHAEL S ROSEN 2 0 X 0 0 0 TRUSTEE 0 0 RICHARD E SANDS 2 0 X 0 0 0 TRUSTEE 0 0 THOMAS R SLOAN 2 0 X 0 0 0 TRUSTEE 0 0 HUGO F SONNENSCHEIN 2 0 X 0 0 0 TRUSTEE 0 0 KATHY N WALLER 2 0 X 0 0 0 TRUSTEE 0 0 DANIEL R WEGMAN 2 0 X 0 0 0 TRUSTEE 0 0 TIMOTHY C WENTWORTH 2 0 X 0 0 0 TRUSTEE 0 0 RALPH R WHITNEY JR 2 0 X 0 0 0 TRUSTEE 0 0 JANICE M WILLETT 2 0 X 0 0 0 TRUSTEE 0 0 THOMAS C WILMOT SR 2 0 X 0 0 0 TRUSTEE 0 0 NATHANIEL WISCH MD 2 0 X 0 0 0 TRUSTEE 0 0 G ROBERT WITMER JR 3 0 X 0 0 0 CHAIR EMERITUS 0 0 JAMES C WYANT 2 0 X 0 0 0 TRUSTEE 0 0 Form 990, Part VII - Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors (A) (B) (C) (D) (E) (F) Name and Title Average Position (do not check Reportable Reportable Estimated amount hours per more than one box, unless compensation compensation of other week (list person is both an officer from the from related compensation any hours and a director/trustee) organization (W- organizations (W- from the for related 0 ,o = 2/1099-MISC) 2/1099-MISC) organization and -n organizations _ related below m 0 organizations dotted line) i c rt `
D
BRADFORD C BERK 65 0 X 950,163 0 420,660 SR VP HEALTH SCIENCE 3 PAUL I BURGETT 40 0 X 156,650 0 28,977 VP AND SR ADVISOR-PRES & DEAN 0 0 ROBERT L CLARK 55 0 X 570,660 0 95,691 SRVP RESEARCH&DEAN HAJIM ASE 0 0 PETER LENNIE 60 0 X 587,174 0 75,870 PROVOST & DEAN OF FACULTY-ASE 0 0 LAMAR MURPHY 55 0 X 251,946 0 35,213 GENL SECRETARY&CHIEF OF STAFF 0 0 WILLIAM M MURPHY 55 0 X 247,613 0 35,381 VP FOR COMMUNICATIONS 0 0 GAIL M NORRIS 60 0 X 377,199 0 53, 321 VP AND GENERAL COUNSEL 2 0 RONALD J PAPROCKI 65 0 X 651,897 0 148,280 SR VP ADMIN & FINANCE, CFO 2 0 DOUGLAS W PHILLIPS 62 0 X 634,689 0 39,840 SR VP INSTITUTIONAL RESOURCES 0 0 MARK B TAUBMAN 75 0 X 744,672 0 149,860 DEAN,SMD,VP FOR HEALTH SCIENCE 0 0 JAMES D THOMPSON Till 414 75 0 X 675,221 0 90,334 SR VP & CHIEF ADV OFFICER 0 0 STEVEN GOLDSTEIN 55 0 X 946,186 0 263,006 URMC VP, PRES/CEO SMH & HH 16 0 MICHAEL C GOONAN 55 0 X 1,059,374 0 633,278 VICE PRESIDENT & CFO, URMC 2 0 RAYMOND J MAYEWSKI 51 0 X 580,688 0 109,496 VP, URMC 9 0 KATHLEEN PARRINELLO 55 0 X 458,171 0 112,645 EXEC VP & COO, SMH 0 0 PETER G ROBINSON 55 0 X 1,263,122 0 440,927 VP&COO, MEDCTR & STRONG HEALTH 5 0 MICHAEL ROTONDO 55 0 X 418,094 0 59,465 CEO, URFMG 0 0 LEONARD J SHUTE TILL 12-13 55 0 X 1,051,769 0 178,472 ASSOC VP & SR DIR FINANCE/CFO 16 0 MARC D BROWN MD 60 0 X 1,591,271 0 43,631 PROF-DERMATOLOGY M&D 0 0 SHERRIF F IBRAHIM 55 0 X 1,266,268 0 39,621 ASST PROFESSOR-DERMATOLOGY M&D 0 0 MICHAEL D MALONEY MD 86 0 X 1,407,511 0 280,865 ASSOC PROF-ORTHOPAEDICS M&D 0 0 JEFFREY H PETERS MD 73 0 X 1,270,695 0 44,779 PROF CHAIR- DEPT OF SURGERY 0 0 ILYA VOLOSHIN 55 0 X 1,110, 045 0 53,588 PROFESSOR-ORTHOPAEDICS M&D 0 0 ELIZABETH R MCANARNEY 45 0 X 136, 716 0 21, 040 FORMER KEY EMPLOYEE 0 0 efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93493134012526 OMB No 1545-0047 SCHEDULE A Public Charity Status and Public Support (Form 990 or 990EZ) Complete if the organization is a section 501(c)( 3) organization or a section 4947(a)(1) nonexempt charitable trust. 2013 Department of the I Oil Attach to Form 990 or Form 990-EZ . Oil See separate instructions. Ope n Treasury Oil Information about Schedule A (Form 990 or 990- EZ) and its instructions is at Internal Revenue Service Ins pe ct www.irs. g ov form 990. Name of the organization Employer identification number UNIVERSITY OF ROCHESTER
MIMM" Reason for Public Charity Status (All organizations must complete this part.) See instructions. The organization is not a private foundation because it is (For lines 1 through 11, check only one box ) 1 1 A church, convention of churches, or association of churches described in section 170 ( b)(1)(A)(i). 2 F A school described in section 170 (b)(1)(A)(ii). (Attach Schedule E ) 3 1 A hospital or a cooperative hospital service organization described in section 170 ( b)(1)(A)(iii). 4 1 A medical research organization operated in conjunction with a hospital described in section 170 (b)(1)(A)(iii). Enter the hospital's name, city, and state 5 1 An organization operated for the benefit of a college or university owned or operated by a governmental unit described in section 170 ( b)(1)(A)(iv ). (Complete Part II ) 6 1 A federal, state, or local government or governmental unit described in section 170 ( b)(1)(A)(v). 7 1 An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in section 170 ( b)(1)(A)(vi ). (Complete Part II ) 8 fl A community trust described in section 170 ( b)(1)(A)(vi ) (Complete Part II ) 9 1 An organization that normally receives (1) more than 331/3% of its support from contributions, membership fees, and gross receipts from activities related to its exempt functions-subject to certain exceptions, and (2) no more than 331/3% of its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses acquired by the organization after June 30, 1975 See section 509(a)(2). (Complete Part III ) 10 1 An organization organized and operated exclusively to test for public safety See section 509(a)(4). 11 1 An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509 ( a)(1) or section 509(a )( 2) See section 509(a)(3). Check the box that describes the type of supporting organization and complete lines Ile through 11 h a fl Type I b fl Type II c fl Type III - Functionally integrated d fl Type III - Non- functionally integrated e (- By checking this box, I certify that the organization is not controlled directly or indirectly by one or more disqualified persons other than foundation managers and other than one or more publicly supported organizations described in section 509 ( a)(1 ) or section 509(a)(2) f If the organization received a written determination from the IRS that it is a Type I, Type II, orType III supporting organization, check this box F g Since August 17, 2006, has the organization accepted any gift or contribution from any of the following persons? (i) A person who directly or indirectly controls , either alone or together with persons described in (ii) Yes No and (iii) below, the governing body of the supported organization? 11g(i) (ii) A family member of a person described in (i) above? 11g(ii) (iii) A 35% controlled entity of a person described in (i) or (ii) above? 11g(iii) h Provide the following information about the supported organization(s)
(i) Name of (ii) EIN (iii) Type of (iv) Is the (v) Did you notify (vi) Is the (vii) Amount of supported organization organization in the organization organization in monetary organization (described on col (i) listed in in col (i) of your col (i) organized support lines 1- 9 above your governing support? in the U S ? or IRC section document? (see instructions)) Yes No Yes No Yes No
Total
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990EZ . Cat No 11285F ScheduleA(Form 990 or 990-EZ)2013 Schedule A (Form 990 or 990-EZ) 2013 Page 2 MU^ Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170 ( b)(1)(A)(vi) (Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization fails to qualify under the tests listed below, please complete Part III.) Section A . Public Support Calendar year ( or fiscal year beginning ( a) 2009 ( b) 2010 (c) 2011 (d) 2012 ( e) 2013 (f) Total in) 11111 1 Gifts, grants , contributions, and membership fees received (Do 83,683,702 322,819,223 407,000,225 368,529,261 356,349,742 1,538,382,153 not include any "unusual grants ") 2 Tax revenues levied for the organization's benefit and either 0 paid to or expended on its behalf 3 The value of services or facilities furnished by a governmental unit 0 to the organization without charge 4 Total . Add lines 1 through 3 83,683,702 322,819,223 407,000,225 368,529,261 356,349,742 1,538,382,153 5 The portion of total contributions by each person ( other than a governmental unit or publicly supported organization) included 0 on line 1 that exceeds 2% of the amount shown on line 11, column (f) 6 Public support . Subtract line 5 1,538,382,153 from line 4 Section B. Total Su pp ort Calendar year ( orfiscaI year (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total beginning in) ► 7 Amounts from line 4 83,683,702 322,819,223 407,000,225 368,529,261 356,349,742 1,538,382,153 8 Gross income from interest, dividends, payments received on securities loans, rents, 96,695,436 105,289,185 87,449,001 85,562,195 104,200,043 479,195,860 royalties and income from similar sources 9 Net income from unrelated business activities, whether or 0 not the business is regularly carried on 10 Other income Do not include gain or loss from the sale of 0 capital assets (Explain in Part IV ) 11 Total support (Add lines 7 2,017,578,013 through 10) 12 Gross receipts from related activities, etc (see instructions) 12 10,927,445,088 13 First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization, check this box and stop here ...... QE- Section C. Com p utation of Public Su pp ort Percenta g e 14 Public support percentage for 2013 (line 6, column (f) divided by line 11, column (f)) 14 76 249 15 Public support percentage for 2012 Schedule A, Part II, line 14 15 0 % 16a 331 / 3%support test-2013. If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box and stop here . The organization qualifies as a publicly supported organization b 331 / 3%support test - 2012 . If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more, check this box and stop here . The organization qualifies as a publicly supported organization 17a 10%-facts-and -circumstances test-2013. If the organization did not check a box on line 13, 16a, or 16b, and line 14 is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here . Explain in Part IV how the organization meets the "facts-and-circumstances" test The organization qualifies as a publicly supported organization b 10%-facts-and-circumstances test - 2012 . If the organization did not check a box on line 13, 16a, 16b, or 17a, and line 15 is 10% or more, and if the organization meets the "facts- and-circumstances" test, check this box and stop here. Explain in Part IV how the organization meets the "facts-and-circumstances" test The organization qualifies as a publicly supported organization 18 Private foundation . If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see instructions
Schedule A (Form 990 or 990-EZ) 2013 Schedule A (Form 990 or 990-EZ) 2013 Page 3 IMMITM Support Schedule for Organizations Described in Section 509(a)(2) (Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.) Section A . Public Support Calendar year ( or fiscal year beginning (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total in) 11111 1 Gifts, grants, contributions, and membership fees received (Do not include any "unusual grants ") 2 Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose 3 Gross receipts from activities that are not an unrelated trade or business under section 513 4 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf 5 The value of services or facilities furnished by a governmental unit to the organization without charge 6 Total . Add lines 1 through 5 7a Amounts included on lines 1, 2, and 3 received from disqualified persons b Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of$5,000 or 1% of the amount on line 13 for the year c Add lines 7a and 7b 8 Public support (Subtract line 7c from line 6 ) Section B. Total Suuuort Calendar year ( or fiscal year beginning (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total in) ► 9 Amounts from line 6 10a Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975 c Add lines 10a and 10b 11 Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on 12 Other income Do not include gain or loss from the sale of capital assets (Explain in Part IV ) 13 Total support . (Add lines 9, 1Oc, 11, and 12 ) 14 First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization, check this box and stop here Section C. Computation of Public Support Percentage 15 Public support percentage for 2013 ( line 8, column (f) divided by line 13, column (f)) 15 16 Public support percentage from 2012 Schedule A, Part III, line 15 16 Section D. Com p utation of Investment Income Percenta g e 17 Investment income percentage for 2013 (line 10c, column (f) divided by line 13, column (f)) 17 18 Investment income percentage from 2012 Schedule A, Part III, line 17 18 19a 331 / 3% support tests- 2013. If the organization did not check the box on line 14 , and line 15 is more than 33 1/3%, and line 17 is not more than 33 1/3%, check this box and stop here . The organization qualifies as a publicly supported organization lk'F- b 331 / 3% support tests- 2012. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3% and line 18 is not more than 33 1/3%, check this box and stop here . The organization qualifies as a publicly supported organization lk'F- 20 Private foundation . If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions
Schedule A (Form 990 or 990-EZ) 2013 Schedule A (Form 990 or 990-EZ) 2013 Page 4 Supplemental Information . Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
I Return Reference I Explanation I Schedule A (Form 990 or 990-EZ) 2013 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93493134012526 OMB No 1545-0047 SCHEDULE C Political Campaign and Lobbying Activities (Form 990 or 990-EZ ) For Organizations Exempt From Income Tax Under section 501 ( c) and section 527 2013 Complete if the organization is described below . Attach to Form 990 or Form 990-EZ. Department of the Treasury 1- 0- 0- See separate instructions . 0- Information about Schedule C (Form 990 or 990-EZ) and its • Internal Revenue Service instructions is at www. irs. gov form 990. If the organization answered "Yes" to Form 990, Part IV , Line 3 , or Form 990-EZ , Part V, line 46 ( Political Campaign Activities), then • Section 501(c)(3) organizations Complete Parts I-A and B Do not complete Part I-C • Section 501(c) (other than section 501(c)(3)) organizations Complete Parts I-A and C below Do not complete Part I-B • Section 527 organizations Complete Part I-A only If the organization answered "Yes" to Form 990, Part IV , Line 4, or Form 990-EZ , Part VI, line 47 ( Lobbying Activities), then • Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)) Complete Part II-A Do not complete Part II-B • Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)) Complete Part II-B Do not complete Part II-A If the organization answered "Yes" to Form 990, Part IV , Line 5 ( Proxy Tax) or Form 990-EZ , Part V, line 35c ( Proxy Tax), then * Section 501(c)(4), (5), or (6) organizations Complete Part III Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 Complete if the organization is exempt under section 501(c) or is a section 527 organization.
1 Provide a description of the organization's direct and indirect political campaign activities in Part IV 2 Political expenditures 0- $ 3 Volunteer hours
Complete if the organization is exempt under section 501 ( c)(3). 1 Enter the amount of any excise tax incurred by the organization under section 4955 0- $ 2 Enter the amount of any excise tax incurred by organization managers under section 4955 0- $ 3 If the organization incurred a section 4955 tax, did it file Form 4720 for this year? fl Yes fl No 4a Was a correction made? fl Yes fl No b If "Yes," describe in Part IV rMWINT-Complete if the organization is exempt under section 501(c), except section 501(c)(3). 1 Enter the amount directly expended by the filing organization for section 527 exempt function activities 0- $ 2 Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities 0- $
3 Total exempt function expenditures Add lines 1 and 2 Enter here and on Form 1120-PO L, line 17b 0- $
4 Did the filing organization file Form 1120-POL for this year? fl Yes fl No 5 Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing organization made payments For each organization listed, enter the amount paid from the filing organization's funds Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC) If additional space is needed, provide information in Part IV
(a) Name (b) Address (c) EIN (d ) Amount paid from (e) Amount of political filing organization's contributions received funds If none, enter -0- and promptly and directly delivered to a separate political organization If none, enter -0-
i-or raperworK rteauction Act Notice, see the instructions Tor corm 99 U or yyu -tc. Cat No 50084S Schedule C ( Form 990 or 990-EZ) 2013 Schedule C (Form 990 or 990-EZ) 2013 Page 2 Complete if the organization is exempt under section 501 ( c)(3) and filed Form 5768 ( election under section 501(h)). A Check - (- if the filing organization belongs to an affiliated group (and list in Part IV each affiliated group member's name, address, EIN, expenses, and share of excess lobbying expenditures) B Check - (- if the filing organization checked box A and "limited control" provisions apply (a) Filing (b) Affiliated Limits on Lobbying Expenditures organization's group (The term "expenditures" means amounts paid or incurred .) totals totals la Total lobbying expenditures to influence public opinion (grass roots lobbying) b Total lobbying expenditures to influence a legislative body (direct lobbying) c Total lobbying expenditures (add lines la and 1b) d Other exempt purpose expenditures e Total exempt purpose expenditures (add lines 1c and 1d) f Lobbying nontaxable amount Enter the amount from the following table in both columns If the amount on line le, column ( a) or (b) is: The lobbying nontaxable amount is: Not over $500,000 20% of the amount on line le
Over $500,000 but not over $1,000,000 $100,000 plus 15% of the excess over $500,000
Over $1,000,000 but not over $1,500,000 $175,000 plus 10% of the excess over $1,000,000
Over $1,500,000 but not over $17,000,000 $225,000 plus 5% of the excess over $1,500,000
Over $17,000,000 $1,000,000
g Grassroots nontaxable amount (enter 25% of line 1f) h Subtract line 1g from line la If zero or less, enter-0- i Subtract line 1f from line 1c If zero or less, enter-0- LE i If there is an amount other than zero on either line 1h or line 11, did the organization file Form 4720 reporting F- Yes F- No section 4911 tax for this year?
4-Year Averaging Period Under Section 501(h) (Some organizations that made a section 501(h) election do not have to complete all of the five columns below. See the instructions for lines 2a through 2f on page 4.)
Lobbying Expenditures During 4-Year Averaging Period
Calendar year (or fiscal year (a) 2010 (b) 2011 (c) 2012 (d) 2013 (e) Total beginning in)
2a Lobbying nontaxable amount
b Lobbying ceiling amount (150% of line 2a, column(e))
c Total lobbying expenditures
d Grassroots nontaxable amount
e Grassroots ceiling amount 150% of line 2d column e
f Grassroots lobbying expenditures Schedule C (Form 990 or 990-EZ) 2013 Schedule C (Form 990 or 990-EZ) 2013 Pa g e 3 Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 election under section 501 ( h )) . (a) (b) For each "Yes " response to lines la through li below, provide in Part IV a detailed description of the lobbying activity. Yes No Amount
1 During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of a Volunteers? No b Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? Yes c Media advertisements? No d Mailings to members, legislators, or the public? Yes 2,941 e Publications, or published or broadcast statements? No f Grants to other organizations for lobbying purposes? No g Direct contact with legislators, their staffs, government officials, or a legislative body? Yes 444,815 h Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? No i Other activities? No j Total Add lines 1c through 11 447,756 2a Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? No b If "Yes," enter the amount of any tax incurred under section 4912 c If "Yes," enter the amount of any tax incurred by organization managers under section 4912 d If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? Complete if the organization is exempt under section 501 ( c)(4), section 501(c )( 5), or section 501 ( c )( 6 ) . Yes No 1 Were substantially all (90% or more) dues received nondeductible by members? 1 2 Did the organization make only in-house lobbying expenditures of $2,000 or less? 2 3 Did the organization agree to carry over lobbying and political expenditures from the prior year? 3 Complete if the organization is exempt under section 501(c)(4), section 501(c )( 5), or section 501(c )( 6) and if either ( a) BOTH Part 111-A , lines 1 and 2, are answered "No" OR (b) Part 111-A, line 3 , is answered "Yes." 1 Dues, assessments and similar amounts from members 1 2 Section 162(e) nondeductible lobbying and political expenditures ( do not include amounts of political expenses for which the section 527(f ) tax was paid). a Current year 2a b Carryover from last year 2b c Total 2c 3 Aggregate amount reported in section 6033(e)(1 )(A) notices of nondeductible section 162(e) dues 3 4 If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? 4 5 Taxable amount of lobbying and political expenditures (see instructions) 5 Su lementalInformation
Provide the descriptions required for Part I-A, line 1, Part I-B, line 4, Part I-C, line 5, Part II-A (affiliated group list), Part II-A, line 2, and Part II-R Iina 1 A Icn rmmnI to this nart fnr anv a 1ditinnal infnrmatinn
Return Reference Explanation LOBBYING ACTIVITIES DETAIL- THE UNIVERSITY ADVANCES ITS MISSIONS (EDUCATION, RESEARCH, HEALTH CARE AND SCHEDULE C, PART II-B, LINE 1- COMMUNITY HEALTH) WITH NATIONAL, STATE AND LOCAL ELECTED OFFICIALS, THEIR "YES" RESPONSES STAFF, OUR SURROUNDING COMMUNITY, AND WITH GOVERNMENT AGENCIES AT ALL LEVELS THE UNIVERSITY ALSO INTERACTS WITH PEER INSTITUTIONS, HIGHER EDUCATION AND MEDICAL ASSOCIATIONS, SCIENTIFIC COALITIONS AND SOCIETIES, AND CONSULTANTS TO ADVANCE ITS INTERESTS THROUGH POLICY AND LEGISLATION
Schedule C (Form 990 or 990-EZ) 2013 Schedule C (Form 990 or 990-EZ) 2013 Page 4
Schedule D (Form 990) 2013 lefile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493134012526 OMB No 1545-0047 SCHEDULE D Supplemental Financial Statements (Form 990) 0- Complete if the organization answered "Yes," to Form 990, 2013 Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b Department of the Treasury 0- Attach to Form 990. 0- See separate instructions . 1- Information about Schedule D (Form 990) II• . - Internal Revenue Service and its instructions is at www. irs.gov /form990. . -
Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts . Complete if the org anization answered "Yes" to Form 990 , Part IV , line 6. (a) Donor advised funds (b) Funds and other accounts 1 Total number at end of year 19 2 Aggregate contributions to (during year) 3,215,125 3 Aggregate grants from (during year) 770,900 4 Aggregate value at end of year 5,871,233 5 Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds are the organization's property, subject to the organization's exclusive legal control? F Yes I No 6 Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring impermissible private benefit? F Yes fl No MRSTI-Conservation Easements . Complete if the organization answered "Yes" to Form 990, Part IV, line 7. 1 Purpose(s) of conservation easements held by the organization (check all that apply) 1 Preservation of land for public use (e g , recreation or education) 1 Preservation of an historically important land area 1 Protection of natural habitat 1 Preservation of a certified historic structure fl Preservation of open space
2 Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year Held at the End of the Year a Total number of conservation easements 2a b Total acreage restricted by conservation easements 2b c Number of conservation easements on a certified historic structure included in (a) 2c d Number of conservation easements included in (c) acquired after 8/17/06, and not on a historic structure listed in the National Register 2d 3 N umber of conservation easements modified, transferred , released, extinguished, or terminated by the organization during the tax year 0-
4 N umber of states where property subject to conservation easement is located 0- 5 Does the organization have a written policy regarding the periodic monitoring , inspection, handling of violations, and enforcement of the conservation easements it holds? fl Yes fl No 6 Staff and volunteer hours devoted to monitoring, inspecting , and enforcing conservation easements during the year 0- 7 Amount of expenses incurred in monitoring, inspecting , and enforcing conservation easements during the year 0- $ 8 Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(i) and section 170(h)(4)(B)(ii)? F Yes 1 No 9 In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet, and include, if applicable, the text of the footnote to the organization's financial statements that describes the organization's accounting for conservation easements Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets. Complete if the oraanization answered "Yes" to Form 990. Part IV. line 8. la If the organization elected, as permitted under SFAS 116 (ASC 958), not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII, the text of the footnote to its financial statements that describes these items b If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items
(i) Revenues included in Form 990, Part VIII, line 1 0- $ 641,194
(ii)Assets included in Form 990, Part X 0- $ 33,552,441 2 If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the following amounts required to be reported under SFAS 116 (ASC 958) relating to these items
a Revenues included in Form 990, Part VIII, line 1 $
b Assets included in Form 990, Part X $ For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat No 52283D Schedule D (Form 990) 2013 Schedule D (Form 990) 2013 Page 2 r:FTnFW Organizations Maintaining Collections of Art, Historical Treasures , or Other Similar Assets (continued) 3 Using the organization's acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply) a F Public exhibition d F Loan or exchange programs b F Scholarly research e (- Other
c F Preservation for future generations 4 Provide a description of the organization's collections and explain how they further the organization's exempt purpose in Part XIII 5 During the year, did the organization solicit or receive donations of art, historical treasures or other similar assets to be sold to raise funds rather than to be maintained as part of the organization's collection? 1 Yes F No Escrow and Custodial Arrangements . Complete if the organization answered "Yes" to Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21. la Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not included on Form 990, Part X7 1 Yes F No b If "Yes," explain the arrangement in Part XIII and complete the following table A mount c Beginning balance 1c d Additions during the year ld e Distributions during the year le f Ending balance if 2a Did the organization include an amount on Form 990, Part X, line 21? fl Yes fl No
b If "Yes," explain the arrangement in Part XIII Check here if the explanation has been provided in Part XIII ...... F MWAF-Endowment Funds . Com p lete if the org anization answered "Yes" to Form 990 , Part IV, line 10. (a)Current year (b)Prior year b (c)Two years back (d)Three years back ( e)Four years back la Beginning of year balance . 1, 613, 500, 847 1, 481, 764, 000 1,517,585,000 1, 308, 342, 000 1, 226, 281, 000 b Contributions 55,721,494 40,254,764 23,399,000 20,773,000 15,354,000 c Net investment earnings, gains, and losses 301, 335, 737 175, 395, 638 22, 662, 000 252, 741, 000 148,151, 000 d Grants or scholarships 13, 729, 609 12,199, 562 12, 604, 000 11,153, 000 10, 875, 000 e Other expenditures for facilities and programs 73,313,539 71,713,993 69,278,000 53,118,000 70,569,000 f Administrative expenses . g End of year balance 1, 883, 514, 930 1, 613, 500, 847 1, 481, 764, 000 1,517,585,000 1, 308, 342, 000
2 Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as
a Board designated or quasi-endowment 0- 52 399 %
b Permanent endowment 0- 47 506 % c Temporarily restricted endowment 0- 0 096 % The percentages in lines 2a, 2b, and 2c should equal 100% 3a Are there endowment funds not in the possession of the organization that are held and administered for the organization by Yes No (i) unrelated organizations ...... 3a(i) Yes (ii) related organizations ...... 3a(ii) No b If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? . . I 3b 4 Describe in Part XIII the intended uses of the organization's endowment funds Land , Buildings , and Equipment . Complete if the organization answered 'Yes' to Form 990, Part IV, line 1 1 a See Form 990 Part X line 1(l Description of property (a) Cost or other (b)Cost or other (c) Accumulated (d) Book value basis basis (other) depreciation (investment)
la Land 5,473,647 5,473,647
b Buildings 2,035,478,228 1,063,749,445 971,728,783
c Leasehold improvements 17,462,359 4,932,906 12,529,453
d Equipment 857,646,976 586,956,719 270,690,257
e Other 446,295,971 160,328,813 285,967,158 Total . Add lines 1a through 1 e (Column (d) must equal Form 990, Part X, column (B), line 10(c).) . . 0- 1,546,389,298 Schedule D (Form 990) 2013 Schedule D (Form 990) 2013 Page 3 Investments - Other Securities . Complete if the organization answered 'Yes' to Form 990, Part IV, line 11b. See Form 990. Part X. line 12- (a) Description of security or category ( b)Book value (c) Method of valuation (including name of security) Cost or end-of-year market value (1 )Financial derivatives (2)Closely-held equity interests (3)Other (A)OPERATING INVESTMENTS 296,982,943 F
(B) CASH & CASH EQUIVALENTS 389,002,831 F
(C) INTERESTS 810,160,738 F
(D)OTHER INVESTMENTS 91,820,188 F
Total . (Column (b) must equal Form 990, Part X, col (B) line 12) 1,587,966,700 1: gLvJ$$ Investments - Program Related . Complete it the organization answered 'Yes' to Form 990, Part IV, line 11c. Caa Fnrm QQ(1 Dart X lino 1'^
Form 990, Part X, line 25. 1 (a) Description of liability (b) Book value
Federal income taxes 0 THIRD PARTY SETTLEMENTS 109,259,000 RETIREMENT & POST-EMPLOYMENT 308,677,601 ASSET RETIREMENT OBLIGATION 26.313.475 FOR STUDENT LOANS 16,186,929 SPONSORED RESEARCH 24.927.201
Total . (Column (b) must equa l Form 990, Part X, col (8) line 25) P. I 485,364,206 2. Liability for uncertain tax positions In Part XIII, provide the text of the footnote to the organization's financial statements that reports the organization ' s liability for uncertain tax positions under FIN 48 (ASC 740) Check here if the text of the footnote has been provided in Part XIII F Schedule D (Form 990) 2013 Schedule D (Form 990) 2013 Page 4 Reconciliation of Revenue per Audited Financial Statements With Revenue per Return Complete if the org anization answered 'Yes' to Form 990 , Part IV line 12a. 1 Total revenue, gains, and other support per audited financial statements . 1 2 Amounts included on line 1 but not on Form 990, Part VIII, line 12 a Net unrealized gains on investments . 2a b Donated services and use of facilities . 2b c Recoveries of prior year grants 2c d Other (Describe in Part XIII ) 2d e Add lines 2a through 2d ...... 2e 3 Subtract line 2e from line 1 ...... 3 4 Amounts included on Form 990, Part VIII, line 12, but not on line 1 a Investment expenses not included on Form 990, Part VIII, line 7b 4a b Other (Describe in Part XIII ) ...... 4b c Add lines 4a and 4b ...... 4c 5 Total revenue Add lines 3 and 4c. (This must equal Form 990, Part I, line 12 ) . . . . . 5 « Reconciliation of Expenses per Audited Financial Statements With Expenses per Return . Complete if the org anization answered 'Yes' to Form 990 , Part IV line 12a. 1 Total expenses and losses per audited financial statements ...... 1 2 Amounts included on line 1 but not on Form 990, Part IX, line 25 a Donated services and use of facilities . 2a b Prior year adjustments 2b c Other losses ...... 2c d Other (Describe in Part XIII ) ...... 2d e Add lines 2a through 2d ...... 2e 3 Subtract line 2e from line 1 ...... 3 4 Amounts included on Form 990, Part IX, line 25, but not on line 1: a Investment expenses not included on Form 990, Part VIII, line 7b . 4a b Other (Describe in Part XIII ) ...... 4b c Add lines 4a and 4b ...... 4c 5 Total expenses Add lines 3 and 4c. (This must equal Form 990, Part I, line 18 ) . . . . . 5 OT1174M Su pp lemental Information Provide the descriptions required for Part II, lines 3, 5, and 9, Part III, lines la and 4, Part IV, lines lb and 2b, Part V, line 4, Part X, line 2, Part XI, lines 2d and 4b, and Part XII, lines 2d and 4b Also complete this part to provide any additional information
Return Reference Explanation DESCRIPTION OF DONOR THE UNIVERSITY OF ROCHESTER ("THE UNIVERSITY") OFFERS ITS DONORS THE ADVISED FUNDS- SCHEDULE D, OPPORTUNITY TO USE CONTRIBUTIONS TO CREATE DONOR-ADVISED FUNDS A DONOR PART I, LINE 1 GENERALLY MAY ESTABLISH A DONOR-ADVISED FUND WITH THE UNIVERSITY BY SIGNING THE AGREEMENT AND THEN MAKING CONTRIBUTIONS TO THE FUND THE DONOR IS ALLOWED TO RECOMMEND THE INVESTMENT OFTHE FUND INTO EITHER A MONEY MARKET FUND OR THE UNIVERSITY'S GENERAL ENDOWMENT THE DONOR MAY SERVE, OR MAY DESIGNATE ANOTHER PERSON TO SERVE, AS THE FUND ADVISOR, WHO MAKES GRANT RECOMMENDATIONS TO THE UNIVERSITY THE GRANT RECOMMENDATIONS ARE NOT BINDING AND WILL BE SUBJECT TO THE UNIVERSITY'S DILIGENT REVIEW ------DESCRIPTION OF COLLECTIONS- THE UNIVERSITY'S MEMORIAL ART GALLERY MAINTAINS BROAD COLLECTIONS, SCHEDULE D, PART III, LINE 4 COMPRISING NEARLY 11,000 OBJECTS SPANNING 5,000 YEARS OF ART HISTORY,THAT PROVIDES THE FOUNDATION FOR OUR ROLE AS A SIGNIFICANT EDUCATIONAL CENTER COMMITTED TO BROADENING PEOPLES' UNDERSTANDING OF WORLD CULTURES, ART AND HISTORY THE UNIVERSITY'S DEPARTMENT OF RARE BOOKS AND SPECIAL COLLECTIONS MAINTAINS RARE BOOK COLLECTIONS THAT INCLUDE PRINTED BOOKS, JOURNALS AND PAMPHLETS FROM 1472 TO THE PRESENT, AS WELL AS MANUSCRIPTS AND SPECIAL COLLECTIONS THESE MATERIALS ARE PROVIDED FOR TEACHING, LEARNING AND RESEARCH PURPOSES ------USE OF ENDOWMENT FUNDS- THE UNIVERSITY'S ENDOWMENT FUNDS ARE UTILIZED IN FURTHERANCE OFTHE SCHEDULE D, PART V ORGANIZATION'S EXEMPT PURPOSES, INCLUDING THE PROVISION OF PERPETUAL ANNUAL SUPPORT FOR STUDENT FINANCIAL AID AND FACULTY SALARIES, AS WELL AS FOR CERTAIN FACILITIES AND ACADEMIC PROGRAMS
Schedule D (Form 990) 2013 Schedule D (Form 990) 2013 Page 5
Schedule D (Form 990) 2013 l efile GRAPHIC Print - DO NOT PROCESS As Filed Data - DLN: 93493134012526 SCHEDULE E OMB No 1545-0047 Schools (Form 990 or 990-EZ) if the organization answered "Yes" to Form 990, Part IV, line 13, or Form 990 - EZ, Part VI, line 48. 2013 n Attach to Form 990 or Form 990-EZ. Departnent of the Treasury O , _ 0- Information about Schedule E (Form 990 or 990-EZ) and its instructions is at www .irs.gov/form990. Internal Revenue Ser ice Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 YES I NO
1 Does the organization have a racially nondiscriminatory policy toward students by statement in its charter, bylaws, other governing instrument, or in a resolution of its governing body? 1 Yes 2 Does the organization include a statement of its racially nondiscriminatory policy toward students in all its brochures, catalogues, and other written communications with the public dealing with student admissions, programs, and scholarships? 2 Yes 3 Has the organization publicized its racially nondiscriminatory policy through newspaper or broadcast media during the period of solicitation for students, or during the registration period if it has no solicitation program, in a way that makes the policy known to all parts of the general community it serves? If "Yes," please describe If "No," please explain If you need more space use Part II 3 Yes
4 Does the organization maintain the following? a Records indicating the racial composition of the student body, faculty, and administrative staff? 4a Yes b Records documenting that scholarships and other financial assistance are awarded on a racially nondiscriminatory basis? 4b Yes c Copies of all catalogues, brochures, announcements, and other written communications to the public dealing with student admissions, programs, and scholarships? 4c Yes d Copies of all material used by the organization or on its behalf to solicit contributions? 4d Yes If you answered "No" to any of the above, please explain If you need more space, use Part II
5 Does the organization discriminate by race in any way with respect to a Students' rights or privileges? 5a No
b Admissions policies? 5b No
c Employment of faculty or administrative staff? 5c No
d Scholarships or other financial assistance? 5d No
e Educational policies? 5e No
f Use of facilities? 5f No
g Athletic programs? 5g No
h Other extracurricular activities? 5h No If you answered "Yes" to any of the above, please explain If you need more space, use Part II
6a Does the organization receive any financial aid or assistance from a governmental agency? 6a Yes b Has the organization's right to such aid ever been revoked or suspended? 6b No If you answered "Yes" to either line 6a or line 6b, explain on Part II 7 Does the organization certify that it has complied with the applicable requirements of sections 4 01 through 4 05 of Rev Proc 75-50, 1975-2 C B 587, covering racial nondiscrimination? If "No," explain on Part II 7 Yes Paperwork Reduction Act Noticee see the Instructions for Form 990 or Form 990 -EZ. Cat No 50085D Schedule E (Form 990 or 990-EZ) 2013 Schedule E (Form 990 or990EZ) 2013 Page 2 Supplemental Information . Provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable Also complete this part to provide any other additional information (see instructions)
Return Reference Explanation
NONDISCRIMINATION ALL PUBLISHED UNIVERSITY OF ROCHESTER OPPORTUNITY ADVERTISEMENTS INCLUDE THE FOLLOWING POLICY STATEMENT- STATEMENT THE UNIVERSITY OF ROCHESTER IS AN EQUAL OPPORTUNITY EMPLOYER " IN ADDITION, THE SCHEDULE E, LINE 3 UNIVERSITY OF ROCHESTER'S NONDISCRIMINATION POLICY IS ADVERTISED TO PROSPECTIVE STUDENTS AND OTHERS IN THE COMMUNITY SERVED BY THE UNIVERSITY OF ROCHESTER THROUGH AN EQUAL OPPORTUNITY STATEMENT USED IN A WIDE VARIETY OF UNIVERSITY PROSPECTUS (FOR UNIVERSITY UNDERGRADUATES), UNDERGRADUATE BULLETINS AND GRADUATE BULLETINS THE STATEMENT, WHICH ALSO APPEARS ON THE UNIVERSITY WEBSITE ON DIVERSITY, READS AS FOLLOWS THE UNIVERSITY OF ROCHESTER VALUES DIVERSITY AND IS COMMITTED TO EQUAL OPPORTUNITY FOR PERSONS REGARDLESS OF AGE, COLOR, DISABILITY, ETHNICITY, GENDER IDENTITY OR EXPRESSION, GENETIC INFORMATION, MARITAL STATUS, MILITARYNETERAN STATUS, NATIONAL ORIGIN, RACE, RELIGION/CREED, SEX, SEXUAL ORIENTATION OR ANY OTHER STATUS PROTECTED BY LAW FURTHER, THE UNIVERSITY COMPLIES WITH ALL APPLICABLE NON-DISCRIMINATION LAWS IN THE ADMINISTRATION OF ITS POLICIES, ADMISSIONS, EMPLOYMENT, AND ACCESS TO AND TREATMENT IN UNIVERSITY PROGRAMS AND ACTIVITIES QUESTIONS ON COMPLIANCE SHOULD BE DIRECTED TO THE PARTICULAR SCHOOL OR DEPARTMENT AND/OR TO THE UNIVERSITY'S INTERCESSOR, UNIVERSITY OF ROCHESTER, P 0 BOX 270040, ROCHESTER, NY 14627-0040 PHONE (585) 275-7814 THE UNIVERSITY OF ROCHESTER ALSO POSTS A "STATEMENT OF EDUCATIONAL PHILOSOPHY" WHICH IS AMPLIFICATION OF THE NONDISCRIMINATION STATEMENT SEE HTTP/NWWV ROCHESTER EDU/DIVERSITY/PHILOSOPHY HTML ------
FINANCIAL THE UNIVERSITY OF ROCHESTER RECEIVES FINANCIAL ASSISTANCE FUNDS FOR STUDENTS, AS PROVIDED BY AID/ASSISTANCE HHS PROGRAMS, AND HAS GOVERNMENT RESEARCH CONTRACTS AND GRANTS FROM GOV'T AGENCY- FORM 990, SCHEDULE E, LINE 6A
Schedule E (Form 990 or 990-EZ) 2013 lefile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493134012526 SCHEDULE F Statement of Activities Outside the United States OMB No 1545-0047 (Form 990) n Complete if the organization answered "Yes" to Form 990, Part IV, line 14b, 15, or 16. 2013 n Attach to Form 990. ► See separate instructions. Department of the Treasury n Information about Schedule F (Form 990) and its instructions is at www.irs.gov/form990. Internal Revenue Service Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 General Information on Activities Outside the United States . Complete if the organization answered "Yes" to Form 990, Part IV, line 14b. 1 For grantmakers .Does the organization maintain records to substantiate the amount of its grants and other assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? ...... fl Yes fl No
2 For grantmakers . Describe in Part V the organization's procedures for monitoring the use of its grants and other assistance outside the United States.
3 Activites per Region (The following Part I, line 3 table can be duplicated if additional space is needed )
(a) Region (b) Number of (c) Number of (d) Activities conducted in (e) If activity listed in (d) is (f) Total expenditures offices in the employees, region (by type) (e g , a program service, describe for and investments region agents, and fundraising, program specific type of in region independent services, investments, grants service(s) in region contractors in to recipients located in the reg ion reg ion) 1) See Add'I Data
( 2)
( 3)
(4)
( 5)
3a Sub-total 1 676 6622 ,4 8 , 8 b Total from continuation sheets 0 365 26,785,726 to Part I c Totals (add lines 3a and 3b) 1 1,041 689,244,571 For Paperwork Reduction Act Notice, see the Instructions for Form 990 . Cat N o 50082W Schedule F (Form 990) 2013 Schedule F (Form 990) 2013 Page 2 Grants and Other Assistance to Organizations or Entities Outside the United States . Complete if the organization answered "Yes" to Form 990, Part IV, line 15, for any recipient who received more than $5,000. Part II can be duplicated if additional space is needed. 1 (b) IRS code ( c) Region ( d) Purpose of (e) Amount of (f) Manner of (g) Amount (h) Description ( i) Method of (a) Name of section grant cash grant cash of non-cash of non-cash valuation organization and EIN ( if disbursement assistance assistance (book, FMV, applicable) appraisal, other) ( 1)
(2)
(3)
(4)
2 Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter . . . .
Enter total number of other organizations or entities . Schedule F (Form 990) 2013 Schedule F (Form 990) 2013 Page 3 Grants and Other Assistance to Individuals Outside the United States . Complete if the organization answered "Yes" to Form 990, Part IV, line 16. Part III can be duplicated if additional space is needed. (a) Type of grant or (b) Region (c) Number of (d) Amount of (e) Manner of cash (f) Amount of (g) Description (h) Method of assistance recipients cash grant disbursement non-cash of non-cash valuation assistance assistance (book, FMV, a pp raisal , other ) ( 1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
( 10)
( 11)
( 12)
( 13)
( 14)
( 15)
( 16)
( 17)
( 18)
Schedule F (Form 990) 2013 Schedule F (Form 990) 2013 Page 4 Foreign Forms
1 Was the organization a U S transferor of property to a foreign corporation during the tax year? If "Yes,"the organization may be required to file Form 926, Return by a U.S. Transferor of Property to a Foreign Corporation (see Instructions for Form 926) F Yes F- N o
2 Did the organization have an interest in a foreign trust during the tax year? If "Yes," the organization may be required to file Form 3520, Annual Return to Report Transactions with Foreign Trusts and Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust With a U.S. Owner (see Instructions for Forms 3520 and 3520-A) F- Yes F N o
3 Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 5471, Information Return of U.S. Persons with Respect to Certain Foreign Corporations. (see Instructions for Form 5471) F Yes F- N o
4 Was the organization a direct or indirect shareholder of a passive foreign investment company or a qualified electing fund during the tax year? If " Yes,"the organization may be required to file Form 8621, Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see Instructions for Form 8621 ) F Yes F- No
5 Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," the organization may be required to file Form 8865, Return of U.S. Persons with Respect to Certain Foreign Partnerships. (see Instructions for Form 8865) F Yes F- N o
6 Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organization may be required to file Form 5713, International Boycott Report (see Instructions for Form 5713). F- Yes F No
Schedule F ( Form 990) 2013 Schedule F (Form 990) 2013 Page 5 Supplemental Information Provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information (see instructions).
990 Schedule F, Supplemental Information Return Reference Explanation
SUBAWARDS ISSUED TO FOREIGN ENTITIES- SCHEDULE IN FURTHERANCE OF ITS RESEARCH ACTIVITIES, THE UNIVERSITY OF ROCHESTER F, PART I, LINE 3(c) MAKES SUB-AWARDS TO OTHER FOREIGN ORGANIZATIONS THAT PERFORM RESEARCH IN CONNECTION WITH RESEARCH GRANTS AWAR DED TO THE UNIVERSITY THE UNIVERSITY DOES NOT CATEGORIZE THESE SUB- AWARDS AS "FOREIGN ACT IVITIES OR GRANTS" FOR FORM 990, SCHEDULE F REPORTING, SINCE THE FOREIGN RECIPIENT ORGANIZ ATIONS PERFORM RESEARCH SERVICES FOR THE UNIVERSITY AND ARE CONSIDERED INDEPENDENT CONTRAC TORS WHICH SERVE THE DIRECT NEEDS OF THE UNIVERSITY Additional Data
Software ID: Software Version: EIN: 16 -0743209 Name : UNIVERSITY OF ROCHESTER
Form 990 Schedule F Part I - Activities Outside The United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program for region region agents in type) (i e , fundraising, service, describe region program services, specific type of service grants to recipients (s) in region located in the region) Antarctica 0 20 Program Services CONDUCTED 12,460 RESEARCH Central America and the 0 1 Fundraising 3,120 Caribbean Central America and the 0 0 Investments 656,785,256 Caribbean Form 990 Schedule F Part I - Activi ties Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) Central America and the 0 5 Program Services CONDUCTED 5,131 Caribbean RESEARCH Central America and the p 14 Program Services PRESENTATION AT 16,564 Caribbean CONFER Central America and the 0 4 Program Services TEACHING & 12,714 Caribbean RECRUITMENT Form 990 Schedule F Part I - Activi ties Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) East Asia and the Pacific 0 5 Fundraising 20,393
East Asia and the Pacific 0 61 Program Services CONDUCTED 114,528 RESEARCH East Asia and the Pacific 0 94 Program Services PRESENTATION AT 155,765 CONFER Form 990 Schedule F Part I - Activities Outside T he United States (a) Region ( b) Number of ( c) Number of (d) Activities (e) If activity listed in ( f) Total expenditures offices in the employees or conducted in region ( by (d) is a program service, for region region agents in type ) (i e , fundraising , describe specific type of region program services, service ( s) in region grants to recipients located in the region) East Asia and the Pacific 0 8 Program Services STUDY ABROAD 7,233
East Asia and the Pacific 0 26 Program Services TEACHING & 145,272 RECRUITMENT Europe ( Including Iceland p 9 Fundraising 26,857 and Greenland) Form 990 Schedule F Part I - Activi ties Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) Europe (Including Iceland 0 0 Investments 2,733,661 and Greenland) Europe (Including Iceland 1 66 Program Services CONDUCTED 481,564 and Greenland) RESEARCH Europe (Including Iceland 0 297 Program Services PRESENTATION AT 622,341 and Greenland) CONFER Form 990 Schedule F Part I - Activities Outside T he United States (a) Region (b) Number of ( c) Number of (d) Activities (e) If activity listed in ( f) Total expenditures offices in the employees or conducted in region ( by (d) is a program service, for region region agents in type) ( i e , fundraising , describe specific type of region program services, service ( s) in region grants to recipients located in the region) Europe ( Including Iceland 0 23 Program Services STUDY ABROAD 927,656 and Greenland) Europe ( Including Iceland 0 43 Program Services TEACHING & 388,330 and Greenland ) RECRUITMENT Middle East and North 0 5 Program Services CONDUCTED 6,548 Africa RESEARCH Form 990 Schedule F Part I - Activi ties Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) Middle East and North 0 7 Program Services PRESENTATION AT 3,795 Africa CONFER Middle East and North p 1 Program Services STUDY ABROAD 979 Africa Middle East and North 0 5 Program Services TEACHING & 18,191 Africa RECRUITMENT Form 990 Schedule F Part I - Activities Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) North America 0 3 Fundraising 3,505
North America 0 0 Investments 2,700
North America 0 14 Program Services CONDUCTED 22,042 RESEARCH Form 990 Schedule F Part I - Activities Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) North America 0 136 Program Services PRESENTATION AT 144,858 CONFER North America p 22 Program Services TEACHING & 32,175 RECRUITMENT Russia and the Newly 0 3 Program Services PRESENTATION AT 2,856 Independent States CONFER Form 990 Schedule F Part I - Activi ties Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) South America 0 0 Investments 2,836,057
South America 0 27 Program Services CONDUCTED 43,259 RESEARCH South America 0 12 Program Services PRESENTATION AT 21,513 CONFER Form 990 Schedule F Part I - Activi ties Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) South America 0 1 Program Services STUDY ABROAD 1,016
South America 0 8 Program Services TEACHING & 22,265 RECRUITMENT South Asia 0 17 Fundraising 40,022 Form 990 Schedule F Part I - Activi ties Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) South Asia 0 13 Program Services CONDUCTED 5,567 RESEARCH South Asia 0 11 Program Services PRESENTATION AT 26,445 CONFER South Asia 0 26 Program Services TEACHING & 83,206 RECRUITMENT Form 990 Schedule F Part I - Activi ties Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) Sub-Saharan Africa 0 0 Investments 23,254,740
Sub-Saharan Africa 0 44 Program Services CONDUCTED 183,424 RESEARCH Sub-Saharan Africa 0 4 Program Services PRESENTATION AT 9,451 CONFER Form 990 Schedule F Part I - Activi ties Outside T he United States (a) Region (b) Number of (c) Number of (d) Activities (e) If activity listed in (f) Total expenditures offices in the employees or conducted in region (by (d) is a program service, for region region agents in type) (i e , fundraising, describe specific type of region program services, service(s) in region grants to recipients located in the region) Sub-Saharan Africa 0 4 Program Services STUDY ABROAD 7,776
Sub-Saharan Africa 0 2 Program Services TEACHING & 13,336 RECRUITMENT efile GRAPHIC rint - DO NOT PROCESS As Filed Data - DLN: 93493134012526 SCHEDULEG Supplemental Information Regarding OMB No 1545-0047 (Form 990 or 990-EZ) Fundraising or Gaming Activities Complete if the organization answered " Yes" to Forth 990, Part IV, lines 17 , 18, or 19 , or if the 2013 Department of the Treasury organization entered more than $ 15,000 on Forth 990-EZ, line 6a. Op e n to Public Ob'Attach to Form 990 or Forth 990-EZ. Ob' See separate instructions. Internal Revenue Service Ins p ection 'Information about Schedule G (Forth 990 or990 - EZ) and its instructions is at www. irs.aov /form990. Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 Fundraising Activities . Complete if the organization answered "Yes" to Form 990, Part IV, line 17. Form 990-EZ filers are not required to complete this part.
Indicate whether the organization raised funds through any of the following activities Check all that apply a F Mail solicitations e F Solicitation of non-government grants b F Internet and email solicitations f F Solicitation of government grants c F Phone solicitations g F Special fundraising events d F In-person solicitations
2a Did the organization have a written or oral agreement with any individual (including officers, directors, trustees or key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services? F Yes 1! No b If "Yes," list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is to be compensated at least $5,000 by the organization
(i) Name and address of (ii) Activity ( iii) Did (iv) Gross receipts (v) Amount paid to (vi) Amount paid to individual fundraiser have from activity ( or retained by) (or retained by) or entity (fundraiser ) custody or fundraiser listed in organization control of col (i) contributions? Yes No 1 RUFFALOCODY LLC PHONE SOLIC 65 KIRKWOOD NORTH ROAD SW No 910,510 377,952 532,558 PO BOX 3018 CEDAR RAPIDS, IA 524063018 2 HARRIS CONNECT LLC PHONE SOLIC 1511 ROUTE 22 No 65,886 13,401 52,485 SUITE C-25 BREWSTER NY 10509 3
4
5
6
7
8
9
10
Total ...... 976,396 391,353 585,043
3 List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registration or licensing
NY
For Paperwork Reduction Act Noticee see the Instructions for Form 990or 990-EZ . Cat No 50083H Schedule G ( Form 990 or 990 - EZ) 2013 Schedule G (Form 990 or 990-EZ) 2013 Page 2 Fundraising Events . Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported more than $15,000 of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. List events with gross receipts greater than $5,000. (a) Event #1 (b) Event #2 (c) Other events (d) Total events (add col (a) through WINE AUCTION GCHAS GALA 12 col (c)) (event type) (event type) (total number) co 1 Gross receipts 1,266,650 723,000 2,364,257 4,353,907 75 2 Less Contributions 758,872 307,251 1,428,417 2,494,540 3 Gross income (line 1 minus line 2) 507,778 415,749 935,840 1,859,367
4 Cash prizes
5 Noncash prizes 44,286 44,286 u7 6 Rent/facility costs 2,623 5,613 260,197 268,433
7 Food and beverages 65,440 75,056 214,643 355,139
8 Entertainment 6,700 6,600 39,467 52,767
9 Other direct expenses 144,674 37,731 278,170 460,575
10 Direct expense summary Add lines 4 through 9 i n column (d) ( 1 , 1 8 11 Net income summary Subtract line 10 from line 3, column (d) ...... 678,167 Gaming . Complete if the organization answered "Yes" to Form 990, Part IV, line 19, or reported more than $15,000 on Form 990-EZ, line 6a. co (a) Bingo (b) Pull tabs/Instant (c) Other gaming (d) Total gaming (add bingo/progressive bingo col (a) through col co (c)) 1 Gross revenue .
2 Cash prizes u) C 3 Non-cash prizes
LIJ 4 Rent/facility costs .
5 Other direct expenses
F Yes % fl Yes % F Yes 6 Volunteer labor n No F No F No
7 Direct expense summary Add lines 2 through 5 in column (d) ►
8 Net gaming income summary Subtract line 7 from line 1, column (d) ►
9 Enter the state (s) in which the organization operates gaming activities a Is the organization licensed to operate gaming activities in each of these states? ...... Yes r No b If "No," explain
------10a Were any of the organization ' s gaming licenses revoked, suspended or terminated during the tax year? . . . . . F Yes F No b If "Yes," explain ------
Schedule G (Form 990 or 990-EZ) 2013 Schedule G (Form 990 or 990-EZ) 2013 Page 3 11
Does the organization operate gaming activities with nonmembers? ...... Yes F No 12 Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entity
formed to administer charitable gaming? ...... Yes F No 13 Indicate the percentage of gaming activity operated in a The organization ' s facility 13a % b An outside facility 13b % 14 Enter the name and address of the person who prepares the organization ' s gaming /special events books and records
Name ►
Address ►
15a Does the organization have a contract with a third party from whom the organization receives gaming
revenue? ...... r- Yes r- No b If "Yes," enter the amount of gaming revenue received by the organization ► $ and the amount of gaming revenue retained by the third party $
c If "Yes," enter name and address of the third party
Name llik^ ------
Address
------16 Gaming manager information
Name llik^ ------
Gaming manager compensation ► $
Description of services provided
F Director/officer F Employee F Independent contractor 17 Mandatory distributions a Is the organization required understate law to make charitable distributions from the gaming proceeds to
retain the state gaming license? ...... r-Yes r-No b Enter the amount of distributions required under state law distributed to other exempt organizations or spent in the organization ' s own exempt activities during the tax year $ Supplemental Information . Provide the explanations required by Part I , line 2b, columns ( iii) and (v), and Part III , lines 9 , 9b, 10b , 15b, 15c, 16, and 17b , as applicable. Also complete this part to provide any additional information ( see instructions). Return Reference Explanation
PHONE HARRIS CONNECT IS ENGAGED TO PHONE SOLICIT FOR MULTI-YEAR PLEDGES THE GROSS SOLICITATION FOR RECEIPTS FIGURE OF $65,886 REPRESENTS CASH PAYMENTS RECEIVED IN FY2014 ONLY MULTI-YEAR PLEDGES- SCHEDULE G, PART I Schedule G (Form 990 or 990-EZ) 2013 l efile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493134012526 SCHEDULE H Hospitals OMB No 1545-0047 (Form 990) 1- Complete if the organization answered "Yes" to Form 990, Part IV, question 20. 2013 1- Attach to Form 990. 1- See separate instructions. Department of the Treasury 0- Information about Schedule H (Form 990) and its instructions is at www.irs.gov/form990. Ope n Internal Revenue Service I Inspection Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 Financial Assistance and Certain Other Community Benefits at Cost Yes I No la Did the organization have a financial assistance policy during the tax year? If "No," skip to question 6a la Yes b If "Yes," was it a written policy? ...... lb Yes 2 If the organization had multiple hospital facilities , indicate which of the following best describes application of the financial assistance policy to its various hospital facilities during the tax year
F Applied uniformly to all hospital facilities F Applied uniformly to most hospital facilities F Generally tailored to individual hospital facilities
3 Answer the following based on the financial assistance eligibility criteria that applied to the largest number of the organization ' s patients during the tax year
a Did the organization use Federal Poverty Guidelines ( FPG) as a factor in determining eligibility for providing free care? If "Yes," indicate which of the following was the FPG family income limit for eligibility for free care 3a Yes
F 100% F 150% F 2000/o F Other % b Did the organization use FPG as a factor in determining eligibility for providing discounted care? If "Yes," indicate
which of the following was the family income limit for eligibility for discounted care 3b Yes
F 200% F 250% F 300% F 350% F 4000/o F Other %
c If the organization used factors other than FPG in determining eligibility, describe in Part VI the income based criteria for determining eligibility for free or discounted care Include in the description whether the organization used an asset test or other threshold, regardless of income, as a factor in determining eligibility for free or discounted care 4 Did the organization's financial assistance policy that applied to the largest number of its patients during the tax year provide for free or discounted care to the "medically indigent"? 4 Yes 5a Did the organization budget amounts for free or discounted care provided under its financial assistance policy during the tax year? 5a Yes b If "Yes," did the organization's financial assistance expenses exceed the budgeted amount? 5b Yes c If "Yes" to line 5b, as a result of budget considerations, was the organization unable to provide free or discounted care to a patient who was eligibile for free or discounted care? 5c No 6a Did the organization prepare a community benefit report during the tax year? 6a Yes b If "Yes," did the organization make it available to the public? 6b Yes Complete the following table using the worksheets provided in the Schedule H instructions Do not submit these worksheets with the Schedule H 7 Financial Assistance and Certain Other Community Benefits at Cost Financial Assistance and (a) Number of b Persons c Total community d Direct offsetting a Net community benefit f Percent of activities or ( ) ( ) ( ) g () ( ) Means- Tested served benefit expense revenue expense total expense programs (optional) Government Programs (optional) a Financial Assistance at cost (from Worksheet 1) . 22,587,530 4,674,348 17,913,182 0 650 % b Medicaid (from Worksheet 3, column a) . . . 310,646,637 274,342,352 36,304,285 1 310 % c Costs of other means-tested government programs (from Worksheet 3, column b) 4,591,049 2,979,292 1,611,757 0 060 % d Total Financial Assistance and Means-Tested Government Programs 337,825,216 281,995,992 55,829,224 2 020 % Other Benefits e Community health improvement services and community benefit operations (from Worksheet 4) . 1,931,286 306,605 1,624,681 0 060 % f Health professions education (from Worksheet 5) . 104,482,651 10,811,407 93,671,244 3 400 % g Subsidized health services (from Worksheet 6) . 123,253,115 97,456,887 25,796,228 0 940 % h Research (from Worksheet 7) 321,189,861 321,189,861 0 i Cash and in-kind contributions for community benefit (from Worksheet 8) 474,325 0 474,325 0 020 % j Total . Other Benefits . 551,331,238 429,764,760 121,566,478 4 420 % k Total . Add lines 7d and 7j 889,156,454 711,760,752 177,395,702 6 440 % For Paperwork Reduction Act Notice, see the Instructions for Form 990 . Cat N o 50192T Schedule H (Form 990) 2013 Schedule H (Form 990) 2013 Page 2 2 Community Building Activities Complete this table if the organization conducted any community building activities during the tax year, and describe in Part VI how its community building activities promoted the health of the communities it serves- (a) Number of (b) Persons (c) Total community (d) Direct offsetting (e) Net community (f) Percent of activities or served (optional) building expense revenue building expense total expense programs (optional)
1 Ph y sical im p rovements and housin g
2 Economic development
3 Communit y su pp ort 19,728 0 19,728
4 Environmental improvements 5 Leadership development and training for community members 6 Coalition building 13,978 0 13,978 7 Community health improvement advocacy 3,882 0 3,882 8 Workforce development 9 Other
10 Total 37,588 0 37,588 Ill: Bad Debt , Medicare , & Collection Practices Section A. Bad Debt Expense Yes No 1 Did the organization report bad debt expense in accordance with Heathcare Financial Management Association Statement No 15? ...... 1 No 2 Enter the amount of the organization's bad debt expense Explain in Part VI the methodology used by the organization to estimate this amount 2 17,864,908 3 Enter the estimated amount of the organization's bad debt expense attributable to patients eligible under the organization's financial assistance policy Explain in Part VI the methodology used by the organization to estimate this amount and the rationale, if any, for including this portion of bad debt as community benefit 3 491,661 4 Provide in Part VI the text of the footnote to the organization's financial statements that describes bad debt expense or the page number on which this footnote is contained in the attached financial statements Section B. Medicare 5 Entertotal revenue received from Medicare (including DSH and IME) . 5 183,076,614 6 Enter Medicare allowable costs of care relating to payments on line 5 . 6 192,061,713 7 Subtract line 6 from line 5 This is the surplus (or shortfall) . 7 -8,985,099 8 Describe in Part VI the extent to which any shortfall reported in line 7 should be treated as community benefit Also describe in Part VI the costing methodology or source used to determine the amount reported on line 6 Check the box that describes the method used
F Cost accounting system F Cost to charge ratio F Other Section C. Collection Practices 9a Did the organization have a written debt collection policy during the tax year? . b If "Yes," did the organization 's collection policy that applied to the largest number of its patients during the tax year contain provisions on the collection practices to be followed for patients who are known to qualify for financial assistance? Describe in Part VI ...... 9b Yes MITUT Mananernent Comnanies and Joint VenturesrnvunPri ,n° nr mnra hvnfrarc rLrartnrc triictaac kavamnlnvaac and nhvananc-s inctrnrtinncl (a) Name of entity (b) Description of primary (c) Organization's (d) Officers, directors, (e) Physicians' activity of entity profit % or stock trustees, or key profit % or stock ownership % employees' profit % ownership or stock ownership 1
2
3
4
5
6
7
8
9
10
11
12
13
Schedule H (Form 990) 2013 Schedule H (Form 990) 2013 Page 3 2 Facility Information m Section A . Hospital Facilities -^ s CD -
0 (list in order of size from largest to smallest-see instructions) o CL 0 a How many hospital facilities did the 5 ( -0 organization operate during the tax year? a 1 U
Name, address, primary website address, and state license number a Other (Describe) Facility reporting group See Additional Data Table
Schedule H (Form 990) 2013 Schedule H (Form 990) 2013 Page 4 2 Facility Information (continued) Section B. Facility Policies and Practices (Complete a separate Section B for each of the hospital facilities or facility reporting groups listed in Part V, Section A) STRONG MEMORIAL HOSPITAL Name of hospital facility or facility reporting group
If reporting on Part V, Section B for a single hospital facility only: line number of 1 hospital facility (from Schedule H, Part V, Section A) No munity Health Needs Assessment ( Lines 1 through 8c are optional for tax years begining on or before March 23, 2012) 1 During the tax year or either of the two immediately preceding tax years , did the hospital facility conduct a community health needs assessment (CHNA)? If "No," skip to line 9 ...... 1 Yes If "Yes," indicate what the CHNA report describes ( check all that apply) a F A definition of the community served by the hospital facility b F Demographics of the community c 7 Existing health care facilities and resources within the community that are available to respond to the health needs of the community d F' How data was obtained e F' The health needs of the community f 7 Primary and chronic disease needs and other health issues of uninsured persons, low- income persons , and minority groups 9 I The process for identifying and prioritizing community health needs and services to meet the community health needs h I The process for consulting with persons representing the community 's interests I Information gaps that limit the hospital facility's ability to assess the community 's health needs I Other ( describe in Part VI) 2 Indicate the tax year the hospital facility last conducted a CHNA 20 12 3 In conducting its most recent CHNA, did the hospital facility take into account input from persons who represent the broad interests of the community served by the hospital facility, including those with special knowledge of or expertise in public health? If "Yes ," describe in Part VI how the hospital facility took into account input from persons who represent the community , and identify the persons the hospital facility consulted ...... 3 Yes 4 Was the hospital facility's CHNA conducted with one or more other hospital facilities? If "Yes," list the other hospital facilities in Part VI ...... 4 Yes 5 Did the hospital facility make its CHNA report widely available to the public? ...... If "Yes," indicate how the CHNA report was made widely available (check all that apply) a F Hospital facility's website ( list url ) SEE SCHEDULE H, PART V, SECTION C b Other website ( list url) c F' Available upon request from the hospital facility d F' Other ( describe in Part VI) 6 If the hospital facility addressed needs identified in its most recently conducted CHNA, indicate how (check all that apply as of the end of the tax year) a 7' Adoption of an implementation strategy that addresses each of the community health needs identified through the CHNA b F Execution of the implementation strategy c F Participation in the development of a community - wide plan d I Participation in the execution of a community - wide plan e Inclusion of a community benefit section in operational plans f Adoption of a budget for provision of services that address the needs identified in the CHNA 9 F Prioritization of health needs in its community h F Prioritization of services that the hospital facility will undertake to meet health needs in its community 1' Other ( describe in Part VI) 7 Did the hospital facility address all of the needs identified in its most recently conducted CHNA? If "No," explain in Part VI which needs it has not addressed and the reasons why it has not addressed such needs ...... 8a Did the organization incur an excise tax under section 4959 for the hospital facility's failure to conduct a CHNA as required by section 501 (r)(3)? ...... 8a N o b If "Yes" to line 8a, did the organization file Form 4720 to report the section 4959 excise tax? ...... c If "Yes" to line 8b, what is the total amount of section 4959 excise tax the organization reported on Form 4720 for all of its hospital facilities? $
Schedule H (Form 990) 2013 Schedule H (Form 990) 2013 Page 5 2 Facility Information (continued) Financial Assistance Policy Yes No 9 Did the hospital facility have in place during the tax year a written financial assistance policy that Explained eligibility criteria for financial assistance, and whether such assistance includes free or discounted care? 9 Yes 10 Used federal poverty guidelines (FPG) to determine eligibility for providing free care? ...... 10 Yes If "Yes," indicate the FPG family income limit for eligibility for free care 200 % If "No," explain in Part VI the criteria the hospital facility used 11 Used FPG to determine eligibility for providing discounted care? ...... 11 Yes If "Yes," indicate the FPG family income limit for eligibility for discounted care 400 % If "No," explain in Part VI the criteria the hospital facility used 12 Explained the basis for calculating amounts charged to patients? ...... 12 Yes If "Yes," indicate the factors used in determining such amounts (check all that apply) a F' Income level b F' Asset level c F' Medical indigency d F' Insurance status e F' Uninsured discount f F' Medicaid/Medicare g F' State regulation h F' Residency i F' Other (describe in Part VI) 13 Explained the method for applying for financial assistance? ...... 13 Yes 14 Included measures to publicize the policy within the community served by the hospital facility? ...... 14 Yes If "Yes," indicate how the hospital facility publicized the policy (check all that apply) a I The policy was posted on the hospital facility's website b I The policy was attached to billing invoices c I The policy was posted in the hospital facility's emergency rooms or waiting rooms d I The policy was posted in the hospital facility's admissions offices e I The policy was provided, in writing, to patients on admission to the hospital facility f F The policy was available upon request g I Other (describe in Part VI) Billing and Collections 15 Did the hospital facility have in place during the tax year a separate billing and collections policy, or a written financial assistance policy (FAP) that explained actions the hospital facility may take upon non-payment? ...... 15 Yes 16 Check all of the following actions against an individual that were permitted under the hospital facility's policies during the tax year before making reasonable efforts to determine the individual's eligibility under the facility's FAP a F' Reporting to credit agency b F' Lawsuits c F' Liens on residences d F' Body attachments e F' Other similar actions (describe in Section C) 17 Did the hospital facility or an authorized third party perform any of the following actions during the tax year before making reasonable efforts to determine the individual's eligibility under the facility's FAP? ...... 17 No If "Yes," check all actions in which the hospital facility or a third party engaged a F' Reporting to credit agency b F' Lawsuits c F' Liens on residences d F' Body attachments e F' Other similar actions (describe in Section C) Schedule H (Form 990) 2013 Schedule H (Form 990) 2013 Page 6 2 Facility Information (continued) 18 Indicate which efforts the hospital facility made before initiating any of the actions listed in line 17 (check all that apply) a F Notified individuals of the financial assistance policy on admission b F Notified individuals of the financial assistance policy prior to discharge c 7 Notified individuals of the financial assistance policy in communications with the individuals regarding the individuals' bills d 7 Documented its determination of whether individuals were eligible for financial assistance under the hospital facility's financial assistance policy e 1 Other (describe in Section C) Policy Relating to Emergency Medical Care No 19 Did the hospital facility have in place during the tax year a written policy relating to emergency medical care that requires the hospital facility to provide, without discrimination, care for emergency medical conditions to individuals regardless of their eligibility under the hospital facility's financial assistance policy? ...... If "No," indicate why 1 The hospital facility did not provide care for any emergency medical conditions 1 The hospital facility's policy was not in writing 1 The hospital facility limited who was eligible to receive care for emergency medical conditions ( describe in Part VI) 1 Other ( describe in Part VI) Charges to Individuals Eligible for Assistance under the FAP (FAP-Eligible Individuals) 20 Indicate how the hospital facility determined, during the tax year, the maximum amounts that can be charged to FA P- eligible individuals for emergency or other medically necessary care a F- The hospital facility used its lowest negotiated commercial insurance rate when calculating the maximum amounts that can be charged b F- The hospital facility used the average of its three lowest negotiated commercial insurance rates when calculating the maximum amounts that can be charged c F The hospital facility used the Medicare rates when calculating the maximum amounts that can be charged d 1 Other (describe in Part VI) 21 During the tax year, did the hospital facility charge any FAP-eligible individual to whom the hospital facility provided emergency or other medically necessary services more than the amounts generally billed to individuals who had insurance covering such care? ...... 21 No If "Yes," explain in Part VI 22 During the tax year, did the hospital facility charge any FAP-eligible individual an amount equal to the gross charge for any service provided to that individual? ...... 22 No If "Yes," explain in Part VI Schedule H (Form 990) 2013 Schedule H (Form 990) 2013 Page 7 2 Facility Information (continued)
Section C. Supplemental Information for Part V, Section B.Provide descriptions required for Part V, Section B, lines 1], 3, 4, 5d, 61, 7, 10, 11, 121, 14g, 16e, 17e, 18e, 19c, 19d, 20d, 21, and 22. If applicable, provide separate descriptions for each facility in a facility reporting g rou p, desi g nated b y "Facility A , " "Facility B , " etc. Form and Line Reference Explanation
See Additional Data Table
Schedule H (Form 990) 2013 Schedule H (Form 990) 2013 Page 8 2 MVIVI-Facility Information (continued)
Section D . Other Health Care Facilities That Are Not Licensed , Registered, or Similarly Recognized as a Hospital Facility (list in order of size, from largest to smallest)
How many non-hospital health care facilities did the organization operate during the tax year? 8
Name and address Typ e of Facility ( describe ) 1 EASTMAN DENTAL CENTER OUTPATIENT DENTAL CLINIC 625 ELMWOOD AVENUE ROCHESTER,NY 14620 2 UNIVERSITY DENTAL FACULTY GROUP OUTPATIENT DENTAL CLINIC 2400 SOUTH CLINTON AVENUE BLDG H S ROCHESTER NY 14618 3 ENRICO FERMI DENTAL CLINIC AT SCHOOL #17 OUTPATIENT DENTAL CLINIC 158 ORCHARD STREET ROCHESTER,NY 14611 4 EASTMAN DENTAL DOWNTOWN CLINIC OUTPATIENT DENTAL CLINIC 228 EAST MAIN STREET ROCHESTER NY 14604 5 EDC SMILEMOBILE VANS OUTPATIENT DENTAL CLINIC 625 ELMWOOD AVENUE ROCHESTER,NY 14620 6 ORAL MEDICINE SALIVARY DYSFUNCTION OUTPATIENT DENTAL CLINIC 601 ELMWOOD AVENUE ROCHESTER NY 14642 7 EDC-MONROE COMMUNITY HOSPITAL CLINIC OUTPATIENT DENTAL CLINIC 435 EAST HENRIETTA ROAD ROCHESTER,NY 14620 8 EDC-HILLSIDE CHILDRENS CENTER CLINIC OUTPATIENT DENTAL CLINIC 1183 MONROE AVENUE ROCHESTER NY 14620 9 10
Schedule H (Form 990) 2013 Schedule H (Form 990) 2013 Page 9 2 Supplemental Information Provide the following information
1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7, Part II and Part III, lines 2, 3, 4, 8 and 9b 2 Needs assessment . Describe how the organization assesses the health care needs of the communities it serves, in addition to any CHNAs reported in Part V, Section B 3 Patient education of eligibility for assistance . Describe how the organization informs and educates patients and persons who may be billed for patient care about their eligibility for assistance under federal, state, or local government programs or under the organization's financial assistance policy 4 Community information . Describe the community the organization serves, taking into account the geographic area and demographic constituents it serves 5 Promotion of community health . Provide any other information important to describing how the organization's hospital facilities or other health care facilities further its exempt purpose by promoting the health of the community (e g , open medical staff, community board, use of surplus funds, etc ) 6 Affiliated health care system . If the organization is part of an affiliated health care system, describe the respective roles of the organization and its affiliates in promoting the health of the communities served 7 State filing of community benefit report . If applicable, identify all states with which the organization, or a related organization, files a community benefit report
Form and Line Reference Explanation
PART I, LINE 7g- SUBSIDIZED COSTS ATTRIBUTABLE TO A PHYSICIAN CLINIC WERE INCLUDED ON PART I, LINE 7g, HEALTH SERVICES SUBSIDIZED HEALTH SERVICES, AND INCLUDED TOTAL COMMUNITY BENEFIT EXPENSE OF $18,191,624, DIRECT OFFSETTING REVENUE OF $14,633,312, NET COMMUNITY BENEFIT EXPENSE OF $3,558,312 ------Form and Line Reference Explanation
PART I, LINE 7, COLUMN (F)- BAD HE AMOUNT OF BAD DEBT EXPENSE INCLUDED ON FORM 990 PART IX, LINE 25 COLUMN DEBT EXPENSE AND DIRECT (A) BUT SUBTRACTED FOR PURPOSES OF CALCULATING THE PERCENTAGE REPORTED ON OFFSETTING REVENUE LINE 7, COLUMN(f) WAS $17,864,908 ------THE 2013 SCHEDULE H IRS INSTRUCTIONS WERE UPDATED TO INCLUDE RESTRICTED GRANTS OR CONTRIBUTIONS USED TO PROVIDE A COMMUNITY BENEFIT AS DIRECT OFFSETTING REVENUE CCORDINGLY, $321,189,861 OF RESTRICTED RESEARCH GRANTS HAS BEEN INCLUDED AS DIRECT OFFSETTING REVENUE FOR 2013 ABSENT THIS CHANGE,THE PERCENT OF TOTAL EXPENSE IN COLUMN F WOULD HAVE BEEN 18 25% Form and Line Reference Explanation
PART I, LINE 7- COSTING HE COSTING METHODOLOGY USED IN CALCULATING THE AMOUNTS REPORTED ON THE METHODOLOGY USED LINE 7 TABLE ARE BASED ON A COST ACCOUNTING SYSTEM ------Form and Line Reference Explanation
PART II- DETAIL OF COMMUNITY THE COMMUNITY BUILDING PROGRAMS REPORTED IN PART II PROMOTE THE HEALTH OF BUILDING ACTIVITIES THE COMMUNITY IN MANY WAYS EXAMPLES INCLUDE ------COMMUNITY SUPPORT BRISTOL MOUNTAIN Ke sslerTrauma Center - head injury education/prevention Provides helmets to children 2-17 for fall & injury prevention BURN BOWLING EVENT Community Fundraiser for Pediatric Compre ssion Garments 1st annual event, anticipate 2nd annual in 2014 FALL PREVENTION Fall Pre vention with elderly population Presentation on safety and prevention with education reso urces Information and education on fall prevention for aging ORTHO-DYNAMIC MOVEMENT EDU CATION SESSION ON ALTERNATIVE INTERVENTIONS FOR NEUROMUSCULAR IMPAIRMENT PROVIDED BY THE STRONG MEMORIAL HOSPITAL'S ORTHOPEDICS DEPARTMENT PROJECT CEASEFIRE- RPD Project develope d by the Rochester Police Department and the Monroe County Probation Department High risk youth are court mandated to attend these sessions, which start with a presentation called 'Violence What's the price and who pays " This is part of a coordinated intervention pro gram that includes the trauma center, law enforcement and social service to offer support and resources to youth at risk for violence-4 presentations per year PROJECT EXILE ADVISO RY GRO U P P roject Exile is a joint initiative between federal and local law enforcement to target violent offenders, remove illegal guns and develop workable anti-crime and anti-vi olence tactics for our community Decrease violence in our community PROJECT T I P S Kes sler Trauma Center The program, which stands for Trust, Information, Programs, and servic es, reaches out to people in the community to help improve quality of life in their neighb orhood Volunteers, accompanied by police officers and firemen, go door to door in high crime neighborhoods in an effort to foster an atmosphere of communication and build stronger community ties Volunteers collect responses and voluntary contact information from the n eighborhood residents to submit to the mayor's office for review Increase cooperation and trust between community members and police force STATE TEEN DRIVING COMMITTEE NY State Teen Driving Committee addresses the state coalition to improve teen driving/reduce accede nts/deaths, etc Slate Coalition efforts to improve teen driving, reduce texting and drive ng, etc GRAVES' ORBITAL DISEASE SUPPORT GROUP PATIENT-RUN SUPPORT GROUP PROVIDED IN COMM UNITY SETTING FOR PERSONS SUFFERING FROM GRAVES' ORBITAL DISEASE AND THEIR FAMILIES HOSTE D BY STRONG MEMORIAL HOSPITAL'S OPHTHALMOLOGY DEPARTMENT YOUR CAR MY LIFE Kessler Trauma Center Tween/Parent traffic safety educational outreach component Traffic Safety educate on SJOGRENS SUPPORT GROUP To help patients live fuller lives with Sjogrens Syndrome, to help them better manage their symptoms Emotional support for patients, Increased patient participation, Increased awareness for physicians ------COALITION BUILDING DRIVE FOR LIFE Kessler Trauma Center Interactive teen driver safety program organized b y the trauma center that included police, fire and EMS from the surrounding region to simu late a drunken driving accident and all the issues that surround this type of incident Ti ming of the even was designed to coincide with prom and graduation season Additional invo Ivement by MADD and New York State Police Improve teen driving safety and education of dr iving under the influence of alcohoL 5 hours to host both events and 40 hours of preparat ion time Two events were hosted cluing this time period FINGER LAKES AFRICAN AMERICAN HEA LTH COALITION THE AFRICAN AMERICAN HEALTH COALITION IS A GROUP OF INDIVIDUALS AND ORGANIZ ATIONS CONVENED BY THE FINGER LAKES HEALTH SYSTEMS AGENCY, WHO WORK TOGETHER TO BUILD A CO ORDINATED COMMUNITY RESPONSE TO ELIMINATE AFRICAN AMERICAN HEALTH DISPARITIES REGIONALTR AUMA AND ACUTE CARE MEETING Regional Trauma Advisory Committee per the American College o f Surgeons Develop protocols, education, etc ROCHESTER YOUTH VIOLENCE PARTNERSHIP Kessl er Trauma Center URMC The Rochester Youth Violence Patinership is a group based at the tra uma center that includes prominent members from local and county government, local law enforcement and community representatives dedicated to reducing violence in our young people Youths who have been victims of penetrating trauma are known to be at significant risk of subsequent death due to violence This group works with youths under the age of 18 who ha ve been shot or stabbed to address the identified risk factors to prevent further injury Assist individuals under the age of 18 who have been identified risk factors to prevent fu rther injury ------COMMUNITY HEALTH IMPROVEMENT ADVOCACY TRUTH AND CONSEQ UENCE Kessler Trauma CenterTruth and Consequence is created for teen driver program that travels to local high schools to engage teen drivers in discussion and prevention of risk y driving behaviors that contribute to the fact th Form and Line Reference Explanation
PART I I - DETAIL O F COMMUNITY at motor vehicle crashes remain the leading cause of death in this age group and to make teens BUILDING ACTIVITIES aware UNIVERSITY OF ROCHESTER WELL STREET MEDICINE PHYSICIAN-LED OUTREACH TEAMS OF MEDICAL STUDENTS BRING FREE MEDICAL CARE TO PEOPLE LIVING IN HOMELESS SHELTERS AND ON THE STREETS OF ROCHESTER ------Form and Line Reference Explanation
PART III, SECTION A, LINE 2- BAD HE COSTING METHODOLOGY USED IN DETERMINING THE AMOUNTS REPORTED ON LINES DEBT EXPENSE 2 AND 3 ARE BASED ON ACTUAL CHARGES WRITTEN OFF (AMOUNTS THAT ARE DEEMED TO BE UNCOLLECTIBLE) ------PART III, SECTION A, LINE 4- BAD DEBT EXPENSE FOOTNOTE THE TEXT OF THE BAD DEBT FOOTNOTE FOR THE UNIVERSITY CAN BE FOUND ON PAGE 13 (ITEM 1Q)OFTHE ATTACHED AUDITED FINANCIAL STATEMENTS THE COSTING METHODOLOGY FOR DETERMINING BAD DEBT EXPENSE WAS BASED ON ACTUAL CHARGES WRITTEN OFF AS BAD DEBTS DURING THE YEAR ------Form and Line Reference Explanation
PART III, SECTION B, LINE 8- HE COSTING METHODOLOGY USED IN DETERMINING THE AMOUNT REPORTED ON LINE 6 COSTING METHODOLOGY, IS BASED ON REPORTS PRODUCED FROM THE HOSPITAL'S DECISION SUPPORT SYSTEM MEDICARE SHORTFALL FORTHE YEAR CONSISTENT WITH THE CHARITABLE HEALTHCARE MISSION OFTHE HOSPITAL AND THE COMMUNITY BENEFIT STANDARD SET FORTH IN IRS REVENUE RULING 69-545,THE HOSPITAL PROVIDES CARE FOR ALL PATIENTS COVERED BY MEDICARE SEEKING MEDICAL CARE SUCH CARE IS PROVIDED REGARDLESS OF WHETHER THE REIMBURSEMENT PROVIDED FOR SUCH SERVICES MEETS OR EXCEEDS THE COSTS INCURRED BY THE HOSPITAL TO PROVIDE SUCH SERVICES AS A RESULT, THE HOSPITAL VIEWS ANY SHORTFALL REPORTED IN LINE 7 AS AN ADDITIONAL ITEM OF COMMUNITY BENEFIT PROVIDED BY THE ORGANIZATION ------Form and Line Reference Explanation
PART III, SECTION C, LINE 9b- CHARITY CARE POLICY MISSION/PURPOSE/PREAMBLE STRONG MEMORIAL HOSPITAL COLLECTION PRACTICES IMPROVES HEALTH THR OUGH CARING, DISCOVERY, TEACHING AND LEARNING WE PROVIDE EXCELLENT AND COMPASSIONATE CARE AND RESPONSIVE SERVICE AS WE SEEK TO UNDERSTAND AND FULLY MEET OUR PATIENTS' CURRENT AND FUTURE NEEDS AND EXPECTATIONS, WE RECOGNIZE OUR RESPONSIBILITY TO PRUDENTLY USE THE SCARC E RESOURCES ENTRUSTED TO US LAWS, REGULATIONS, CATASTROPHIC ILLNESSES AND THE RISING COSTS OF NEWTECHNOLOGY HAVE CREATED A CATEGORY OF PATIENTS WHO ARE EITHER UNINSURED OR UNDERI NSURED THIS CHARITY CARE PROGRAM HAS BEEN DEVELOPED TO HELP THE HOSPITAL MEET THE NEEDS 0 FTHESE PATIENTS AND, CONCURRENTLY, MAINTAIN THE FINANCIAL VIABILITY OF THE HOSPITAL FOR F UTURE GENERATIONS THIS CHARITY CARE POLICY EXPLAINS HOWTHE HOSPITAL ASSISTS PATIENTS WHO CANNOT PAY FOR PART OR ALL OF THE ESSENTIAL MEDICAL CARE THEY RECEIVE PRINCIPLES STRONG MEMORIAL HOSPITAL PROACTIVELY CONVEYS INFORMATION ABOUT THIS CHARITY CARE POLICY TO PATIE NTS AND THEIR FAMILIES - WE BELIEVE THAT FEAR OF A HOSPITAL BILL SHOULD NEVER GET IN THE WAY OF ESSENTIAL HEALTH SERVICES THE PROVISION OF URGENT OR EMERGENT HEALTHCARE IS NEVER DELAYED PENDING A FINANCIAL ASSISTANCE DETERMINATION SIGNS ANNOUNCING THE CHARITY CARE PR OGRAM ARE POSTED IN THE HOSPITAL (E G EMERGENCY DEPARTMENT, ADMITTING OFFICE) TO PROACTIV ELY CONVEY THIS MESSAGE TO PROSPECTIVE PATIENTS AND THE PUBLIC IN GENERAL - WE MAINTAIN F INANCIAL AID POLICIES THAT ARE CONSISTENT WITH THE MISSION, VALUES AND CAPACITY OF THE HOS PITAL AND THAT TAKE INTO ACCOUNT EACH INDIVIDUAL'S ABILITY TO CONTRIBUTE TO THE COST OF HI S OR HER CARE - WE COMMUNICATE THE AVAILABILITY OF FINANCIAL AID IN A MANNER THAT IS CLEA R, UNDERSTANDABLE, SENSITIVE TO THE PATIENT'S DIGNITY, AND IN MULTIPLE LANGUAGES A NOTICE IS AVAILABLE AT REGISTRATION SITES THAT INFORMS PATIENTS OF THIS PROGRAM AND PROVIDES THE PHONE NUMBER TO CALL TO OBTAIN MORE INFORMATION AND TO APPLY FOR THIS PROGRAM DESIGNATED STAFF ARE PROVIDED DETAILED TRAINING SO THAT THEY CAN PROVIDE INFORMATION AND ANSWER QUESTIONS ABOUT THE CHARITY CARE PROGRAM INFORMATION IS GENERALLY AVAILABLE IN BOTH ENGLISH A ND SPANISH WHEN REQUESTED, IT WILL ALSO BE MADE AVAILABLE IN OTHER LANGUAGES - INFORMATI ON REGARDING OUR CHARITY CARE PROGRAM IS ALSO AVAILABLE ON THE URMC WEBSITE - WE IMPLEMEN T FINANCIAL AID PROCEDURES THAT ARE CONSUMER-FRIENDLY, RESPECTFUL, AND CONFIDENTIAL, AS WE LL AS DEBT COLLECTION POLICIES THAT REFLECT THE MISSION AND VALUES OFTHIS HOSPITAL - WE WORK WITH GOVERNMENT, PAYERS, BUSINESS, CONSUMER GROUPS AND OTHERS TO ADDRESS THE UNDERLYI NG PROBLEM THAT TOO MANY NEW YORKERS LACK HEALTH INSURANCE GENERAL GUIDELINES AS PART OF FINANCIAL PLANNING ASSISTANCE, WE PROVIDE PATIENTS, AND/OR THEIR LEGAL REPRESENTATIVE, WI TH INFORMATION ABOUT THE CRITERIA THAT MUST BE MET IN ORDER TO OBTAIN MEDICAID, MEDICARE, OR OTHER HEALTH INSURANCES PATIENTS ARE ASSISTED IN MAKING APPLICATIONS FOR ANY OF THESE INSURANCES OR DISCOUNTED FEE PLANS PATIENTS ARE EXPECTED TO PARTICIPATE FULLY IN ALL EFFO RTS TO OBTAIN ANY INSURANCE FOR WHICH THEY MAY QUALIFY UNDER CERTAIN CIRCUMSTANCES, AS DE TERMINED BY THE FINANCIAL CASE MANAGERS OR OTHER HOSPITAL SENIOR ADMINISTRATORS APPLICATI ONS FOR MEDICAID, MEDICARE OR OTHER INSURANCE PROGRAMS MAY BE WAIVED WHEN DEEMED UNNECESSA RY IF AVAILABLE INSURANCE BENEFITS ARE NOT SUFFICIENT TO COVER THE COST OFTHEIR CARE, PA TIENTS MAY THEN APPLY FOR ASSISTANCE FROM THE CHARITY CARE PROGRAM CHARITY CARE APPLICATI ONS MUST BE COMPLETED AND RETURNED TO THE HOSPITAL WITH THE REQUESTED INCOME DOCUMENTATION PATIENTS WILL NOT RECEIVE CHARITY CARE ASSISTANCE IF THEY (A) DO NOT COMPLETE THE APPLIC ATION PROCESS FOR MEDICAID OR OTHER INSURANCE FOR WHICH THEY MAY QUALIFY, (B) ELECT NOT TO MAKE APPLICATION FOR CHARITY CARE, OR (C) HAVE ADEQUATE RESOURCES OR INCOME TO PAY PRIVAT ELY FOR THEIR CARE IN THESE SITUATIONS, THEY WILL REMAIN FINANCIALLY RESPONSIBLE FOR FULL PAYMENT OFTHEIR HOSPITAL BILLS CHARITY CARE ASSISTANCE IS AVAILABLE FOR PATIENTS WHO RE SIDE IN NEW YORK STATE AND RECEIVE EMERGENCY HOSPITAL SERVICES, INCLUDING EMERGENCY TRANSF ERS, AND TO PATIENTS WHO RESIDE IN STRONG MEMORIAL HOSPITAL'S PRIMARY SERVICE AREA IN NEW YORK STATE WHO RECEIVE SERVICES IN DESIGNATED STRONG MEMORIAL HOSPITAL PROGRAMS, INCLUDING MOST INPATIENT AND OUTPATIENT SERVICES IN ADDITION,THE HOSPITAL MAY, IN ITS DISCRETION, GRANT CHARITY CARE TO INDIVIDUALS WHO RESIDE OUTSIDE OF NEW YORK STATE CHARITY CARE ASSI STANCE DOES NOT COVER MEDICALLY UNNECESSARY CARE, COSMETIC ALTERATION, TELEPHONE, TELEVISI ON AND PRIVATE ROOM CHARGES IT DOES NOT COVER SERVICES GENERATED BY AN INSURED PATIENT WH 0 CHOOSES TO RECEIVE CARE AT AN OUT-OF-NETWORK HOSPITAL, OR WHO FAILS TO COMPLY WITH INSUR ANCE POLICY REQUIREMENTS (E G UNAUTHORIZED SERVICES) NOR DOES IT APPLY TO NON- RESIDENT AL IENS (UNLESS APPROVED IN ADVANCE OF CARE BEING PROVIDED), TO DRUGS NOT ADMINISTERED IN THE HOSPITAL, TO TRANSPORTATION FURNISHED BY THIRD PA Form and Line Reference Explanation
PART III, SECTION C, LINE 9b- RTY VENDORS, OR TO CARE, SERVICES, DRUGS OR SUPPLIES FOR THE PURPOSE OF COLLECTION PRACTICES GENDER CHANGE PROC EDURE SPECIFIC QUESTIONS ABOUT SERVICES THAT ARE NOT COVERED SHOULD BE DIRECTED TO THE PA TIENT ACCOUNTS MANAGER ORTHEIR DELEGATE FINANCIAL GUIDELINES FINANCIAL AID IS INTENDED TO ASSIST THOSE INDIVIDUALS WHO CANNOT AFFORD TO PAY IN PART OR IN FULL FOR THEIR CARE IT SHOULD TAKE INTO ACCOUNT EACH INDIVIDUAL'S ABILITY TO CONTRIBUTE TO THE COST OF HIS OR HE R CARE HOSPITAL FINANCIAL AID SHOULD NOT BE VIEWED AS A SUBSTITUTE FOR EMPLOYER-SPONSORED OR INDIVIDUALLY PURCHASED INSURANCE PATIENTS WITHOUT INSURANCE AND WITH INCOME THAT WOULD QUALIFY THEM FOR THE CHARITY CARE PROGRAM BUT ALSO HAVE SUBSTANTIAL RESOURCES (OTHER THA N TAX-DEFERRED OR COMPARABLE RETIREMENT SAVINGS OR COLLEGE SAVINGS ACCOUNTS) MAY BE EXPECT ED TO PAY PART OFTHEIR BILLS(S) CHARITY CARE ASSISTANCE IS GENERALLY AVAILABLE TO INDIVI DUALS WHOSE INCOME IS LESS THAN OR EQUALTO 400% OFTHE FEDERAL POVERTY LEVEL HOWEVER, PA TIENTS WHO HAVE EXHAUSTED THEIR INSURANCE BENEFITS, EXCEEDED FINANCIAL ELIGIBILITY CRITERI A, FACE EXTRAORDINARY MEDICAL COSTS, OR WHO HAVE OTHER UNIQUE CIRCUMSTANCES MAY BE CONSIDE RED FOR CHARITY CARE APPROVAL IN THE HOSPITAL'S SOLE DISCRETION WHILE APPLICATION FOR MED ICAID OR OTHER INSURANCE IS USUALLY REQUIRED,THE HOSPITAL MAY, AT ITS SOLE DISCRETION, IN APPROPRIATE CASES, ALSO CONSIDER PATIENTS FOR CHARITY CARE WHEN THEY MEET THE FINANCIAL C RITERIA OFTHIS PROGRAM, BUT HAVE NOT SATISFACTORILY COMPLETED ALL THE REQUIREMENTS OFTHE CHARITY CARE APPLICATION PROCESS THIS MAY INCLUDE PATIENTS WHO HAVE BEEN SANCTIONED BY M EDICAID, HAVE FILED BANKRUPTCY OR APPEAR TO BE ELIGIBLE FOR CHARITY CARE ASSISTANCE BASED ON AVAILABLE INFORMATION ELIGIBILITY DETERMINATIONS IN COMPLEX CASE CIRCUMSTANCES WILL BE MADE AFTER CONSIDERATION BY THE CHARITY CARE REVIEW TEAM THAT INCLUDES THE CHARITY CARE 0 FFICER, FINANCIAL CASE MANAGER AND/OR THEIR MANAGERS, OR MAY BE MADE BY SENIOR HOSPITAL AD MINISTRATORS THE AMOUNT OF THE DISCOUNT AFFORDED TO QUALIFIED CHARITY CARE PATIENTS WILL BE DETERMINED THROUGH ASSESSMENT OF THE RESPONSIBLE PARTY'S ANNUAL HOUSEHOLD INCOME AND TH E NUMBER OF PEOPLE IN THE HOME, AS A PERCENTAGE OF THE FEDERAL POVERTY GUIDELINE AMOUNTS F OR SAME SIZE HOUSEHOLDS THE FINANCIAL GUIDELINES WILL BE UPDATED ANNUALLY IN CONJUNCTION WITH THE FEDERAL POVERTY UPDATES PUBLISHED BY CMS PATIENTS MAY RECEIVE FULL OR PARTIAL DI SCOUNT FROM THE COST OF CARE, DEPENDING ON THE PERCENTAGE OF THE GUIDELINES MATCHED BY THE PATIENT'S HOUSEHOLD INCOME ANY BILL AMOUNT REMAINING AFTER APPLICATION OF A PARTIAL CHAR ITY CARE DISCOUNT IS THE RESPONSIBILITY OF THE PATIENT THE AMOUNT AN APPROVED CHARITY CARE PATIENT WILL GENERALLY BE EXPECTED TO PAY FOR SERVICES COVERED BY THE POLICY WILL BE LIM ITED TO THE LOWER OFTHE AMOUNT THAT THE HOSPITAL WOULD HAVE RECEIVED FOR THE SAME SERVICE UNDER MEDICARE PARTS A AND B, (INCLUDING COINSURANCE, CO-PAYMENTS AND DEDUCTIBLES) OR THE USUAL AND CUSTOMARY CHARGES THE PATIENT WILL BE ASSISTED BY THE HOSPITAL IN MAKING ARRAN GEMENTS TO SATISFY ANY BALANCE REMAINING ON THE ACCOUNT(S) AFTER THE APPLICATION OF THE AP PROPRIATE CHARITY CARE DISCOUNT BY USE OFA PAYMENT PLAN THE MONTHLY PAYMENTS UNDER SUCH PLANS SHALL NOT EXCEED TEN PERCENT (10%) OF THE ELIGIBLE PATIENT'S GROSS MONTHLY INCOME T HE RATE OF INTEREST ON UNPAID BALANCES SHALL NOT EXCEED THE US TREASURY RATE FOR 90 DAY SE CURITIES PLUS 0 5% HOSPITAL PATIENT FINANCIAL AID STATUTE DISCOUNTING REQUIREMENTS DISCOU NT /GROSS INCOME AS % OF FEDERAL POVERTY LEVEL 100% /UP TO 200% 80% / BETWEEN 201-250% 6 0% / BETWEEN 251-300% 40% / BETWEEN 301-350% 20% / BETWEEN 351-400% 0% /OVER 401% PROCESS APPLICATIONS WILL BE ACCEPTED IMMEDIATELY BEFORE, DURING OR AFTER CARE IS PROVIDED THE HOSPITAL WILL STRIVE TO ASSIST PATIENTS RECEIVING HIGH-COST SERVICES AS THEY OCCUR PATIEN TS MAY BE APPROVED FOR CHARITY CARE ON AN ACCOUNT-BY-ACCOUNT BASIS OR FORA PERIOD OF TIME (FOR A COURSE OF TREATMENT) FULLY COMP Form and Line Reference Explanation
PART VI, LINE 2- NEEDS STRONG MEMORIAL HOSPITAL ASSESSES THE HEALTH CARE NEEDS OF THE COMMUNITY SSESSMENT PRIMARILY THROUGH THE CHNA IN COLLABORATION WITH THE MEMBERS OF THE COMMUNITY HEALTH IMPROVEMENT WORKGROUP (CHIW) AS WELL AS SEVERAL ADDITION COMMUNITY MEMBERS, ORGANIZATIONS AND ASSOCIATIONS WITH THE INPUT OF THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH, SEVERAL DATA SOURCES WERE REVIEWED, PRIMARILY THE MONROE COUNTY ADULT HEALTH SURVEY, NATALITY AND MORTALITY DATA, HOSPITALIZATION DATA THROUGH THE STATEWIDE PLANNING AND RESEARCH COORPERATIVE SYSTEMS (SPARCS) FILES, DISEASE AND SPECIFIC CONDITION DATA, AND THE NY STATE PREVENTION AGENDA DASHBOARD DATA IN ADDITION, COMMUNITY INPUT WAS SOUGHT FROM RESIDENTS, THE ROCHESTER BUSINESS ALLIANCE, HE AFRICAN AMERICAN HEALTH COALITION AND THE LATINO HEALTH COALITION PROGRAM SPECIFIC NEEDS ASSESSMENTS ARE CONDUCTED AS NECESSARY TO ENSURE HE SUCCESS AMONG THE TARGET POPULATION FOR INDIVIDUAL INTERVENTIONS, FOR EXAMPLE, THE UR WELL STUDENT RUN CLINICS OFTEN ASSESS THE NEEDS OF THEIR CLIENTS IN ORDER TO IMPROVE SERVICES DELIVERED THE MONROE COUNTY COMMUNITY HEALTH IMPROVEMENT WORKGROUP, CONSISTING OF STRONG MEMORIAL HOSPITAL, HIGHLAND HOSPITAL, ROCHESTER GENERAL HOSPITAL, UNITY HEALTH SYSTEM, ALONG WITH THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH AND FINGER LAKES HEALTH SYSTEMS AGENCY BEGAN MEETING MONTHLY IN MAY 2012 AND CONTINUES TO MEET EVERY OTHER MONTH TO ASSESS THE NEEDS OFTHE COMMUNITY AND TO MONITOR SUCCESSES OF IMPLEMENTATION, CONTINUING A LONG HISTORY OF COLLABORATION HE MEDICAL CENTER PROVIDES SALARY SUPPORT FOR FACULTY AND STAFF TO CONTRIBUTE THEIR ACADEMIC AND CLINICAL EXPERTISE TO HELP IDENTIFY AND ------IMPLEMENT THE MOST EFFECTIVE INTERVENTIONS ON THE HEALTH PRIORITY NEEDS ----- Form and Line Reference Explanation
PART VI, LINE 3- PATIENT INFORMATION ABOUT THE AVAILABILITY OF FINANCIAL ASSISTANCE IS POSTED IN ALL EDUCATION OF ELIGIBILITY FOR AREAS OFTHE FACILITY AND ITS OFF-SITE LOCATIONS CHARITY CARE INFORMATION IS SSISTANCE POSTED IN INPATIENT AND OUTPATIENT REGISTRATION AREAS, THE EMERGENCY DEPARTMENT, ADMITTING, AND ALL PRIMARY CARE SITES THE HOSPITAL PROVIDES A COPY OFTHE CHARITY CARE POLICY AND FINANCIAL ASSISTANCE CONTACTS TO PATIENTS AS PART OF ITS ADMITTING PROCESS PRINTED INFORMATION ABOUT CHARITY CARE ASSISTANCE IS ALSO PROVIDED WITH DISCHARGE MATERIALS WHEN IT HAS BEEN DETERMINED THAT A PATIENT IS IN FINANCIAL NEED OUR CHARITY CARE POLICY IS ON- LINE AS WELL, ON THE HOSPITAL WEBSITE AS PART OF FINANCIAL PLANNING SSISTANCE, WE PROVIDE PATIENTS, OR THEIR LEGAL REPRESENTATIVE, WITH INFORMATION ABOUT THE CRITERIA THAT MUST BE MET IN ORDER TO OBTAIN MEDICAID, MEDICARE, OR OTHER HEALTH INSURANCES PATIENTS ARE ASSISTED IN MAKING PPLICATIONS FOR ANY OF THESE INSURANCES OR DISCOUNTED FEE PLANS PATIENTS RE EXPECTED TO PARTICIPATE FULLY IN ALL EFFORTS TO OBTAIN ANY INSURANCE FOR WHICH THEY MAY QUALIFY UNDER CERTAIN CIRCUMSTANCES, AS DETERMINED BY THE FINANCIAL CASE MANAGERS OR OTHER HOSPITAL SENIOR ADMINISTRATORS, PPLICATIONS FOR MEDICAID, MEDICARE OR OTHER INSURANCE PROGRAMS MAY BE WAIVED WHEN DEEMED UNNECESSARY IF AVAILABLE INSURANCE BENEFITS ARE NOT SUFFICIENT TO COVER THE COST OFTHEIR CARE, PATIENTS MAY THEN APPLY FOR SSISTANCE FROM THE CHARITY CARE PROGRAM ------Form and Line Reference Explanation
PART VI, LINE 4- COMMUNITY STRONG MEMORIAL HOSPITAL IS LOCATED IN THE CITY OF ROCHESTER, COUNTY OF INFORMATION MONROE (POPULATION 749,606) IN THE FINGER LAKES REGION OF NEW YORK STATE THE FINGER LAKES REGION EXTENDS APPROXIMATELY 100 MILES NORTH TO SOUTH AND 100 MILES EAST TO WEST THE REGION ENCOMPASSES URBAN, SUBURBAN AND RURAL COMMUNITIES WITHIN NEWYORK STATE THE REGION (INCLUDING MONROE COUNTY) HAS POPULATION OF 1,739,113 STRONG MEMORIAL HOSPITAL'S PRIMARY SERVICE AREA (PSA) IS MONROE COUNTY AND THE SECONDARY SERVICE AREA (SSA) ENCOMPASSES THE 15 COUNTIES SURROUNDING MONROE INCLUDING ALLEGANY, CATTARAUGUS, CAYUGA, CHEMUNG, GENESEE, LIVINGSTON, ONTARIO, ORLEANS, SCHUYLER, SENECA, STEUBEN, OMPKINS, WAYNE, WYOMING, AND YATES THERE ARE FIFTEEN FEDERALLY DESIGNATED MEDICALLY UNDERSERVED AREAS OR POPULATIONS WITHIN THIS 16 COUNTY REGION HEALTH CARE ENVIRONMENT THE PRIMARY SERVICE AREA IS HOME TO TWO MULTI- HOSPITAL SYSTEMS EACH WITH SEVERAL LONG-TERM CARE, HOME CARE AND OTHER YPES OF AFFILIATES THE UNIVERSITY OF ROCHESTER MEDICAL CENTER CONSISTS OF STRONG MEMORIAL HOSPITAL AND AFFILIATES HIGHLAND HOSPITAL AND FF THOMPSON, ROCHESTER REGIONAL HEALTH SYSTEM CONSISTS OF ROCHESTER GENERAL HOSPITAL, UNITY HEALTH SYSTEM, AND NEWARK WAYNE COMMUNITY HOSPITAL THERE ARE ROUGHLY WENTY SMALLER COMMUNITY HOSPITALS THAT OPERATE IN THE FIFTEEN COUNTIES SURROUNDING MONROE COUNTY WITH BED CAPACITY RANGING FROM AS FEWAS 25 BEDS O AS MANY AS 224 BEDS OVER 50 RESIDENTIAL HEALTH CARE FACILITIES, MANY PUBLIC ND PRIVATE AGENCIES PROVIDING COMMUNITY AND HOME HEALTH SERVICES, SEVERAL STATE AND FEDERAL FACILITIES, AND A FULL RANGE OF HEALTH CARE PROFESSIONALS, INCLUDING THOUSANDS OF PHYSICIANS, DENTISTS, NURSES, TECHNICIANS, DMINISTRATORS, EDUCATORS, AND SUPPORT PERSONNEL PROVIDE SERVICES WITHIN HE SIXTEEN COUNTY SERVICE AREAS DEMOGRAPHIC ANALYSIS HISTORICALLY UNDER REPRESENTED ETHNIC GROUPS INCLUDING BLACK NON-HISPANIC, HISPANIC AND OTHER POPULATIONS COMPRISE ROUGHLY 22% OFTHE POPULATION OF MONROE COUNTY ACCORDING TO U S CENSUS DATA ROUGHLY 12 6% OF THE POPULATION OF MONROE COUNTY IS NON-ENGLISH SPEAKING MEDIAN HOUSEHOLD INCOME FOR THE PRIMARY SERVICE AREA IS $52,700 VERSUS THE NATIONAL MEDIAN OF $53,046 ACCORDING TO HE US CENSUS, 14 6% OF INDIVIDUALS IN MONROE COUNTY WERE CONSIDERED BELOW HE POVERTY LEVEL THE PERCENTAGE OFTHE MONROE COUNTY POPULATION AGE 65 ND OLDER WAS 15 1% IN 2013 AND IS ANTICIPATED TO GROWTO 17% IN 2018 MONROE COUNTY'S POPULATION OF SENIORS OUTPACES THE NATIONAL AVERAGE OF 14 1% UNDER REPRESENTED ETHNIC GROUPS COMPRISE ROUGHLY 9 9% OF THE POPULATION IN HE FIFTEEN COUNTIES SURROUNDING MONROE COUNTY MEDIAN HOUSEHOLD INCOME FOR THE FIFTEEN-COUNTY SERVICE AREA WAS $50,676 VERSUS THE US AVERAGE OF $53,046 THE 65 AND OLDER POPULATION COMPRISED 15 4% OF THE POPULATION AND IS NTICIPATED TO GROWTO 17 7% BY 2018 THE RATE OF UNINSURED IN MONROE COUNTY IS 7 1 PERCENT, COMPARED TO THE NEW YORK STATE RATE OF 10 7 PERCENT (2013 CENSUS BUREAU ESTIMATES) ACCORDING TO THE NEWYORK STATE DEPARTMENT OF HEALTH, ROUGHLY 11 6% OFTHE POPULATION OF MONROE COUNTY IS ENROLLED IN MEDICAID COMPARED TO 11 4% FOR NEW YORK STATE ------Form and Line Reference Explanation
PART VI, LINE 5- PROMOTION OF THE FOLLOWING HEALTH PROMOTION PROGRAMS SERVE AS EXAMPLES, WHICH COMMUNITY HEALTH ILLUSTRATE HOW OUR FACILI TIES AND OUR AFFILIATED HOSPITALS FURTHER THEIR EXEMPT PURPOSE BY PROMOTING THE HEALTH OF THE COMMUNITY COMMUNITY SUPPORT ORTHO - DYNAMIC MOVEMENT EDUCATION, INVOLVING ALTERNATIVE INTERVENTIONS FOR NEUROMUSCULAR IMPAIRMENT, WAS PROVIDED BY THE ORTHOPAEDICS DEPARTMENT DYNAMIC MOVEMENT ORTHOSES ARE GARMENT STYLE ORTHOTIC DEVICES DESIGNED TO ASSIST WEAKENED 0 R DEFORMED BODY SEGMENTS THESE ARE AN ALTERNATIVE TO MORE TRADITIONAL RIGID PLASTIC ORTHO SES AN EDUCATIONAL SESSION WAS HELD TO HIGHLIGHT THE USES OF THESE DEVICES, POPULATIONS S ERVED,AND GENERAL APPLICATION INFORMATION THIS SESSION WAS PROVIDED AT URMC TO BOTH INTE RNAL AND EXTERNAL COMMUNITY PARTNERS GRAVES' ORBITAL DISEASE SUPPORT GROUP PATIENT-RUN SUPPORT GROUP PROVIDED IN COMMUNITY SETTING FOR PERSONS SUFFERING FROM GRAVES' THYROID DISO RDERS OR EYE PROBLEMS, AND THEIR FAMILIES GROUP PROVIDES A FORUM FOR PROCESSING FEELINGS AND CONCERNS, INFORMATION SHARING, PEER SUPPORT, AND ENCOURAGEMENT EXPERTS PROVIDE PRESEN TATIONS ON DIAGNOSIS AND TREATMENT ISSUES SPOUSES AND CAREGIVERS CAN LEARN HOWTO HELP TH EIR LOVED ONES HOSTED BY STRONG MEMORIAL HOSPITAL'S OPHTHALMOLOGY DEPARTMENT COALITION B UILDING THE AFRICAN AMERICAN HEALTH COALITION IS A GROUP OF INDIVIDUALS AND ORGANIZATIONS CONVENED BY THE FINGER LAKES HEALTH SYSTEMS AGENCY, WHO WORK TOGETHER TO BUILD A COORDINAT ED COMMUNITY RESPONSE TO ELIMINATE AFRICAN AMERICAN HEALTH DISPARITIES THE UNIVERSITY OF ROCHESTER MEDICAL CENTER'S CENTER FOR COMMUNITY HEALTH, DEPARTMENT OF PUBLIC HEALTH SCIENC ES, DEPARTMENT OF PSYCHIATRY AND WILMOT CANCER CENTER ARE ALL ACTIVE MEMBERS OFTHIS COALI TION THE GROUP IS INVOLVED IN DEFINING UNMET COMMUNITY NEEDS, INCREASING COMMUNITY KNOWLE DGE, DEVELOPING DATA COLLECTION STANDARDS, AND IMPROVING THE COLLECTION OF DATA ON PATIENT S' RACE, ETHNICITY, AND PREFERRED LANGUAGE THE COALITION FOCUSES ON NON-MEDICAL INTERVENT IONS AND ON MOBILIZING THE COMMUNITY IN HEALTH PROMOTION, HEALTH EDUCATION, AND THE PRACTI CE OF POSITIVE HEALTH BEHAVIORS, AS WELL AS ON IMPROVING COMMUNITY HEALTH STATUS THROUGH P UBLIC POLICY AND HEALTH SYSTEMS ADVOCACY COMMUNITY HEALTH IMPROVEMENT ADVOCACY THE UNIVERSITY OF ROCHESTER (UR) WELL STREET MEDICINE PROGRAM WAS LAUNCHED IN 2011 IN RESPONSE TO A MEDICAL STUDENT'S PROPOSAL, WHICH DREW ON HER EXPERIENCE WORKING IN STREET MEDICINE IN ANO THER COMMUNITY THE MISSION OF UR WELL STREET MEDICINE IS TO ENSURE ACCESS TO QUALITY MEDI CAL CARE FOR ROCHESTER'S UNSHELTERED HOMELESS POPULATION, OPERATING UNDER THE PRINCIPLE TH AT HEALTH CARE IS A BASIC HUMAN RIGHT IT SEEKS TO BRIDGE GAPS BETWEEN THE HOMELESS AND ME DICAL COMMUNITIES THROUGH DIRECT STREET OUTREACH AND ENGAGEMENT WITH HOMELESS PEOPLE WHERE THEY LIVE, WHILE BUILDING RELATIONSHIPS OF TRUST AND RESPECT OUTREACH TEAMS (EACH COMPOS ED OFAN OUTREACH GUIDE,A PHYSICIAN, MEDICAL STUDENTS FROM THE SCHOOL OF MEDICINE AND DENTISTRY, AND SOCIAL WORKERS) MAKE WEEKLY VISITS TO HOMELESS SHELTERS, CAMPSITES, CITY PARKS , AND OTHER PLACES WHERE HOMELESS PEOPLE RESIDE THESE TEAMS PROVIDE MEDICAL CARE THAT IS PATIENT-CENTERED AND HOLISTIC, INCLUDING HEALTH EDUCATION, HOUSING ASSISTANCE, SUBSTANCE A BUSE REHABILITATION, MENTAL HEALTH SERVICES, AND CASE MANAGEMENT TO MEET SPECIFIC NEEDS EACH MEDICAL STUDENT AT THE UNIVERSITY OF ROCHESTER MEDICAL CENTER IS REQUIRED TO COMPLETE A COURSE CALLED "COMMUNITY HEALTH IMPROVEMENT COURSE" (CHIC) DURING THEIR FOURTH YEAR OF M EDICAL SCHOOL DURING CHIC STUDENTS LEARN ABOUT THE COMMUNITY AND EFFECTIVE WAYS OF COMMU NITY ENGAGEMENT THEY ALSO LEARN ABOUT HEALTH POLICY AND ADVOCACY SO THAT THEY CAN BE STRO NG VOICES FOR THE PATIENTS THAT THEY SERVE IN ADDITION, OUR MEDICAL STAFF AND COMMUNITY B OARD PLAY AN IMPORTANT ROLE IN COMMUNITY HEALTH IMPROVEMENT STRONG MEMORIAL HOSPITAL ISO VERSEEN BY THE UNIVERSITY OF ROCHESTER MEDICAL CENTER BOARD, A 47 MEMBER BOARD, INCLUSIVE OF 15 EX-OFFICIO MEMBERS AND 32 LIFE MEMBERS, THAT REPORTS TO THE UNIVERSITY BOARD OF TRUS TEES THE MEDICAL CENTER BOARD IS LED BY AND COMPRISED OF A DIVERSE GROUP OF COMMUNITY AND INDUSTRY LEADERS AND ADVOCATES - PEOPLE WHO LIVE AND WORK IN THIS COMMUNITY AND CARE DEEP LY ABOUT THE HEALTH AND WELFARE OF ITS CITIZENS THE BOARD INCLUDES NON-UR MEDICAL CENTER- EMPLOYED PRIVATE COMMUNITY PHYSICIANS, MEMBERS OFTHE BUSINESS COMMUNITY, LOCAL PHILANTHRO PISTS WITH AN INTEREST IN ADVOCATING FOR HEALTH CARE, AND OTHER LOCAL REPRESENTATIVES AS A DEDICATED BOARD, EACH MEMBER UPHOLDS WELL-ESTABLISHED PRINCIPLES OF NONPROFIT CORPORATIO N LAW CONCERNING THE STANDARDS OF CONDUCT AND ATTENTION A BOARD MEMBER MUST MEET FIDUCIARY RESPONSIBILITY, OBEDIENCE TO THE CHARITABLE PURPOSE OF THE ORGANIZATION, LOYALTY,A COMM ITMENT TO ACT BASED ON BEST INTERESTS OFTHE ORGANIZATION AND THE WIDER COMMUNITY IT SERVE S, AND DILIGENCE IN CARRYING OUT THE WORK OFTHE BOARD ADMINISTRATIVELY, UR MEDICAL CENTE R LEADERSHIP HAS INITIATED A COMPREHENSIVE AND AMB Form and Line Reference Explanation
PART VI, LINE 5- PROMOTION OF ITIOUS STRATEGIC PLANNING PROCESS ACROSS THE INSTITUTION THE GOALS OF THE COMMUNITY HEALTH PLAN INCLUDE EX PANDING COMMUNITY HEALTH PROGRAMS AND RESEARCH THAT IMPROVE THE OVERALL HEALTH OF THE GREA TER ROCHESTER COMMUNITY THE BOARD OF DIRECTORS ENDORSE AND CHAMPION THE VISION OFTHE PLA N THE COMMUNITY ADVISORY COUNCIL (CAC) WAS CREATED IN 2006 TO REPRESENT THE VOICE OFTHE COMMUNITY AND TO GUIDE AND SUPPORT THE FOUR MISSIONS OFTHE URMC THE THIRTY-SEVEN MEMBER CAC REPRESENTS EIGHTEEN COMMUNITY-BASED ORGANIZATIONS, INCLUDING HEALTH AND SOCIAL SERVICE AGENCIES, THE FAITH COMMUNITY, LOCAL GOVERNMENT,THE CITY SCHOOL DISTRICT AND MEDIA A PR IMARY FUNCTION OF THE CAC IS TO STRENGTHEN URMC-COMMUNITY PARTNERSHIPS WITH A MUTUAL GOALTO REDUCE INEQUALITIES AND IMPROVE ACCESS TO HEALTH CARE AND SERVICES TO HIGHLIGHT THE IM PORTANCE OF THE COMMUNITY HEALTH MISSION,THE ANNUAL "DR DAVID SATCHER COMMUNITY HEALTH I MPROVEMENT AWARDS" PROGRAM WAS ESTABLISHED IN 2010 TO RECOGNIZE URMC FACULTY/STAFF AND THE IR COMMUNITY PARTNERS FOR EXEMPLARY COMMUNITY-ENGAGED WORK WHICH CONTRIBUTES TO REDUCING H EALTH INEQUALITIES AND IMPROVES THE COMMUNITY'S HEALTH THROUGH RESEARCH, EDUCATION, AND SE RVICE URMC EXTENDS MEDICAL STAFF PRIVILEGES TO EMPLOYED UR MEDICAL CENTER FACULTY PHYSICI ANS AND ALL ELIGIBLE PRIVATE PHYSICIANS WHO PRACTICE AT UR MEDICAL CENTER AFFILIATED HOSPI TALS MANY FACULTY MEMBERS SERVE A DUAL ROLE WITH COMMUNITY AGENCIES, PROVIDING SERVICE AS A MEDICAL DIRECTOR OR ATTENDING PHYSICIAN FOR COMMUNITY HEALTH INITIATIVES THIS LINKAGE ENHANCES COLLABORATION, PRODUCING A HIGHER QUALITY OF CARE AND SMOOTHER TRANSITIONS FOR PA TIENTS WHO MAY NEED ANY OR ALL OF THESE SERVICES THROUGH THE EFFECTIVE USE OF SURPLUS FUN DS THE UR MEDICAL CENTER CONTINUALLY REINVESTS IN ITS FACILITIES AND PROGRAMS IN AN EFFORT TO IMPROVE THE HEALTH OF THE COMMUNITY EXAMPLES INCLUDE ITS 85-YEAR-OLD STRONG MEMORIAL HOSPITAL HAS IN RECENT YEARS RENOVATED ITS MEDICAL AND SURGICAL ICUS TO INCLUDE LARGER, P RIVATE ROOMS IT ALSO UNVEILED A NEW FREESTANDING AMBULATORY SURGERY CENTER THAT INCLUDES 10 OPERATING SUITES AND THREE PROCEDURE ROOMS EQUIPPED WITH ADVANCED TECHNOLOGY THE SURGE RY CENTER WAS DEVELOPED AS AN INCREASE IN SPECIALTY CARE BEGAN PLACING MORE PRESSURE ON EX ISTING OPERATING SUITES STRONG MEMORIAL HOSPITAL ALSO RUNS THE REGION'S LARGEST EMERGENCY FACILITY THE 55,000-SQUARE-FOOT FRANK AND CAROLINE GANNETT EMERGENCY CENTER WAS DESIGNED TO IMPROVE EFFICIENCY, WITH THE DIGNITY AND COMFORT OF OUR PATIENTS IN MIND IT WAS DESIG NATED BY THE NEW YORK STATE DEPARTMENT OF HEALTH AS A LEVEL ONE REGIONAL TRAUMA CENTER TH E ADULT TREATMENT AREA WAS CONSTRUCTED WITH 25 SEMI-PRIVATE PATIENT CUBICLES, AND UNLIKE OTHER EMERGENCY FACILITIES IN THE REGION, IT ALSO INCLUDES A DEDICATED CHILDREN'S EMERGENCY DEPARTMENT WITH A PRIVATE WAITING ROOM SURPLUS FUNDS ARE ALSO DEDICATED TO SUPPORT RESEA RCH FINAL RENOVATIONS WERE MADE TO OUR CLINICAL AND TRANSLATIONAL RESEARCH INSTITUTE (CTS I) THAT SERVES AS THE HUB OF RESOURCES, EXPERTISE AND NETWORKS NECESSARY TO ACCELERATE THE CLINICAL APPLICATION OF BIOMEDICAL AND BEHAVIORAL RESEARCH SO THAT INTERVENTIONS CAN REAC H INDIVIDUALS IN THE COMMUNITY MORE QUICKLY THE CTSI'S COMMUNITY ENGAGEMENT FUNCTION, WHI CH IS ADMINISTERED BY THE UR MEDICAL CENTER'S CENTER FOR COMMUNITY HEALTH, SUPPORTS THE CT SI COMMUNITY ENGAGEMENT MISSION BY FACILITATING COMMUNICATION AND PARTNERSHIPS AMONG RESEA RCHERS, HEALTH CARE PROVIDERS, AND COMMUNITY MEMBERS AND ORGANIZATIONS IN ADDITION, SURPL US FUNDS ALSO SUPPORT THE UR MEDICAL CENTER'S COMMITMENT TO COMMUNITY HEALTH, WHICH DATES BACK TO THE MEDICAL SCHOOL'S FOUNDING IN 1920, LOCAL BENEFACTOR GEORGE EASTMAN BEQUEATHED A GIFT TO THE SCHOOL WITH THE INSTRUCTIONS THAT THE SCHOOL HELP MAKE ROCHESTER ONE OFTH E HEALTHIEST COMMUNITIES IN THE WORLD " ------Form and Line Reference Explanation
PART VI, LINE 6- AFFILIATED THE UNIVERSITY OF ROCHESTER MEDICAL CENTER IS AN INTEGRATED ACADEMIC HEALTH CARE SYSTEM HEALTH CENTER THAT CO MPRISES THE SCHOOL OF MEDICINE AND DENTISTRY, INCLUDING ITS FACULTY PRACTICE (UNIVERSITY 0 F ROCHESTER MEDICAL FACULTY GROUP), STRONG MEMORIAL HOSPITAL, HIGHLAND HOSPITAL, GOLISANO CHILDREN'S HOSPITAL, JAMES P WILMOT CANCER CENTER, STRONG WEST, SCHOOL OF NURSING, EASTMA N INSTITUTE FOR ORAL HEALTH, VISITING NURSE SERVICE, HIGHLANDS AT PITTSFORD, THE HIGHLANDS LIVING CENTER, INC , HIGHLANDS AT BRIGHTON, AND FF THOMPSON HEALTH SYSTEM, INC UR MEDICA L CENTER AND THE AFFILIATED HEALTH CARE ENTITIES HAVE EMBRACED A COMPREHENSIVE APPROACH TO COMMUNITY HEALTH, WHICH EMPLOYS THE MULTIDISCIPLINARY SKILLS FOUND IN AN ACADEMIC MEDICAL CENTER TO BOTH PROVIDE IMPORTANT COMMUNITY SERVICES AND CONDUCT COMMUNITY-BASED RESEARCH THESE ACTIVITIES HELP INFORM POLICYMAKERS AND THE COMMUNITY ABOUT LOCAL HEALTH CHALLENGES , EVALUATE THE EFFECTIVENESS OF INTERVENTIONS, AND SERVE AS A FOUNDATION FOR EVIDENCE-BASE D PRACTICES TO IMPROVE HEALTH AND OVERALL QUALITY OF LIFE - THE UNIVERSITY'S HEALTH CARE DELIVERY NETWORK IS ANCHORED BY STRONG MEMORIAL HOSPITAL, AN 830 BED TEACHING HOSPITAL, WH ICH INCLUDES A CHILDREN'S HOSPITAL-GOLISANO CHILDREN'S HOSPITAL PATIENTS BENEFIT FROM THE MEDICAL CENTER'S ROBUST TEACHING AND BIOMEDICAL RESEARCH PROGRAMS STUDENT ROSTERS INCLUD E APPROXIMATELY 400 MEDICAL STUDENTS, 500 GRADUATE STUDENTS, AND 700 RESIDENTS AND FELLOWS WHO ARE ENGAGED IN COMMUNITY SERVICE THROUGHOUT THEIR EDUCATION - EASTMAN INSTITUTE FOR ORAL HEALTH PROVIDES COMMUNITY DENTAL CARE IN A NUMBER OF CLINICS, AS WELL AS CLINICAL EDU CATION TO DENTAL STUDENTS ENROLLED AT THE UNIVERSITY OF ROCHESTER SCHOOL OF MEDICINE AND D ENTISTRY IT OFFERS GENERAL DENTISTRY, PEDIATRIC AND ORTHODONTIC CLINICS, AND AN URGENT CA RE DENTAL CLINIC THAT SEES 10 - 50 PATIENTS PER DAY IT OPERATES LOW-INCOME CLINICS AT SCH OOLS AND A DOWNTOWN LOCATION ADDITIONALLY, FOUR SMILEMOBILES PROVIDE A DENTAL OFFICE ON W HEELS, ALLOWING THE CITY'S CHILDREN INCREASED ACCESS TO MUCH NEEDED DENTAL CARE - THE JAM ES P WILMOT CANCER CENTER IS ORGANIZED AROUND A MULTIDISCIPLINARY CARE MODEL, WHICH LEADI NG CANCER EXPERTS BELIEVE IS THE GOLD STANDARD IN CANCER CARE IN THE 21ST CENTURY ITS MOD EL UNDERSCORES A COMMITMENT TO PROVIDE PATIENTS IN THE ROCHESTER AREA WITH THE MOST UP-TO- DATE INFORMATION AND AVAILABLE TREATMENTS, BASING OUR RECOMMENDATIONS ON THE BEST EVIDENCE IT IS THE ONLY CENTER IN THE ROCHESTER AND FINGER LAKES REGION OFFERING THIS TEAM APPROA CH TO CARE A VARIETY OF FREE PREVENTIVE EDUCATION EVENTS ARE HELD THROUGHOUT THE YEAR, IN CLUDING MEN'S HEALTH DAY, WHICH INCLUDES NUMEROUS FREE HEALTH SCREENINGS, FREE SKIN CANCER SCREENINGS, AND BREAST CANCER SCREENINGS FOR THE UNINSURED AND UNDERINSURED - GOLISANO C HILDREN'S HOSPITAL, HOUSED IN STRONG MEMORIAL HOSPITAL, IS a 132-BED CHILDREN'S HOSPITALT HAT SERVES AS THE REFERRAL CENTER FOR UPSTATE NEW YORK, SURROUNDING STATES AND CANADA IT COMBINES AWARD-WINNING RESEARCH, INTERNATIONALLY ACCLAIMED EDUCATION AND COMPASSIONATE CARE TO SERVE CHILDREN AND FAMILIES PEDIATRIC SPECIALTIES INCLUDE ORTHOPAEDICS, NEUROLOGY/NE UROSURGERY, CANCER AND NEONATAL CARE IN ADDITION TO THESE TRADITIONAL MEDICAL SERVICES, G OLISANO CHILDREN'S HOSPITAL IS THE NATION'S MODEL FOR "COMMUNITY PEDIATRICS", A PHILOSOPHY THAT EMBRACES THE IDEA THAT A CHILD'S COMMUNITY AND ENVIRONMENT AFFECT HIS HEALTH AND,TH EREFORE, HE CANNOT BE TREATED SOLELY IN AN EXAM ROOM THE HOSPITAL ENCOURAGES PHYSICIANS A ND STAFFTO PARTNER WITH COMMUNTIY ORGANIZAITONS TO IMPROVE VACCINATION RATES, EDUCATIONAL OPPORTUNITIES, SAFETY AT HOME AND ON PLAYGROUNDS,AND HEALTH INSURANCE AND HEALTH CARE AC CESS - THE STRONG WEST CAMPUS, WHICH IS LOCATED APPROXIMATELY 20 MILES WEST OF ROCHESTER IN BROCKPORT, NY WAS ACQUIRED BY THE UNIVERSITY IN 2013 IT IS THE SITE OF THE FORMER 61 B ED LAKESIDE MEMORIAL HOSPITAL, WHICH ANNOUNCED IT WAS CLOSING IN APRIL, 2013, LEAVING THE COMMUNITY WITHOUT AN EMERGENCY ROOM AND LOCAL ACCESS TO OTHER HEALTH CARE SERVICES Strong Memorial Hospital now operates a free-standing emergency room on the Strong West campus, in addition to offering ambulatory surgery, health imaging, laboratory services, primary c are, orthopaedics, cardiac care, oncology and hematology, sleep medicine, neurology, and urology services THE UNIVERSITY'S WHOLY OWNED HEALTH CARE AFFILIATES ARE - HIGHLAND HOSPI TAL OF ROCHESTER (HIGHLAND) PROVIDES INPATIENT AND OUTPATIENT HEALTHCARE SERVICES WITHOUT REGARD TO A PATIENT'S ABILITY TO PAY HIGHLAND OPERATES A 261-BED ACUTE CARE HOSPITAL, AS WELL AS 13 PRIMARY CARE SATELLITE CLINICS, AND OB/MIDWIFERY CLINIC, BREAST CARE CLINIC, AN D THREE RATIATION ONCOLOGY TREATMENT CENTERS HIGHLAND IS ALSO A TEACHING AFFILIATE OF THE UNIVERSITY OF ROCHESTER SCHOOL OF MEDICINE AND DENTISTRY HIGHLAND'S SERVICE AREA INCLUDE S MONROE COUNTY, NEWYORK,AS WELLAS SEVERAL COUNTIES SURROUNDING THE ROCHESTER, NEWYORK REGION - Visiting Nurse Service of Rochester and Form and Line Reference Explanation
PART VI, LINE 6- AFFILIATED Monroe County, Inc and Community Care of Rochester, Inc d/b /a Visiting Nurse Signature Care HEALTH CARE SYSTEM provide home and community based care to over 13, 000 people annually, including nurse ng, rehabilitation therapy, personal care, hospice and Meals on Wheels The agency is nati onally recognized for its ability to reduce unnecessary hospitalizations During 2013 , affiliates Finger Lakes Visiting Nurse Service , Inc and Finger Lakes Home Care, Inc joined the system, extending the home care affiliates' provision of high quality home health care services to the Finger Lakes Region - THE HIGHLANDS AT PITTSFORD CAMPUS INCLUDES TWO SEP ARATE CORPORATIONS WITH DIFFERENT ACTIVITIES OFFERING SKILLED NURSING CARE, AS WELL AS ASS ISTED AND INDEPENDENT LIVING FOR SENIORS THE HIGHLANDS LIVING CENTER IS A 122-BED SKILLED NURSING FACILITY THAT ALSO OFFERS AN ADULT DAY CARE PROGRAM THE 60-BED ASSISTED LIVING, 171-BED INDEPENDENT LIVING, AND COMMUNITY EDUCATION ARE PROVIDED BY HIGHLAND COMMUNITY DEV ELOPMENT CORPORATION D/B/A/THE HIGHLANDS AT PITTSFORD AND LAURELWOOD AT THE HIGHLANDS THE HIGHLANDS OFFER A COMPREHENSIVE SERIES OF COMMUNITY EDUCATION PROGRAMS ON CURRENT HEALTH TOPICS, INCLUDING HEART HEALTH, NUTRITION, ORAL HEALTH, AND DIABETES PREVENTION,TO NAME A FEW -THE HIGHLANDS AT BRIGHTON IS A 145-BED SKILLED NURSING FACILITY THAT SPECIALIZES I N CARE FOR THE MOST MEDICALLY COMPLEX CASES , including a neurobehavioral unit, ventilator unit, and behavioral step-down/dementia care unit in addition to transitional, post-acute care and rehabilitation services Through its transitional care model , the Highlands at Brighton accepts patients who no longer require hospital care but are difficult to discharge due to the complexity of their medical or behavioral needs, providing them with supportiv e care and in many cases, helping them transition to more appropriate levels of care in th e community - FF THOMPSON HEALTH SYSTEM IS COMPRISED OF THE FREDERICK FERRIS THOMPSON HOS PITAL (FFTHOMPSON) FFTHOMPSON IS A 113-BED ACUTE CARE HOSPITAL THAT IS LOCATED IN CANAN DAIGUA, NY, APPROXIMATELY 30 MILES SOUTH OF ROCHESTER AND SERVES THE FINGER LAKES REGION ITS SERVICES INCLUDE MEDICAL/SURGICAL CARE, INTENSIVE CARE, MATERNITY AND EMERGENCY CARE IN ADDITION, THE HOSPITAL OWNS AND OPERATES 9 EXTENSION CLINICS, 8 OF WHICH PROVIDE PRIMARY HEALTH CARE SERVICE AND 2 OF WHICH PROVIDE OUTPATIENT PHYSICAL AND/OR OCCUPATIO NALTHERA PY - M M EWING CONTINUING CARE CENTER INC IS A NOT- FOR-PROFIT CORPORATION THAT OPERATES A 188-BED SKILLED NURSING FACILITY AND ADULT DAY CARE PROGRAM ADJACENT TO F F THOMPSON H OSPITAL - F F T SENIOR COMMUNITIES, INC IS A NOT-FOR-PROFIT CORPORATION THAT OPERATES F ERRIS HILLS AT WESTLAKE, A RESIDENTIAL COMMUNITY CONSISTING OF 84 INDEPENDENT LIVING UNITS AND 48 ENRICHED LIVING UNITS ------Additional Data
Software ID: Software Version: EIN: 16 -0743209 Name : UNIVERSITY OF ROCHESTER
990 Schedule H, Supplemental Information
Section C. Supplemental Information for Part V, Section B.Provide descriptions required for Part V, Section B, lines 1], 3, 4, 5d, 6i, 7, 10, 11, 121, 14g, 16e, 17e, 18e, 19c, 19d, 20d, 21, and 22. If applicable, provide separate descriptions for each facility in a facility re p ortin g rou desig nated by "Facility A , " "Facility 13 , " etc. Form and Line Reference Explanation
PART V, SECTION B, LINE 3- INPUT FROM COMMUNITY
PART V, SECTION B, LINE 4- JOINT CHNA THE CHNA WAS CONDUCTED WITH OTHER HOSPITALS AN ASSESSMENT OF MONROE COUNTY WAS CONDUCTED JOINTLY BY UNIVERSITY OF ROCHESTER MEDICAL CENTER STRONG MEMORIAL HOSPITAL, HIGHLAND HOSPI TAL, ROCHESTER GENERAL HEALTH SYSTEM, UNITY HEALTH SYSTEM AND LAKESIDE HEALTH SYSTEM,ALON G WITH THE FINGER LAKES HEALTH SYSTEM AGENCY AND THE MONROE COUNTY DEPARTMENT OF PUBLIC HE A LT H ------
PART V, SECTION B, LINE 5- CHNA PUBLIC THE CHNA REPORT WAS MADE WIDELY AVAILABLE TO THE PUBLIC A COPY OF AVAILABILITY THE ORGANIZATION'S CHNA AND IMPLEMENTATION/IMPROVEMENT PLAN CAN BE FOUND AT HTTP //WWW URMC ROCHESTER EDU/COMMUN ITY-ENGAGEMENT/OUR CHNA AND IMPLEMENTATION/IMPROVEMENT PLAN ARE AVAILABLE TO THE PUBLIC U PON REQUEST AND ARE ALSO POSTED ON THE COLLABORATING HOSPITAL SYSTEM'S WEBSITES AND ON THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH'S WEBSITE ------
PART V, SECTION B, LINE 7- ADDRESSING THE THE FIRST CHNA AND IMPLEMENTATION PLAN FOR THE UNIVERSITY OF NEEDS IDENTIFIED IN THE CHNA ROCHESTER WAS ADOPTED JUNE 30 12013 THE ORGANIZATION IS IN THE PROCESS OF ADDRESSING THE NEEDS IDENTIFIED IN THE CHNA BUT HAS NOT FULLY ADDRESSED ALL NEEDS AT THIS TIME FROM THE VARIOUS SETS OF DATA, FROM TH E MULTIPLE COMMUNITY FORUMS, FROM THE CURRENT INITIATIVES ACTIVE AND NEW IN ROCHESTER, A L IST OF HEALTH NEEDS WAS ESTABLISHED SOME OFTHE PRIMARY NEEDS INCLUDE - DECREASE CIGARET TE SMOKING AMONG ADULTS - DECREASE ADULT OBESITY - INCREASE HYPERTENSIVES WHO HAVE THEIR B LOOD PRESSURE IN CONTROL - DECREASE UNINTENDED PREGNANCY RATES - DECREASE STDS/STIS, ESPEC IALLY CHLAMYDIA AND GONORRHEA RATES - IMPROVE MENTAL HEALTH AMONG ADULTS AND ADOLESCENTS T HE COMMUNITY HEALTH IMPROVEMENT WORKGROUP CHOSE TO PRIORITIZE "PREVENTING CHRONIC DISEASE" ,WHICH CLEARLY INCLUDES THE TOP THREE BULLET POINTS DUE TO LIMITED RESOURCES AND TO AVOI D 'MISSION CREEP' THE HOSPITAL SYSTEMS CHOSE NOT TO ADDRESS RISKY SEXUAL BEHAVIORS AND MEN TAL HEALTH PROMOTION IN THE IMPROVEMENT PLAN REGARDING ISSUES OF RISKY SEXUAL BEHAVIOR A LTHOUGH THE MEASURES OF SUCCESS INDICATE THAT MONROE COUNTY IS 'WORSE THAN' THE STATE AND HAS NOT REACHED THE GOALS SET IN THE NY STATE PREVENTION AGENDA, HOSPITAL LEADERS FELT THA T ALTHOUGH THIS ISSUE CERTAINLY AFFECTS THE MEMBERS IN THE HOSPITAL'S TARGET AREAS, THIS I S NOT A TOP PRIORITY FOR USE OF THE HOSPITALS' RESOURCES HOSPITAL LEADERS FELT THEY WERE NOT THE BEST ENTITY TO ADDRESS THIS PROBLEM IN ADDITION, THERE ARE COMMUNITY ORGANIZATION S WHO HAVE THIS GOAL AS THEIR MISSION, AND SEVERAL INITIATIVES THAT HAVE JUST STARTED IN M ONROE COUNTY THAT COULD BE QUITE IMPACTFUL REGARDING ISSUES OF MENTAL HEALTH ALTHOUGH ME NTAL HEALTH IS ALWAYS A CONCERN AMONG THE COMMUNITY,THE COMMUNITY HEALTH IMPROVEMENT WORK GROUP FELT THAT THE DEGREE OFTHE PROBLEM WAS NOT AS SEVERE AS SOME OTHER HEALTH ISSUES A LTHOUGH MONROE COUNTY IS WORSE THAN THE STATE FOR PREVENTION AGENDA INDICATORS, THIS DIFFE RENCE IS NOT SIGNIFICANT, SO MONROE COUNTY IS SOMEWHAT IN LINE WITH GOALS AND THE REST OF THE STATE IN ADDITION,THE HOSPITALS FELT THAT THE LEVEL OF ACTIVITY BEING CONDUCTED BY M ANY AGENCIES IN OUR COMMUNITY WAS STRONG THE TEAM WAS ALSO NOT CONFIDENT IN THE LIKELIHOO D OF SUCCESS IF THE HOSPITALS CONCENTRATED ON ADDRESSING MENTAL HEALTH THERE ARE OTHER OR GANIZATIONS MORE EQUIPPED, AND ALTHOUGH CERTAIN PARTS OFTHE HOSPITALS ADDRESS MENTAL HEAL TH TREATMENT, PREVENTING MENTAL HEALTH FROM THE HOSPITAL PERSPECTIVE WAS DIFFICULT TO ANTI CIPATE ------l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93493134012526 Schedule I OMB No 1545-0047 (Form 990) Grants and Other Assistance to Organizations, Governments and Individuals in the United States 2013 Complete if the organization answered "Yes," to Form 990, Part IV, line 21 or 22. Department of the Treasury ► Attach to Form 990 • Internal Revenue Service ► Information about Schedule I (Form 990) and its instructions is at www.irs.gov /form990 . Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 jlj^l General Information on Grants and Assistance 1 Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? ...... F Yes 1 No 2 Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States Grants and Other Assistance to Governments and Organizations in the United States . Complete if the organization answered "Yes" to Form 990, Part IV, line 21, for any recipient that received more than $5,000. Part II can be duplicated if additional space is needed.
(a) Name and address of ( b) EIN (c) IRC Code section (d) Amount of cash (e) Amount of non- (f) Method of (g) Description of (h) Purpose of grant organization if applicable grant cash valuation non - cash assistance or assistance or government assistance (book, FMV, appraisal, other ) (1) MANAGEMENT 52-1795164 501(C)(3) 15,000 N/A N/A O INCREASE THE LEADERSHIP FOR PRESENCE OF TOMORROW MINORITY STUDENTS 5335 WISCONSIN AVE NW IN LEADING ENTRY- SUITE 805 LEVEL CAREERS AND WASHINGTON,DC 20015 MAJOR GRADUATE BUSINESS SCHOOLS S PREPARATION FOR LEADERSHIP POSITIONS IN CORPORATIONS, NON-PROFIT ORGANIZATIONS ND ENTREPRENEURIAL V ENTURES (2) GAY ALLIANCE 16-1066400 501(C)(3) 11,000 N/A N/A GENERAL SUPPORT 875 E MAIN STREET STE500 ROCHESTER,NY 14605
2 Enter total number of section 501 (c)(3) and government organizations listed in the line 1 table lik. 2 3 Enter total number of other organizations listed in the line 1 table. . 0
For Paperwork Reduction Act Notice, see the Instructions for Form 990 . Cat No 50055P Schedule I (Form 990) 2013 Schedule I (Form 990) 2013 Page 2 Grants and Other Assistance to Individuals in the United States . Complete if the organization answered "Yes" to Form 990, Part IV, line 22. Part III can be duplicated if additional space is needed.
(a)Type of grant or assistance ( b)N umber of ( c)A mount of ( d)Amount of ( e)Method of valuation (book, ( f)Description of non-cash assistance recipients cash grant non-cash assistance FMV, appraisal, other)
(1) SCHOLARSHIPS AND FELLOWSHIPS 5166 177,904,185 N/A N/A TO STUDENTS
Su pp lemental Information . Provide the information re q uired in Part I , line 2 , Part III , column ( b ), and an y other additional information. Return Reference Explanation STUDENT SCHOLARSHIP, STUDENTS WHO RECEIVE SCHOLARSHIPS, FELLOWSHIPS AND STUDENT LOANS FROM THE UNIVERSITY OF ROCHESTER ARE SELECTED FELLOWSHIPS AND STUDENT AND THE AMOUNT OF GRANTS OR LOANS DETERMINED BY OBJECTIVE AND NON-DISCRIMINATORY PROCESSES APPLIED TO ALL LOANS- SCHEDULE I, PART IV SIMILARLY SITUATED INDIVIDUALS THE DECISIONS ARE MADE ON A CASE BY CASE BASIS THROUGH EVALUATING THE ACADEMIC ACHIEVEMENT AND FINANCIAL NEED OF THE APPLICANT IN LIGHT OFTHE FUNDS AVAILABLE FOR THIS PURPOSE ------SUBAWARDS- SCHEDULE I, IN FURTHERANCE OF ITS RESEARCH ACTIVITIES,THE UNIVERSITY OF ROCHESTER MAKES SUB-AWARDS TO OTHER ORGANIZATIONS PART II THAT PERFORM RESEARCH IN CONNECTION WITH RESEARCH GRANTS AWARDED TO THE UNIVERSITY THE UNIVERSITY DOES NOT CATEGORIZE THESE SUB-AWARDS AS "GRANTS" FOR FORM 990, SCHEDULE I REPORTING, SINCE THE RECIPIENT ORGANIZATIONS PERFORM RESEARCH SERVICES FOR THE UNIVERSITY AND ARE CONSIDERED INDEPENDENT CONTRACTORS WHICH SERVE THE DIRECT NEEDS OF THE UNIVERSITY Schedule I (Form 990) 2013 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93493134012526 Schedule J Compensation Information OMB No 1545-0047 (Form 990) For certain Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees 2013 1- Complete if the organization answered "Yes" to Form 990, Part IV, line 23. Department of the Treasury 1- Attach to Form 990. 1- See separate instructions. ' Internal Revenue Service 1- Information about Schedule J (Form 990) and its instructions is at www.irs.gov/form990. Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 MYRTE Questions Re g ardin g Com p ensation Yes No la Check the appropiate box(es) if the organization provided any of the following to or for a person listed in Form 990, Part VII , Section A, line la Complete Part III to provide any relevant information regarding these items F First-class or charter travel F Housing allowance or residence for personal use F Travel for companions 1 Payments for business use of personal residence F Tax idemnification and gross - up payments F Health or social club dues or initiation fees 1 Discretionary spending account F Personal services ( e g , maid, chauffeur, chef)
b If any of the boxes in line la are checked , did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No ," complete Part III to explain lb Yes 2 Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all directors, trustees , officers, including the CEO/ Executive Director, regarding the items checked in line la? 2 Yes
3 Indicate which , if any, of the following the filing organization used to establish the compensation of the organization 's CEO/ Executive Director Check all that apply Do not check any boxes for methods used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III F Compensation committee F Written employment contract F Independent compensation consultant F Compensation survey or study F Form 990 of other organizations F Approval by the board or compensation committee
4 During the year, did any person listed in Form 990, Part VII, Section A, line la with respect to the filing organization or a related organization
a Receive a severance payment or change-of-control payment? 4a No b Participate in, or receive payment from, a supplemental nonqualified retirement plan? 4b Yes c Participate in, or receive payment from, an equity-based compensation arrangement? 4c No If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9. 5 For persons listed in Form 990, Part VII, Section A, line la, did the organization pay or accrue any compensation contingent on the revenues of
a The organization? 5a No b Any related organization? 5b No If "Yes," to line 5a or 5b, describe in Part III 6 For persons listed in Form 990, Part VII, Section A, line la, did the organization pay or accrue any compensation contingent on the net earnings of
a The organization? 6a No b Any related organization? 6b No If "Yes," to line 6a or 6b, describe in Part III 7 For persons listed in Form 990, Part VII, Section A, line la, did the organization provide any non-fixed payments not described in lines 5 and 6? If "Yes," describe in Part III 7 Yes 8 Were any amounts reported in Form 990, Part VII, paid or accured pursuant to a contract that was subject to the initial contract exception described in Regulations section 53 4958-4(a)(3)? If "Yes," describe in Part III 8 No 9 If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53 4958-6(c)? 9 For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat No 50053T Schedule 3 (Form 990) 2013 Schedule J (Form 990) 2013 Page 2 Officers , Directors , Trustees , Key Employees, and Highest Compensated Employees . Use duplicate copies if additional space is needed. For each individual whose compensation must be reported in Schedule J, report compensation from the organization on row (i) and from related organizations, described in the instructions, on row (ii) Do not list any individuals that are not listed on Form 990, Part VII Note . The sum of columns (B)(1)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line la, applicable column (D) and (E) amounts for that individual
(A) Name and Title (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Retirement and (D) Nontaxable (E) Total of (F) Compensation (ii) Bonus & (iii) other deferred benefits columns reported as deferred (i) Base Other incentive reportable compensation compensation (B)(i)-(D) in prior Form 990 compensation compensation See Additional Data Table Schedule 3 (Form 990) 2013 Schedule J (Form 990) 2013 Page 3 Supplemental Information Provide the information, explanation, or descriptions required for Part I, lines la, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II Also complete this part for any additional information Return Reference Explanation DETAIL OF ADDITIONAL FIRST CLASS OR CHARTER TRAVEL IN CERTAIN CIRCUMSTANCES, THE PRESIDENT AND PROVOST OF THE UNIVERSITY OF ROCHESTER (THE BENEFITS PROVIDED- FORM 990, "UNIVERSITY") MAY TRAVEL FIRST CLASS IF CERTAIN TIME/DISTANCE REQUIREMENTS ARE MET AND A VALID UNIVERSITY-RELATED SCHEDULE J, LINE 1A BUSINESS PURPOSE FOR THE TRAVEL EXISTS TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT AND PROVOST OR OTHER KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS,THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE ONLY IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OFTHE UNIVERSITY TAX INDEMNIFICATION AND GROSS-UP PAYMENTS THE UNIVERSITY MAY PROVIDE TAX GROSS-UP PAYMENTS UNDER CERTAIN CIRCUMSTANCES AS APPROVED BY THE BOARD THE UNIVERSITY DOES NOT GENERALLY PROVIDE TAX INDEMNIFICATIONS ONE OFFICER RECEIVED A GROSS-UP PAYMENT THAT WAS TREATED AS TAXABLE COMPENSATION HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT,THE PRESIDENT AND PROVOST ARE REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE SOCIAL CLUB DUES THE UNIVERSITY PROVIDES A SOCIAL CLUB MEMBERSHIP, TO BE USED BY CERTAIN OFFICERS AND KEY EMPLOYEES IN CONNECTION WITH THEIR DUTIES THESE OFFICERS AND KEY EMPLOYEES ARE RESPONSIBLE FOR ANY PERSONAL USE OF THE CLUB MEMBERSHIP NINE OFFICERS AND ONE KEY EMPLOYEE RECEIVED SOCIAL CLUB DUES THAT WAS TREATED AS TAXABLE COMPENSATION ------PARTICIPATION IN A SUPP THE FOLLOWING INDIVIDUALS LISTED ON FORM 990, PART VII, SECTION A PARTICIPATED IN A SUPPLEMENTAL NONQUALIFIED NONQUALIFIED PLAN- FORM 990, RETIREMENT PLAN AND RECEIVED EMPLOYER PAID AMOUNTS THAT ARE INCLUDED IN DEFERRED COMPENSATION BRADFORD C BERK - SCHEDULE J, LINE 4B SERP - $144,700 MARK B TAUBMAN - SERP - $105,000 STEVEN GOLDSTEIN - SERP - $159,400 MICHAEL C GOONAN - SERP - $61,500 RAYMOND J MAYEWSKI - SERP - $75,000 PETER G ROBINSON - SERP - $61,500 KATHLEEN PARRINELLO - SERP - $48,000 LEONARD J SHUTE - SERP - $50,000 MICHAEL ROTONDO - SERP - $25,000 JOEL S SELIGMAN - 457(F) - $189,250 BRADFORD C BERK - 457(F) - $240,000 ROBERT CLARK - 457(F) - $50,000 RONALD J PAPROCKI - 457(F)- $101,786 DOUGLAS PHILLIPS - 457(F)- NONE JAMES THOMPSON - 457(F) - $42,500 STEVEN GOLDSTEIN - 457(F) - $75,000 MICHAEL C GOONAN - 457(F) - $536,047 PETER G ROBINSON - 457(F) - $331,050 KATHLEEN PARRINELLO - 457(F) - $23,878 LEONARD J SHUTE - 457(F) - $81,250 MICHAEL MALONEY - 457(F) - $240,000 ------PROVISION OF NON-FIXED THE UNIVERSITY OF ROCHESTER MEDICAL SCHOOL COMPENSATION PLAN ALLOWS COMPENSATION TO BE CALCULATED, IN PART, BY PAYMENTS- FORM 990, SCHEDULE MEDICAL SERVICES RENDERED THE UNIVERSITY OF ROCHESTER DOES NOT PROVIDE DISCRETIONARY BONUS AND/OR INCENTIVE J, LINE 7 COMPENSATION PAYMENTS MADE TO ANY DISQUALIFIED PERSON IS APPROVED BY THE BOARD THROUGH THE PROCESS DESCRIBED IN FORM 990, PART VI, SECTION B, LINE 15 Schedule 3 (Form 990) 2013 Additional Data
Software ID: Software Version: EIN: 16 -0743209 Name : UNIVERSITY OF ROCHESTER
Form 990, Schedule J, Part II - Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (A) Name (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Deferred (D) Nontaxable (E) Total of columns (F) Compensation reported in prior Form Bonus & compensation benefits (B)(i)-(D) (i) Base (ii) (iii) Other 990 or Form 990-EZ incentive Compensation compensation compensation JOEL SELIGMAN (1) 753,772 0 30,564 213,817 62,554 1,060,707 0 TRUSTEE, PRESIDENT (u) 0 0 0 0 0 0 0 &CEO BRADFORD C BERK (i) 904,509 0 45,654 409,267 11,393 1,370,823 0 SR VP HEALTH (ii) 0 0 0 0 0 0 0 SCIENCE PAUL J BURGETT VP (i) 156,315 0 335 14,865 14,112 185,627 0 AND SR ADVISOR- (ii) 0 0 0 0 0 0 0 PRES & DEAN ROBERT L CLARK (i) 504,773 0 65,887 75,880 19,811 666,351 0 SRVP (ii) 0 0 0 0 0 0 0 RESEARCH&DEAN HAJIM ASE PETER LENNIE (i) 560,715 0 26,459 24,567 51,303 663,044 0 PROVOST & DEAN OF (ii) 0 0 0 0 0 0 0 FACULTY-ASE LAMAR MURPHY (i) 234,446 0 17,500 24,830 10,383 287,159 0 GENL (ii) 0 0 0 0 0 0 0 SECRETARY&CHIEF OF STAFF WILLIAM M MURPHY (i) 230,113 0 17,500 24,436 10,945 282,994 0 VP FOR (ii) 0 0 0 0 0 0 0 COMMUNICATIONS GAIL M NORRIS VP (i) 377,199 0 0 30,903 22,418 430,520 0 AND GENERAL (ii) 0 0 0 0 0 0 0 COUNSEL RONALD J PAPROCKI (1) 629,951 0 21,946 126,353 21,927 800,177 0 SR VP ADMIN & (ii) 0 0 0 0 0 0 0 FINANCE, CFO DOUGLAS W PHILLIPS (i) 589,345 0 45,344 24,567 15,273 674,529 0 SR VP (ii) 0 0 0 0 0 0 0 INSTITUTIONAL RESOURCES MARKBTAUBMAN (1) 731,940 0 12,732 129,567 20,293 894,532 0 DEAN,SMD,VP FOR (ii) 0 0 0 0 0 0 0 HEALTH SCIENCE JAMES D THOMPSON (i) 545,351 0 129,870 67,067 23,267 765,555 0 Till 414 SR VP & (ii) 0 0 0 0 0 0 0 CHIEFADV OFFICER STEVEN GOLDSTEIN (i) 889,314 0 56,872 258,967 4,039 1,209,192 0 URMC VP, PRES/CEO (ii) 0 0 0 0 0 0 0 SMH&HH MICHAEL C GOONAN (i) 248,426 0 810,948 622,114 11,164 1,692,652 241,200 VICE PRESIDENT & (ii) 0 0 0 0 0 0 0 CFO,URMC RAYMOND J (i) 539,046 0 41,642 99,567 9,929 690,184 0 MAYEWSKI VP, URMC (ii) 0 0 0 0 0 0 0
KATHLEEN (i) 429,710 0 28,461 100,927 11,718 570,816 0 PARRINELLO EXEC (ii) 0 0 0 0 0 0 0 VP &COO,SMH PETER G ROBINSON (i) 456,195 0 806,927 417,117 23,810 1,704,049 241,200 VP&COO, MEDCTR & (ii) 0 0 0 0 0 0 0 STRONG HEALTH MICHAEL ROTONDO (i) 352,094 60,000 6,000 49,567 9,898 477,559 0 CEO,URFMG (ii) 0 0 0 0 0 0 0 LEONARD J SHUTE (i) 461,162 0 590,607 155,802 22,670 1,230,241 0 TILL 12-13 ASSOC (ii) 0 0 0 0 0 0 0 VP & SR DIR FINANCE/CFO MARC D BROWN MD (i) 625,766 948,005 17,500 24,567 19,064 1,634,902 0 PROF-DERMATOLOGY (ii) 0 0 0 0 0 0 0 M&D Form 990 , Schedule J , Part II - Officers , Directors , Trustees , Ke y Em p lo y ees . and Hi g hest Com p ensated Em p lo y ees (A) Name (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Deferred (D) Nontaxable (E) Total of columns (F) Compensation reported in prior Form Bonus & compensation benefits (B)(i)-(D) (i) Base (ii) (iii) Other 990 or Form 990-EZ incentive Compensation compensation compensation SHERRIF F IBRAHIM (1) 308,573 940,195 17,500 17,480 22,141 1,305,889 0 ASST PROFESSOR- (u) 0 0 0 0 0 0 0 DERMATOLOGY M&D MICHAEL D MALONEY (1) 583,953 806,058 17,500 264,567 16,298 1,688,376 0 MD ASSOC PROF- (ii) 0 0 0 0 0 0 0 ORTHOPAEDICS M&D
JEFFREY H PETERS MD (1) 965,671 275,000 30,024 24,567 20,212 1,315,474 0 PROF CHAIR- DEPT (ii) 0 0 0 0 0 0 0 OF SURGERY ILYA VOLOSHIN (1) 473,563 618,982 17,500 34,537 19,051 1,163,633 0 PROFESSOR- (ii) 0 0 0 0 0 0 0 ORTHOPAEDICS M&D
ELIZABETH R (1) 119,216 0 17,500 12,612 8,428 157,756 0 MCANARNEY FORMER (ii) 0 0 0 0 0 0 0 KEY EMPLOYEE l efile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493134012526 Schedule K OMB No 1545-0047 (Form 990) Supplemental Information on Tax Exempt Bonds 1- Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions, explanations, and any additional information in Part VI. 2013 1- Attach to Form 990. 1- See separate instructions. Department of the Treasury 1-Information about Schedule K (Form 990) and its instructions is at www.irs.gov/form990 . Internal Revenue Service Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 Bond Issues (h) On (i) Pool (g) Defeased behalf of financing (a) Issuer name ( b) Issuer EIN (c) CUSIP # ( d) Date issued ( e) Issue price (f) Description of purpose issuer Yes No Yes No Yes No DORMITORY AUTHORITY OF 2003 A,B,C- CAPITAL A THE STATE OF NEWYORK 14-6000293 64983UP20 11-06-2003 164,425,000 X X X PR03ECTS
DORMITORY AUTHORITY OF 2004 A- CO-GENERATION B THE STATE OF NEWYORK 14-6000293 64983TC50 08-26-2004 45,602,797 X X X FACILITY
DORMITORY AUTHORITY OF 2006 A-1 & B-1- BOND C THE STATE OF NEWYORK 14-6000293 64983QWB1 03-16-2006 111,180,000 X X X REFINANCING
DORMITORY AUTHORITY OF 2007 A-1, A-2 & B- CAPITAL D THE STATE OF NEWYORK 14-6000293 649903BH3 02-21-2007 180,959,178 X X X PR03ECT n n.ii Proceeds A B C D 1 Amount of bonds retired 71,895,000 28,810,249 6,855,000 9,649,195 2 Amount of bonds legally defeased 0 0 0 0 3 Total proceeds of issue 165 ,914,139 46,665,022 111,180,000 186,725,496 4 Gross proceeds in reserve funds 0 0 0 0 5 Capitalized interest from proceeds 0 2,520,693 0 1,501,163 6 Proceeds in refunding escrows 0 0 0 0 7 Issuance costs from proceeds 3,122,743 839,083 2,170,437 3,175,140 8 Credit enhancement from proceeds 2,349,000 0 1,213,000 0 9 Working capital expenditures from proceeds 383,179 0 0 1,629,892 10 Capital expenditures from proceeds 70,315,050 43,305,246 0 173,638,861 11 Other spent proceeds 89,744,167 0 107,796,563 6,780,440 12 Other unspent proceeds 0 0 0 0 13 Year of substantial completion 2009 2008 2000 2010 Yes No Yes No Yes No Yes No 14 Were the bonds issued as part of a current refunding issue? X X X X
15 Were the bonds issued as part of an advance refunding issue? X X X X
16 Has the final allocation of proceeds been made? X X X X 17 Does the organization maintain adequate books and records to support the final X X X X allocation of proceeds? I T I I I Private Business Use A B C D Yes No Yes No Yes No Yes No 1 Was the organization a partner in a partnership, or a member of an LLC, which owned X X X property financed by tax-exempt bonds? 2 Are there any lease arrangements that may result in private business use of bond- X X X financed property? For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat No 50193E Schedule K (Form 990) 2013 Schedule K (Form 990) 2013 Pa g e 2 Private Business Use (Continued) A B C D Yes No Yes No Yes No Yes No Are there any management or service contracts that may result in private business use 3a X X X of bond-financed property? b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed X X X property?
c Are there any research agreements that may result in private business use of bond- financed property? X X X d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? X X X 4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government 0- 0 % 0 800 % 0 % 0 100 % 5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 0 400 % 0 400 % 0 % 0 400 % 501(c)(3) organization, or a state or local government 0- 6 Total of lines 4 and 5 0 400 % 1 200 % 0 % 0 500 % 7 Does the bond issue meet the private security or payment test? X X X ga Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were X X X issued? b If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of 0 % 0 % 0 % 0 % If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections c X X X 1 141-12 and 1 145-27 g Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under X X X Regulations sections 1 141-12 and 1 145-2? Arbitrage A B C D Yes No Ys No Yes No Yes No 1 Has the issuerfiled Form 8038 -T? X X X X 2 If "No" to line 1, did the following apply? a Rebate not due yet?
b Exception to rebate? X X X X c No rebate due? If you checked No rebate due" in line 2c, provide in Part VI the date the rebate computation was performed 3 Is the bond issue a variable rate issue? X X X X 4a Has the organization or the governmental issuer entered X X X X into a qualified hedge with respect to the bond issue? b Name of provider WELLSFARGOCITIGROUP 0 BANK OF AMERICA
c Term of hedge 30 21 3 d Was the hedge superintegrated? X X
e Was the hedge terminated? X X Schedule K (Form 990) 2013 Schedule K (Form 990) 2013 Page 3 Arbitrage (Continued ) A B C D Yes No Yes No Yes No Yes No Were gross proceeds invested in a guaranteed investment 5a X X X X contract (GIC)7 b Name of provider 0 0 0 0
c Term of GIC d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? 6 Were any gross proceeds invested beyond an available temporary X X X X period? 7 Has the organization established written procedures to monitor X X X X the requirements of section 148? ff^illll Procedures To Undertake Corrective Action A I B I C I D I Yes I No I Yes I No I Yes I No I Yes I No Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified X X X X and corrected through the voluntary closing agreement program if self-remediation is not available under aoolicable regulations?
Supplemental Information . Provide additional information for responses to questions on Schedule K (see instructions). Return Reference I Explanation I BOND ISSUE 2007 A-2- CUSIP #649903CK5 BOND ISSUE 2007 B- CUSIP #649903CG4 BOND ISSUE 2009 A,B,C,D,E- CUSIP #649907VR0, PART I, COLUMN C- ADDITIONAL #649907V58 BOND ISSUE 2009 B- CUSIP #649907VP4, #649907VQ2, #649907VR0, #649907VS8 BOND ISSUE 2011- CUSIP #61075TDC9, TAX EXEMPOT BOND CUSIP # BOND ISSUE 2011A- CUSIP #61075TJM1, #61075TJN9, #61075TJK9, #61075TJL3, #61075TJK5 BOND ISSUE 2013- CUSIP #61075TJH2, INFORMATION 1 #61075TJH2 ------Return Reference Explanation THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2003 A,B,C BOND ISSUE INCLUDES $1,489,139 IN INVESTMENT EARNINGS THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2004A BOND ISSUE INCLUDES PART II, LINE 3- ADDITIONAL $1,062,225 IN INVESTMENT EARNINGS THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2007 A-1, A-2, B DETAIL FOR PROCEEDS OF BOND ISSUE INCLUDES $5,766,318 IN INVESTMENT EARNINGS THE TOTAL PROCEEDS OF ISSUE REPORTED FO ISSUES THE 2009 A,B,C,D,E BOND ISSUE INCLUDES $185,527 IN INVESTMENT EARNINGS THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2011 A,B BOND ISSUE INCLUDES $82,185 IN INVESTMENT EARNINGS l efile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493134012526 Schedule K OMB No 1545-0047 (Form 990) Supplemental Information on Tax Exempt Bonds 1- Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions, explanations, and any additional information in Part VI. 2013 1- Attach to Form 990. 1- See separate instructions. Department of the Treasury 1-Information about Schedule K (Form 990) and its instructions is at www.irs.gov/form990 . Internal Revenue Service Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 Bond Issues (h) On (i) Pool (g) Defeased behalf of financing (a) Issuer name ( b) Issuer EIN (c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose issuer Yes No Yes No Yes No DORMITORY AUTHORITY OF 2007 C- BOND REFINANCING A THE STATE OF NEWYORK 14-6000293 649903GW5 02-21-2007 63,115,512 X X X
DORMITORY AUTHORITY OF 2009 A B C D E CAPITAL B THE STATE OF NEWYORK 14-6000293 649905KL9 07-22-2009 120,741,579 X X X PROJECTS
MONROE COUNTY C INDUSTRIAL DEVELOPMENT 2011 A, B MCIDC-CAPITAL 51-0188852 61075TCE6 09-01-2011 175,747,934 X X X CORPORATION PROJECTS
MONROE COUNTY D INDUSTRIAL DEVELOPMENT 2013 A, B CAPITAL 51-0188852 61075THK7 09-19-2013 198,885,260 X X X CORPORATION PROJECTS n n.ii Proceeds A B C D 1 Amount of bonds retired 3,474,052 36,344,259 14,029,724 415,329 2 Amount of bonds legally defeased 0 0 0 0 3 Total proceeds of issue 63,115,512 120,927,106 175,830,119 198,885,260 4 Gross proceeds in reserve funds 0 0 0 0 5 Capitalized interest from proceeds 0 0 3,243,526 0 6 Proceeds in refunding escrows 0 0 0 0 7 Issuance costs from proceeds 965,109 1,169,973 1,502,375 1,422,460 8 Credit enhancement from proceeds 499,130 0 0 0 9 Working capital expenditures from proceeds 0 2,060,239 130,566,526 122,827,711 10 Capital expenditures from proceeds 0 75,771,274 3,481,354 124,914 11 Other spent proceeds 61,651,273 41,160,692 14,629,700 8,859,852 12 Other unspent proceeds 0 764,928 22,406,638 65,650,323 13 Year of substantial completion 2008 2010 2011 Yes No Yes No Yes No Yes No 14 Were the bonds issued as part of a current refunding issue? X X X X
15 Were the bonds issued as part of an advance refunding issue? X X X X
16 Has the final allocation of proceeds been made? X X X X 17 Does the organization maintain adequate books and records to support the final X X X X allocation of proceeds? I T I I I Private Business Use A B C D Yes No Yes No Yes No Yes No 1 Was the organization a partner in a partnership, or a member of an LLC, which owned X X X X property financed by tax-exempt bonds? 2 Are there any lease arrangements that may result in private business use of bond- X X X X financed property? For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat No 50193E Schedule K (Form 990) 2013 Schedule K (Form 990) 2013 Pa g e 2 Private Business Use (Continued) A B C D Yes No Yes No Yes No Yes No Are there any management or service contracts that may result in private business use 3a X X X X of bond-financed property? b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed X X X X property?
c Are there any research agreements that may result in private business use of bond- financed property? X X X X d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? X X X X 4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government 0- 0 800 % 0 700 % 0 600 % 0 500 % 5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 0 400 % 0 % 0 200 % 0 % 501(c)(3) organization, or a state or local government 0- 6 Total of lines 4 and 5 1 200 % 0 700 % 0 800 % 0 500 % 7 Does the bond issue meet the private security or payment test? X X X X ga Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were X X X X issued? b If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of 0 % 0 % 0 % 0 % If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections c X X X X 1 141-12 and 1 145-27 g Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under X X X X Regulations sections 1 141-12 and 1 145-2? Arbitrage A B C D Yes No Yes No Yes No Yes No 1 Has the issuerfiled Form 8038-T? X X X X 2 If "No" to line 1, did the following apply? a Rebate not due yet?
b Exception to rebate? X X X X c No rebate due? If you checked No rebate due" in line 2c, provide in Part VI the date the rebate computation was performed 3 Is the bond issue a variable rate issue? X X X X 4a Has the organization or the governmental issuer entered X X X X into a qualified hedge with respect to the bond issue? b Name of provider 0 0 0
c Term of hedge d Was the hedge superintegrated? e Was the hedge terminated?
Schedule K (Form 990) 2013 Schedule K (Form 990) 2013 Page 3 Arbitrage (Continued) A B C D Yes No Yes No Yes No Yes No Were gross proceeds invested in a guaranteed investment 5a X X X X contract (GIC)7 b Name of provider 0 0 0 0
C Term of GIC d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? 6 Were any gross proceeds invested beyond an available temporary X X X X period? 7 Has the organization established written procedures to monitor X X X X the requirements of section 148? Procedures To Undertake Corrective Action A D I Yes I No I Yes I No I Yes I No I Yes I No Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified X X X and corrected through the voluntary closing agreement program if self-remediation is not available under arDlicable regulations?
NOTION Supplemental information . Provide additional information for responses to questions on Schedule K (see instructions). l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93493134012526 Schedule L Transactions with Interested Persons OMB No 1545-0047 (Form 990 or 990-EZ) 0- Complete if the organization answered "Yes" on Form 990, Part IV, lines 25a , 25b, 26, 27, 28a , 28b, or 28c, 2O13 or Form 990-EZ, Part V, line 38a or 40b. Department of the Treasury 0- Attach to Form 990 or Form 990-EZ . 0- See separate instructions . Open Internal Revenue Service 1-Information about Schedule L (Form 990 or 990 -EZ) and its instructions is at Insp e ction www.irs.gov/form990 . Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 L^l Excess Benefit Transactions (section 501(c)(3) and section 501(c)(4) organizations only). Cmmnlata iftha nrnanvatinn ancwarad "Yac" nn Fnrm 99O Part TV Iina 75a nr 75h nr Fnrm 990-F7 Part V lino 40h 1 (a) Name of disqualified person (b) Relationship between disqualified (c) Description of transaction (d) Corrected? person and organization Yes No
2 Enter the amount of tax incurred by organization managers or disqualified persons during the year under section 4958 ...... ► $ 3 Enter the amount of tax, if any, on line 2, above, reimbursed by the organization . ► $
Loans to and / or From Interested Persons. Complete if the organization answered "Yes" on Form 990-EZ, Part V, line 38a, or Form 990, Part IV, line 26, or if the
(a) Name of (b) (c) (d) Loan to (e)Original ( f)Balance (g) In (h) (i)Written interested Relationship Purpose of or from the principal due default? A pproved agreement? person with loan organization? amount by organization board or committee? To I From Yes I No Yes F No Yes I No
Total ► $ Grants or Assistance Benefitting Interested Persons. Complete if the organization answered "Yes" on Form 990, Part IV, line 27. (a) Name of interested (b) Relationship between (c) Amount of assistance (d) Type of assistance (e) Purpose of assistance person interested person and the organization
For Paperwork Reduction Act Noticee see the Instructions for Form 990 or 990 -EZ. Cat No 50056A Schedule L (Form 990 or 990 - EZ) 2013 Schedule L (Form 990 or 990-EZ) 2013 Page 2 Business Transactions Involving Interested Persons. Complete if the organization answered "Yes" on Form 990, Part IV, line 28a, 28b, or 28c. (a) Name of interested person (b) Relationship (c) Amount of (d) Description of transaction (e) Sharing between interested transaction of person and the organization's organization revenues? Yes No See Additional Data Table
Supplemental Information
Return Reference I Explanation ADD'L SUPP INFORMATION- FORM XEROX- TRUSTEE, JOHN M KELLY IS AN OFFICER OF XEROX TRUSTEE, ROBERT KEEGAN IS A 990, SCHEDULE L, PART IV DIRECTOR OF XEROX WEGMANS- TRUSTEE, DANIEL R WEGMAN IS AN OFFICER, DIRECTOR AND OWNER OF WEGMANS ACCOUNTABLE HEALTH PARTNERS, LLC - KEY EMPLOYEES, STEVEN GOLDSTEIN AND RAYMOND J MAYEWSKI ARE DIRECTORS OF ACCOUNTABLE HEALTH PARTNERS. LLC Schedule L (Form 990 or 990-EZ) 2013 Additional Data
Software ID: Software Version: EIN: 16 -0743209 Name : UNIVERSITY OF ROCHESTER
Form 990. Schedule L. Part IV - Business Transactions Involving Interested Persons (a) Name of interested person ( b) Relationship (c) Amount of ( d) Description of transaction ( e) Sharing of between interested transaction organization's person and the revenues? organization Yes No
(1) BONNIE GOLDSTEIN FAMILY MEMBER OF 70,572 PAYMENT OF No KEY EMPL COMPENSATION
(2)THOMAS W WITMER FAMILY MEMBER OF 120,322 PAYMENT OF No TRUSTEE COMPENSATION
(3) KAREN BERK FAMILY MEMBER OF 56,137 PAYMENT OF No OFFICER COMPENSATION
(4) DENNIS KESSLER FAMILY MEMBER OF 115,931 PAYMENT OF No TRUSTEE COMPENSATION
(5) DELORES CONWAY FAMILY MEMBER OF 363,147 PAYMENT OF No OFFICER COMPENSATION
(6) REBECCA WALTERS FAMILY MEMBER OF 98,435 PAYMENT OF No KEY EMPL COMPENSATION
(7) ELIZABETH MAYEWSKI FAMILY MEMBER OF 72,161 PAYMENT OF No KEY EMPL COMPENSATION
(8) ROBERT L CLARK FAMILY MEMBER OF 30,080 PAYMENT OF No OFFICER COMPENSATION
(9)JONATHAN SUSSMAN FAMILY MEMBER OF 83,642 PAYMENT OF No KEY EMPL COMPENSATION
(10) JENNIFER PARRINELLO FAMILY MEMBER OF 14,443 PAYMENT OF No KEY EMPL COMPENSATION
(11) LYDIA ROTONDO FAMILY MEMBER OF 15,400 PAYMENT OF No KEY EMPL COMPENSATION
(12) XEROX COMMON 2,066,088 PURCHASE OF BUSINESS No TRUSTEE/OFFICER SERVICES
(13) WEGMANS COMMON 618,859 PAYMENT OF DRUG No TRUSTEE/OWNER DISPENSING FEE
(14) ACCOUNTABLE HEALTH COMMON KEY 2,157,307 INVESTMENT No PARTNERS LLC EMPL/DIRECTORS l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93493134012526 SCHEDULEM OMB No 1545-0047 (Form 990) Noncash Contributions Complete if the organizations answered " Yes" on Form 2013 990, Part IV, lines 29 or 30. Department of the Treasury Form 990. •' - • ' Internal Revenue Service n Information about Schedule M (Form 990) and its instructions is at www.irs. ov form990. Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 Tvoes of Prooertv (a) (b) (c) (d) Check Number of contributions Noncash contribution Method of determining if or items contributed amounts reported on noncash contribution amounts applicable Form 990, Part VIII, line 1g 1 Art-Works of art . . . . X 23 641,194 FAIR MARKET VALUE 2 Art-Historical treasures 3 Art-Fractional interests 4 Books and publications X 2 FAIR MARKET VALUE 5 Clothing and household goods ...... 6 Cars and other vehicles . 7 Boats and planes . . . . 8 Intellectual property . . . 9 Securities-Publicly traded . X 342 17,640,126 FAIR MARKET VALUE 10 Securities-Closely held stock 11 Securities-Partnership, LLC, or trust interests 12 Securities-Miscellaneous 13 Qualified conservation contribution-Historic structures 14 Qualified conservation contribution-O ther . . . 15 Real estate-Residential X 1 48,000 FAIR MARKET VALUE 16 Real estate-Commercial 17 Real estate-Other . . . 18 Collectibles . . . . . 19 Food inventory . . . 20 Drugs and medical supplies 21 Taxidermy ...... 22 Historical artifacts . . . . 23 Scientific specimens . . 24 Archeological artifacts . . . 25 Other P- ( X 15 104,721 FAIR MARKET VALUE MUSICAL INSTRUMENTS ) 26 Other P- ( X 35 97,588 FAIR MARKET VALUE GIFT-IN-KIND ) 27 Other P- ( X 78 75,183 FAIR MARKET VALUE PERSONAL PROPERTY ) 28 Other P- ( X 2 3,102,062 FAIR MARKET VALUE MISCELLANEOUS EQUIPMENT 29 Number of Forms 8283 received by the organization during the tax year for contributions for which the organization completed Form 8283, Part IV, Donee Acknowledgement . 29 7 Yes No 30a During the year, did the organization receive by contribution any property reported in Part I, lines 1 through 28, that it must hold for at least three years from the date of the initial contribution, and which is not required to be used for exempt purposes for the entire holding period? 30a No b If "Yes," describe the arrangement in Part II
31 Does the organization have a gift acceptance policy that requires the review of any non-standard contributions? 31 Yes
32a Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash contributions? ...... 32a No b If "Yes," describe in Part II 33 If the organization did not report an amount in column (c) for a type of property for which column (a) is checked, describe in Part II For Paperwork Reduction Act Noticee see the Instructions for Form 990 . Cat No 51227] Schedule M (Form 990 ) ( 2013) Schedule M (Form 990 ) (2013) Page 2 Supplemental Information . Provide the information required by Part I, lines 30b, 32b, and 33, and whether the organization is reporting in Part I, column (b), the number of contributions, the number of items received, or a combination of both. Also complete this part for any additional information.
Return Reference I Explanation NUMBER OF CONTRIBUTIONS- THE UNIVERSITY OF ROCHESTER REPORTS ALL NON-CASH CONTRIBUTIONS RECEIVED, FORM 990, SCHEDULE M, PART I, OTHER THAN SECURITIES, BASED ON THE NUMBER OF NON-CASH ITEMS RECEIVED COLUMN (B) Schedule M (Form 990) (2013) efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93493134012526 OMB No 1545 0047 SCHEDULE 0 (Form 990 or 990-EZ) Supplemental Information to Form 990 or 990-EZ 2013 Complete to provide information for responses to specific questions on Department of the Treasury Form 990 or to provide any additional information . Open Internal Revenue Service 1- Attach to Form 990 or 990-EZ. Inspection 1- Information about Schedule 0 (Form 990 or 990-EZ) and its instructions is at www.irs. g ov/form990. Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209
Return Explanation Reference
REASON FOR THE JUNE 30, 2014 FORM 990 OF THE UNIVERSITY OF ROCHESTER IS BEING AMENDED IN ORDER TO REPORT A AMENDED FORM PREVIOUSLY UNREPORTED OFFICER AND KEY EMPLOYEE ON FORM 990, PART VII, SECTION A AND SCHEDULE J, 990- FORM 990, PART II, WHO WERE INADVERTANTLY NOT PREVIOUSLY REPORTED ------DETAIL OF OTHER PROGRAM HEADER, ITEM #13 SERVICES- FORM 990, PART III, LINE 4d AUXILIARY ENTERPRISES- THE UNIVERSITY OPERATES EITHER DIRECTLY OR THROUGH THIRD PARTY CONTRACTORS FOOD SERVICES WHICH SERVED 5,223 UNDERGRADUATES 2,809,971 MEALS IN FIVE DINING SERVICES THE UNIVERSITY HAS 777 UNITS USED FOR STUDENT HOUSING ------Return Reference Explanation
FAMILY/BUSINESS RELATIONSHIPS- FORM 990, PART VI, ROBERT J KEEGAN AND JOHN M KELLY - BUSINESS RELATIONSHIP SECTION A, LINE 2 ------Return Reference Explanation
FORM 990 REVIEW THE FORM 990 OF UNIVERSITY OF ROCHESTER IS PREPARED BY FINANCE STAFF AND PROVIDED TO PROCESS- FORM PRICEWATERHOUSECOOPERS LLP AND SENIOR MANAGEMENT FOR REVIEW PRIOR TO FILING THE FORM 990 WAS 990, PART VI, ALSO PROVIDED TO THE UNIVERSITY'S AUDIT AND RISK ASSESSMENT COMMITTEE PRIOR TO FILING THE SECTION B, LINE 11 COMMITTEES QUESTIONS AND COMMENTS WERE ADDRESSED AT A COMMITTEE MEETING PRIOR TO FILING THE FORM 990 WAS ALSO PROVIDED TO THE ENTIRE BOARD OF TRUSTEES PRIOR TO FILING ------Return Explanation Reference
CONFLICT OF DIRECTORS, COMMITTEE MEMBERS, OFFICERS, AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE A CONFLICT OF INTEREST INTEREST A) PRIOR TO VOTING ON OR OTHERWISE DISCHARGING THEIR DUTIES WITH RESPECT TO ANY MATTER POLICY-FORM INVOLVING THE CONFLICT WHICH COMES BEFORE THE BOARD OR ANY COMMITTEE, B) PRIOR TO ENTERING INTO ANY 990, PART VI, CONTRACT OR TRANSACTION INVOLVING THE CONFLICT, C) AS SOON AS POSSIBLE AFTER THE DIRECTOR, COMMITTEE SECTION A, MEMBER OR OFFICER LEARNS OF THE CONFLICT, AND D) ON AN ANNUAL CONFLICT OF INTEREST DISCLOSURE FORM LINE 12C THE FORM IS DISTRIBUTED ANNUALLY AND REQUIRES DISCLOSURE OF ALL CONFLICTS OF INTEREST, INCLUDING SPECIFIC INFORMATION CONCERNING THE TERMS OF ANY CONTRACT OR TRANSACTION WITH THE UNIVERSITY THAT INVOLVES A POTENTIAL CONFLICT OF INTEREST FOR THE INDIVIDUAL THE FORMS ARE REVIEWED BY LEGAL COUNSEL, AND CONFLICTS DISCLOSED ON THE FORMS OR ON AN AD-HOC BASIS ARE REVIEWED BY AN INDEPENDENT BOARD COMMITTEE THE COMMITTEE CONSIDERS THE MATERIAL FACTS CONCERNING ANY PROPOSED CONTRACT OR TRANSACTION, INCLUDING THE PROCESS BY WHICH THE DECISION WAS MADE TO APPROVE OR RECOMMEND ENTERING INTO THE ARRANGEMENT ON THE TERMS PROPOSED, AND APPROVES SUCH CONTRACTS OR TRANSACTIONS ONLY IF THE TERMS ARE FAIR AND REASONABLE TO THE UNIVERSITY AND THE ARRANGEMENTS ARE CONSISTENT WITH THE BEST INTERESTS OF THE UNIVERSITY ------Return Reference Explanation
COMPENSATION WRITTEN SELF-EVALUATIONS AND PERFORMANCE EVALUATIONS FOR THE UNIVERSITY'S OFFICERS AND KEY PROCESS- FORM 990, EMPLOYEES ARE REVIEWED ANNUALLY BY THE UNIVERSITY'S COMMITTEE ON COMPLIANCE AND COMPENSATION PART VI, SECTION B, THE COMMITTEE REVIEWS AND APPROVES TOTAL COMPENSATION FOR OFFICERS AND KEY EMPLOYEES AND LINE 15 CONSIDERS, IN ADDITION TO THE PERFORMANCE EVALUATIONS, THE SCOPE OF THE INDIVIDUAL'S JOB RESPONSIBILITIES, PREVIOUS COMPENSATION AND COMPARABLE COMPENSATION PAID TO PEOPLE WITH SIMILAR RESPONSIBILITIES AT COMPARABLE INSTITUTIONS THE COMPARABLE INFORMATION IS PROVIDED BY AN INDEPENDENT CONSULTANT AND BY REFERENCE TO LOCAL, REGIONAL AND NATIONAL COMPENSATION SURVEYS ------Return Reference Explanation
DOCUMENTS AVAILABILITY TO THE UNIVERSITY OF ROCHESTER'S AUDITED FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC- FORM 990, PART VI, PUBLIC BY POSTING THEM ON THE UNIVERSITY'S WEBSITE THE UNIVERSITY OF ROCHESTER'S SECTION C, LINE 19 GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE NOT ROUTINELY MADE AVAILABLE TO THE PUBLIC ------Return Reference Explanation
DETAIL OF INDEPENDENT THE PAYMENT AMOUNTS LISTED FOR LECHASE CONSTRUCTION SERVICES, THE PIKE COMPANY, CONTRACTOR PAY MENTS- FORM INC, AND DGA BUILDERS, LLC, REPRESENT THE ESTIMATED SERVICE COMPONENT OF THE TOTAL 990, PART VII, SECTION B PAYMENTS MADE TO THESE VENDORS FOR CONSTRUCTION SERVICES ------Return Reference Explanation
STATE FILING OF FORM ALTHOUGH THE UNIVERSITY OF ROCHESTER IS LOCATED IN THE STATE OF NEW YORK, A COPY OF ITS 990- FORM 990, PART VI, FORM 990 IS NOT REQUIRED TO BE FILED WITH THE STATE, SINCE EDUCATIONAL INSTITUTIONS SECTION C, LINE 17 INCORPORATED UNDER THE NEW YORK STATE EDUCATION LAW ARE EXEMPT FROM FILING IN THE STATE OF NEW YORK ------Return Reference Explanation
DETAIL OF OTHER CHANGES IN NET CHANGE IN VALUATION OF ANNUITIES $(4,137,398) LOSS ON EXTINGUISHMENT OF DEBT ASSETS- FORM 990, PART XI, LINE 9 (2,167,272) OTHER CHANGES 9,172,013 ------TOTAL $ 2,867,343 ------Return Explanation Reference
DELEGATION OF THE BY-LAWS OF THE UNIVERSITY PROVIDE FOR AN EXECUTIVE COMMITTEE THAT MAY EXERCISE ALL THE POWERS AUTHORITY- OF THE BOARD IN INTERVALS BETWEEN MEETINGS OF THE BOARD OF TRUSTEES, EXCEPT THAT THE EXECUTIVE PART VI, COMMITTEE DOES NOT HAVE POWER (1) TO GRANT DEGREES, (2) TO REMOVE A TRUSTEE OR OFFICER, (3) TO ELECT SECTION A, LINE TRUSTEES, THE CHAIR OF THE BOARD OR THE PRESIDENT, OR (4) TO AMEND, ALTER OR REPEAL THE BY-LAWS THE 1 a MEMBERS OF THE EXECUTIVE COMMITTEE ARE ALL TRUSTEES THE EXECUTIVE COMMITTEE CONSISTS OF THE CHAIR OF THE BOARD, THE PRESIDENT, THE CHAIRS OF THE BOARD COMMITTEES OF INVESTMENT, NOMINATIONS AND BOARD PRACTICES, FACILITIES, AUDIT AND RISK ASSESSMENT, PERSONNEL, HEALTH AFFAIRS, ACADEMIC AFFAIRS, RESEARCH AND INNOVATION, FINANCIAL PLANNING, STUDENT AFFAIRS, COMPLIANCE AND COMPENSATION, AND DEVELOPMENT PLUS SUCH OTHER TRUSTEES AS THE BOARD OF TRUSTEES MAY ELECT TO SERVE FOR TERMS NOT TO EXCEED FIVE YEARS ------l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN:93493134012526 OMB No 1545-0047 SCHEDULE R Related Organizations and Unrelated Partnerships (Form 990) 1- Complete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37. 2013 1- Attach to Form 990. 1- See separate instructions. Department of the Treasury 1- Information about Schedule R (Form 990) and its instructions is at www.irs.gov/form990 . Internal Revenue Service Name of the organization Employer identification number UNIVERSITY OF ROCHESTER 16-0743209 Identification of Disregarded Entities Complete if the organization answered "Yes" on Form 990, Part IV, line 33. (a) (b) (c) (d ) ( e) (f) Name, address, and EIN (if applicable) of disregarded entity Primary activity Legal domicile (state Total income End-of-year assets Direct controlling or foreign country) entity
(1) UNIVERSITY OF ROCHESTER INVESTMENT LLC INVESTING DE 83,582 2,477,379 UNIV OF ROCH 266 WALLIS HALL ROCHESTER, NY 14627 16-0743209 (2) SPRUCE RISK PURCHASING GROUP LLC INSURANCE NY 0 0 UNIV OF ROCH 263 WALLIS HALL ROCHESTER, NY 14627 16-0743209
Identification of Related Tax-Exempt Organizations Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related tax-exempt organizations during the tax year.
( a) (b) (c) (d ) ( e) (f) (g) Name, address, and EIN of related organization Primary activity Legal domicile (state Exempt Code section Public charity status Direct controlling Section 512(b) or foreign country) (if section 501(c)(3)) entity (13) controlled entity? Yes No See Additional Data Table
For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat No 50135Y Schedule R (Form 990) 2013 Schedule R (Form 990) 2013 Page 2 Identification of Related Organizations Taxable as a Partnership Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a partnership during the tax year.
(a) (b) (c) (d) (e) (f) (g) (h) (i) 0) (k) Name, address, and EIN of Primary activity Legal Direct Predominant Share of Share of Disproprtionate Code V-UBI General or Percentage related organization domicile controlling income(related, total income end-of-year allocations? amount in managing ownership (state or entity unrelated, assets box 20 of part ner? foreign excluded from Schedule K-1 country) tax under (Form 1065) sections 512- 514) Yes No Yes No (1) EXCELL INNOVATE NY FUND LP FUNDING START NY EXCELLTECH No VEN 222 WEST RIDGE ROAD SUITE 156 ROCHESTER, NY 14615 46-2405519
Identification of Related Organizations Taxable as a Corporation or Trust Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.
(a) (b) (c) (d) (e) (f) (g) (h) (i) Name, address, and EIN of Primary activity Legal Direct controlling Type of entity Share of total Share of end- Percentage Section 512 related organization domicile entity (C corp, S income of-year ownership (b)(13) (state or foreign corp, assets controlled country) or trust) entity? Yes No See Additional Data Table
Schedule R (Form 990) 2013 Schedule R (Form 990) 2013 Page 3 ff^ Transactions With Related Organizations Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35b, or 36. Note . Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule YesFNo 1 During the tax year, did the orgranization engage in any of the following transactions with one or more related organizations listed in Parts II-IV? a Receipt of (i) interest (ii) annuities (iii) royalties or (iv) rent from a controlled entity la Yes b Gift, grant, or capital contribution to related organization(s) lb Yes c Gift, grant, or capital contribution from related organization(s) 1c Yes d Loans or loan guarantees to or for related organization(s) ld Yes e Loans or loan guarantees by related organization(s) le No
f Dividends from related organization(s) if No g Sale of assets to related organization(s) 1g No h Purchase of assets from related organization(s) 1h No i Exchange of assets with related organization(s) li No j Lease of facilities, equipment, or other assets to related organization(s) 1j Yes
k Lease of facilities, equipment, or other assets from related organization(s) 1k Yes I Performance of services or membership or fundraising solicitations for related organization(s) 11 Yes m Performance of services or membership or fundraising solicitations by related organization(s) 1m Yes n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) in No o Sharing of paid employees with related organization(s) 10 No
p Reimbursement paid to related organization(s) for expenses 1p Yes q Reimbursement paid by related organization(s) for expenses 1q Yes
r Other transfer of cash or property to related organization(s) lr Yes s Other transfer of cash or property from related organization(s) is Yes
2 If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds (a) (b) (c) (d) Name of related organization Transaction Amount involved Method of determining amount involved type (a-s) See Additional Data Table
Schedule R (Form 990) 2013 Schedule R (Form 990) 2013 Page 4 Unrelated Organizations Taxable as a Partnership Complete if the organization answered "Yes" on Form 990, Part IV, line 37. Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization See instructions regarding exclusion for certain investment partnerships
(a) (b) (c) (d) (e) (f) (g) (h) (i) U) (k) Name, address, and EIN of entity Primary activity Legal Predominant Are all partners Share of Share of Disproprtionate Code V7UBI General or Percentage domicile income section total end-of-year allocations? amount in managing ownership (state or (related, 501(c)(3) income assets box 20 part ner? foreign unrelated, organizations? of Schedule country) excluded from K-1 tax under (Form 1065) sections 512- 514) Yes No Yes No Yes No
Schedule R (Form 990) 2013 Schedule R (Form 990) 2013 Page 5 Supplemental Information Provide additional information for responses to auestions on Schedule R (see instructions Return Reference Explanation
Schedule R (Form 990) 201 Additional Data
Software ID: Software Version: EIN: 16 -0743209 Name : UNIVERSITY OF ROCHESTER
Form 990, Schedule R. Part II - Identification of Related Tax-Exempt Organizations (a) (b) (c) (d) (e) (f) (g) Name, address, and EIN of related organization Primary activity Legal domicile Exempt Code Public charity Direct controlling Section 512 (state section status entity (b)(13) or foreign country) (if section 501(c) controlled (3)) entity?
Yes No (1) HIGHLAND HOSPITAL OF ROCHESTER INC HOSPITAL NY 501 (c)(3) 3 SPHS Yes
1000 SOUTH AVENUE ROCHESTER, NY 14620 16-0743037 (1)THE HIGHLAND FOUNDATION INC FUNDRAISING NY 501 (c)(3) 11A, 1 HIGHLD HOSP Yes
1000 SOUTH AVENUE ROCHESTER, NY 14620 23-7310662 (2) HIGHLAND FACILITIES DEVELOPMENT CORP MEDICAL BLDG NY 501 (c)(3) 9 HIGHLD HOSP Yes
1000 SOUTH AVENUE ROCHESTER, NY 14620 22-3039077 (3) HIGHLAND COMMUNITY DEVELOPMENT CORP ELDER CARE NY 501 (c)(3) 9 SPHS Yes
100 HAHNEMANN TRAIL PITTSFORD, NY 14534 22-3154715 (4)THE HIGHLANDS LIVING CENTER INC HEALTHCARE NY 501 (c)(3) 9 SPHS Yes
500 HAHNEMANN TRAIL PITTSFORD, NY 14534 22-3240227 (5)THE MEADOWS AT WESTFALL INC HEALTHCARE NY 501 (c)(3) 9 SPHS Yes
5901 LAC DE VILLE BLVD ROCHESTER, NY 14618 16-1502303 (6) STRONG PARTNERS HEALTH SYSTEM INC SUPPORT ORG NY 501 (c)(3) 11A,1 UNIV OF ROCH Yes
1000 SOUTH AVENUE ROCHESTER, NY 14620 16-1499099 (7) STRONG HOME CARE GROUP FUNDRAISING NY 501 (c)(3) 7 UNIV OF ROCH Yes
2180 EMPIRE BOULEVARD WEBSTER, NY 14580 22-2577664 (8) VISITING NURSE SRVC OF ROCHESTER & MONRO HEALTHCARE NY 501 (c)(3) 9 SHCG Yes
2180 EMPIRE BOULEVARD WEBSTER, NY 14580 16-0743215 (9)COMMUNITY CARE OF ROCHESTER HEALTHCARE NY 501 (c)(3) 9 SHCG Yes
2180 EMPIRE BOULEVARD WEBSTER, NY 14580 16-1561691 (10) EXCELL PARTNERS INC ECONOMIC DEV NY 501 (c)(4) N/A UNIV OF ROCH Yes
222 WEST RIDGE ROAD ROCHESTER, NY 14615 20-1862628 (11) ROCHESTER BIOVENTURE CENTER INC BIOTECH INCUB NY 501 (c)(3) 11A,1 UNIV OF ROCH Yes
601 ELMWOOD AVENUE ROCHESTER, NY 14642 20-2485999 (12) HIGH TECH ROCHESTER INC BUSINESS INCU NY 501 (c)(3) 7 UNIV OF ROCH Yes
150 LUCIUS GORDON DRIVE SUITE 100 WEST HENRIETTA, NY 14586 16-1195028 (13) EASTMAN DENTAL CENTER FOUNDATION INC SUPPORT ORG NY 501 (c)(3) 11A,1 NA No
625 ELMWOOD AVENUE ROCHESTER, NY 14620 16-1529555 (14)THE JAMES P WILMOT FOUNDATION INC SUPPORT ORG NY 501 (c)(3) 11D,III-OTH NA No
387 E MAIN STREET ROCHESTER, NY 14604 22-2341413 (15) CRITTENDEN BOULEVARD HOUSING CO INC SUPPORT ORG NY 501 (c)(3) 11B, II UNIV OF ROCH Yes
249 NORTON VILLAGE LANE ROCHESTER, NY 14609 23-7035414 (16) UNIVERSITY OF ROCHESTER EMPLOYEE BEN TRS EMPL BEN TRST NY 501 (c)(9) N/A UNIV OF ROCH Yes
910 GENESEE STREET SUITE 200 ROCHESTER, NY 14611 16-1600112 (17) WILHELMINA C O'CONNORTRUST SUPPORT ORG NY 501 (c)(3) 11D,III-OTH NA No
CO JP MORGAN CHASE TRUSTEE PO BOX MILWAUKEE, WI 53201 16-6024303 (18) UR RIVAS CLINIC UA HELEN WRIVAS SUPPORT ORG NY 501 (c)(3) 11D,III-OTH NA No
CO BANK OF AMERICA TRUSTEE PO BOX PROVIDENCE, RI 02901 16-6022850 (19) WINFIELD SCOTT CHARITABLE TRUST SUPPORT ORG NY 501 (c)(3) 11D,111-OTH NA No
CO JP MORGAN CHASE TRUSTEE PO BOX MILWAUKEE, WI 53201 16-6260266 Form 990. Schedule R. Part II - Identification of Related Tax-Exemut Organizations (a) (b) (c) (d) (e) (f) (g) Name, address, and EIN of related organization Primary activity Legal domicile Exempt Code Public charity Direct controlling Section 512 (state section status entity (b)(13) or foreign country) (if section 501(c) controlled (3)) entity?
Yes No (21)ANNA J ALLEN TRUST SUPPORT ORG WI 501 (c)(3) 11D,111-OTH NA No
CO JP MORGAN CHASE TRUSTEE PO BOX MILWAUKEE, WI 53201 16-6015938 (1)TWETTA BASCOM FBO SMH CANCER UNIT SUPPORT ORG NY 501 (c)(3) 11D,III-OTH NA No
CO JO MORGAN CHASE TRUSTEE PO BOX MILWAUKEE, WI 53201 16-6055197 (2) ROBERT P GIDDINGS TRUST CO TAYLOR SUPPORT ORG MA 501 (c)(3) 11A, 1 NA No
GANSON PERRIN 160 FEDERAL ST20T BOSTON, MA 02110 04-6660588 (3)AUGUSTA LANEY HOENIG TRUST SUPPORT ORG NY 501 (c)(3) 11D,111-OTH NA No
CO JP MORGAN CHASE TRUSTEE PO BOX MILWAUKEE, WI 53201 16-6096268 (4) FREDERICK FO'CONNORTRUST SUPPORT ORG NY 501 (c)(3) 11D,III-OTH NA No
CO JP MORGAN CHASE TRUSTEE PO BOX MILWAUKEE, WI 53201 16-6016373 (5) U OF R BROADCASTING CORPORATION BROADCAST LIC NY 501 (c)(4) N/A UNIV OF ROCH Yes
201 WILSON COMMONS ROCHESTER, NY 14627 16-0743209 (6) UR REAL ESTATE CORPORATION SUPPORT ORG NY 501 (c)(3) 11D,III-OTH UNIV OF ROCH Yes
263 WALLIS HALL ROCHESTER, NY 14627 27-1140014 (7) FRAMEMED FOUNDATION INC SUPPORT ORG NY 501 (c)(3) 7 UNIV OF ROCH Yes
263 WALLIS HALL ROCHESTER, NY 14627 16-1490497 (8) MELIORA REAL ESTATE CORPORATION SUPPORT ORG NY 501 (c)(3) 11A,1 UNIV OF ROCH Yes
263 WALLIS HALL ROCHESTER, NY 14627 45-2464788 (9) FREDERICK FERRIS THOMPSON HOSPITAL HOSPITAL NY 501 (c)(3) 3 FFTHS INC Yes
350 PARRISH STREET CANANDAIGUA, NY 14424 16-0743024 (10) FFTHOMPSON FOUNDATION INC FUNDRAISING NY 501 (c)(3) 7 FFTHS INC Yes
350 PARRISH STREET CANANDAIGUA, NY 14424 22-2959984 (11) M M EWING CONTINUING CARE CENTER HEALTHCARE NY 501 (c)(3) 3 FFTHS INC Yes
350 PARRISH STREET CANANDAIGUA, NY 14424 23-7046583 (12) FFTHOMPSON HEALTH SYSTEM INC SUPPORT ORG NY 501 (c)(3) IIA UNIV OF ROCH Yes
350 PARRISH STREET CANANDAIGUA, NY 14424 22-2959987 (13) FFTHOMPSON SENIOR COMMUNITIES INC ELDER CARE NY 501 (c)(3) 9 FFTHS INC Yes
350 PARRISH STREET CANANDAIGUA, NY 14424 16-1557494 (14) PLUTA CANCER CENTER FOUNDATION INC SUPPORT ORG NY 501 (c)(3) 11A,1 NA No
125 RED CREEK DRIVE ROCHESTER, NY 14623 27-0425383 (15) FINGER LAKES VISITING NURSE SERVICE INC HEALTHCARE NY 501 (c)(3) 9 VNSR Yes
756 PRE-EMPTION ROAD GENEVA, NY 14456 22-3067627 (16) FINGER LAKES HOME CARE INC HEALTHCARE NY 501 (c)(3) 9 VNSR Yes
756 PRE-EMPTION ROAD GENEVA, NY 14456 16-1489133 Form 990 , Schedule R, Part IV - I dentification o f Related Organizations Taxable as a Corporation or Trust (c) (d) Name, address, (and EIN of related (b) (e) Share of total (g) (h) Legal Domicile Direct Controlling Type of entity Share of Percentage 0) organization Primary activity income Section 512(b) (State or Entity (C corp, S corp, end-of-year ownership (13) controlled Foreign or trust) assets entity? Country)
Yes No MEDICAL ADMINISTRATIVE RETAIL NY HIGHLD HOSP C CORP 0 0 100 000 % Yes ASSOCIATES INC PHARMACY 777 SOUTH CLINTON AVENUE ROCHESTER, NY 14620 16-1354319 UR EQUITY HOLDINGS INC HOLDING NY UNIV OF ROCH C CORP -1,093 0 100 000 % Yes 110 OFFICE PARK WAY COMPANY PITTSFORD, NY 14534 27-3040889 FFTH PROPERTIES AND SERVICES HOLDING NY FFTHS INC C CORP Yes INC COMPANY 350 PARRISH STREET CANANDAIGUA, NY 14424 16-1286518 EXCELL TECHNOLOGY VENTURES BIOTECH NY ROCH C CORP Yes INC INCUB BIOVENTURE 222 WEST RIDGE ROAD STE 156-1 ROCHESTER, NY 14615 80-0909149 ACCOUNTABLE HEALTH PARTNERS ACCT CARE NY UNIV OF ROCH C CORP 0 0 85 090 % Yes LLC NETWORK 135 CORPORATE WOODS SUITE 320 ROCHESTER, NY 14623 30-0787967 CHARITABLE REMAINDER TRUSTS N/A NY NA TRUST No (34)
POOLED INCOME FUNDS (3) N/A NY NA TRUST No
IRC SECTION 4947(A)(1)TRUSTS (7) N/A NY NA TRUST No Form 990. Schedule R. Part V - Transactions With Related Organizations (a) (b) (c) (d) Name of other organization Transaction Amount Involved Method of determining type (a-s) amount involved
HIGHLAND HOSPITAL OF ROCHESTER INC M 9,441,645 SERVICE COST
HIGHLAND HOSPITAL OF ROCHESTER INC R 32,009,546 PATIENT COST
EXCELL PARTNERS INC B 137,500 FMV GRANT
EXCELL PARTNERS INC B 60,000 FMV GIFT
VISITING NURSE SERVICE OF ROCHESTER & MC INC B 1,400,000 FMV GIFT
VISITING NURSE SERVICE OF ROCHESTER & MC INC D 6,441,000 FMV LOAN
ROCHESTER BIOVENTURE CENTER INC B 167,112 FMV GRANT
ROCHESTER BIOVENTURE CENTER INC K 1,098,180 RENTAL COST
STRONG HOME CARE GROUP INC B 118,205 FMV GIFT
THE MEADOWS AT WESTFALL INC B 2,050,814 FMV GIFT
THE MEADOWS AT WESTFALL INC P 287,678 NET EXPENSES
THE HIGHLAND FOUNDATION INC B 77,176 FMV GIFT
THE FREDERICK FERRIS THOMPSON HOSPITAL M 166,033 SERVICE COST
THE FREDERICK FERRIS THOMPSON HOSPITAL P 224,735 NET EXPENSES
ACCOUNTABLE HEALTH PARTNERS LLC B 500,000 FMV CAP CONT
ACCOUNTABLE HEALTH PARTNERS LLC R 185,400 FMV COST
HIGHLAND HOSPITAL OF ROCHESTER INC L 64,765,448 SERVICE COST
HIGHLAND HOSPITAL OF ROCHESTER INC Q 56,578 NET EXPENSES
VISITING NURSE SERVICE OF ROCHESTER & MC INC L 449,067 SERVICE COST
VISITING NURSE SERVICE OF ROCHESTER & MC INC A 26 INTEREST COST
VISITING NURSE SERVICE OF ROCHESTER & MC INC S 421,203 PRINCIPAL COST
THE HIGHLANDS LIVING CENTER INC L 289,653 SERVICE COST
THE MEADOWS AT WESTFALL INC J 904,192 FMV RENT
THE MEADOWS AT WESTFALL INC S 144,000 FMV RES FUND
THE MEADOWS AT WESTFALL INC L 3,184,979 SERVICE COST Form 990. Schedule R. Part V - Transactions With Related Organizations (a) (b) (c) (d) Name of other organization Transaction Amount Involved Method of determining type (a-s) amount involved
CRITTENDEN BOULEVARD HOUSING COMPANY INC Q 523,572 NET EXPENSES
CRITTENDEN BOULEVARD HOUSING COMPANY INC K 83,782 RENTAL COST
UR REAL ESTATE CORPORATION A 284,817 INTEREST COST