Form990
Click to see attachment
Department of the Treasury
Internal Revenue Service
Return of Organization Exempt From Income Tax
Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except black lung benefit trust or private foundation)

MediumBullet The organization may have to use a copy of this return to satisfy state reporting requirements.
OMB No. 1545-0047
2011
Open to Public Inspection
A For the calendar year, or tax year beginning 07-01-2011 and ending 06-30-2012
BCheck if applicable:
CName of organization
UNIVERSITY OF ROCHESTER
 
Doing Business As
 
 
Number and street (or P.O. box if mail is not delivered to street address)
910 GENESEE STREET
BROOKS LANDING BUSINESS CENTER
Room/suite
City or town, state or country, and ZIP + 4
ROCHESTER, NY146113847
D Employer identification number

16-0743209
E Telephone number

G Gross receipts $ 3,072,737,318
F Name and address of principal officer:
RONALD J PAPROCKI
208 WALLIS HALL
ROCHESTER,NY14627
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
www.rochester.edu
H(a)
Is this a group return for
affiliates?
H(b)
Are all affiliates included?
If "No," attach a list. (see instructions)
H(c)
Group exemption number MediumBullet  
K Form of organization:
 
L Year of formation: 1850
M State of legal domicile: NY
Part I
Summary
Activities & Governance 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 OPERATING AND MAINTAINING THE STRONG MEMORIAL HOSPITAL.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a)..... 3 50
4 Number of independent voting members of the governing body (Part VI, line 1b) .... 4 38
5 Total number of individuals employed in calendar year 2011 (Part V, line 2a) ... 5 27,606
6 Total number of volunteers (estimate if necessary) .... 6 6,179
7a Total unrelated business revenue from Part VIII, column (C), line 12 .. 7a -1,561,462
b Net unrelated business taxable income from Form 990-T, line 34 .. 7b -5,272,546
Revenues; Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 322,819,223 407,000,225
9 Program service revenue (Part VIII, line 2g) ......... 2,071,311,836 2,085,663,717
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 141,996,456 148,665,670
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 43,656,284 36,104,255
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 2,579,783,799 2,677,433,867
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 142,320,545 151,430,029
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) 1,469,511,818 1,551,741,134
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 385,904 381,847
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet37,752,682    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24f).... 867,074,944 856,987,120
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 2,479,293,211 2,560,540,130
19 Revenue less expenses. Subtract line 18 from line 12....... 100,490,588 116,893,737
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 3,966,515,688 4,161,720,674
21 Total liabilities (Part X, line 26)............. 1,470,084,246 1,679,130,429
22 Net assets or fund balances. Subtract line 21 from line 20..... 2,496,431,442 2,482,590,245
Part II
Signature Block
Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.
Sign Here
JumboBullet
Signature of officer Date
JumboBullet
Type or print name and title.
Paid preparer use only
Print/type preparer's name
 
Preparer's signature
Date
PTIN
Firm's name Right pointing arrowhead image

Firm's EIN Right pointing arrowhead image
Firm's address Right pointing arrowhead image



Phone no.
May the IRS discuss this return with the preparer shown above? See instructions .........bullet
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2011)
Form 990 (2011)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response to any question in this Part III .........
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? ....................
If “Yes,” describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program services? ..........................
If “Yes,” describe these changes on Schedule O.
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 and section 4947(a)(1) trusts 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 $ 565,385,475 including grants of $ 151,430,029 ) (Revenue $ 398,797,398 )
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 1,347 FULL-TIME TENURED FACULTY MEMBERS AND 9,628 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 $ 315,548,802 including grants of $   ) (Revenue $ 102,531,233 )
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 2011-2012 FISCAL YEAR, THERE WERE 5,770 GRANTS AND CONTRACTS IN EFFECT THAT TOTALED $397,203,811 IN REVENUE.
4c (Code:   ) (Expenses $ 1,425,461,209 including grants of $   ) (Revenue $ 1,521,234,300 )
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 263,589 PATIENT DAYS AND 1,304,861 EMERGENCY AND CLINICAL VISITS DURING THE 2011-2012 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 O.)
(Expenses $ 90,001,711 including grants of $   ) (Revenue $ 63,100,786 )
4e Total program service expensesMediumBullet$ 2,396,397,197
Form 990 (2011)
Form 990 (2011)
Page 3
Part IV
Checklist of Required Schedules
Yes
No
1
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If “Yes,” complete Schedule AClick to see attachment.....................
1
Yes
 
2
Is the organization required to complete Schedule B, Schedule of Contributors? Click to see attachment........
2
Yes
 
3
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If “Yes,” complete Schedule C, Part IClick to see attachment..........
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities? If “Yes,” complete Schedule C,
Part IIClick to see attachment.........................
4
Yes
 
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, Part IIIClick to see attachment........................
5
 
No
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 Schedule D, Part IClick to see attachment....................
6
Yes
 
7
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas or historic structures? If “Yes,” complete Schedule D, Part IIClick to see attachment...
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If “Yes,” complete Schedule D, Part III Click to see attachment....................
8
Yes
 
9
Did the organization report an amount in Part X, line 21; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services? If “Yes,”
complete Schedule D, Part IVClick to see attachment...................
9
 
No
10
Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent endowments, or quasi-endowments? If “Yes,” complete Schedule D, Part VClick to see attachment
10
Yes
 
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, line10? If “Yes,” complete Schedule D, Part VI.Click to see attachment
11a
Yes
 
b
Did the organization report an amount for investments—other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If “Yes,” complete Schedule D, Part VII.Click to see attachment
11b
Yes
 
c
Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If “Yes,” complete Schedule D, Part VIII.Click to see attachment
11c
 
No
d
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If “Yes,” complete Schedule D, Part IX.Click to see attachment
11d
 
No
e
Did the organization report an amount for other liabilities in Part X, line 25? If “Yes,” complete Schedule D, Part X.Click to see attachment
11e
Yes
 
f
Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization’s liability for uncertain tax positions under FIN 48 (ASC 740)? If “Yes,” complete Schedule D, Part X.Click to see attachment
11f
 
No
12a
Did the organization obtain separate, independent audited financial statements for the tax year?
If “Yes,” complete Schedule D, Parts XI, XII, and XIII Click to see attachment
12a
 
No
b
Was the organization included in consolidated, independent audited financial statements for the tax year? If “Yes,” and if the organization answered ‘No’ to line 12a, then completing Schedule D, Parts XI, XII, and XIII is optional Click to see attachment
12b
Yes
 
13
Is the organization a school described in section 170(b)(1)(A)(ii)? If “Yes,” complete Schedule EClick to see attachment
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, Part I......... Click to see attachment
14b
Yes
 
15
Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to any organization or entity located outside the U.S.? If “Yes,” complete Schedule F, Part II.. Click to see attachment
15
 
No
16
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance to individuals located outside the U.S.? If “Yes,” complete Schedule F, Part III.. Click to see attachment
16
 
No
17
Did the organization report a total of more than $15,000, of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If “Yes,” complete Schedule G, Part IClick to see attachment
17
Yes
 
18
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If “Yes,” complete Schedule G, Part II.......... Click to see attachment
18
Yes
 
19
Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If “Yes,” complete Schedule G, Part III................... Click to see attachment
19
 
No
20a
Did the organization operate one or more hospitals? If “Yes,” complete Schedule H..... Click to see attachment
20a
Yes
 
b
If “Yes” to line 20a, did the organization attach a copy of its audited financial statement to this return? Note. All Form 990 filers that operated one or more hospitals must attach audited financial statements. Click to see list of attachments
20b
Yes
 
Form 990 (2011)
Form 990 (2011)
Page 4
Part IV
Checklist of Required Schedules (continued)
21
Did the organization report more than $5,000 of grants and other assistance to any government or organization in the United States on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II.. Click to see attachment
21
 
No
22
Did the organization report more than $5,000 of grants and other assistance to individuals in the United States on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III..... Click to see attachment
22
Yes
 
23
Did the organization answer “Yes” to Part VII, Section A, questions 3, 4, or 5, about compensation of the organization’s current and former officers, directors, trustees, key employees, and highest compensated employees? If “Yes,” complete Schedule J................ Click to see attachment
23
Yes
 
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 questions 24b–24d and complete Schedule K. If “No,” go to line 25................ Click to see list of attachments
24a
Yes
 
b
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...
24b
 
No
c
Did the organization maintain an escrow account other than a refunding escrow at any time during the year
to defease any tax-exempt bonds?......................
24c
 
No
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...... Click to see attachment
25a
 
No
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 “Yes,” complete Schedule L, Part I................ Click to see attachment
25b
 
No
26
Was a loan to or by a current or former officer, director, trustee, key employee, highly compensated employee, or disqualified person outstanding as of the end of the organization’s tax year? If “Yes,” complete Schedule L,
Part II......................... Click to see attachment
26
 
No
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 member of any of these persons? If “Yes,” complete Schedule L, Part III......... Click to see attachment
27
 
No
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 ......................... Click to see attachment
28a
Yes
 
b
A family member of a current or former officer, director, trustee, or key employee? If “Yes,”
complete Schedule L, Part IV................... Click to see attachment
28b
Yes
 
c
An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or owner? If “Yes,” complete Schedule L, Part IV.. Click to see attachment
28c
Yes
 
29
Did the organization receive more than $25,000 in non-cash contributions? If “Yes,” complete Schedule MClick to see attachment
29
Yes
 
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If “Yes,” complete Schedule M............ Click to see attachment
30
Yes
 
31
Did the organization liquidate, terminate, or dissolve and cease operations? If “Yes,” complete Schedule N,
Part I...........................
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If “Yes,” complete Schedule N, Part II.......................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If “Yes,” complete Schedule R, Part I........ Click to see attachment
33
Yes
 
34
Was the organization related to any tax-exempt or taxable entity? If “Yes,” complete Schedule R, Parts II, III, IV, and V, line 1..................... Click to see attachment
34
Yes
 
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 entity within the meaning of section 512(b)(13)? If “Yes,” complete Schedule R, Part V, line 2... Click to see attachment
35b
Yes
 
36
Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If “Yes,” complete Schedule R, Part V, line 2........... Click to see attachment
36
Yes
 
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If “Yes,” complete Schedule R, Part VIClick to see attachment
37
 
No
38
Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11 and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Form 990 (2011)
Form 990 (2011)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response to any question in this Part V .........
Yes
No
1a
Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable. .......
1a
12,301
b
Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable.
1b
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
27,606
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?

Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file. (see instructions)
2b
Yes
 
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,” provide an explanation in Schedule O.....
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 or securities account)?.......................
4a
 
No
b
If "Yes," enter the name of the foreign country: MediumBullet
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 organization solicit any contributions that were not tax deductible?..........
6a
 
No
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 services provided to the payor?....................
7a
Yes
 
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 8282?...........................
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 facilities
10b
 
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?
Note. All 501(c)(29) organizations must list in Schedule O each state in which they are licensed to issue qualified health plans, the amount of reserves required by each state, and the amount of reserves the organization allocated to each state.
13a
 
 
b
Enter the aggregate 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 aggregate 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 O..
14b
 
No
Form 990 (2011)
Form 990 (2011)
Page 6
Part VI
Governance, Management, and Disclosure For each “Yes” response to lines 2 through 7b below, and for a “No” response to lines 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.
Check if Schedule O contains a response to any question in this Part VI .........
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year
If the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
1a
50
b
Enter the number of voting members included in line 1a, above, who are independent .................
1b
38
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 supervision of officers, directors or trustees, or key employees to a management company or other person? .
3
 
No
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, or persons other than the governing body? ............
7b
 
No
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 O .....
9
 
No
Section B. Policies (This Section B requests information about policies not required by 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 O the process, if any, used by the organization to review the 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 O 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 O (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
 
No
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
 
 
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be filedMediumBullet
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.
19
Describe in Schedule O 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: MediumBullet
RONALD J PAPROCKI
208 WALLIS HALL
ROCHESTER,NY14627
(585) 275-2800
Form 990 (2011)
Form 990 (2011)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response to any question in this Part VII .........
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
1a 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.
RoundBullet List all of the organization’s current officers, directors, trustees (whether individuals or organizations), regardless of amount
of compensation, and current key employees. Enter -0- in columns (D), (E), and (F) if no compensation was paid.

RoundBullet List all of the organization’s current key employees, if any. See instructions for definition of "key employee."
RoundBullet 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.

RoundBullet 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.

RoundBullet 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.
Check this box if neither the organization nor any related organizations compensated any current or former officer, director, or trustee.
(A)
Name and Title 		(B)
Average hours per week (describe hours for related organizations in Schedule O) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; Officer; Key Employee; Highest compensated employee; Former;
(1) JOEL SELIGMAN
TRUSTEE, PRESIDENT & CEO
 80.0 X   X       717,738 0 154,417
(2) RICHARD T AAB
TRUSTEE
 2.0 X           0 0 0
(3) MARK S AIN
TRUSTEE
 2.0 X           0 0 0
(4) ERNEST A BATES MD
TRUSTEE
 2.0 X           0 0 0
(5) NAOMI M BERGMAN
TRUSTEE
 2.0 X           0 0 0
(6) LAURENCE H BLOCH
TRUSTEE
 2.0 X           0 0 0
(7) JOHN H BRUNING
TRUSTEE
 2.0 X           0 0 0
(8) WILLIAM M CARPENTER
TRUSTEE
 2.0 X           0 0 0
(9) ARUNAS A CHESONIS
TRUSTEE
 2.0 X           0 0 0
(10) LAUNCELOT F DRUMMOND
TRUSTEE
 2.0 X           0 0 0
(11) BERNARD T FERRARI MD
TRUSTEE
 2.0 X           0 0 0
(12) DAVID FLAUM
TRUSTEE
 2.0 X           0 0 0
(13) BARRY W FLORESCUE
TRUSTEE
 2.0 X           0 0 0
(14) ROGER B FRIEDLANDER
TRUSTEE
 2.0 X           0 0 0
(15) ANI GABRELLIAN
TRUSTEE
 .25 X           0 0 0
(16) ROBERT B GOERGEN
CHAIR EMERITUS
 2.0 X           0 0 0
(17) GWEN MELTZER GREENE
TRUSTEE
 2.0 X           0 0 0
Form 990 (2011)
Form 990 (2011)
Page 8
Part VII
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)
(A)
Name and Title 		(B)
Average hours per week (describe hours for related organizations in Schedule O) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W- 2/1099-MISC) 		(E)
Reportable compensation from related organizations (W- 2/1099-MISC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; Officer; Key Employee; Highest compensated employee; Former;
(18) PAUL F GRINER
TRUSTEE
 2.0 X           0 0 0
(19) EDMUND A HAJIM
Chair
 2.0 X   X       0 0 0
(20) RICHARD B HANDLER
TRUSTEE
 2.0 X           0 0 0
(21) ALAN F HILFIKER
TRUSTEE
 2.0 X           0 0 0
(22) MICHAEL E JONES
TRUSTEE
 2.0 X           0 0 0
(23) CAROL D KARP
TRUSTEE
 2.0 X           0 0 0
(24) ROBERT KEEGAN
TRUSTEE
 2.0 X           0 0 0
(25) JOHN M KELLY
TRUSTEE
 2.0 X           0 0 0
(26) LAURENCE KESSLER
TRUSTEE
 2.0 X           0 0 0
(27) EVANS LAM
TRUSTEE
 .25 X           0 0 0
(28) LOUIS G LANGE MD
TRUSTEE
 2.0 X           0 0 0
(29) R WAYNE LECHASE
TRUSTEE
 2.0 X           0 0 0
(30) NANCY A LIEBERMAN
TRUSTEE
 2.0 X           0 0 0
(31) GAIL A LIONE
TRUSTEE
 2.0 X           0 0 0
(32) CATHY E MINEHAN
TRUSTEE
 2.0 X           0 0 0
(33) NATHAN F MOSER
TRUSTEE
 2.0 X           0 0 0
(34) KATHLEEN ANN MURRAY
TRUSTEE
 2.0 X           0 0 0
(35) PHILIP A PIZZO MD
TRUSTEE
 2.0 X           0 0 0
(36) FRANCIS L PRICE
TRUSTEE
 2.0 X           0 0 0
(37) ELENA A PROKUPETS
TRUSTEE
 2.0 X           0 0 0
(38) RONALD RETTNER
TRUSTEE
 .25 X           0 0 0
(39) THOMAS S RICHARDS
TRUSTEE
 2.0 X           0 0 0
(40) MICHAEL S ROSEN
TRUSTEE
 2.0 X           0 0 0
(41) RICHARD E SANDS
TRUSTEE
 2.0 X           0 0 0
(42) THOMAS R SLOAN
TRUSTEE
 2.0 X           0 0 0
(43) HUGO F SONNENSCHEIN
TRUSTEE
 2.0 X           0 0 0
(44) KATHY N WALLER
TRUSTEE
 2.0 X           0 0 0
(45) DANIEL R WEGMAN
TRUSTEE
 2.0 X           0 0 0
(46) RALPH R WHITNEY JR
TRUSTEE
 2.0 X           0 0 0
(47) JANICE M WILLETT
TRUSTEE
 2.0 X           0 0 0
(48) CARL C WILLIAMS
TRUSTEE
 2.0 X           0 0 0
(49) THOMAS C WILMOT SR
TRUSTEE
 2.0 X           0 0 0
(50) NATHANIEL WISCH MD
TRUSTEE
 2.0 X           0 0 0
(51) G ROBERT WITMER JR
CHAIR EMERITUS
 2.0 X           0 0 0
(52) JAMES C WYANT
TRUSTEE
 2.0 X           0 0 0
(53) PAUL J BURGETT
VP AND GENERAL SECRETARY
 60.0     X       207,283 0 27,654
(54) BRADFORD C BERK
SR. VP HEALTH SCIENCE
 65.0     X       918,607 0 212,981
(55) RALPH W KUNCL
PROVOST & EXEC. VP
 74.0     X       549,703 0 76,728
(56) PETER LENNIE
SR. VP & DEAN OF FACULTY
 60.0     X       424,935 0 37,405
(57) WILLIAM M MURPHY
VP for communications
 40.0     X       227,078 0 33,998
(58) RONALD J PAPROCKI
SR. VP ADMIN & FINANCE, CFO
 65.0     X       541,624 0 45,063
(59) DOUGLAS W PHILLIPS
SR. VP institutional resources
 62.0     X       314,112 0 283,184
(60) SUE S STEWART
SR VP AND GENERAL COUNSEL
 65.0     X       417,236 0 35,657
(61) MARK B TAUBMAN
DEAN,SMD;VP FOR HEALTH SCIENCE
 75.0     X       714,103 0 138,581
(62) JAMES D THOMPSON
SR. VP & CHIEF ADV. OFFICER
 75.0     X       515,016 0 45,055
(63) RICHARD FISHER
DIR CANCER CTR & VP CLIN SRVS
 60.0       X     631,716 0 67,574
(64) STEVEN GOLDSTEIN
VICE PRESIDENT- URMC
 55.0       X     901,763 0 186,600
(65) MICHAEL C GOONAN
VICE PRESIDENT & CFO, URMC
 55.0       X     580,492 0 215,851
(66) RAYMOND J MAYEWSKI
VP, URMC OFC SR VP FOR HEALTH
 51.0       X     512,553 0 130,341
(67) PETER G ROBINSON
VP&COO, MEDCTR & STRONG HEALTH
 55.0       X     586,181 0 212,710
(68) MICHAEL D MALONEY MD
ASSOC. PROF., ORTHOPAEDICS M&D
 86.0         X   1,515,195 0 281,054
(69) MARC D BROWN MD
PROF., DERMATOLOGY M&D
 60.0         X   1,647,682 0 40,642
(70) JEFFREY H PETERS MD
PROF CHAIR DEPT OF SURGERY
 73.0         X   1,229,071 0 60,271
(71) BRENT DUBESHTER MD
PROFESSOR, OBSTETRICS & GYNE.
 80.0         X   1,153,818 0 42,858
(72) JASON HAITAO HUANG MD
ASSOC PROF DEPT NEUROSURGERY
 60.0         X   1,460,821 0 43,421
(73) ELIZABETH MCANARNEY
FORMER KEY EMPLOYEE
 45.0           X 148,581 0 21,082
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 15,915,308 0 2,393,127
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet2,205
Yes
No
3
Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a? If “Yes,” complete Schedule J for 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 $150,000? If “Yes,” complete Schedule J for such individual...........................
4
Yes
 
5
Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services rendered to the organization? If “Yes,” complete Schedule J for 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)
Name and business address 		(B)
Description of services 		(C)
Compensation
THE PIKE COMPANY
ONE CIRCLE STREET
ROCHESTER,NY14607 		CONSTRUCTION SRVCS 14,497,496
LECHASE CONSTRUCTION SERVICES
300 TROLLEY BLVD
ROCHESTER,NY14606 		CONSTRUCTION SRVCS 10,256,334
EPIC SYSTEMS CORP
1979 MILKY WAY
VERONA,WA53593 		TRAINING AND SUPPORT 8,392,885
DGA BUILDERS LLC
333 W COMMERCIAL ST SUITE 1500
EAST ROCHESTER,NY14445 		CONSTRUCTION SRVCS 6,131,082
SIMPLEX GRINNELL LP
90 GOODWAY DRIVE
ROCHESTER,NY14623 		CONSTRUCTION SRVCS 3,583,292
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet358
Form 990 (2011)
Form 990 (2011)
Page 9
Part VIII
Statement of Revenue
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512, 513, or 514
Contributions, Gifts, Grants and Other Similar Amounts 1a Federated campaigns..1a 514,381
b Membership dues....1b  
c Fundraising events....1c 2,648,631
d Related organizations...1d 2,390,000
e Government grants (contributions)1e 294,672,578
f All other contributions, gifts, grants, and
similar amounts not included above1f 		106,774,635
g Noncash contributions included in lines 1a-1f:$ 14,471,771
h Total. Add lines 1a-1f.......MediumBullet 407,000,225
Program Service Revenue Business Code
2a SERVICES OF HOSPITALS AND CLINICS 622,110 1,521,234,300 1,518,484,307   2,749,993
b EDUCATIONAL ACTIVITIES 611,310 398,797,398 398,759,040   38,358
c SPONSORED RESEARCH ACTIVITIES/CONTRACTS 900,099 102,531,233 102,531,233    
d AUXILIARY ENTERPRISES 900,099 63,100,786 40,668,116   22,432,670
e
f All other program service revenue .        
g Total. Add lines 2a–2f........MediumBullet 2,085,663,717
Other Revenue 3 Investment income (including dividends, interest
and other similar amounts).....MediumBullet 53,017,433     53,017,433
4 Income from investment of tax-exempt bond proceeds..MediumBullet 0      
5 Royalties............MediumBullet 34,431,568     34,431,568
(i) Real (ii) Personal
6a Gross rents    
b Less: rental expenses    
c Rental income or (loss)    
d Net rental income or (loss).......MediumBullet        
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 492,164,728  
b Less: cost or other basis and sales expenses 394,495,729  
c Gain or (loss) 97,668,999 -2,020,762
d Net gain or (loss)..........MediumBullet 95,648,237   -2,020,762 97,668,999
8a Gross income from fundraising events (not including
$ 2,648,631
of contributions reported on line 1c). See Part IV, line 18 ...
a 2,021,109
b Less: direct expenses ...b 807,722
c Net income or (loss) from fundraising events..MediumBullet 1,213,387   1,213,387
9a Gross income from gaming activities.
See Part IV, line 19 ...
a  
b Less: direct expenses ...b  
c Net income or (loss) from gaming activities...MediumBullet 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..MediumBullet 0      
Miscellaneous Revenue Business Code
11a VIVARIUM 900,099 295,371   295,371  
b ATHLETIC FEES 900,099 31,976   31,976  
c MAG ROOM RENTAL 900,099 101,611   101,611  
d All other revenue .... 30,342   30,342  
e Total. Add lines 11a–11d ......MediumBullet 459,300
12 Total revenue. See Instructions....MediumBullet 2,677,433,867 2,060,442,696 -1,561,462 211,552,408
Form 990 (2011)
Form 990 (2011)
Page 10
Part IX
Statement of Functional Expenses
Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A) but are not required to complete columns (B), (C), and (D).
Check if Schedule O contains a response to any question in this Part IX. .........
Do not include amounts reported on lines 6b,
7b, 8b, 9b, and 10b of Part VIII. 		(A)
Total expenses 		(B)
Program service expenses 		(C)
Management and general expenses 		(D)
Fundraising expenses
1 Grants and other assistance to governments and organizations in the United States. See Part IV, line 21 0  
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 151,430,029 151,430,029
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 .... 10,682,306 7,532,247 2,591,525 558,534
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 963,636 735,169 228,467 0
7 Other salaries and wages 1,185,633,226 1,124,840,143 41,313,214 19,479,869
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 72,320,501 69,193,712 1,988,205 1,138,584
9 Other employee benefits ....... 205,638,693 196,747,869 5,653,332 3,237,492
10 Payroll taxes ........... 76,502,772 73,195,162 2,103,182 1,204,428
11 Fees for services (non-employees):        
a Management ...... 1,326,307 1,326,307 0 0
b Legal ......... 3,929,816 3,582,523 325,473 21,820
c Accounting ........... 1,097,621 0 1,097,621 0
d Lobbying ........... 297,500 297,500 0 0
e Professional fundraising. See Part IV, line 17.. 381,847 381,847
f Investment management fees ...... 33,615,000 0 33,615,000 0
g Other .......... 105,716,411 101,709,412 2,157,575 1,849,424
12 Advertising and promotion .... 2,092,884 2,058,769 0 34,115
13 Office expenses ....... 344,047,870 336,600,876 4,416,787 3,030,207
14 Information technology ...... 10,135,035 9,832,276 94,725 208,034
15 Royalties .. 0      
16 Occupancy ........... 116,638,325 115,497,170 1,029,579 111,576
17 Travel ............ 21,963,029 16,388,355 906,891 4,667,783
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0      
19 Conferences, conventions, and meetings .... 5,889,559 4,997,672 530,326 361,561
20 Interest ........... 28,100,983 24,241,499 3,311,622 547,862
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization ..... 143,988,881 134,343,217 8,898,641 747,023
23 Insurance .............. 7,587,092 6,867,425 719,667 0
24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24f. If line 24f amount exceeds 10% of line 25, column (A) amount, list line 24f expenses on Schedule O.)
a PROVISION FOR DOUBTFUL ACCTS 8,349,985 8,349,985    
b OTHER-UBIT STATE TAX PAID 787 787    
c OTHER MISC. EXPENSES 22,210,035 6,629,093 15,408,419 172,523
d
e
f All other expenses        
25 Total functional expenses. Add lines 1 through 24f 2,560,540,130 2,396,397,197 126,390,251 37,752,682
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 MediumBullet if following SOP 98-2 (ASC 958-720).        
Form 990 (2011)
Form 990 (2011)
Page 11
Part X Balance Sheet
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash—non-interest-bearing .......... 0 1 0
2 Savings and temporary cash investments ....... 283,352,340 2 247,815,995
3 Pledges and grants receivable, net ......... 93,850,735 3 131,345,701
4 Accounts receivable, net ......... 252,159,405 4 279,271,624
5 Receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L .......... 0 5 0
6 Receivables from other disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B). Complete Part II of
Schedule L .......... 0 6 0
7 Notes and loans receivable, net ............. 19,523,816 7 20,800,893
8 Inventories for sale or use .............. 23,001,407 8 25,371,851
9 Prepaid expenses and deferred charges ............ 17,493,732 9 18,456,696
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 2,983,917,754
b Less: accumulated depreciation. ..... 10b 1,588,881,942 1,289,723,457 10c 1,395,035,812
11 Investments—publicly traded securities .......... 718,757,270 11 742,145,280
12 Investments—other securities. See Part IV, line 11 ...... 1,202,839,565 12 1,221,477,339
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 ........... 65,813,961 15 79,999,483
16 Total assets. Add lines 1 through 15 (must equal line 34)... 3,966,515,688 16 4,161,720,674
Liabilities 17 Accounts payable and accrued expenses . 292,273,123 17 383,955,946
18 Grants payable .......... 0 18 0
19 Deferred revenue .......... 27,791,541 19 27,316,911
20 Tax-exempt bond liabilities .......... 613,158,382 20 750,956,827
21 Escrow or custodial account liability. Complete Part IV of Schedule D.. 0 21 0
22 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 .. 60,652,953 23 57,692,881
24 Unsecured notes and loans payable to unrelated third parties .... 8,578,935 24 17,419,985
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..... 467,629,312 25 441,787,879
26 Total liabilities. Add lines 17 through 25..... 1,470,084,246 26 1,679,130,429
Net Assets or Fund Balance Organizations that follow SFAS 117, check here MediumBullet and complete lines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets ..... 1,654,581,172 27 1,601,107,352
28 Temporarily restricted net assets ..... 488,551,400 28 492,673,911
29 Permanently restricted net assets ..... 353,298,870 29 388,808,982
Organizations that do not follow SFAS 117, check here MediumBullet 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 ..... 2,496,431,442 33 2,482,590,245
34 Total liabilities and net assets/fund balances ..... 3,966,515,688 34 4,161,720,674
Form 990 (2011)
Form 990 (2011)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response to any question in this Part XI .........
1
Total revenue (must equal Part VIII, column (A), line 12) ...
1
2,677,433,867
2
Total expenses (must equal Part IX, column (A), line 25) ....
2
2,560,540,130
3
Revenue less expenses. Subtract line 2 from line 1 ...
3
116,893,737
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
2,496,431,442
5
Other changes in net assets or fund balances (explain in Schedule O) ...
5
-130,734,934
6
Net assets or fund balances at end of year. Combine lines 3, 4, and 5 (must equal Part X, line 33, column (B)) ....
6
2,482,590,245
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response to any question in this Part XII .........
Yes
No
1
Accounting method used to prepare the Form 990:  
If the organization changed its method of accounting from a prior year or checked "Other," explain in
Schedule O.
2a
Were the organization’s financial statements compiled or reviewed by an independent accountant?....
2a
 
No
b
Were the organization’s financial statements audited by an independent accountant?........
2b
Yes
 
c
If “Yes,” to 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? If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O. ...........................
2c
Yes
 
d
If “Yes” to line 2a or 2b, check a box below to indicate whether the financial statements for the year were issued on a separate basis, consolidated basis, or both:
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 OMB Circular A-133? ................
3a
Yes
 
b
If “Yes,” did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits. ..
3b
Yes
 
Form 990 (2011)
Additional Data


Software ID:  
Software Version:  
Form 990, Special Condition Description:
Special Condition Description
SCHEDULE A
(Form 990 or 990EZ)

Department of the Treasury
Internal Revenue Service
Public Charity Status and Public Support

Complete if the organization is a section 501(c)(3) organization or a section
4947(a)(1) nonexempt charitable trust.
right arrow Attach to Form 990 or Form 990-EZ. right arrow See separate instructions.
OMB No. 1545-0047
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
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
2
3
4
5
section 170(b)(1)(A)(iv). (Complete Part II.)
6
7
8
9
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
11
e
f
g
(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 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
(i)
Name of supported organization 		(ii)
EIN 		(iii)
Type of organization (described on lines 1- 9 above or IRC section (see instructions)) 		(iv)
Is the organization in col. (i) listed in your governing document? 		(v)
Did you notify the organization in col. (i) of your support? 		(vi)
Is the organization in col. (i) organized in the U.S.? 		(vii)
Amount of support?
Yes No Yes No Yes No
Total                  

For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2011
Schedule A (Form 990 or 990-EZ) 2011
Page 2
Part II
Support Schedule for Organizations Described in IRC 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 in) (a) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") ....            
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......            
3 The value of services or facilities furnished by a governmental unit to the organization without charge..            
4 Total. Add lines 1 through 3..            
5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f)..            
6 Public Support. Subtract line 5 from line 4.            
Section B. Total Support
Calendar year(or fiscal year beginning in) (a) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (f) Total
7 Amounts from line 4..            
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..            
9 Net income from unrelated business activities, whether or not the business is regularly carried on..            
10 Other income. (Explain in Part IV.) Do not include gain or loss from the sale of capital assets..            
11 Total support (Add lines 7 through 10).            
12
12
 
13
Section C. Computation of Public Support Percentage
14
14
 
15
15
 
16a
b
17a
b
18
Schedule A (Form 990 or 990-EZ) 2011
Schedule A (Form 990 or 990-EZ) 2011
Page 3
Part III
Support Schedule for Organizations Described in IRC 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 in) (a) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (f) Total
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 Support
Calendar year (or fiscal year beginning in) (a) 2007 (b) 2008 (c) 2009 (d) 2010 (e) 2011 (f) Total
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, 10c, 11 and 12.).            
14
Section C. Computation of Public Support Percentage
15
15
 
16
16
 
Section D. Computation of Investment Income Percentage
17
17
 
18
18
 
19a
b
20
Schedule A (Form 990 or 990-EZ) 2011
Schedule A (Form 990 or 990-EZ) 2011
Page 4
Part IV
Supplemental Information. Supplemental Information. Complete this part to provide the explanation required by Part II, line 10; Part II, line 17a or 17b; or Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
 
Explanation
 
 
 
 
Schedule A (Form 990 or 990-EZ) 2011

Additional Data


Software ID:  
Software Version:  
Schedule B
(Form 990, 990-EZ,
or 990-PF)
Department of the Treasury
Internal Revenue Service
Schedule of Contributors
Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
OMB No. 1545-0047
2011
Name of organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Organization type (check one):
Filers of:
Section:
Form 990 or 990-EZ





Form 990-PF




Check if your organization is covered by the General Rule or a Special Rule.  
Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
General Rule
Special Rules
......................... Arrow Bullet   $    
Caution. An Organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its
Form 990-EZ or on Part I, line 2, of its Form 990-PF, to certify that it does not meet the filing requirements of Schedule B (Form 990,
990-EZ, or 990-PF).
For Paperwork Reduction Act Notice, see the Instructions
for Form 990, 990-EZ, or 990-PF.
Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2011)

Page 2
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
Name of organization
UNIVERSITY OF ROCHESTER
  		Employer identification number

16-0743209
Part I
Contributors (see Instructions). Use duplicate copies of Part I if additional space is needed.
     
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
RESTRICTED
RESTRICTED
 

     
RESTRICTED
RESTRICTED  
RESTRICTED, RESTRICTED   RESTRICTED

$RESTRICTED




(Complete Part II if there is a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is a noncash contribution.)
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
 
 
 

     
 
   

$  




(Complete Part II if there is a noncash contribution.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

Page 3
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
Name of organization
UNIVERSITY OF ROCHESTER
  		Employer identification number

16-0743209
Part II
Noncash Property (see Instructions). Use duplicate copies of Part II if additional space is needed.
     
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions). 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions). 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions). 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions). 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions). 		(d)
Date received
 
$    
(a) No.
from
Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(see instructions). 		(d)
Date received
 
$    
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

Page 4
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
Name of organization
UNIVERSITY OF ROCHESTER
  		Employer identification number

16-0743209
Part III
Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
that total more than $1,000 for the year. Complete columns (a) through (e) and the following line entry.
For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,
contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet $  
Use duplicate copies of Part III if additional space is needed
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
(a) No.
from
Part I		 (b)
Purpose of gift		 (c)
Use of gift		 (d)
Description of how gift is held
 
(e)
Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
       
 
Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

Additional Data


Software ID:  
Software Version:  
SCHEDULE C
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Political Campaign and Lobbying Activities

For Organizations Exempt From Income Tax Under section 501(c) and section 527
SchCMd Bullet Complete if the organization is described below.
SchCMd Bullet Attach to Form 990 or Form 990-EZ. SchCMd Bullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public
Inspection
If the organization answered “Yes” to Form 990, Part IV, Line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then
Round Bullet Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.
Round Bullet Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.
Round Bullet 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
Round Bullet 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.
Round Bullet 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, line 35c (Proxy Tax), then
Round Bullet Section 501(c)(4), (5), or (6) organizations: Complete Part III.
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I-A
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 ....................................SchCMd Bullet
$  
3
Volunteer hours ........................................
 

Part I-B
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 .........SchCMd Bullet
$  
2
Enter the amount of any excise tax incurred by organization managers under section 4955 ......SchCMd Bullet
$  
3
If the organization incurred a section 4955 tax, did it file Form 4720 for this year? ..............
4a
Was a correction made? .........................................
b
If "Yes," describe in Part IV.
Part I-C
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 SchCMd Bullet
$  
2
Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities ...................................SchCMd Bullet

$  
3
Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL, line 17b..SchCMd Bullet

$  
4
Did the filing organization file Form 1120-POL for this year? ..........................
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 filing organization's funds. If none, enter -0-. (e) Amount of political contributions received and promptly and directly delivered to a separate political organization. If none, enter -0-.










For Privacy Act and Paperwork Reduction Act Notice, see the instructions for Form 990.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2011

Schedule C (Form 990 or 990-EZ) 2011
Page 2
Part II-A
Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)).
A Check expenses, and share of excess lobbying expenditures).
B Check
Limits on Lobbying Expenditures
(The term "expenditures" means amounts paid or incurred.) 		(a) Filing
organization's
totals 		(b) Affiliated group
totals
1a 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 1a 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 1e, column (a) or (b) is:The lobbying nontaxable amount is:    
  Not over $500,00020% of the amount on line 1e.    
  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 1a. If zero or less, enter -0-. ................    
i Subtract line 1f from line 1c. If zero or less, enter -0-. ................    
j If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting
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
beginning in) 		(a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) Total
             
2a Lobbying non-taxable 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) 2011


Schedule C (Form 990 or 990-EZ) 2011
Page 3
Part II-B
Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 (election under section 501(h)).
For each “Yes” response to lines 1a through 1i below, provide in Part IV a detailed description of the lobbying activity.
(a)
Yes
No
(b)
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
 
3,175
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
 
446,218
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? ..........................
 
No
 
j
Total. Add lines 1c through 1i ...............................
449,393
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? .......
 
 
Part III-A
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
 
 
Part III-B
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 III-A, lines 1 and 2 are answered “No” OR (b) Part III-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
 
Part IV
Supplemental Information
Complete this part to provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, Part II-A; line 5; and Part ll-B, line 1.
Also, complete this part for any additional information.
Identifier Return Reference Explanation
DETAILED DESCRIPTION OF LOBBYING ACTIVITIES SCHEDULE C, PART II-B, LINE 1-"YES" RESPONSES THE UNIVERSITY ADVANCES ITS MISSIONS (EDUCATION, RESEARCH, HEALTH CARE AND COMMUNITY HEALTH) WITH NATIONAL, STATE AND LOCAL ELECTED OFFICIALS, THEIR 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 990EZ) 2011

Additional Data


Software ID:  
Software Version:  

SCHEDULE D
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Financial Statements
SchDMd Bullet Complete if the organization answered "Yes," to Form 990,
Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b
SchDMd Bullet Attach to Form 990. SchDMd Bullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization 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 ....... 14  
2 Aggregate contributions to (during year) ... 95,367  
3 Aggregate grants from (during year) ... 744,820  
4 Aggregate value at end of year ....... 3,541,781  
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? ............
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? ...................................
Part II
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).
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
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during
the tax year SchDMd Bullet  
4
Number of states where property subject to conservation easement is located SchDMd Bullet  
5
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and
enforcement of the conservation easements it holds? .............................
6
Staff and volunteer hours devoted to monitoring, inspecting and enforcing conservation easements during the year SchDMd Bullet  
7
Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year
SchDMd Bullet $  
8
Does each conservation easement reported on line 2(d) above satisfy the requirements of section
170(h)(4)(B)(i) and 170(h)(4)(B)(ii)? ....................................
9
In Part XIV, 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.
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
Complete if the organization answered "Yes" to Form 990, Part IV, line 8.
1a
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 XIV, 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 ........................SchDMd Bullet $ 149,515
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $ 30,881,937
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 ..........................SchDMd Bullet $  
b
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
For Privacy Act and Paperwork Reduction Act Notice, see the Intructions for Form 990
Cat. No. 52283D
Schedule D (Form 990) 2011

Schedule D (Form 990) 2011
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s accession and other records, check any of the following that are a significant use of its collection
items (check all that apply):
a
d
b
e
 
c
4
Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in
Part XIV.
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?........
Part IV
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.
1a
Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................
b
If "Yes," explain the arrangement in Part XIV and complete the following table:
Amount
c Beginning balance ................................. 1c  
d Additions during the year .............................. 1d  
e Distributions during the year ............................. 1e  
f Ending balance ................................... 1f  
2a
Did the organization include an amount on Form 990, Part X, line 21? .....................
b
If “Yes,” explain the arrangement in Part XIV.
Part V
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
(a)Current Year (b)Prior Year (c)Two Years Back (d)Three Years Back (e)Four Years Back
1a Beginning of year balance .... 1,517,585,000 1,308,342,000 1,226,281,000 1,629,458,000
b Contributions ........ 23,399,000 20,773,000 15,354,000 13,510,000
c Net investment earnings, gains, and losses ... 22,662,000 252,741,000 148,151,000 -330,619,000
d Grants or scholarships ..... 12,604,000 11,153,000 10,875,000 9,699,000
e Other expenditures for facilities
and programs ........ 		69,278,000 53,118,000 70,569,000 76,369,000
f Administrative expenses ....        
g End of year balance ...... 1,481,764,000 1,517,585,000 1,308,342,000 1,226,281,000
2
Provide the estimated percentage of the year end balance (line 1g) held as:
a
Board designated or quasi-endowment SchDMd Bullet53.430 %
b
Permanent endowment SchDMd Bullet46.500 %
c
Temporarily restricted endowment SchDMd Bullet0.070 %
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? .........
3b
 
 
4
Describe in Part XIV the intended uses of the organization's endowment funds.
Part VI
Land, Buildings, and Equipment. See Form 990, Part X, line 10.
Description of property (a) Cost or other basis (investment) (b)Cost or other basis (other) (c) Accumulated depreciation (d) Book value
1a Land .................   4,440,628 4,440,628
b Buildings ................   1,853,996,907 941,793,023 912,203,884
c Leasehold improvements ............   8,250,518 3,127,759 5,122,759
d Equipment ................   765,917,983 502,620,201 263,297,782
e Other .................   351,311,718 141,340,959 209,970,759
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 1,395,035,812
Schedule D (Form 990) 2011

Schedule D (Form 990) 2011
Page 3
Part VII
Investments—Other Securities. See Form 990, Part X, line 12.
(a) Description of security or category
(including name of security)		 (b)Book value (c) Method of valuation:
Cost or end-of-year market value
(1)Financial derivatives    
(2)Closely-held equity interests    
(3)Other
(A) OPERATING INVESTMENTS 		202,489,454 F

(B) CASH & CASH EQUIVALENTS 		201,462,724 F

(C) INTERESTS 		774,703,529 F

(D) OTHER INVESTMENTS 		42,821,632 F





Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 1,221,477,339
Part VIII
Investments—Program Related. See Form 990, Part X, line 13.
(a) Description of investment type (b) Book value (c) Method of valuation:
Cost or end-of-year market value








Total. (Column (b) must equal Form 990, Part X, col.(B) line 13.)Small Bullet  
Part IX
Other Assets. See Form 990, Part X, line 15.
(a) Description (b) Book value








Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........Small Bullet  
Part X
Other Liabilities. See Form 990, Part X, line 25.
1.(a) Description of Liability (b) Book value
Federal Income Taxes 0
THIRD PARTY SETTLEMENTS 86,129,000
RETIREMENT & POST EMPLOYMEN 297,351,368
ASSET RETIREMENT OBLIGATION 18,612,432
FOR STUDENT LOANS 16,223,425
SPONSORED RESEARCH 23,471,654




Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 441,787,879
2. Fin 48 (ASC 740) Footnote. In Part XIV, 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 (ASC740).
Schedule D (Form 990) 2011

Schedule D (Form 990) 2011
Page 4
Part XI Reconciliation of Change in Net Assets from Form 990 to Financial Statements
1 Total revenue (Form 990, Part VIII, column (A), line 12) .................... 1  
2 Total expenses (Form 990, Part IX, column (A), line 25) ..................... 2  
3 Excess or (deficit) for the year. Subtract line 2 from line 1 ............. 3  
4 Net unrealized gains (losses) on investments .......................... 4  
5 Donated services and use of facilities ............................. 5  
6 Investment expenses ................................... 6  
7 Prior period adjustments .................................. 7  
8 Other (Describe in Part XIV.) ................................. 8  
9 Total adjustments (net). Add lines 4 through 8 ......................... 9  
10 Excess or (deficit) for the year per financial statements. Combine lines 3 and 9 ......... 10  
Part XII Reconciliation of Revenue per Audited Financial Statements With Revenue per Return
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 XIV.) ............ 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 XIV.) ........... 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  
Part XIII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return
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 XIV.) ............ 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 XIV.) ............ 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  
Part XIV
Supplemental Information
Complete this part to provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part lV, lines 1b and 2b;
Part V, line 4; Part X; Part XI, line 8; Part XII, lines 2d and 4b; and Part XIII, lines 2d and 4b. Also complete this part to provide any additional information.
Identifier Return Reference Explanation
SUPPLEMENTAL DISCLOSURES   DESCRIPTION OF DONOR ADVISED FUNDS SCHEDULE D, PART I, LINE 1 THE UNIVERSITY OF ROCHESTER ("THE UNIVERSITY") OFFERS ITS DONORS THE OPPORTUNITY TO USE CONTRIBUTIONS TO CREATE DONOR-ADVISED FUNDS. A DONOR 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 OF THE 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 THE ORGANIZATION'S COLLECTIONS SCHEDULE D, PART III, LINE 4 THE UNIVERSITY'S GALLERY MAINTAINS BROAD COLLECTIONS, 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. ---------------------------------- INTENDED USE OF THE ORGANIZATION'S ENDOWMENT FUNDS FORM 990, SCHEDULE D, PART V, LINE 4 THE UNIVERSITY'S ENDOWMENT FUNDS ARE UTILIZED IN FURTHERANCE OF THE 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) 2011

Additional Data


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SCHEDULE E(Form 990 or 990-EZ)
Department of the TreasuryInternal Revenue Service
Schools
Right pointing arrow large imageComplete if the organization answered "Yes" to Form 990, Part IV, line 13,or Form 990-EZ, Part VI, line 48.Right pointing arrow large image Attach to Form 990 or Form 990-EZ.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
YES
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 Notice, see the Instructions for Form 990.
Cat. No. 50085D
Schedule E (Form 990 or 990-EZ) 2011
Schedule E (Form 990 or 990EZ) 2011
Page 2
Part II
Supplemental Information
Complete this part to 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).
Identifier Return Reference Explanation
NONDISCRIMINATION POLICY STATEMENT SCHEDULE E, LINE 3 ALL PUBLISHED UNIVERSITY OF ROCHESTER OPPORTUNITY ADVERTISEMENTS INCLUDE THE FOLLOWING STATEMENT: "THE UNIVERSITY OF ROCHESTER IS AN EQUAL OPPORTUNITY EMPLOYER." IN ADDITION, THE 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, MILITARY/VETERAN 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.O. 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://WWW.ROCHESTER.EDU/DIVERSITY/PHILOSOPHY.HTML.
FINANCIAL AID/ASSISTANCE FROM A GOVERNMENTAL AGENCY SCHEDULE E, LINE 6a THE UNIVERSITY OF ROCHESTER RECEIVES FINANCIAL ASSISTANCE FUNDS FOR STUDENTS, AS PROVIDED BY HHS PROGRAMS, AND HAS GOVERNMENT RESEARCH CONTRACTS AND GRANTS.
Schedule E (Form 990 or 990-EZ) 2011
Additional Data


Software ID:  
Software Version:  
SCHEDULE F(Form 990)
Department of the Treasury
Internal Revenue Service
Statement of Activities Outside the United States
Right pointing arrow large image Complete if the organization answered "Yes" to Form 990,Part IV, line 14b, 15, or 16.Right pointing arrow large image Attach to Form 990. Right pointing arrow large image See separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
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? ..............................
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. (Use Part V if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees or agents in region or independent contractors (d) Activities conducted in region (by type) (e.g., fundraising, program services, investments, grants to recipients located in the region) (e) If activity listed in (d) is a program service, describe specific type of
service(s) in region		 (f) Total
expenditures for region/investments
in region
Central America and the Caribbean 0 0 Program Services CONDUCTED RESEARCH 12,977
East Asia and the Pacific 0 0 Program Services CONDUCTED RESEARCH 96,685
Europe (Including Iceland and Greenland) 1 6 Program Services CONDUCTED RESEARCH 414,922
Middle East and North Africa 0 0 Program Services CONDUCTED RESEARCH 11,527
North America 0 0 Program Services CONDUCTED RESEARCH 87,871
South America 0 0 Program Services CONDUCTED RESEARCH 5,947
South Asia 0 0 Program Services CONDUCTED RESEARCH 22,127
Sub-Saharan Africa 0 0 Program Services CONDUCTED RESEARCH 30,827
Central America and the Caribbean 0 0 Program Services PRESENTATION AT CONFER 13,005
East Asia and the Pacific 0 0 Program Services PRESENTATION AT CONFER 124,203
Europe (Including Iceland and Greenland) 0 0 Program Services PRESENTATION AT CONFER 404,387
Middle East and North Africa 0 0 Program Services PRESENTATION AT CONFER 16,738
North America 0 0 Program Services PRESENTATION AT CONFER 123,722
Russia and the Newly Independent States 0 0 Program Services PRESENTATION AT CONFER 16,136
South America 0 0 Program Services PRESENTATION AT CONFER 37,893
South Asia 0 0 Program Services PRESENTATION AT CONFER 50,154
Sub-Saharan Africa 0 0 Program Services PRESENTATION AT CONFER 16,079
East Asia and the Pacific 0 0 Program Services TEACHING AND RECRUITME 116,158
Europe (Including Iceland and Greenland) 0 0 Program Services TEACHING AND RECRUITME 170,892
North America 0 0 Program Services TEACHING AND RECRUITME 38,340
South America 0 0 Program Services TEACHING AND RECRUITME 18,191
South Asia 0 0 Program Services TEACHING AND RECRUITME 19,464
Central America and the Caribbean 0 0 Program Services STUDY ABROAD 36,155
East Asia and the Pacific 0 0 Program Services STUDY ABROAD 6,352
Europe (Including Iceland and Greenland) 0 0 Program Services STUDY ABROAD 395,219
Middle East and North Africa 0 0 Program Services STUDY ABROAD 2,234
North America 0 0 Program Services STUDY ABROAD 6,400
South Asia 0 0 Program Services STUDY ABROAD 5,678
Sub-Saharan Africa 0 0 Program Services STUDY ABROAD 24,161
East Asia and the Pacific 0 0 Fundraising   65,781
Europe (Including Iceland and Greenland) 0 0 Fundraising   61,041
North America 0 0 Fundraising   15,587
South Asia 0 0 Fundraising   9,724
Central America and the Caribbean 0 0 Investments   474,427,571
South America 0 0 Investments   5,448,017
Sub-Saharan Africa 0 0 Investments   28,564,880
3a Sub-total ..... 1 6 1,485,200
b Total from continuation sheets to Part I ... 0 0 509,431,845
c Totals (add lines 3a and 3b) 1 6 510,917,045
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2011
Schedule F (Form 990) 2011
Page 2
Part II
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. Check this box if no one recipient received more than $5,000 ........ MediumBullet
Use Part V if additional space is needed.
1 (a) Name of organization (b) IRS code section
and EIN (if applicable)		 (c) Region (d) Purpose of
grant 		(e) Amount of
cash grant 		(f) Manner of
cash
disbursement 		(g) Amount of
of non-cash
assistance 		(h) Description
of non-cash
assistance 		(i) Method of
valuation
(book, FMV,
appraisal, other)
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
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 .....MediumBullet
 
3
Enter total number of other organizations or entities ........................MediumBullet
 
Schedule F (Form 990) 2011
Schedule F (Form 990) 2011Page 3
Part III
Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 16.
Use Part V if additional space is needed.
(a) Type of grant or assistance (b) Region (c) Number of recipients (d) Amount of
cash grant 		(e) Manner of cash
disbursement 		(f) Amount of
non-cash
assistance 		(g) Description
of non-cash
assistance 		(h) Method of
valuation
(book, FMV,
appraisal, other)
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2011
Schedule F (Form 990) 2011
Page 4
Part IV
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 (see instructions for Form 926).................
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 and/or Form 3520-A. (see instructions for Forms 3520 and 3520-A)..........
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)..............................
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, Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see instructions for Form 8621)
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)....................................
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)................................................
Schedule F (Form 990) 2011
Schedule F (Form 990) 2011
Page 5
Part V
Supplemental Information
Complete this part to 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).
Identifier ReturnReference Explanation
SUBAWARDS ISSUED TO FOREIGN ENTITIES SCHEDULE F, PART I, LINE 3(c) IN FURTHERANCE OF ITS RESEARCH ACTIVITIES, THE UNIVERSITY OF ROCHESTER MAKES SUB-AWARDS TO OTHER FOREIGN ORGANIZATIONS THAT PERFORM RESEARCH IN CONNECTION WITH RESEARCH GRANTS AWARDED TO THE UNIVERSITY. THE UNIVERSITY DOES NOT CATEGORIZE THESE SUB-AWARDS AS "FOREIGN ACTIVITIES OR GRANTS" FOR FORM 990, SCHEDULE F REPORTING, SINCE THE FOREIGN RECIPIENT ORGANIZATIONS PERFORM RESEARCH SERVICES FOR THE UNIVERSITY AND ARE CONSIDERED INDEPENDENT CONTRACTORS WHICH SERVE THE DIRECT NEEDS OF THE UNIVERSITY.
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
Schedule F (Form 990) 2011
Additional Data


Software ID:  
Software Version:  



SCHEDULE G (Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Supplemental Information Regarding
Fundraising or Gaming Activities
Complete if the organization answered "Yes" to Form 990, Part IV, lines 17, 18, or 19,or if the organization entered more than $15,000 on Form 990-EZ, line 6a.right arrowAttach to Form 990 or Form 990-EZ. right arrowSee separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
Fundraising Activities. Complete if the organization answered "Yes" to Form 990, Part IV, line 17.
1
Indicate whether the organization raised funds through any of the following activities. Check all that apply.
a e
b f
c g
d
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?
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. Form 990-EZ filers are not required to complete this table.
(i) Name and address of individual
or entity (fundraiser) 		(ii) Activity (iii) Did fundraiser have custody or control of contributions? (iv) Gross receipts
from activity 		(v) Amount paid to
(or retained by)
fundraiser listed in
col. (i) 		(vi) Amount paid to
(or retained by)
organization
Yes No
RUFFALOCODY LLC
65 KIRKWOOD NORTH ROAD SW
PO BOX 3018
CEDAR RAPIDS, IA524063018 		PHONE SOLIC   No 996,899 381,847 615,052
Total .................right arrow 996,899 381,847 615,052
3
List all states in which the organization is registered or licensed to solicit funds or has been notified it is exempt from registration or licensing.
NY
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2011
Schedule G (Form 990 or 990-EZ) 2011
Page 2
Part II
Fundraising Events. Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported more than $15,000 on Form 990-EZ, line 6a. List events with gross receipts greater than $5,000.
(a) Event #1

GCHAS GALA
(event type) 		(b) Event #2

WINE AUCTION
(event type) 		(c) Other Events

12
(total number) 		(d) Total Events
(Add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 1,483,768 1,108,850 2,077,122 4,669,740
2 Less: Charitable
contributions . . . 		740,131 359,520 1,548,980 2,648,631
3 Gross income (line 1
minus line 2) . . . 		743,637 749,330 528,142 2,021,109
VerticalDirectExpenses 4 Cash prizes . . .        
5 Non-cash prizes . .     5,000 5,000
6 Rent/facility costs . . 27,200 21,115 108,833 157,148
7 Food and beverages . . 81,000   88,770 169,770
8 Entertainment . . . 9,200   27,500 36,700
9 Other direct expenses . 29,115 39,175 370,814 439,104
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 807,722
11 Net income summary. Combine lines 3 and 10 in column (d)............ right arrow 1,213,387
Part III
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.
VerticalRevenue (a) Bingo (b) Pull tabs/Instant
bingo/progressive bingo 		(c) Other gaming (d) Total gaming (Add col. (a) through col. (c))
1 Gross revenue . . . .        
VerticalDirectExpenses 2 Cash prizes . . . .        
3 Non-cash prizes . . .        
4 Rent/facility costs . . .        
5 Other direct expenses . .        
6 Volunteer labor . . .
 
 
 
7 Direct expense summary. Add lines 2 through 5 in column (d) ........... right arrow  
8 Net gaming income summary. Combine lines 1 and 7 in column (d) .......... right arrow  
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? ............
b
If "No," Explain:
 
10a
Were any of the organization's gaming licenses revoked, suspended or terminated during the tax year? .....
b
If "Yes," Explain:
 
11
Does the organization operate gaming activities with nonmembers? .................
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? ..........................
Schedule G (Form 990 or 990-EZ) 2011
Schedule G (Form 990 or 990-EZ) 2011
Page 3
13
Indicate the percentage of gaming activity operated in:
a
The organization's facility ......................
13a
 
b
An outside facility ........................
13b
 
14
Provide the name and address of the person who prepares the organization's gaming/special events books and records:
Name right arrow
Address right arrow
15a
Does the organization have a contract with a third party from whom the organization receives gaming
revenue? ......................................
b
If "Yes," enter the amount of gaming revenue received by the organization right arrow $   and the
amount of gaming revenue retained by the third party right arrow $   .
c
If "Yes," enter name and address:
Name right arrow
Address right arrow
 
 
16
Gaming manager information:
Name right arrow
Gaming manager compensation right arrow $  
Description of services provided right arrow
 
17
Mandatory distributions:
a
Is the organization required under state law to make charitable distributions from the gaming proceeds to
retain the state gaming license? ............................
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 right arrow$  
Part IV
Complete this part to provide additional information for responses to quuestion on Schedule G (see instructions.)
Identifier ReturnReference Explanation
Schedule G (Form 990 or 990-EZ) 2011
Additional Data


Software ID:  
Software Version:  
SCHEDULE H (Form 990)
Department of the Treasury
Internal Revenue Service
Hospitals
MediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, question 20.
MediumBullet Attach to Form 990. MediumBullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
Charity Care and Certain Other Community Benefits at Cost
Yes
No
1a
Did the organization have a financial assistance policy during the tax year? If "No," skip to question 6a....
1a
Yes
 
b
If "Yes," was it a written policy? .......................
1b
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.
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) to determine 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
 
b
Did the organization use FPG to determine eligibility for providing discounted care? If "Yes," indicate which of the
following was the family income limit for eligibility for discounted care: ............
3b
Yes
 
c
If the organization did not use FPG to determine 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, to determine 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 discountedcare 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 Means-Tested Government Programs		 (a) Number of activities or programs (optional) (b) Persons served (optional) (c) Total community benefit expense (d) Direct offsetting revenue (e) Net community benefit expense (f) Percent of total expense
a Financial Assistance at cost
(from Worksheet 1) .. 		    21,520,757 5,064,957 16,455,800 0.640 %
b Medicaid (from Worksheet 3, column a) .....     256,368,490 208,932,181 47,436,309 1.860 %
c Costs of other means-tested government programs (from Worksheet 3, column b) .     5,020,479 3,419,243 1,601,236 0.060 %
dTotal Financial Assistance and
Means-Tested Government Programs ..... 		    282,909,726 217,416,381 65,493,345 2.560 %
Other Benefits
e Community health improvement
services and community
benefit operations (from
(Worksheet 4) .... 		    2,218,914 279,529 1,939,385 0.080 %
f Health professions education
(from Worksheet 5) .. 		    97,688,412 10,710,206 86,978,206 3.410 %
g Subsidized health services
(from Worksheet 6) .. 		    103,825,672 84,917,495 18,908,177 0.740 %
h Research (from Worksheet 7)     359,454,811   359,454,811 14.080 %
i Cash and in-kind contributions for community benefit (from Worksheet 8) ....     384,503   384,503 0.020 %
jTotal Other Benefits ...     563,572,312 95,907,230 467,665,082 18.330 %
kTotal. Add lines 7d and 7j. ..     846,482,038 313,323,611 533,158,427 20.890 %
For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50192T Schedule H (Form 990) 2011
Schedule H (Form 990) 2011
Page
Part II
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 activities or programs (optional) (b) Persons served (optional) (c) Total community building expense (d) Direct offsetting
revenue 		(e) Net community building expense (f) Percent of total expense
1 Physical improvements and housing            
2 Economic development            
3 Community support     23,992 0 23,992  
4 Environmental improvements            
5 Leadership development and training for community members            
6 Coalition building     64,683 0 64,683  
7 Community health improvement advocacy     532,709 0 532,709 0.020 %
8 Workforce development            
9 Other            
10 Total     621,384 0 621,384 0.020 %
Part III
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........
2
8,349,985
3
Enter the estimated amount of the organization's bad debt expense attributable to patients eligible under the organization's financial assistance policy .....
3
291,431
4
Provide in Part VI the text of the footnote to the organization's financial statements that describes bad debt expense. In addition, describe the costing methodology used in determining the amounts reported on lines 2 and 3, and rationale for including a portion of bad debt amounts as community benefit.
Section B. Medicare
5
Enter total revenue received from Medicare (including DSH and IME).....
5
159,725,534
6
Enter Medicare allowable costs of care relating to payments on line 5.....
6
174,027,874
7
Subtract line 6 from line 5. This is the surplus or (shortfall)........
7
-14,302,340
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:
Section C. Collection Practices
9a
Did the organization have a written debt collection policy during the tax year? ..........
9a
Yes
 
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

 
Part IV
Management Companies and Joint Ventures
(see instructions)
(a) Name of entity (b) Description of primary
activity of entity 		(c) Organization's
profit % or stock
ownership % 		(d) Officers, directors,
trustees, or key
employees' profit %
or stock ownership% 		(e) Physicians'
profit % or stock
ownership %
1
2
3
4
5
6
7
8
9
10
11
12
13
Schedule H (Form 990) 2011
Schedule H (Form 990) 2011
Page
Part VFacility Information
Section A. Hospital Facilities
(list in order of size from largest to smallest)
How many hospital facilities did the organization operate during the tax year?1
Name and address 		Licensed Hospital General-Medical-Surgical Children's Hospital Teaching Hospital Critical Hospital Research Facility ER-24Hours ER-Other Other (Describe)
1 STRONG MEMORIAL HOSPITAL
601 ELMWOOD AVENUE
ROCHESTER,NY14642 		X X X X   X X   OUTPATIENT MED. CLIN OUTPATIENT MENTAL HE METHADONE MAINTENANC
Schedule H (Form 990) 2011
Schedule H (Form 990) 2011
Page
Part VFacility Information (continued)

Section B. Facility Policies and Practices.

(Complete a separate Section B for each of the hospital facilities listed in Part V, Section A)
STRONG MEMORIAL HOSPITAL
Name of Hospital Facility:  
Line Number of Hospital Facility (from Schedule H, Part V, Section A):1

Yes No
Community Health Needs Assessment (Lines 1 through 7 are optional for 2011)
1 During the tax year or any prior tax year, did the hospital facility conduct a community health needs assessment (“Needs Assessment”)? If “No,” skip to question 8. ..................... 1    
If “Yes,” indicate what the Needs Assessment describes (check all that apply):
a A definition of the community served by the hospital facility
b Demographics of the community
c Existing health care facilities and resources within the community that are available to respond to the health needs of the community
d How data was obtained
e The health needs of the community
f Primary and chronic disease needs and other health issues of uninsured persons, low-income persons, and minority groups
g The process for identifying and prioritizing community health needs and services to meet the community health needs
h 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
j Other (describe in Part VI)
2 Indicate the tax year the hospital facility last conducted a Needs Assessment: 20  
3 In conducting its most recent Needs Assessment, did the hospital facility take into account input from persons who represent the community served by the hospital facility? 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    
4 Was the hospital facility’s Needs Assessment conducted with one or more other hospital facilities? If “Yes,” list the other hospital facilities in Part VI............................ 4    
5 Did the hospital facility make its Needs Assessment widely available to the public? ........... 5    
If “Yes,” indicate how the Needs Assessment was made widely available (check all that apply):
a Hospital facility’s website
b Available upon request from the hospital facility
c Other (describe in Part VI)
6 If the hospital facility addressed needs identified in its most recently conducted Needs Assessment, indicate how (check all that apply):
a Adoption of an implementation strategy to address the health needs of the hospital facility’s community
b Execution of the implementation strategy
c Participation in the development of a community-wide community benefit plan
d Participation in the execution of a community-wide community benefit 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 Needs Assessment
g Prioritization of health needs in the community
h Prioritization of services that the hospital facility will undertake to meet health needs in its community
i Other (describe in Part VI)
7 Did the hospital facility address all of the needs identified in its most recently conducted Needs Assessment? If “No,” explain in Part VI which needs it has not addressed and the reasons why it has not addressed such needs. .... 7    
Financial Assistance Policy
Did the hospital facility have in place during the tax year a written financial assistance policy that:
8 Explained eligibility criteria for financial assistance, and whether such assistance includes free or discounted care? 8 Yes  
9 Used federal poverty guidelines (FPG) to determine eligibility for providing free care?........... 9 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.
Schedule H (Form 990) 2011
Schedule H (Form 990) 2011
Page
Part VFacility Information (continued)

Yes No
10 Used FPG to determine eligibility for providing discounted care?................. 10 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.
11 Explained the basis for calculating amounts charged to patients?................. 11 Yes  
If “Yes,” indicate the factors used in determining such amounts (check all that apply):
a Income level
b Asset level
c Medical indigency
d Insurance status
e Uninsured discount
f Medicaid/Medicare
g State regulation
h Other (describe in Part VI)
12 Explained the method for applying for financial assistance?................... 12 Yes  
13 Included measures to publicize the policy within the community served by the hospital facility?....... 13 Yes  
If “Yes,” indicate how the hospital facility publicized the policy (check all that apply):
a The policy was posted on the hospital facility’s web site
b The policy was attached to all billing invoices
c The policy was posted in the hospital facility’s emergency rooms or waiting rooms
d The policy was posted in the hospital facility’s admissions offices
e The policy was provided, in writing, to patients upon admission to the hospital facility
f The policy was available upon request
g Other (describe in Part VI)
Billing and Collections
14 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?....... 14 Yes  
15 Check all of the following collection actions against an individual that were permitted under the hospital facility's policies during the tax year before making reasonable efforts to determine the patient’s eligibility under the facility’s FAP:
a Reporting to credit agency
b Lawsuits
c Liens on residences
d Body attachments
e Other similar actions (describe in Part VI)
16 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 patient’s eligibility under the facility’s FAP?.......... 16   No
If “Yes,” check all actions in which the hospital facility or a third party engaged:
a Reporting to credit agency
b Lawsuits
c Liens on residences
d Body attachments
e Other similar actions (describe in Part VI)
17 Indicate which efforts the hospital facility made before initiating any of the actions checked in line 16 (check all that apply):
a Notified patients of the financial assistance policy upon admission
b Notified patients of the financial assistance policy prior to discharge
c Notified patients of the financial assistance policy in communications with the patients regarding the patients’ bills
d Documented its determination of whether patients were eligible for financial assistance under the hospital facility’s financial assistance policy
e Other (describe in Part VI)
Schedule H (Form 990) 2011
Schedule H (Form 990) 2011
Page
Part VFacility Information (continued)

Policy Relating to Emergency Medical Care
Yes No
18 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?.......... 18 Yes  
If “No,” indicate why:
a The hospital facility did not provide care for any emergency medical conditions
b The hospital facility’s policy was not in writing
c The hospital facility limited who was eligible to receive care for emergency medical conditions (describe in Part VI)
d Other (describe in Part VI)
Individuals Eligible for Financial Assistance
19 Indicate how the hospital facility determined, during the tax year, the maximum amounts that can be charged to FAP-eligible individuals for emergency or other medically necessary care.
a The hospital facility used its lowest negotiated commercial insurance rate when calculating the maximum amounts that can be charged
b The hospital facility used the average of it's three lowest negotiated commercial insurance rates when calculating the maximum amounts that can be charged
c The hospital facility used the Medicare rates when calculating the maximum amounts that can be charged
d Other (describe in Part VI)
20 Did the hospital facility charge any of its patients who were eligible for assistance under the hospital facility’s financial assistance policy, and 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?......... 20   No
If “Yes,” explain in Part VI.
21 Did the hospital facility charge any of its FAP-eligible patients an amount equal to the gross charge for any services provided to that patient?............................... 21   No
If “Yes,” explain in Part VI.
Schedule H (Form 990) 2011
Schedule H (Form 990) 2011
Page
Part VFacility Information (continued)

Section C. 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?24
Name and address Type of Facility (describe)
1 URMC AMBULATORY CENTER
180 SAWGRASS DRIVE
ROCHESTER,NY14620 		AMBULATORY SURGERY OUTPATIENT MEDICAL CLINIC
2 MUSCULOSKELETAL BLDG
4901 LAC DE VILLE BLVD
ROCHESTER,NY14618 		OUTPATIENT MEDCLINIC OUTPATIENT REHAB CLINIC
3 EASTMAN DENTAL CENTER
625 ELMWOOD AVENUE
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINICS
4 MARY M PARKES CENTER
2613 W HENRIETTA ROAD
ROCHESTER,NY14623 		OUTPATIENT MEDICAL CLINIC
5 UNIV OTOLARYNGOLOGY ASSOC & AUDIOLOGY
2365 SOUTH CLINTON AVENUE
ROCHESTER,NY14618 		OUTPATIENT MEDICAL CLINIC
6 SLEEPDISORDERPULMONARY FUNCTION TESTING
2337 SOUTH CLINTON AVENUE
ROCHESTER,NY14618 		OUTPATIENT MEDICAL CLINIC
7 PERINATOLOGY EXTENSION CLINIC
500 RED CREEK DRIVE
ROCHESTER,NY14623 		OUTPATIENT MEDICAL CLINIC;OUTPATIENT MENTAL HEALTH CLINIC
8 STRONG HEALTH CARDIAC REHAB PROGRAM
2425 SOUTH CLINTON AVENUE
ROCHESTER,NY14618 		OUTPATIENT MEDICAL CLINIC
9 STRONG TIES
2613 W HENRIETTA ROAD
ROCHESTER,NY14623 		OUTPATIENT MEDICAL CLINIC;OUTPATIENT MENTAL HEALTH CLINIC
10 STRONG MEMORIAL HOSPITAL EC
919 WESTFALL ROAD
ROCHESTER,NY14618 		OUTPATIENT MEDICAL CLINIC
11 UNIVERSITY DENTAL FACULTY GROUP
2400 SOUTH CLINTON AVENUE BLDG H S
ROCHESTER,NY14618 		OUTPATIENT DENTAL CLINIC
12 STRONG PSYCH CENTER OP SERVICES
2180 SOUTH CLINTON AVENUE
ROCHESTER,NY14618 		OUTPATIENT MEDICAL CLINIC; OUTPATIENT MENTAL HEALTH CLINIC
13 WOMENS HEALTH CENTER
125 LATTIMORE ROAD
ROCHESTER,NY14620 		OUTPATIENT MEDICAL CLINIC
14 CLINTON CROSSING NUCLEAR CARDIOLOGY
2400 SOUTH CLINTON AVENUE
ROCHESTER,NY14618 		OUTPATIENT MEDICAL CLINIC
15 EASTMAN DENTAL-DOWNTOWN CLINIC
228 EAST MAIN STREET
ROCHESTER,NY14604 		OUTPATIENT DENTAL CLINIC
16 ENRICO FERMI DENTAL CLINIC AT SCHOOL #17
158 ORCHARD STREET
ROCHESTER,NY14611 		OUTPATIENT DENTAL CLINIC
17 WESTSIDE SPORTS MEDICINE
10 S POINT LANDING
ROCHESTER,NY14609 		OUTPATIENT MEDICAL CLINIC
18 STRONG HEALTH-SPORT & HAND REHAB-GREECE
120 ERIE CANAL DRIVE
GREECE,NY14626 		OUTPATIENT MEDICAL CLINIC
19 EDC SMILEMOBILE VANS
625 ELMWOOD AVENUE
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINIC
20 EAST HIGH SCHOOL
1801 EAST MAIN STREET
ROCHESTER,NY14609 		OUTPATIENT MEDICAL CLINIC OUTPATIENT MENTAL HEALTH CLINIC
21 PEDS REACH CLINIC & BIVONA CHILD ADV CTR
275 LAKE AVENUE
ROCHESTER,NY14608 		OUTPATIENT MEDICAL CLINIC
22 EDC-MONROE COMMUNITY HOSPITAL CLINIC
435 E HENRIETTA ROAD
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINIC
23 EDC-HILLSIDE CHILDRENS CENTER CLINIC
1183 MONROE AVENUE
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINIC
24 METRO YMCA
444 EAST MAIN STREET
ROCHESTER,NY14604 		OUTPATIENT MEDICAL CLINIC
Schedule H (Form 990) 2011
Schedule H (Form 990) 2011
Page
Part VI
Supplemental Information
Complete this part to provide the following information.
1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 10, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 20, and 21.
2 Needs assessment. Describe how the organization assesses the health care needs of the communities it serves, in addition to any needs assessments 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.
Identifier ReturnReference Explanation
PART I, LINE 7g   COSTS ATTRIBUTABLE TO A PHYSICIAN CLINIC WERE INCLUDED ON PART I, LINE 7g, SUBSIDIZED HEALTH SERVICES, AND INCLUDED TOTAL COMMUNITY BENEFIT EXPENSE OF $37,871,687; DIRECT OFFSETTING REVENUE OF $29,288,796; NET COMMUNITY BENEFIT EXPENSE OF $8,582,891.
PART I, LINE 7, COLUMN (f)   THE AMOUNT OF BAD DEBT EXPENSE INCLUDED ON FORM 990 PART IX, LINE 25 COLUMN (A) BUT SUBTRACTED FOR PURPOSES OF CALCULATING THE PERCENTAGE REPORTED ON LINE 7, COLUMN(f) WAS $8,349,985.
PART I, LINE 7 (COSTING METHODOLOGY USED)   THE COSTING METHODOLOGY USED IN CALCULATING THE AMOUNTS REPORTED ON THE LINE 7 TABLE ARE BASED ON A COST ACCOUNTING SYSTEM.
PART II (COMMUNITY BUILDING ACTIVITIES)   THE COMMUNITY BUILDING PROGRAMS REPORTED IN PART II PROMOTE THE HEALTH OF THE COMMUNITY IN MANY WAYS. EXAMPLES INCLUDE: COMMUNITY SUPPORT THE URMC KESSLER BURN & TRAUMA CENTER HAVE PARTNERED WITH THE FINGER LAKES REGIONAL BURN ASSOCIATION, AN INDEPENDENT, NOT-FOR-PROFIT, 501C3 ORGANIZATION, TO ESTABLISH A SOAR PROGRAM. SOAR STANDS FOR SURVIVORS OFFERING ASSISTANCE IN RECOVERY. SOAR IS A PROGRAM DESIGNED TO PROVIDE TRAINING TO BURN SURVIVORS OR THEIR FAMILY MEMBERS WHO WANT TO VOLUNTEER TO HELP OTHERS WHOSE LIVES HAVE BEEN TOUCHED BY A BURN INJURY. THE HOSPITAL BASED PROGRAM IS INTENDED TO MAKE IT EASIER FOR BURN CENTERS TO WORK WITH VOLUNTEERS IN PROVIDING PEER SUPPORT TO PATIENTS. PEER SUPPORT ASSISTS INDIVIDUALS IN ADAPTING TO A BURN INJURY THROUGH SHARING SIMILAR EXPERIENCES. JUST THE FACTS IS A LECTURE SERIES THAT FOCUSES ON TOPICS RELATED TO BREAST HEALTH DURING TREATMENT AND BEYOND. PROFESSIONALS ARE BROUGHT IN TO SPEAK TO PATIENTS AND FAMILIES ABOUT BREAST CANCER RELATED TOPICS OF INTEREST. THE GRAVES SUPPORT GROUP CONSISTS OF PATIENTS WHO HAVE GRAVES DISEASE OR THYROID DISEASE AND THEIR IMMEDIATE FAMILIAL SUPPORT (SPOUSES, CHILDREN, OTHERS). THE GROUP MEETS THREE TIMES PER YEAR AND IS OPEN TO ANYONE INTERESTED IN GRAVES OR THE OPHTHALMIC MANIFESTATIONS OF THYROID DISEASE. THE MEETING FORMAT CONSISTS OF A HEALTHCARE PROVIDER PROVIDING A LECTURE ON A TOPIC ASSOCIATED WITH THYROID EYE DISEASE FOLLOWED BY QUESTIONS AND A ROUND TABLE SHARING SESSION. THE MEETINGS ARE TYPICALLY IN THE EVENING AND PROVIDE A LIGHT MEAL AND REFRESHMENTS FOR PARTICIPANTS. YOUNG ADULT SURVIVORS GROUP IS FOR CANCER PATIENTS FROM 18-39. THE GROUP IS FACILITATED BY A CANCER CENTER SOCIAL WORKER. DISCUSSIONS AND ACTIVITIES ARE DRIVEN BY THE PATIENTS. COALITION BUILDING THE ROCHESTER YOUTH VIOLENCE PARTNERSHIP ENSURES THAT YOUNG VICTIMS OF VIOLENCE DO NOT LEAVE THE URMC EMERGENCY DEPARTMENT TRAUMA CENTER UNTIL A TEAM OF MEDICAL, LAW-ENFORCEMENT AND COMMUNITY PROFESSIONALS COMPLETE A COMPREHENSIVE INTERVENTION TO HELP THEM TURN THEIR LIVES AROUND AND AVOID FUTURE VIOLENCE. THE RESULTS ARE PROMISING. MOST SIGNIFICANTLY, THERE HAS BEEN A DECLINE IN RECIDIVISM. COMMUNITY CANCER COLLABORATIVE IS A GROUP OF HEALTHCARE PROFESSIONALS THAT COME TOGETHER TO SHARE BEST PRACTICES WITH 18 DIFFERENT FACILITIES SUCH AS UNITY, GILDA'S CLUB, AMERICAN CANCER SOCIETY, PLUTA CANCER CENTER, HIGHLAND, RGH, ETC.). COMMUNITY HEALTH IMPROVEMENT ADVOCACY THE "BREATH OF HOPE" - A COMMUNITY-WIDE ASTHMA INITIATIVE - IS A COMMUNITY COLLABORATIVE PROJECT TO IMPROVE THE MANAGEMENT OF ASTHMA IN CHILDREN. THIS EFFORT WAS BUILT UPON A SUCCESSFUL HOSPITAL-BASED PILOT DEMONSTRATING EFFICACY OF THE USE OF COMMUNITY AND HOSPITAL-BASED EDUCATION, STANDARDIZED PRACTICE ACROSS THE COMMUNITY AND HOSPITAL, AND BEHAVIORAL PROMPTS TO IMPROVE OUTCOMES, INCLUDING DECREASED ED VISITS AND INPATIENT ADMISSIONS. "PEDIATRIC LINKS WITH THE COMMUNITY" IS AN INNOVATIVE PARTNERSHIP BETWEEN THE URMC'S DEPARTMENTS OF PEDIATRICS, MEDICINE-PEDIATRICS, FAMILY MEDICINE, COMMUNITY AND PREVENTIVE MEDICINE AND PSYCHOLOGY, THE UR SCHOOL OF NURSING, AND MORE THAN 70 COMMUNITY-BASED AGENCIES THAT SERVE CHILDREN AND THEIR FAMILIES. THE PROGRAM'S MISSION IS TO DEVELOP A MODEL OF COMMUNITY PEDIATRICS IN WHICH PEDIATRICIANS COLLABORATE WITH COMMUNITY-BASED ORGANIZATIONS, WORK TO ASSURE THE HEALTH OF ALL CHILDREN IN THEIR COMMUNITY, AND ADVOCATE FOR THEIR COMMUNITY TO BE MORE CHILD-RESPONSIVE AND CHILD-ORIENTED. THE COLLABORATION HAS ENHANCED MORE THAN 750 RESIDENTS', FELLOWS' AND MEDICAL STUDENTS' KNOWLEDGE ABOUT COMMUNITY-ORIENTED AND COMMUNITY-BASED HEALTH CARE, INSPIRING FUTURE HEALTH CARE PROFESSIONALS TO IMPROVE THE HEALTH OF CHILDREN IN THEIR COMMUNITIES. COMMUNITY-WIDE BLADDER AND PROSTATE CANCER EDUCATIONAL AWARENESS PROGRAMS WERE SPONSORED BY URMC UROLOGY. THE PRESENTATIONS FOCUSED ON PREVENTION, EARLY DETECTION, AND TREATMENT OF BLADDER AND PROSTATE CANCER. THE PROGRAMS ALSO INCLUDED SEVERAL GUEST LECTURES.
PART III, SECTION A, LINE 4 (BAD DEBT EXPENSE, COSTING METHODOLOGY USED)   STRONG MEMORIAL HOSPITAL (THE "HOSPITAL") PROVIDES CARE TO PATIENTS WHO MEET CERTAIN CRITERIA UNDER ITS CHARITY CARE POLICY WITHOUT CHARGE OR AT AMOUNTS LESS THAN ITS ESTABLISHED RATES. BECAUSE THE HOSPITAL DOES NOT PURSUE COLLECTION OF AMOUNTS DETERMINED TO QUALIFY AS CHARITY CARE, THEY ARE NOT REPORTED AS REVENUE OR PATIENT ACCOUNTS RECEIVABLE. THE HOSPITAL GRANTS CREDIT WITHOUT COLLATERAL TO PATIENTS, MOST OF WHOM ARE LOCAL RESIDENTS AND ARE INSURED UNDER THIRD-PARTY ARRANGEMENTS. ADDITIONS TO THE ALLOWANCE FOR UNCOLLECTIBLE ACCOUNTS ARE MADE BY MEANS OF THE PROVISION FOR BAD DEBTS. ACCOUNTS WRITTEN OFF AS UNCOLLECTIBLE ARE DEDUCTED FROM THE ALLOWANCE AND SUBSEQUENT RECOVERIES ARE ADDED. THE AMOUNT OF THE PROVISION FOR BAD DEBTS IS BASED UPON MANAGEMENT'S ASSESSMENT OF HISTORICAL AND EXPECTED NET COLLECTIONS, BUSINESS AND ECONOMIC CONDITIONS, TRENDS IN FEDERAL AND STATE GOVERNMENTAL HEALTHCARE COVERAGE AND OTHER COLLECTION INDICATORS. THE COSTING METHODOLOGY FOR DETERMINING BAD DEBT EXPENSE WAS BASED ON ACTUAL CHARGES WRITTEN OFF AS BAD DEBTS DURING THE YEAR.
PART III, SECTION B, LINE 8 (COSTING METHODOLOGY, MEDICARE SHORTFALL)   THE COSTING METHODOLOGY USED IN DETERMINING THE AMOUNT REPORTED ON LINE 6 IS BASED ON REPORTS PRODUCED FROM THE HOSPITAL'S DECISION SUPPORT SYSTEM FOR THE YEAR. CONSISTENT WITH THE CHARITABLE HEALTHCARE MISSION OF THE 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.
PART III, SECTION C, LINE 9b (COLLECTION PRACTICES)   CHARITY CARE POLICY MISSION/PURPOSE/PREAMBLE: STRONG MEMORIAL HOSPITAL IMPROVES HEALTH THROUGH 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 SCARCE RESOURCES ENTRUSTED TO US. LAWS, REGULATIONS, CATASTROPHIC ILLNESSES AND THE RISING COSTS OF NEW TECHNOLOGY HAVE CREATED A CATEGORY OF PATIENTS WHO ARE EITHER UNINSURED OR UNDERINSURED. THIS CHARITY CARE PROGRAM HAS BEEN DEVELOPED TO HELP THE HOSPITAL MEET THE NEEDS OF THESE PATIENTS AND, CONCURRENTLY, MAINTAIN THE FINANCIAL VIABILITY OF THE HOSPITAL FOR FUTURE GENERATIONS. THIS CHARITY CARE POLICY EXPLAINS HOW THE 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 PATIENTS 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 PROGRAM ARE POSTED IN THE HOSPITAL (E.G. EMERGENCY DEPARTMENT, ADMITTING OFFICE) TO PROACTIVELY CONVEY THIS MESSAGE TO PROSPECTIVE PATIENTS AND THE PUBLIC IN GENERAL. - WE MAINTAIN FINANCIAL AID POLICIES THAT ARE CONSISTENT WITH THE MISSION, VALUES AND CAPACITY OF THE HOSPITAL AND THAT TAKE INTO ACCOUNT EACH INDIVIDUAL'S ABILITY TO CONTRIBUTE TO THE COST OF HIS OR HER CARE. - WE COMMUNICATE THE AVAILABILITY OF FINANCIAL AID IN A MANNER THAT IS CLEAR, 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 AND SPANISH. WHEN REQUESTED, IT WILL ALSO BE MADE AVAILABLE IN OTHER LANGUAGES. - INFORMATION REGARDING OUR CHARITY CARE PROGRAM IS ALSO AVAILABLE ON THE URMC WEBSITE. - WE IMPLEMENT FINANCIAL AID PROCEDURES THAT ARE CONSUMER-FRIENDLY, RESPECTFUL, AND CONFIDENTIAL, AS WELL AS DEBT COLLECTION POLICIES THAT REFLECT THE MISSION AND VALUES OF THIS HOSPITAL. - WE WORK WITH GOVERNMENT, PAYERS, BUSINESS, CONSUMER GROUPS AND OTHERS TO ADDRESS THE UNDERLYING 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, WITH 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 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. APPLICATIONS FOR MEDICAID, MEDICARE OR OTHER INSURANCE PROGRAMS MAY BE WAIVED WHEN DEEMED UNNECESSARY. IF AVAILABLE INSURANCE BENEFITS ARE NOT SUFFICIENT TO COVER THE COST OF THEIR CARE, PATIENTS MAY THEN APPLY FOR ASSISTANCE FROM THE CHARITY CARE PROGRAM. CHARITY CARE APPLICATIONS 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 APPLICATION 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 PRIVATELY FOR THEIR CARE. IN THESE SITUATIONS, THEY WILL REMAIN FINANCIALLY RESPONSIBLE FOR FULL PAYMENT OF THEIR HOSPITAL BILLS. CHARITY CARE ASSISTANCE IS AVAILABLE FOR PATIENTS WHO RESIDE IN NEW YORK STATE AND RECEIVE EMERGENCY HOSPITAL SERVICES, INCLUDING EMERGENCY TRANSFERS, 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 ASSISTANCE DOES NOT COVER MEDICALLY UNNECESSARY CARE, COSMETIC ALTERATION, TELEPHONE, TELEVISION AND PRIVATE ROOM CHARGES. IT DOES NOT COVER SERVICES GENERATED BY AN INSURED PATIENT WHO CHOOSES TO RECEIVE CARE AT AN OUT-OF-NETWORK HOSPITAL, OR WHO FAILS TO COMPLY WITH INSURANCE POLICY REQUIREMENTS (E.G. UNAUTHORIZED SERVICES) NOR DOES IT APPLY TO NON-RESIDENT ALIENS (UNLESS APPROVED IN ADVANCE OF CARE BEING PROVIDED), TO DRUGS NOT ADMINISTERED IN THE HOSPITAL, TO TRANSPORTATION FURNISHED BY THIRD PARTY VENDORS, OR TO CARE, SERVICES, DRUGS OR SUPPLIES FOR THE PURPOSE OF GENDER CHANGE PROCEDURE. SPECIFIC QUESTIONS ABOUT SERVICES THAT ARE NOT COVERED SHOULD BE DIRECTED TO THE PATIENT ACCOUNTS MANAGER OR THEIR 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 HER 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 THAN TAX-DEFERRED OR COMPARABLE RETIREMENT SAVINGS OR COLLEGE SAVINGS ACCOUNTS) MAY BE EXPECTED TO PAY PART OF THEIR BILLS(S). CHARITY CARE ASSISTANCE IS GENERALLY AVAILABLE TO INDIVIDUALS WHOSE INCOME IS LESS THAN OR EQUAL TO 400% OF THE FEDERAL POVERTY LEVEL. HOWEVER, PATIENTS WHO HAVE EXHAUSTED THEIR INSURANCE BENEFITS, EXCEEDED FINANCIAL ELIGIBILITY CRITERIA, FACE EXTRAORDINARY MEDICAL COSTS, OR WHO HAVE OTHER UNIQUE CIRCUMSTANCES MAY BE CONSIDERED FOR CHARITY CARE APPROVAL IN THE HOSPITAL'S SOLE DISCRETION. WHILE APPLICATION FOR MEDICAID 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 CRITERIA OF THIS PROGRAM, BUT HAVE NOT SATISFACTORILY COMPLETED ALL THE REQUIREMENTS OF THE CHARITY CARE APPLICATION PROCESS. THIS MAY INCLUDE PATIENTS WHO HAVE BEEN SANCTIONED BY MEDICAID, 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 OFFICER, FINANCIAL CASE MANAGER AND/OR THEIR MANAGERS, OR MAY BE MADE BY SENIOR HOSPITAL ADMINISTRATORS. 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 THE NUMBER OF PEOPLE IN THE HOME, AS A PERCENTAGE OF THE FEDERAL POVERTY GUIDELINE AMOUNTS FOR 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 DISCOUNT 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 CHARITY 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 LIMITED TO THE LOWER OF THE 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 ARRANGEMENTS TO SATISFY ANY BALANCE REMAINING ON THE ACCOUNT(S) AFTER THE APPLICATION OF THE APPROPRIATE CHARITY CARE DISCOUNT BY USE OF A PAYMENT PLAN. THE MONTHLY PAYMENTS UNDER SUCH PLANS SHALL NOT EXCEED TEN PERCENT (10%) OF THE ELIGIBLE PATIENT'S GROSS MONTHLY INCOME. THE RATE OF INTEREST ON UNPAID BALANCES SHALL NOT EXCEED THE US TREASURY RATE FOR 90 DAY SECURITIES PLUS 0.5%. HOSPITAL PATIENT FINANCIAL AID STATUTE DISCOUNTING REQUIREMENTS DISCOUNT / GROSS INCOME AS % OF FEDERAL POVERTY LEVEL 100% / UP TO 200% 80% / BETWEEN 201-250% 60% / 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. PATIENTS MAY BE APPROVED FOR CHARITY CARE ON AN ACCOUNT-BY-ACCOUNT BASIS OR FOR A PERIOD OF TIME (FOR A COURSE OF TREATMENT). FULLY COMP
PART VI, LINE 2 (NEEDS ASSESSMENT)   MONROE COUNTY ASSESSES THE HEALTH NEEDS OF THE COMMUNITY THROUGH HEALTH ACTION, A ROBUST COMMUNITY-WIDE PROCESS ESTABLISHED IN 1995 THAT IS LED BY THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH. IT INVOLVES ALL FOUR LOCAL HEALTH SYSTEMS, LOCAL INSURERS, AND OTHER KEY COMMUNITY STAKEHOLDERS. THROUGH THIS PROCESS, COMMUNITY PRIORITIES, GOALS, AND INTERVENTIONS ARE IDENTIFIED AND IMPLEMENTED. THESE PRIORITIES ALIGN WITH THE HEALTH PRIORITIES AND INDICATORS AS PUBLISHED BY NEW YORK STATE'S DOH AND INCLUDE ACCESS TO QUALITY HEALTH CARE, TOBACCO USE, HEALTHY MOTHERS/HEALTHY BABIES/HEALTHY CHILDREN, PHYSICAL ACTIVITY/NUTRITION, UNINTENTIONAL INJURY, HEALTHY ENVIRONMENTS, CHRONIC DISEASE, AND MENTAL HEALTH/SUBSTANCE ABUSE. FIVE HEALTH STATUS "REPORT CARDS" IN SPECIFIC AGE GROUPS AND CATEGORIES ARE USED TO MEASURE PROGRESS TOWARDS HEALTH STATUS IMPROVEMENT. THEY INCLUDE MATERNAL AND CHILD HEALTH, ADOLESCENT HEALTH, ADULT/OLDER ADULT HEALTH, AND ENVIRONMENTAL HEALTH, EACH OF WHICH CONTAIN GOALS FOR IMPROVING HEALTH. PRIORITIES FOR EACH AREA ARE SELECTED BASED ON INPUT FROM FOCUS GROUPS WITH RESIDENTS, AND HEALTH AND SOCIAL SERVICE PROFESSIONALS. UPDATED REPORT CARDS ARE PRODUCED AND DISTRIBUTED ON AVERAGE EVERY 4-6 YEARS FOR EACH SPECIFIC AGE GROUP. THESE PRIORITIES SERVE AS A FOUNDATION FOR COMMUNITY HEALTH IMPROVEMENT AND COMMUNITY BUILDING EFFORTS AND HELP TO ENSURE COLLABORATIVE AND COORDINATED USE OF HEALTH SYSTEM RESOURCES TO ADDRESS THE MOST PRESSING NEEDS. THE PRIORITY SETTING PROCESS IS A SIX-STEP PROCESS THAT INCLUDES: 1) ASSESS HEALTH STATUS: DATA DETAILING HEALTH STATUS, ACCESS TO HEALTH CARE AND HEALTH BEHAVIORS ARE COMPILED AND ANALYZED TO IDENTIFY TRENDS AND DISPARITIES AND TO COMPARE OUR COUNTY TO OTHER COMMUNITIES. FOR EACH LIFECYCLE GROUP, AN ADVISORY COMMITTEE, WITH REPRESENTATION FROM AREA HOSPITALS, HELPS TO INTERPRET THE DATA AND DEVELOP HEALTH GOALS BASED ON THE DATA. A REPORT CARD CONTAINING THE DATA AND HEALTH GOALS IS PUBLISHED. 2) CHOOSE PRIORITY GOALS: THE ADVISORY COMMITTEE HOSTS COMMUNITY FORUMS TO ADDRESS HEALTH IMPROVEMENT PRIORITIES. THE ADVISORY COMMITTEE THEN MAKES RECOMMENDATIONS TO THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH ON PRIORITIES. 3) DEFINE THE LEADERSHIP: PARTNERS ARE IDENTIFIED TO SUPPORT THE PRIORITIES FOR ACTION. THE 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 PRIORITIES. 4) DEVELOP IMPROVEMENT PLANS: EACH PARTNERSHIP DEVELOPS IMPROVEMENT PLANS TO ADDRESS HEALTH GOALS. 5) PERFORM INTERVENTIONS: EACH PARTNERSHIP, ALONG WITH THE STEERING COMMITTEE, WHICH INCLUDES THE MEDICAL CENTER, OVERSEES THE IMPLEMENTATION OF INTERVENTIONS IN VARIOUS VENUES THAT INCLUDE SCHOOLS, DAY CARE CENTERS, PLACES OF WORSHIP, COMMUNITY BASED ORGANIZATIONS AND WITHIN THE HEALTH SYSTEMS. 6) MEASURE THE IMPACT: EACH PARTNERSHIP EVALUATES THE INTERVENTION.
PART VI, LINE 3 (PATIENT EDUCATION OF ELIGIBILITY FOR ASSISTANCE)   INFORMATION ABOUT THE AVAILABILITY OF FINANCIAL ASSISTANCE IS POSTED IN ALL AREAS OF THE FACILITY AND ITS OFF-SITE LOCATIONS. CHARITY CARE INFORMATION IS POSTED IN INPATIENT AND OUTPATIENT REGISTRATION AREAS; THE EMERGENCY DEPARTMENT; ADMITTING; AND ALL PRIMARY CARE SITES. THE HOSPITAL PROVIDES A COPY OF THE 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 ASSISTANCE, 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 APPLICATIONS FOR ANY OF THESE INSURANCES OR DISCOUNTED FEE PLANS. PATIENTS ARE 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, APPLICATIONS FOR MEDICAID, MEDICARE OR OTHER INSURANCE PROGRAMS MAY BE WAIVED WHEN DEEMED UNNECESSARY. IF AVAILABLE INSURANCE BENEFITS ARE NOT SUFFICIENT TO COVER THE COST OF THEIR CARE, PATIENTS MAY THEN APPLY FOR ASSISTANCE FROM THE CHARITY CARE PROGRAM.
PART VI, LINE 4 (COMMUNITY INFORMATION)   STRONG MEMORIAL HOSPITAL IS LOCATED IN THE CITY OF ROCHESTER, COUNTY OF MONROE (POPULATION APPROXIMATELY 744,394) 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 NEW YORK STATE. THE REGION (INCLUDING MONROE COUNTY) HAS A POPULATION OF MORE THAN 1,703,000. 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, TOMPKINS, 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 THREE MULTI-HOSPITAL SYSTEMS EACH WITH SEVERAL LONG-TERM CARE, HOME CARE AND OTHER TYPES OF AFFILIATES. THE UNIVERSITY OF ROCHESTER MEDICAL CENTER CONSISTS OF STRONG MEMORIAL HOSPITAL AND HIGHLAND HOSPITAL, ROCHESTER GENERAL HEALTH SYSTEM CONSISTS OF ROCHESTER GENERAL HOSPITAL AND NEWARK WAYNE COMMUNITY HOSPITAL AND UNITY HEALTH CONSISTS OF PARK RIDGE HOSPITAL AND ST. MARY'S HOSPITAL. THERE ARE ROUGHLY TWENTY-ONE SMALLER COMMUNITY HOSPITALS THAT OPERATE IN THE FIFTEEN COUNTIES SURROUNDING MONROE COUNTY WITH BED CAPACITY RANGING FROM AS FEW AS 25 BEDS TO AS MANY AS 224 BEDS. OVER 50 RESIDENTIAL HEALTH CARE FACILITIES; MANY PUBLIC AND 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, ADMINISTRATORS, EDUCATORS, AND SUPPORT PERSONNEL PROVIDE SERVICES WITHIN THE SIXTEEN COUNTY SERVICE AREA. DEMOGRAPHIC ANALYSIS HISTORICALLY UNDER-REPRESENTED ETHNIC GROUPS INCLUDING BLACK NON-HISPANIC, HISPANIC AND OTHER POPULATIONS COMPRISE ROUGHLY 25% OF THE POPULATION OF MONROE COUNTY. ACCORDING TO U.S. CENSUS DATA ROUGHLY 11.7% OF THE POPULATION OF MONROE COUNTY IS NON-ENGLISH SPEAKING. AVERAGE HOUSEHOLD INCOME FOR THE PRIMARY SERVICE AREA IS $68,117 VERSUS THE NATIONAL AVERAGE OF $71,071. ACCORDING TO THE US CENSUS 13.7% OF INDIVIDUALS IN MONROE COUNTY WERE CONSIDERED BELOW THE POVERTY LEVEL. THE PERCENTAGE OF THE MONROE COUNTY POPULATION AGE 65 AND OLDER WAS 13.9% IN 2010 AND IS ANTICIPATED TO GROW TO 15.9% BY 2015. THE POPULATION OF INDIVIDUALS 18 YEARS AND YOUNGER IS ANTICIPATED TO DECLINE FROM 22.4% (2010) TO 21.1% IN 2015. THE RATE OF UNINSURED ADULTS (AGES 19 TO 64) IN MONROE COUNTY IS 10.4 PERCENT, COMPARED TO THE NEW YORK STATE RATE OF 17.2 PERCENT (2007 CENSUS BUREAU ESTIMATES). ACCORDING TO THE NEW YORK STATE DEPARTMENT OF HEALTH, ROUGHLY 18% OF THE POPULATION OF MONROE COUNTY IS ENROLLED IN MEDICAID WHILE ABOUT 12% OF THE SURROUNDING FIFTEEN COUNTY POPULATIONS ARE ENROLLED IN MEDICAID. MONROE COUNTY'S POPULATION OF SENIORS OUTPACES THE NATIONAL AVERAGE OF 13.2%. AT THE SAME TIME, THE POPULATION OF RESIDENTS 18 AND YOUNGER IS ANTICIPATED TO DECLINE OVER THE NEXT SEVERAL YEARS FROM 22.4% IN 2010 TO 21.1% IN 2015. UNDER-REPRESENTED ETHNIC GROUPS COMPRISE ROUGHLY 9.4% OF THE POPULATION IN THE FIFTEEN COUNTIES SURROUNDING MONROE COUNTY. AVERAGE HOUSEHOLD INCOME FOR THE FIFTEEN COUNTY SERVICE AREA WAS $59,462 VERSUS THE US AVERAGE OF $71,071.
PART VI, LINE 5 (PROMOTION OF COMMUNITY HEALTH)   STRONG MEMORIAL HOSPITAL IS OVERSEEN BY THE UNIVERSITY OF ROCHESTER MEDICAL CENTER BOARD, A 36 MEMBER BOARD, INCLUSIVE OF 14 EX-OFFICIO MEMBERS, THAT REPORTS TO THE UNIVERSITY BOARD OF TRUSTEES. 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 DEEPLY ABOUT THE HEALTH AND WELFARE OF ITS CITIZENS. THE BOARD INCLUDES NON-UR MEDICAL CENTER-EMPLOYED PRIVATE COMMUNITY PHYSICIANS, MEMBERS OF THE BUSINESS COMMUNITY, LOCAL PHILANTHROPISTS WITH AN INTEREST IN ADVOCATING FOR HEALTH CARE, AND OTHER LOCAL REPRESENTATIVES. AS A DEDICATED BOARD, EACH MEMBER UPHOLDS WELL-ESTABLISHED PRINCIPLES OF NONPROFIT CORPORATION 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 COMMITMENT TO ACT BASED ON BEST INTERESTS OF THE ORGANIZATION AND THE WIDER COMMUNITY IT SERVES, AND DILIGENCE IN CARRYING OUT THE WORK OF THE BOARD. ADMINISTRATIVELY, UR MEDICAL CENTER LEADERSHIP HAS INITIATED A COMPREHENSIVE AND AMBITIOUS STRATEGIC PLANNING PROCESS ACROSS THE INSTITUTION. THE GOALS OF THE PLAN INCLUDE EXPANDING COMMUNITY HEALTH PROGRAMS AND RESEARCH THAT IMPROVE THE OVERALL HEALTH OF THE GREATER ROCHESTER COMMUNITY. THE BOARD OF DIRECTORS ENDORSE AND CHAMPION THE VISION OF THE PLAN. AN ANNUAL "DR. DAVID SATCHER COMMUNITY HEALTH IMPROVEMENT AWARDS" PROGRAM HAS BEEN ESTABLISHED TO ENCOURAGE AND RECOGNIZE FACULTY/STAFF FOR EXEMPLARY WORK WITHIN THE COMMUNITY TO IMPROVE COMMUNITY HEALTH. URMC EXTENDS MEDICAL STAFF PRIVILEGES TO EMPLOYED UR MEDICAL CENTER FACULTY PHYSICIANS AND ALL ELIGIBLE PRIVATE PHYSICIANS WHO PRACTICE AT UR MEDICAL CENTER AFFILIATED HOSPITALS. 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 PATIENTS WHO MAY NEED ANY OR ALL OF THESE SERVICES. UR MEDICAL CENTER CONTINUALLY REINVESTS IN ITS FACILITIES AND PROGRAMS IN AN EFFORT TO IMPROVE THE HEALTH OF THE COMMUNITY. FOR EXAMPLE, ITS 85-YEAR-OLD STRONG MEMORIAL HOSPITAL HAS IN RECENT YEARS RENOVATED ITS MEDICAL AND SURGICAL ICUS TO PROVIDE PATIENT- AND FAMILY-CENTERED CARE IN LARGER, PRIVATE ROOMS. IT ALSO UNVEILED A NEW FREESTANDING AMBULATORY SURGERY CENTER THAT INCLUDES 10 OPERATING SUITES AND THREE PROCEDURE ROOMS EQUIPPED WITH ADVANCED TECHNOLOGY, AND SPACIOUS FACILITIES FOR ENHANCED CARE AND PRIVACY FOR PATIENTS AND FAMILIES. THE SURGERY CENTER WAS DEVELOPED AS AN INCREASE IN SPECIALTY CARE BEGAN PLACING MORE PRESSURE ON EXISTING OPERATING SUITES FOR URGENT, HIGH-ACUITY INPATIENT PROCEDURES. STRONG MEMORIAL HOSPITAL ALSO RUNS THE REGION'S LARGEST EMERGENCY FACILITY. THE 55,000-SQUARE-FOOT FRANK AND CAROLINE GANNETT EMERGENCY CENTER IS MORE THAN THREE TIMES LARGER THAN STRONG'S FORMER EMERGENCY DEPARTMENT. IT WAS DESIGNED TO IMPROVE EFFICIENCY, WITH THE DIGNITY AND COMFORT OF OUR PATIENTS IN MIND, AND HAS BEEN DESIGNATED BY THE NEW YORK STATE DEPARTMENT OF HEALTH AS A LEVEL ONE REGIONAL TRAUMA CENTER. THE ADULT TREATMENT AREA WAS CONSTRUCTED WITH 25 SEMI-PRIVATE PATIENT CUBICLES SURROUNDING A RAISED NURSING STATION SO THAT PATIENTS ARE READILY VISIBLE TO STAFF. 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 RESEARCH. WORK CONTINUED ON OUR NEW CLINICAL AND TRANSLATIONAL RESEARCH INSTITUTE (CTSI) THAT WILL SERVE AS THE HUB OF RESOURCES, EXPERTISE AND NETWORKS NECESSARY TO ACCELERATE THE CLINICAL APPLICATION OF BIOMEDICAL AND BEHAVIORAL RESEARCH SO EFFICACIOUS INTERVENTIONS CAN REACH INDIVIDUALS IN THE COMMUNITY MORE QUICKLY. THE CTSI'S COMMUNITY ENGAGEMENT FUNCTION, WHICH IS ADMINISTERED BY THE UR MEDICAL CENTER'S CENTER FOR COMMUNITY HEALTH, PROVIDES THE INFRASTRUCTURE TO SUPPORT THE CTSI COMMUNITY ENGAGEMENT MISSION BY FACILITATING COMMUNICATION AND PARTNERSHIPS AMONG RESEARCHERS, HEALTH CARE PROVIDERS, AND COMMUNITY MEMBERS AND ORGANIZATIONS. IN ADDITION, SURPLUS 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 OF THE HEALTHIEST COMMUNITIES IN THE WORLD." THAT CHARGE HAS GIVEN RISE TO MANY PROGRAMS THAT SEEK TO ADDRESS PUBLIC HEALTH CHALLENGES, INCLUDING OBESITY, SMOKING CESSATION, HOME VISITS FOR AT-RISK MOTHERS, AND EFFORTS TO ELIMINATE DISPARITIES IN IMMUNIZATION RATES. THESE EFFORTS TAKE MANY FORMS AND RANGE FROM GRASSROOTS EFFORTS TO IMPROVE ACCESS, TO HEALTHY FOODS TO HIGH-TECH SOLUTIONS SUCH AS PROVIDING PEDIATRIC AND DENTAL TELEMEDICINE SERVICES TO SCHOOLS AND DAY CARE CENTERS. A FEW EXAMPLES INCLUDE: - THE MONROE COUNTY CANCER SERVICES PROVIDES CANCER SCREENING AND FOLLOW-UP ASSISTANCE TO UNINSURED/UNDER-INSURED FOR BREAST, COLON AND CERVICAL CANCER. THE INITIATIVE ANNUALLY HELPS MORE THAN 1,500 INDIVIDUALS WHO OTHERWISE MAY NOT GET SCREENED. - THE HEALTHY LIVING PROGRAM'S NATIONALLY RECOGNIZED FAITH-BASED PREVENTION PROGRAM WORKS IN THE AFRICAN-AMERICAN AND LATINO COMMUNITIES. HELD IN CHURCH BASEMENTS AND COMMUNITY CENTERS, THIS CULTURALLY SENSITIVE PROGRAM TAUGHT BY CERTIFIED INSTRUCTORS HAS BENEFITED MORE THAN 2,018 ATTENDEES SINCE ITS INCEPTION IN 2002. - OUR "BABY LOVE" PROGRAM, LAUNCHED IN 1988, HAS PROVIDED HOME VISITS AND EVIDENCE-BASED SERVICES TO REDUCE INFANT MORTALITY, PREMATURE BIRTHS, LOW-BIRTH WEIGHT AND FOSTER CARE PLACEMENT OF AT-RISK BABIES. THIS VITAL HOME-VISIT PROGRAM CONTINUES TO MAKE A REMARKABLE DIFFERENCE IN THE LIVES OF YOUNG WOMEN AND THEIR FAMILIES IN THE MOST IMPOVERISHED NEIGHBORHOODS WITHIN OUR INNER CITY. THE PROGRAM SERVES MORE THAN 220 AT-RISK PREGNANT TEENS AND WOMEN AND THEIR NEWBORNS EACH YEAR. BABY LOVE OUTCOMES CONTINUE TO SHOW AVOIDANCE OF NEONATAL INTENSIVE CARE ADMISSION FOR ENROLLED FAMILIES.
PART VI, LINE 6 (AFFILIATED HEALTH CARE SYSTEM)   THE UNIVERSITY OF ROCHESTER MEDICAL CENTER IS AN INTEGRATED ACADEMIC HEALTH CENTER THAT COMPRISES THE SCHOOL OF MEDICINE AND DENTISTRY, INCLUDING ITS FACULTY PRACTICE (UNIVERSITY OF ROCHESTER MEDICAL FACULTY GROUP); STRONG MEMORIAL HOSPITAL; HIGHLAND HOSPITAL; GOLISANO CHILDREN'S HOSPITAL; JAMES P. WILMOT CANCER CENTER; SCHOOL OF NURSING; EASTMAN INSTITUTE FOR ORAL HEALTH; VISITING NURSE SERVICE; HIGHLANDS AT PITTSFORD; THE HIGHLANDS LIVING CENTER, INC. AND HIGHLANDS AT BRIGHTON. UR MEDICAL 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-BASED PRACTICES TO IMPROVE HEALTH AND OVERALL QUALITY OF LIFE. - THE UNIVERSITY'S HEALTH CARE DELIVERY NETWORK IS ANCHORED BY STRONG MEMORIAL HOSPITAL, A 800-BED TEACHING HOSPITAL, WHICH INCLUDES A CHILDREN'S HOSPITAL. PATIENTS BENEFIT FROM THE MEDICAL CENTER'S ROBUST TEACHING AND BIOMEDICAL RESEARCH PROGRAMS. STUDENT ROSTERS INCLUDE APPROXIMATELY 400 MEDICAL STUDENTS, 550 GRADUATE STUDENTS, AND 600 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 EDUCATION TO DENTAL STUDENTS ENROLLED AT THE UNIVERSITY OF ROCHESTER SCHOOL OF MEDICINE AND DENTISTRY. IT OFFERS GENERAL DENTISTRY, PEDIATRIC AND ORTHODONTIC CLINICS, AND AN URGENT CARE DENTAL CLINIC THAT SEES 40-50 PATIENTS A DAY. IT OPERATES LOW-INCOME CLINICS AT SCHOOLS AND A DOWNTOWN LOCATION. ADDITIONALLY, FOUR SMILEMOBILES PROVIDE A DENTAL OFFICE ON WHEELS, ALLOWING THE CITY'S CHILDREN INCREASED ACCESS TO MUCH NEEDED DENTAL CARE. - THE JAMES P. WILMOT CANCER CENTER IS ORGANIZED AROUND A MULTIDISCIPLINARY CARE MODEL, WHICH LEADING CANCER EXPERTS BELIEVE IS THE GOLD STANDARD IN CANCER CARE IN THE 21ST CENTURY. ITS MODEL 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 APPROACH TO CARE. A VARIETY OF FREE PREVENTIVE EDUCATION EVENTS ARE HELD THROUGHOUT THE YEAR, INCLUDING MEN'S HEALTH DAY, WHICH INCLUDES NUMEROUS FREE HEALTH SCREENINGS; FREE SKIN CANCER SCREENINGS; AND BREAST CANCER SCREENINGS FOR THE UNINSURED AND UNDERINSURED. - GOLISANO CHILDREN'S HOSPITAL, HOUSED IN STRONG MEMORIAL HOSPITAL, IS A 132-BED CHILDREN'S HOSPITAL THAT 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/NEUROSURGERY, CANCER AND NEONATAL CARE. IN ADDITION TO THESE TRADITIONAL MEDICAL SERVICES, GOLISANO 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, THEREFORE, HE CANNOT BE TREATED SOLELY IN AN EXAM ROOM. THE HOSPITAL ENCOURAGES PHYSICIANS AND STAFF TO PARTNER WITH COMMUNITY ORGANIZATIONS TO IMPROVE VACCINATION RATES, EDUCATIONAL OPPORTUNITIES, SAFETY AT HOME AND ON PLAYGROUNDS, AND HEALTH INSURANCE AND HEALTH CARE ACCESS. THE UNIVERSITY'S WHOLLY OWNED HEALTH CARE AFFILIATES ARE: - HIGHLAND HOSPITAL 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, AND THREE RADIATION ONCOLOGY TREATMENT CENTERS. HIGHLAND IS ALSO A TEACHING AFFILIATE OF THE UNIVERSITY OF ROCHESTER SCHOOL OF MEDICINE AND DENTISTRY. HIGHLAND'S SERVICE AREA INCLUDES MONROE COUNTY, NEW YORK, AS WELL AS SEVERAL COUNTIES SURROUNDING THE ROCHESTER, NEW YORK REGION. - VISITING NURSE SERVICE OFFERS CERTIFIED AND LICENSED HOME HEALTH CARE SERVICES FOR NEWBORNS TO SENIORS. - THE HIGHLANDS AT PITTSFORD CAMPUS INCLUDES TWO SEPARATE CORPORATIONS WITH DIFFERENT ACTIVITIES OFFERING SKILLED NURSING CARE AS WELL AS ASSISTED 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 DEVELOPMENT 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 IN CARE FOR THE MOST MEDICALLY COMPLEX CASES.
STATE FILING OF COMMUNITY BENEFIT REPORT 990 SCHEDULE H, PART VI NY,
Schedule H (Form 990) 2011
Additional Data


Software ID:  
Software Version:  
Schedule I
(Form 990)
Department of the Treasury
Internal Revenue Service
Grants and Other Assistance to Organizations,
Governments and Individuals in the United States
Complete if the organization answered "Yes," to Form 990, Part IV, line 21 or 22.
lBullet Attach to Form 990
OMB No. 1545-0047
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number
16-0743209
Part I
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? ....................................
2
Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.
Part II
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. Check this box if no one recipient received more than $5,000. Use
Part IV and Schedule I-1 (Form 990) if additional space is needed ......................... lBullet
(a) Name and address of organization
or government		 (b) EIN (c) IRC Code section
if applicable		 (d) Amount of cash grant (e) Amount of non-cash
assistance		 (f) Method of valuation
(book, FMV, appraisal,
other)		 (g) Description of
non-cash assistance		 (h) Purpose of grant
or assistance






















2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................. Bullet Image
 
3
Enter total number of other organizations listed in the line 1 table ......................... . Bullet Image
 
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2011

Schedule I (Form 990) 2011
Page 2
Part III
Grants and Other Assistance to Individuals in the United States. Complete if the organization answered "Yes" to Form 990, Part IV, line 22.
Use Schedule I-1 (Form 990) if additional space is needed.
(a)Type of grant or assistance (b)Number of
recipients		 (c)Amount of
cash grant		 (d)Amount of
non-cash assistance		 (e)Method of valuation (book,
FMV, appraisal, other)		 (f)Description of non-cash assistance
(1) SCHOLARSHIPS AND FELLOWSHIPS TO STUDENTS 6411 151,430,029   N/A N/A













Part IV
Supplemental Information. Complete this part to provide the information required in Part I, line 2, and any other additional information.
Identifier Return Reference Explanation
STUDENT SCHOLARSHIP, FELLOWSHIPS AND STUDENT LOANS SCHEDULE I, PART IV STUDENYS WHO RECEIVE SCHOLARSHIPS, FELLOWSHIPS AND STUDENT LOANS FROM THE UNIVERSITY OF ROCHESTER ARE SELECTED AND THE AMOUNT OF GRANTS OR LOANS DETERMINED BY OBJECTIVE AND NON-DISCRIMINATORY PROCESSES APPLIED TO ALL 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 OF THE FUNDS AVAILABLE FOR THIS PURPOSE.
SUBAWARDS SCHEDULE I, PART II IN FURTHERANCE OF ITS RESEARCH ACTIVITIES, THE UNIVERSITY OF ROCHESTER MAKES SUB-AWARDS TO OTHER ORGANIZATIONS 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) 2011


Additional Data


Software ID:  
Software Version:  


Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet Complete if the organization answered "Yes" to Form 990,
Part IV, question 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
Questions Regarding Compensation
Yes
No
1a
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 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes in line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all the expenses described above? If "No," complete Part III to explain....
1b
Yes
 
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
officers, directors, trustees, and the CEO/Executive Director, regarding the items checked in line 1a? ....
2
Yes
 
3
Indicate which, if any, of the following the organization uses 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.
4
During the year, did any person listed in Form 990, Part VII, Section A, line 1a 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 1a, 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 1a, 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 1a, 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 Privacy Act and Paperwork Reduction Act Notice, see the Intructions for Form 990
Cat. No. 50053T
Schedule J (Form 990) 2011

Schedule J (Form 990) 2011
Page 2
Part II
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)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and column (E) for that individual.
(A) Name (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Retirement and other deferred compensation (D) Nontaxable
benefits		 (E) Total of columns
(B)(i)-(D) 		(F) Compensation
reported as deferred
in prior Form 990
(i) Base compensation (ii) Bonus & incentive compensation (iii) Other reportable compensation
(1) JOEL SELIGMAN (i)
(ii)		 700,836
0 		0
0 		16,902
0 		136,073
0 		18,344
0 		872,155
0 		0
0
(2) PAUL J BURGETT (i)
(ii)		 198,536
0 		0
0 		8,747
0 		19,939
0 		7,715
0 		234,937
0 		0
0
(3) BRADFORD C BERK (i)
(ii)		 856,511
0 		0
0 		62,096
0 		193,273
0 		19,708
0 		1,131,588
0 		0
0
(4) RALPH W KUNCL (i)
(ii)		 524,229
0 		0
0 		25,474
0 		23,573
0 		53,155
0 		626,431
0 		0
0
(5) PETER LENNIE (i)
(ii)		 407,461
0 		0
0 		17,474
0 		24,466
0 		12,939
0 		462,340
0 		0
0
(6) WILLIAM M MURPHY (i)
(ii)		 227,078
0 		0
0 		0
0 		22,453
0 		11,545
0 		261,076
0 		0
0
(7) RONALD J PAPROCKI (i)
(ii)		 520,549
0 		0
0 		21,075
0 		23,573
0 		21,490
0 		586,687
0 		0
0
(8) DOUGLAS W PHILLIPS (i)
(ii)		 272,199
0 		0
0 		41,913
0 		263,573
0 		19,611
0 		597,296
0 		0
0
(9) SUE S STEWART (i)
(ii)		 400,636
0 		0
0 		16,600
0 		24,781
0 		10,876
0 		452,893
0 		0
0
(10) MARK B TAUBMAN (i)
(ii)		 713,392
0 		0
0 		711
0 		118,573
0 		20,008
0 		852,684
0 		0
0
(11) JAMES D THOMPSON (i)
(ii)		 472,475
0 		0
0 		42,541
0 		24,965
0 		20,090
0 		560,071
0 		0
0
(12) RICHARD FISHER (i)
(ii)		 613,774
0 		0
0 		17,942
0 		49,323
0 		18,251
0 		699,290
0 		0
0
(13) STEVEN GOLDSTEIN (i)
(ii)		 854,020
0 		0
0 		47,743
0 		182,973
0 		3,627
0 		1,088,363
0 		0
0
(14) MICHAEL C GOONAN (i)
(ii)		 546,739
0 		0
0 		33,753
0 		205,674
0 		10,177
0 		796,343
0 		0
0
(15) RAYMOND J MAYEWSKI (i)
(ii)		 476,883
0 		0
0 		35,670
0 		127,183
0 		3,158
0 		642,894
0 		0
0
(16) PETER G ROBINSON (i)
(ii)		 556,125
0 		0
0 		30,056
0 		189,173
0 		23,537
0 		798,891
0 		0
0
(17) ELIZABETH MCANARNEY (i)
(ii)		 132,081
0 		0
0 		16,500
0 		13,795
0 		7,287
0 		169,663
0 		0
0
(18) MICHAEL D MALONEY MD (i)
(ii)		 504,206
0 		1,010,989
0 		0
0 		263,573
0 		17,481
0 		1,796,249
0 		0
0
(19) MARC D BROWN MD (i)
(ii)		 554,977
0 		1,076,205
0 		16,500
0 		23,573
0 		17,069
0 		1,688,324
0 		0
0
(20) JEFFREY H PETERS MD (i)
(ii)		 921,828
0 		250,000
0 		57,243
0 		41,573
0 		18,698
0 		1,289,342
0 		0
0
(21) BRENT DUBESHTER MD (i)
(ii)		 934,414
0 		219,404
0 		0
0 		23,573
0 		19,285
0 		1,196,676
0 		0
0
(22) JASON HAITAO HUANG MD (i)
(ii)		 574,321
0 		870,000
0 		16,500
0 		23,573
0 		19,848
0 		1,504,242
0 		0
0
Schedule J (Form 990) 2011

Schedule J (Form 990) 2011
Page 3
Part III
Supplemental Information
Complete this part to provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4c, 5a, 5b, 6a, 6b, 7, and 8. Also complete this part for any additional information.
Identifier Return Reference Explanation
DETAIL REGARDING BENEFITS PROVIDED SCHEDULE J, PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN CERTAIN CIRCUMSTANCES, THE PRESIDENT OF THE UNIVERSITY OF ROCHESTER (THE "UNIVERSITY") MAY TRAVEL FIRST CLASS IF CERTAIN TIME/DISTANCE REQUIREMENTS ARE MET AND A VALID UNIVERSITY-RELATED BUSINESS PURPOSE FOR THE TRAVEL EXISTS. TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT 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" OF THE 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. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/SOCIAL CLUB DUES/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. THE UNIVERSITY ALSO PROVIDES A SOCIAL CLUB MEMBERSHIP, TO BE USED BY THE PROVOST IN CONNECTION WITH HIS DUTIES. THE PRESIDENT AND PROVOST ARE RESPONSIBLE FOR ANY PERSONAL USE OF THE CLUB MEMBERSHIP, HOUSEHOLD STAFF OR OTHER PERSONAL EXPENSES INCURRED.
SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN PARTICIPATION SCHEDULE J, PART I, LINE 4B THE FOLLOWING INDIVIDUALS PARTICIPATED IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN AND RECEIVED EMPLOYER PAID AMOUNTS THAT ARE INCLUDED IN DEFERRED COMPENSATION: BRADFORD C. BERK - SERP - $144,700 MARK B. TAUBMAN - SERP - $ 95,000 RICHARD FISHER - SERP - $ 25,750 RAYMOND J. MAYEWSKI - SERP - $103,610 STEVEN GOLDSTEIN - SERP - $159,400 JEFFREY PETERS - SERP - $ 18,000 MICHAEL C. GOONAN - SERP - $61,500 PETER G. ROBINSON - SERP - $45,000 JOEL S. SELIGMAN - 457(F) - $112,500 MICHAEL MALONEY - 457(F) - $240,000 DOUGLAS PHILLIPS - 457(F) - $240,000 BRADFORD C. BERK - 457(F) - $25,000 MICHAEL C. GOONAN - 457(F) - $120,600 PETER G. ROBINSON - 457(F) - $120,600
PROVISION OF NON-FIXED PAYMENTS SCHEDULE J, LINE 7 THE UNIVERSITY OF ROCHESTER MEDICAL SCHOOL COMPENSATION PLAN ALLOWS COMPENSATION TO BE CALCULATED, IN PART, BY MEDICAL SERVICES RENDERED. THE UNIVERSITY OF ROCHESTER DOES NOT PROVIDE DISCRETIONARY BONUS AND/OR INCENTIVE 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 J (Form 990) 2011

Additional Data


Software ID:  
Software Version:  
Schedule K
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Information on Tax Exempt Bonds
SchKMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,
explanations, and any additional information in Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number
16-0743209
Part I
Bond Issues
(a) Issuer Name (b) Issuer EIN (c) CUSIP # (d) Date Issued (e) Issue Price (f) Description of Purpose (g) Defeased (h) On
Behalf of
Issuer 		(i) Pool
financing
Yes No Yes No Yes No
A DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 64983UP20 11-06-2003 164,425,000 2003 A,B,C- CAPITAL PROJECTS   X   X   X
B DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 64983TC50 08-26-2004 45,602,797 2004 A- CO-GENERATION FACILITY   X   X   X
C DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 64983QWB1 03-16-2006 111,180,000 2006 A-1 & B-1- BOND REFINANCING   X   X   X
D DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 649903BH3 02-21-2007 180,959,178 2007 A-1, A-2 & B- CAPITAL PROJECT   X   X   X
DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 649903GW5 02-21-2007 63,115,512 2007 C- BOND REFINANCING   X   X   X
DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 649905KLP 07-22-2009 120,741,579 2009 A B C D E CAPITAL PROJECTS   X   X   X
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075TCE6 09-01-2011 175,747,934 2011 A, B MCIDC-CAPITAL PROJECTS   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . 57,670,000 20,040,331 0 5,212,211
2 Amount of bonds legally defeased . . . . . . . . . . 0 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . 165,914,139 46,665,022 111,180,000 186,724,874
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 0
12 Other unspent proceeds . . . . . . . . . . . 0 0 0 6,779,818
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 allocation of proceeds? . . . . . . . . . . . . . X   X   X   X  
Part III
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 property financed by tax-exempt bonds? . . . . . . .   X   X   X   X
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X   X   X   X  
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2011
Schedule K (Form 990) 2011
Page 2
Part III
Private Business Use (Continued)
A B C D
Yes No Yes No Yes No Yes No
3a Are there any management or service contracts that may result in private business use of bond-financed property? . . . . . . . . . X   X   X   X  
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 property? . . . . . X   X   X   X  
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 . . SchKMediumBullet 0% 0% 0% 0%
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 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0% 0% 0%   %
6 Total of lines 4 and 5 . . .. . . . . . . . . 0% 0% 0% 0%
7 Does the bond issue meet the private security or payment test? . . . X   X   X   X  
8 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2?
X   X   X   X  
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has a Form 8038-T, Arbitrage Rebate, Yield Reduction and Penalty in Lieu of Arbitrage Rebate, been filed with respect to the bond issue? . . .   X   X   X   X
2 Is the bond issue a variable rate issue? X     X X     X
3a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue? X     X X     X
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 a hedge terminated? . . . . .   X       X    
4a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . .   X   X   X   X
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? . . . . . .                
5 Were any gross proceeds invested beyond an available temporary period? . . . . . . X     X   X X  
6 Did the bond issue qualify for an exception to rebate? .   X   X   X   X
7 Has the organization established written procedures to monitor the requirements of section 148? . . .   X   X   X   X
Schedule K (Form 990) 2011

Schedule K (Form 990) 2011
Page 3
Part V
Procedures To Undertake Corrective Action
Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations? . . . . . . . . . . . . . .
Part VI
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
SEE SCHEDULE O FOR ADDITIONAL SUPPLEMENTAL INFORMATION 0  
Schedule K (Form 990) 2011

Additional Data


Software ID:  
Software Version:  

Schedule K
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Information on Tax Exempt Bonds
SchKMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,
explanations, and any additional information in Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
OMB No. 1545-0047
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number
16-0743209
Part I
Bond Issues
(a) Issuer Name (b) Issuer EIN (c) CUSIP # (d) Date Issued (e) Issue Price (f) Description of Purpose (g) Defeased (h) On
Behalf of
Issuer 		(i) Pool
financing
Yes No Yes No Yes No
A DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 64983UP20 11-06-2003 164,425,000 2003 A,B,C- CAPITAL PROJECTS   X   X   X
B DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 64983TC50 08-26-2004 45,602,797 2004 A- CO-GENERATION FACILITY   X   X   X
C DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 64983QWB1 03-16-2006 111,180,000 2006 A-1 & B-1- BOND REFINANCING   X   X   X
D DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 649903BH3 02-21-2007 180,959,178 2007 A-1, A-2 & B- CAPITAL PROJECT   X   X   X
DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 649903GW5 02-21-2007 63,115,512 2007 C- BOND REFINANCING   X   X   X
DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 649905KLP 07-22-2009 120,741,579 2009 A B C D E CAPITAL PROJECTS   X   X   X
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075TCE6 09-01-2011 175,747,934 2011 A, B MCIDC-CAPITAL PROJECTS   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . 57,670,000 20,040,331 0 5,212,211
2 Amount of bonds legally defeased . . . . . . . . . . 0 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . 165,914,139 46,665,022 111,180,000 186,724,874
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 0
12 Other unspent proceeds . . . . . . . . . . . 0 0 0 6,779,818
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 allocation of proceeds? . . . . . . . . . . . . . X   X   X   X  
Part III
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 property financed by tax-exempt bonds? . . . . . . .   X   X   X   X
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X   X   X   X  
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2011
Schedule K (Form 990) 2011
Page 2
Part III
Private Business Use (Continued)
A B C D
Yes No Yes No Yes No Yes No
3a Are there any management or service contracts that may result in private business use of bond-financed property? . . . . . . . . . X   X   X   X  
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 property? . . . . . X   X   X   X  
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 . . SchKMediumBullet 0% 0% 0% 0%
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 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0% 0% 0%   %
6 Total of lines 4 and 5 . . .. . . . . . . . . 0% 0% 0% 0%
7 Does the bond issue meet the private security or payment test? . . . X   X   X   X  
8 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2?
X   X   X   X  
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has a Form 8038-T, Arbitrage Rebate, Yield Reduction and Penalty in Lieu of Arbitrage Rebate, been filed with respect to the bond issue? . . .   X   X   X   X
2 Is the bond issue a variable rate issue? X     X X     X
3a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue? X     X X     X
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 a hedge terminated? . . . . .   X       X    
4a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . .   X   X   X   X
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? . . . . . .                
5 Were any gross proceeds invested beyond an available temporary period? . . . . . . X     X   X X  
6 Did the bond issue qualify for an exception to rebate? .   X   X   X   X
7 Has the organization established written procedures to monitor the requirements of section 148? . . .   X   X   X   X
Schedule K (Form 990) 2011

Schedule K (Form 990) 2011
Page 3
Part V
Procedures To Undertake Corrective Action
Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations? . . . . . . . . . . . . . .
Part VI
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
SEE SCHEDULE O FOR ADDITIONAL SUPPLEMENTAL INFORMATION 0  
Schedule K (Form 990) 2011

Additional Data


Software ID:  
Software Version:  

Schedule L
(Form 990 or 990-EZ)
Department of the Treasury
Internal Revenue Service
Transactions with Interested Persons
MediumBullet Complete if the organization answered
"Yes" on Form 990, Part IV, lines 25a, 25b, 26, 27, 28a, 28b, or 28c,
or Form 990-EZ, Part V lines 38a or 40b.
MediumBullet Attach to Form 990 or Form 990-EZ. MediumBulletSee separate instructions.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
Excess Benefit Transactions (section 501(c)(3) and section 501 (c)(4) organizations only).
Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b.
1(a) Name of disqualified person (b) Description of transaction (c) Corrected?
Yes No





2
Enter the amount of tax imposed on the organization managers or disqualified persons during the year under section 4958. ......................... Bullet Image$
 
3
Enter the amount of tax, if any, on line 2, above, reimbursed by the organization ....... Bullet Image$
 

Part II
Loans to and/or From Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 26, or Form 990-EZ, Part V, line 38a.
(a) Name of interested person and purpose (b) Loan to or from the organization? (c)Original principal amount (d)Balance due (e) In default? (f) Approved by board or committee? (g)Written agreement?
To From Yes No Yes No Yes No
Total ...............Small Bullet $ 0
Part III
Grants or Assistance Benefitting Interested Persons.
Complete if the organization answered "Yes" on Form 990, Part IV, line 27.
(a) Name of interested person (b)Relationship between interested person and the organization (c)Amount of grant or type of assistance
For Privacy Act and Paperwork Reduction Act Notice, see the
Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2011
Schedule L (Form 990 or 990-EZ) 2011
Page 2
Part IV
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 between interested person and the organization (c) Amount of transaction (d) Description of transaction (e) Sharing of organization's revenues?
Yes No
(1) SUSAN FISHER FAMILY MEMBER OF KEY EMPL 299,017 PAYMENT OF COMPENSATION   No
(2) MARY BERK FAMILY MEMBER OF OFFICER 47,496 PAYMENT OF COMPENSATION   No
(3) LAMAR MURPHY FAMILY MEMBER OF OFFICER 228,467 PAYMENT OF COMPENSATION   No
(4) BONNIE GOLDSTEIN FAMILY MEMBER OF KEY EMPL 82,485 PAYMENT OF COMPENSATION   No
(5) THOMAS W WITMER FAMILY MEMBER OF TRUSTEE 205,701 PAYMENT OF COMPENSATION   No
(6) KAREN BERK FAMILY MEMBER OF OFFICER 51,752 PAYMENT OF COMPENSATION   No
(7) DENNIS KESSLER FAMILY MEMBER OF TRUSTEE 45,176 PAYMENT OF COMPENSATION   No
(8) XEROX COMMON TRUSTEE/OFFICER 2,050,045 PURCHASE OF BUSINESS SERVICES   No
(9) PAETEC COMMON TRUSTEE/OFFICER 155,294 PURCHASE OF COMMUN. SERVICE   No
(10) LECHASE CONSTRUCTION COMMON TRUSTEE/OFFICER 21,940,605 PURCHASE OF CONSTRUCTION SVCS   No
(11) BECTON DICKINSON AND COMPANY COMMON TRUSTEE/OFFICER 1,460,823 PURCHASE PRODUCTS EQ/SVC CONTR   No
(12) WEGMANS COMMON TRUSTEE/OWNER 162,184 PAYMENT OF DRUG DISPENSING FEE   No
(13) JP MORGAN CHASE BANK COMMON TRUSTEE/OFFICER 814,319 PURCHASE OF BANKING SERVICES   No
(14) COCA COLA COMMON TRUSTEE/OFFICER 788,755 PURCHASE OF PRODUCTS   No
(15) INDIA EQUITY PARTNERS FAMILY MEMBER OF TRUSTEE 307,060 PURCHASE OF INVESTMENT ADVICE   No
Part V
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule L (see instructions).
Identifier Return Reference Explanation
Schedule L (Form 990 or 990-EZ) 2011

Additional Data


Software ID:  
Software Version:  




SCHEDULE M
(Form 990)

Department of the Treasury
Internal Revenue Service
NonCash Contributions
Right pointing arrow large imageComplete if the organization answered "Yes" on Form 990, Part IV, lines 29 or 30.
Right pointing arrow large image Attach to Form 990.
OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
Types of Property
(a)
Check if applicable 		(b)
Number of Contributions or items contributed 		(c)
Noncash contribution amounts reported on
Form 990, Part VIII, line 1g 		(d)
Method of determining
noncash contribution amounts
1 Art—Works of art .... X 23 70,491 FAIR MARKET VALUE
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications .. X 500 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 218 13,161,030 FAIR MARKET VALUE
10 Securities—Closely held stock . X 1 7,015 FAIR MARKET VALUE
11 Securities—Partnership, LLC,
or trust interests .... 		       
12 Securities—Miscellaneous ..        
13 Qualified conservation
contribution—Historic
structures ..... 		       
14 Qualified conservation
contribution—Other ... 		       
15 Real estate—Residential .        
16 Real estate—Commercial ..        
17 Real estate—Other ...        
18 Collectibles .....        
19 Food inventory ...        
20 Drugs and medical supplies . X 23 235,495 FAIR MARKET VALUE
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( MEDICAL PRACTICE ) X 1 750,000 FAIR MARKET VALUE
26 Other Right pointing arrow large image ( GIFT-IN-KIND ) X 28 15,963 FAIR MARKET VALUE
27 Other Right pointing arrow large image ( PERSONAL PROPERTY ) X 193 97,650 FAIR MARKET VALUE
28 Other Right pointing arrow large image ( MISCELLANEOUS EQUIPMENT ) X 28 80,477 FAIR MARKET VALUE
Other Right pointing arrow large image ( MUSICAL INSTRUMENTS ) X 7 53,150 FAIR MARKET VALUE
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
12
Yes
No
30a
During the year, did the organization receive by contribution any property reported in Part I, lines 1-28 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 revenues in column (c) for a type of property for which column (a) is checked,
describe in Part II.
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 51227J
Schedule M (Form 990) 2011
Schedule M (Form 990) 2011
Page 2
Part II
Supplemental Information. Complete this part to 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.
Identifier Return Reference Explanation
DESCRIPTION OF THE NUMBER OF CONTRIBUTIONS FORM 990, SCHEDULE M, PART I, COLUMN (B) THE UNIVERSITY OF ROCHESTER REPORTS ALL NON-CASH CONTRIBUTIONS RECEIVED, OTHER THAN SECURITIES, BASED ON THE NUMBER OF NON-CASH ITEMS RECEIVED.
Schedule M (Form 990) 2011
Additional Data


Software ID:  
Software Version:  
SCHEDULE O
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service
Supplemental Information to Form 990 or 990-EZ

Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.
MediumBullet Attach to Form 990 or 990-EZ.
OMB No. 1545-0047
2011
Open to Public
Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Identifier Return Reference Explanation
DETAIL OF OTHER PROGRAM SERVICES FORM 990, PART III, LINE 4d AUXILIARY ENTERPRISES- THE UNIVERSITY OPERATES EITHER DIRECTLY OR THROUGH THIRD PARTY CONTRACTORS FOOD SERVICES WHICH SERVED 4,918 UNDERGRADUATES 2,620,501 MEALS IN FIVE DINING SERVICES. THE UNIVERSITY HAS 837 UNITS USED FOR STUDENT HOUSING.
DETAIL OF FAMILY OR BUSINESS RELATIONSHIPS FORM 990, PART VI, SECTION A, LINE 2 RICHARD T. AAB AND ARUNAS A. CHESONIS - BUSINESS RELATIONSHIP RICHARD T. AAB AND DAVID FLAUM - BUSINESS RELATIONSHIP THOMAS S. RICHARDS AND SUE S. STEWART - BUSINESS RELATIONSHIP LAURENCE H. BLOCH AND MICHAEL S. ROSEN - BUSINESS RELATIONSHIP
DESCRIPTION OF FORM 990 REVIEW PROCESS FORM 990, PART VI, SECTION B, LINE 11b THE FORM 990 OF UNIVERSITY OF ROCHESTER IS PREPARED BY FINANCE STAFF AND PROVIDED TO PRICEWATERHOUSECOOPERS LLP AND SENIOR MANAGEMENT FOR REVIEW PRIOR TO FILING. THE FORM 990 WAS ALSO PROVIDED TO THE UNIVERSITY'S AUDIT AND RISK ASSESSMENT COMMITTEE PRIOR TO FILING. THE COMMITTEE'S 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.
DESCRIPTION OF PROCESS TO MONITOR CONFLICT OF INTEREST POLICY FORM 990, PART VI, SECTION B, LINE 12C DIRECTORS, COMMITTEE MEMBERS, OFFICERS, AND KEY EMPLOYEES ARE REQUIRED TO DISCLOSE A CONFLICT OF INTEREST: A) PRIOR TO VOTING ON OR OTHERWISE DISCHARGING THEIR DUTIES WITH RESPECT TO ANY MATTER INVOLVING THE CONFLICT WHICH COMES BEFORE THE BOARD OR ANY COMMITTEE; B) PRIOR TO ENTERING INTO ANY CONTRACT OR TRANSACTION INVOLVING THE CONFLICT; C) AS SOON AS POSSIBLE AFTER THE DIRECTOR, COMMITTEE MEMBER OR OFFICER LEARNS OF THE CONFLICT; AND D) ON AN ANNUAL CONFLICT OF INTEREST DISCLOSURE FORM. 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.
DESCRIPTION OF PROCESS FOR DETERMINING COMPENSATION FORM 990, PART VI, SECTION B, LINES 15A AND 15B WRITTEN SELF-EVALUATIONS AND PERFORMANCE EVALUATIONS FOR THE UNIVERSITY'S OFFICERS AND KEY EMPLOYEES ARE REVIEWED ANNUALLY BY THE UNIVERSITY'S COMMITTEE ON COMPLIANCE AND COMPENSATION. THE COMMITTEE REVIEWS AND APPROVES TOTAL COMPENSATION FOR OFFICERS AND KEY EMPLOYEES AND 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.
DESCRIPTION FOR MAKING DOCUMENTS PUBLIC FORM 990, PART VI, SECTION C, LINE 19 THE UNIVERSITY OF ROCHESTER'S AUDITED FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC BY POSTING THEM ON THE UNIVERSITY'S WEBSITE. THE UNIVERSITY OF ROCHESTER'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE NOT ROUTINELY MADE AVAILABLE TO THE PUBLIC.
DETAIL OF INDEPENDENT CONTRACTOR PAYMENTS FORM 990, PART VII, SECTION B THE PAYMENT AMOUNTS LISTED FOR LECHASE CONSTRUCTION SERVICES, THE PIKE COMPANY, INC., AND DGA BUILDERS, LLC., REPRESENT THE ESTIMATED SERVICE COMPONENT OF THE TOTAL PAYMENTS MADE TO THESE VENDORS FOR CONSTRUCTION SERVICES.
STATES WHERE A COPY OF THE FORM 990 IS FILED FORM 990, PART VI, SECTION C, LINE 17 ALTHOUGH THE UNIVERSITY OF ROCHESTER IS LOCATED IN THE STATE OF NEW YORK, A COPY OF ITS FORM 990 IS NOT REQUIRED TO BE FILED WITH THE STATE, SINCE EDUCATIONAL INSTITUTIONS INCORPORATED UNDER THE NEW YORK STATE EDUCATION LAW ARE EXEMPT FROM FILING IN THE STATE OF NEW YORK.
DETAIL OF OTHER CHANGES IN NET ASSETS FORM 990, PART XI, LINE 5 OTHER CHANGES IN NET ASSETS IS COMPRISED OF THE FOLLOWING ITEMS: NET UNREALIZED DEPRECIATION $(108,175,489) CHANGE IN VALUATION OF ANNUITIES $ (1,619,290) TRANSFERS TO AFFILIATES $ (1,568,001) OTHER CHANGES $ (19,372,154) ______________ TOTAL $(130,734,934)
DELEGATION OF AUTHORITY PART VI, SECTION A, LINE 1a THE BY-LAWS OF THE UNIVERSITY PROVIDE FOR AN EXECUTIVE COMMITTEE THAT MAY EXERCISE ALL THE POWERS OF THE BOARD IN INTERVALS BETWEEN MEETINGS OF THE BOARD OF TRUSTEES, EXCEPT THAT THE EXECUTIVE COMMITTEE DOES NOT HAVE POWER (1) TO GRANT DEGREES, (2) TO REMOVE A TRUSTEE OR OFFICER, (3) TO ELECT TRUSTEES, THE CHAIR OF THE BOARD OR THE PRESIDENT, OR (4) TO AMEND, ALTER OR REPEAL THE BY-LAWS. THE 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.
SUPPLEMENTAL INFORMATION ON TAX EXEMPT BONDS FORM 990, SCHEDULE K PART II, LINE 3 BOND ISSUE 2003 A,B,C THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2003 A,B,C BOND ISSUE INCLUDES $1,489,139 IN INVESTMENT EARNINGS. BOND ISSUE 2004 A THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2004A BOND ISSUE INCLUDES $1,062,225 IN INVESTMENT EARNINGS. BOND ISSUE 2007 A-1, A-2, B THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2007 A-1, A-2, B BOND ISSUE INCLUDES $5,765,696 IN INVESTMENT EARNINGS. BOND ISSUE 2009 A,B,C,D,E THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2009 A,B,C,D,E BOND ISSUE INCLUDES $179,593 IN INVESTMENT EARNINGS. BOND ISSUE 2011 A,B THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2011 A,B BOND ISSUE INCLUDES $145,195 IN INVESTMENT LOSSES. PART I, ROW D, COLUMN C ADDITIONAL BOND CUSIP INFORMATION BOND ISSUE 2007 A-2 CUSIP #649903CK5 BOND ISSUE 2007 B CUSIP #649903CG4 BOND ISSUE 2011 CUSIP #61075TDC9
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:PAUL J BURGETT TITLE:VP AND GENERAL SECRETARY HOURS:2
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:BRADFORD C BERK TITLE:SR. VP HEALTH SCIENCE HOURS:
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:RONALD J PAPROCKI TITLE:SR. VP ADMIN & FINANCE, CFO HOURS:2
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:SUE S STEWART TITLE:SR VP AND GENERAL COUNSEL HOURS:2
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:STEVEN GOLDSTEIN TITLE:VICE PRESIDENT- URMC HOURS:16
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:MICHAEL C GOONAN TITLE:VICE PRESIDENT & CFO, URMC HOURS:1
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:RAYMOND J MAYEWSKI TITLE:VP, URMC OFC SR VP FOR HEALTH HOURS:9
HOURS DEVOTED FOR RELATED ORGANIZATION FORM 990 PART VII NAME:PETER G ROBINSON TITLE:VP&COO, MEDCTR & STRONG HEALTH HOURS:5
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2011

Additional Data


Software ID:  
Software Version:  
SCHEDULE R
(Form 990)
Department of the Treasury
Internal Revenue Service
Related Organizations and Unrelated Partnerships
MediumBulletComplete if the organization answered "Yes" to Form 990, Part IV, line 33, 34, 35, 36, or 37.
MediumBulletAttach to Form 990. MediumBullet See separate instructions.

OMB No. 1545-0047
2011
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
Identification of Disregarded Entities (Complete if the organization answered "Yes" on Form 990, Part IV, line 33.)
(a)
Name, address, and EIN of disregarded entity


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Total income
(e)
End-of-year assets


 		(f)
Direct controlling
entity







(1) UNIVERSITY OF ROCHESTER INVESTMENT LLC
266 WALLIS HALL
ROCHESTER,NY14627
16-0743209 		INVESTING DE 194,979 4,435,660 UNIV OF ROCH
 
(2) EXTENSIBLE CATALOG ORGANIZATION LLC
263 WALLIS HALL
ROCHESTER,NY14627
16-0743209 		TECH DEVELOP NY 80,946 44,538 UNIV OF ROCH
 
(3) SPRUCE RISK PURCHASING GROUP LLC
263 WALLIS HALL
ROCHESTER,NY14627
16-0743209 		INSURANCE NY 0 0 UNIV OF ROCH
 






Part II
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)
Name, address, and EIN of related organization


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Exempt Code section
(e)
Public charity status
(if section 501(c)(3))

 		(f)
Direct controlling
entity

 		(g)
Section 512(b)(13) controlled organization
Yes No
(1) HIGHLAND HOSPITAL OF ROCHESTER INC

1000 SOUTH AVENUE

ROCHESTER,NY14620
16-0743037 		HOSPITAL NY 501(C)(3) 3 SPHS
 
Yes
 
(2) THE HIGHLAND FOUNDATION INC

1000 SOUTH AVENUE

ROCHESTER,NY14620
23-7310662 		FUNDRAISING NY 501(C)(3) 7 HIGHLD HOSP
 
Yes
 
(3) HIGHLAND FACILITIES DEVELOPMENT CORP

1000 SOUTH AVENUE

ROCHESTER,NY14620
22-3039077 		MEDICAL BLDG NY 501(C)(3) 9 HIGHLD HOSP
 
Yes
 
(4) HIGHLAND COMMUNITY DEVELOPMENT CORP

100 HAHNEMANN TRAIL

PITTSFORD,NY14534
22-3154715 		ELDER CARE NY 501(C)(3) 9 SPHS
 
Yes
 
(5) THE HIGHLANDS LIVING CENTER INC

500 HAHNEMANN TRAIL

PITTSFORD,NY14534
22-3240227 		HEALTHCARE NY 501(C)(3) 9 SPHS
 
Yes
 
(6) THE MEADOWS AT WESTFALL INC

5901 LAC DE VILLE BLVD

ROCHESTER,NY14618
16-1502303 		HEALTHCARE NY 501(C)(3) 9 SPHS
 
Yes
 
(7) STRONG PARTNERS HEALTH SYSTEM INC

1000 SOUTH AVENUE

ROCHESTER,NY14620
16-1499099 		SUPPORT ORG NY 501(C)(3) 11A, 1 UNIV OF ROCH
 
Yes
 
(8) STRONG HOME CARE GROUP

2180 EMPIRE BOULEVARD

WEBSTER,NY14580
22-2577664 		FUNDRAISING NY 501(C)(3) 7 UNIV OF ROCH
 
Yes
 
(9) VISITING NURSE SRVC OF ROCHESTER & MONRO

2180 EMPIRE BOULEVARD

WEBSTER,NY14580
16-0743215 		HEALTHCARE NY 501(C)(3) 9 SHCG
 
Yes
 
(10) COMMUNITY CARE OF ROCHESTER

2180 EMPIRE BOULEVARD

WEBSTER,NY14580
16-1561691 		HEALTHCARE NY 501(C)(3) 9 SHCG
 
Yes
 
(11) EXCELL PARTNERS INC

5450 CAMPUS DRIVE

CANANDAIGUA,NY14424
20-1862628 		ECONOMIC DEV NY 501(C)(4) N/A UNIV OF ROCH
 
Yes
 
(12) ROCHESTER BIOVENTURE CENTER INC

601 ELMWOOD AVENUE

ROCHESTER,NY14642
20-2485999 		BIOTECH INCUB NY 501(C)(3) 11A, 1 UNIV OF ROCH
 
Yes
 
(13) HIGH TECH ROCHESTER INC

150 LUCIUS GORDON DRIVE SUITE 100

WEST HENRIETTA,NY14586
16-1195028 		BUSINESS INCU NY 501(C)(3) 7 UNIV OF ROCH
 
Yes
 
(14) EASTMAN DENTAL CENTER FOUNDATION INC

625 ELMWOOD AVENUE

ROCHESTER,NY14620
16-1529555 		SUPPORT ORG NY 501(C)(3) 11A, 1 NA
 
 
No
(15) THE JAMES P WILMOT FOUNDATION INC

387 E MAIN STREET

ROCHESTER,NY14604
22-2341413 		SUPPORT ORG NY 501(C)(3) 11D,III-OTH NA
 
 
No
(16) UR UA HELEN W RIVAS CO BANK OF AMERICA

C/O BANK OF AMERICA TRUSTEE PO BOX

PROVIDENCE,RI02901
16-6022853 		SUPPORT ORG NY 4947(A)(1) PF NA
 
 
No
(17) CRITTENDEN BOULEVARD HOUSING CO INC

249 NORTON VILLAGE LANE

ROCHESTER,NY14609
23-7035414 		SUPPORT ORG NY 501(C)(3) 11B, II UNIV OF ROCH
 
Yes
 
(18) UNIVERSITY OF ROCHESTER EMPLOYEE BEN TRS

910 GENESEE STREET SUITE 200

ROCHESTER,NY14611
16-1600112 		EMPL BEN TRST NY 501(C)(9) N/A UNIV OF ROCH
 
Yes
 
(19) JAMES P O'CONNOR CHARITABLE TRUST B

CO JP MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6304252 		SUPPORT ORG NY 501(C)(3) PF NA
 
 
No
(20) JOHN O'CONNOR TRUST FBO UNIV OF ROCESTER

CO JP MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6024304 		SUPPORT ORG NY 501(C)(3) PF NA
 
 
No
(21) WILHELMINA C O'CONNOR TRUST

CO JP MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6024303 		SUPPORT ORG NY 501(C)(3) 11D,III-OTH NA
 
 
No
(22) UR RIVAS CLINIC UA HELEN W RIVAS

CO BANK OF AMERICA TRUSTEE PO BOX

PROVIDENCE,RI02901
16-6022850 		SUPPORT ORG NY 501(C)(3) 11D,III-OTH NA
 
 
No
(23) WINFIELD SCOTT CHARITABLE TRUST

CO JP MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6260266 		SUPPORT ORG NY 501(C)(3) 11D,111-OTH NA
 
 
No
(24) WINIFRED SPERRY TW EASTMAN

CO KEY BANK TRUSTEE 4900 TIEDMAN

BROOKLYN,OH44144
14-6080065 		SUPPORT ORG NY 4947(A)(1) PF NA
 
 
No
(25) ANNA J ALLEN TRUST

CO JP MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6015938 		SUPPORT ORG WI 501(C)(3) 11D,111-OTH NA
 
 
No
(26) TW ETTA BASCOM FBO SMH CANCER UNIT

CO JO MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6055197 		SUPPORT ORG NY 4947(A)(1) 11D,III-OTH NA
 
 
No
(27) VIOLA DEREU FB UR & CAMP GOOD DAYS

CO JP MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6356625 		SUPPORT ORG NY 501(C)(3) PF NA
 
 
No
(28) ROBERT P GIDDINGS TRUST CO TAYLOR

GANSON PERRIN 160 FEDERAL ST20T

BOSTON,MA02110
04-6660588 		SUPPORT ORG MA 501(C)(3) 11A, 1 NA
 
 
No
(29) TRUST UW CECIL M HAYES SCHOLARSHIP FUND

CO ALLIANCE BANK 160 MAIN STREET

ONEIDA,NY13421
16-6152521 		SUPPORT ORG NY 501(C)(3) PF NA
 
 
No
(30) AUGUSTA LANEY HOENIG TRUST

CO JP MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6096268 		SUPPORT ORG NY 501(C)(3) 11D,111-OTH NA
 
 
No
(31) FREDERICK F O'CONNOR TRUST

CO JP MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6016373 		SUPPORT ORG NY 501(C)(3) 11D,III-OTH NA
 
 
No
(32) JP O'CONNOR MEMORIAL TRUST

CO JP MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6024306 		SUPPORT ORG NY 501(C)(3) PF NA
 
 
No
(33) U OF R BROADCASTING CORPORATION

201 WILSON COMMONS

ROCHESTER,NY14627
16-0743209 		BROADCAST LIC NY 501(C)(4) N/A UNIV OF ROCH
 
Yes
 
(34) UR REAL ESTATE CORPORATION

263 WALLIS HALL

ROCHESTER,NY14627
27-1140014 		SUPPORT ORG NY 501(C)(3) 11D,III-OTH UNIV OF ROCH
 
Yes
 
(35) FRAMEMED FOUNDATION INC

263 WALLIS HALL

ROCHESTER,NY14627
16-1490497 		SUPPORT ORG NY 501(C)(3) 7 UNIV OF ROCH
 
Yes
 
(36) MELIORA REAL ESTATE CORPORATION

263 WALLIS HALL

ROCHESTER,NY14627
45-2464788 		SUPPORT ORG NY 501(C)(3) 11A, 1 UNIV OF ROCH
 
Yes
 
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
Page 2
Part III
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)
Name, address, and EIN of
related organization



 		(b)
Primary activity




 		(c)
Legal
domicile
(state or foreign
country)


 		(d)
Direct controlling
entity



 		(e)
Predominant income(related, unrelated, excluded from tax under sections 512-514)

(f)
Share of total income




 		(g)
Share of end-of-year
assets



 		(h)
Disproprtionate allocations?




 		(i)
Code V—UBI
amount in box 20 of
Schedule K-1
(Form 1065)
 		(j)
General or
managing
partner?



 		(k)
Percentage
ownership
Yes No Yes No












Part IV
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)
Name, address, and EIN of related organization



 		(b)
Primary activity



 		(c)
Legal domicile
(state or
foreign
country)
 		(d)
Direct controlling
entity


 		(e)
Type of entity
(C corp, S corp,
or trust)

 		(f)
Share of total income



 		(g)
Share of
end-of-year
assets

 		(h)
Percentage
ownership
(1) MEDICAL ADMINISTRATIVE ASSOCIATES INC
777 SOUTH CLINTON AVENUE
ROCHESTER,NY14620
16-1354319 		RETAIL PHARMA NY NA
  		C CORP      
(2) UR EQUITY HOLDINGS INC
110 OFFICE PARK WAY
PITTSFORD,NY14534
27-3040889 		HOLDING CO NY UNIV OF ROCH
  		C CORP   1 100.000 %
(3) CHARITABLE REMAINDER TRUSTS (27)
 
 
N/A NY NA
  		TRUST      
(4) POOLED INCOME FUNDS (3)
 
 
N/A NY NA
  		TRUST      






Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
Page 3
Part V
Transactions With Related Organizations (Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35, 35A, or 36.)
Note. Complete line 1 if any entity is listed in Parts II, III or IV.
Yes
No
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 (iv) rent from a controlled entity . . . . . . . . . . . . . . . . . . . . . . .
1a
Yes
 
b Gift, grant, or capital contribution to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1b
Yes
 
c Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1c
Yes
 
d Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1d
Yes
 
e Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1e
 
No
f Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
Yes
 
k Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1k
Yes
 
l Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
Yes
 
m Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .
1m
 
No
n Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1n
 
No
o Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
Yes
 
p Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
Yes
 
q Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
Yes
 
r Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
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)
Name of other organization 		(b)
Transaction
type(a-r) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) HIGHLAND HOSPITAL OF ROCHESTER INC

 J 280,776 RENTAL COST
(2) HIGHLAND HOSPITAL OF ROCHESTER INC

 L 6,479,223 SERVICE COST
(3) HIGHLAND HOSPITAL OF ROCHESTER INC

 Q 26,189,523 PATIENT COST
(4) EXCELL PARTNERS INC

 B 495,101 FMV GRANT
(5) EXCELL PARTNERS INC

 B 232,000 FMV GIFT
(6) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 L 159,137 SERVICE COST
(7) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 D 350,000 FMV LOAN
(8) ROCHESTER BIOVENTURE CENTER INC

 B 140,000 FMV GRANT
(9) ROCHESTER BIOVENTURE CENTER INC

 J 1,095,526 RENTAL COST
(10) THE MEADOWS AT WESTFALL INC

 B 1,352,000 FMV GIFT
(11) THE HIGHLAND FOUNDATION INC

 B 147,079 FMV GIFT
(12) HIGHLAND HOSPITAL OF ROCHESTER INC

 K 61,929,146 SERVICE COST
(13) HIGHLAND HOSPITAL OF ROCHESTER INC

 P 220,646 NET EXPENSES
(14) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 K 200,714 SERVICE COST
(15) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 P 102,898 NET EXPENSES
(16) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 A 301 INTEREST COST
(17) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 R 75,809 PRINCIPAL COST
(18) ROCHESTER BIOVENTURE CENTER INC

 P 81,480 NET EXPENSES
(19) THE HIGHLANDS LIVING CENTER INC

 K 159,818 SERVICE COST
(20) THE MEADOWS AT WESTFALL INC

 K 454,313 SERVICE COST
(21) HIGHLAND COMMUNITY DEVELOPMENT CORP

 K 52,620 SERVICE COST
(22) CRITTENDEN BOULEVARD HOUSING COMPANY INC

 P 384,720 NET EXPENSES
(23) CRITTENDEN BOULEVARD HOUSING COMPANY INC

 J 83,782 RENTAL COST
(24) UR REAL ESTATE CORPORATION

 A 284,817 INTEREST COST
Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
Page 4
Part VI
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)
Name, address, and EIN of entity 		(b)
Primary activity 		(c)
Legal domicile
(state or foreign
country) 		(d)
Predominant income(related, unrelated, excluded from tax under sections 512-514)

(e)
Are all
partners
section
501(c)(3)
organizations? 		(f)
Share of total income




 		(g)
Share of
end-of-year
assets 		(h)
Disproprtionate allocations? 		(i)
Code V—UBI
amount in box
20 of Schedule K-1
(Form 1065) 		(j)
General or
managing
partner? 		(k)
Percentage
ownership
Yes No Yes No Yes No






























Schedule R (Form 990) 2011
Schedule R (Form 990) 2011
Page 5
Part VII
Supplemental Information
Complete this part to provide additional information for responses to questions on Schedule R (see instructions).
Identifier Return Reference Explanation
Additional Data


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