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 private foundations)
MediumBullet Do not enter Social Security numbers on this form as it may be made public. By law, the IRS
generally cannot redact the information on the form.
MediumBullet Information about Form 990 and its instructions is at www.IRS.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
A For the 2013 calendar year, or tax year beginning 07-01-2013 , 2013, and ending 06-30-2014
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 Suit
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
ROCHESTER, NY146113847
D Employer identification number

16-0743209
E Telephone number

G Gross receipts $ 4,133,004,346
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
subordinates?
H(b)
Are all subordinates
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 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 44
5 Total number of individuals employed in calendar year 2013 (Part V, line 2a) ...... 5 28,551
6 Total number of volunteers (estimate if necessary) ............. 6 7,073
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 10,953
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b -3,013,862
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 368,529,261 356,349,742
9 Program service revenue (Part VIII, line 2g) ......... 2,225,089,513 2,366,474,111
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 132,076,317 117,138,508
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 25,248,793 27,286,495
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)................... 2,750,943,884 2,867,248,856
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 162,473,998 177,930,185
14 Benefits paid to or for members (Part IX, column (A), line 4)..... 0 0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 1,606,722,641 1,676,283,529
16a Professional fundraising fees (Part IX, column (A), line 11e)..... 280,432 391,353
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet41,676,525    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 886,457,310 921,931,552
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 2,655,934,381 2,776,536,619
19 Revenue less expenses. Subtract line 18 from line 12....... 95,009,503 90,712,237
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 4,385,214,942 4,954,770,249
21 Total liabilities (Part X, line 26)............. 1,668,708,570 1,878,140,871
22 Net assets or fund balances. Subtract line 21 from line 20..... 2,716,506,372 3,076,629,378
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 MediumBullet

Firm's EIN MediumBullet
Firm's address MediumBullet



Phone no.
May the IRS discuss this return with the preparer shown above? (see instructions) ............
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y
Form 990 (2013)
Form 990 (2013)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response or note to any line 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 are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported.
4a (Code:   ) (Expenses $ 592,911,736 including grants of $ 177,904,185 ) (Revenue $ 457,418,250 )
EDUCATIONAL ACTIVITIES - THE UNIVERSITY IS COMPRISED OF SIX SCHOOLS OFFERING PROGRAMS FROM UNDERGRADUATE TO POST-DOCTORAL DEGREES. THESE ARE THE SCHOOL OF ARTS AND SCIENCES, THE HAJIM SCHOOL OF ENGINEERING, THE WARNER SCHOOL OF EDUCATION AND HUMAN DEVELOPMENT, EASTMAN SCHOOL OF MUSIC, SIMON GRADUATE SCHOOL OF BUSINESS ADMINISTRATION, SCHOOL OF NURSING, AND SCHOOL OF MEDICINE AND DENTISTRY. THERE ARE ALSO A NUMBER OF IMPORTANT CENTERS OF ACADEMIC EXCELLENCE, FOR EXAMPLE, THE INSTITUTE OF OPTICS, THE LABORATORY FOR LASER ENERGETICS, THE WILMOT CANCER CENTER, AND THE FLAUM EYE INSTITUTE. THE FULL-TIME FACULTY OF THE SCHOOL OF MEDICINE AND DENTISTRY PROVIDE CLINICAL SERVICES AS PART OF THE ACADEMIC MEDICAL PROGRAM; THIS ACTIVITY OCCURS 100 PERCENT WITHIN THE MEDICAL SCHOOL AND IS INTERNALLY ORGANIZED AND SUPERVISED AS URMFG OR UNIVERSITY OF ROCHESTER MEDICAL FACULTY GROUP. THERE ARE 1,329 FULL-TIME TENURED FACULTY MEMBERS AND 10,606 UNDERGRADUATE AND GRADUATE STUDENTS ENROLLED IN THE UNIVERSITY. THE UNIVERSITY HAS ALWAYS PLACED FINANCIAL AID FOR ITS STUDENTS AMONG ITS HIGHEST PRIORITIES. THE AVERAGE SCHOLARSHIP COVERS ABOUT 40 PERCENT OF THE COST OF ATTENDING THE UNIVERSITY OF ROCHESTER. THE UNIVERSITY IS COMMITTED TO OFFERING THE HIGHEST QUALITY EDUCATION TO ITS STUDENTS, REGARDLESS OF THEIR ECONOMIC CIRCUMSTANCES OR BACKGROUND. FOR EXAMPLE, THE UNIVERSITY HAS A PROGRAM TO EXPAND HIGHER EDUCATION OPPORTUNITIES FOR STUDENTS FROM THE ROCHESTER CITY SCHOOL DISTRICT (RCSD), A DISTRICT WITH ONE OF THE HIGHEST POVERTY AND SCHOOL DROPOUT RATES IN NEW YORK STATE. THE UNIVERSITY PROVIDES $25,000 PER YEAR FOR FOUR YEARS TO EVERY GRADUATE OF THE SCHOOL DISTRICT WHO IS ADMITTED TO THE UNIVERSITY'S COLLEGE OF ARTS, SCIENCES AND ENGINEERING; THIS IS EQUIVALENT TO AN AWARD OF $100,000 FOR EACH STUDENT. THROUGH THE ENDOWMENT, THE UNIVERSITY PERPETUATES AND ENHANCES ITS EDUCATIONAL, RESEARCH, CLINICAL CARE PROGRAMS AND PUBLIC SERVICE MISSIONS. THIS COMMITMENT REQUIRES AN ENDOWMENT PAYOUT OF 5.9 PERCENT CALCULATED ON A ROLLING FIVE-YEAR AVERAGE OF THE ENDOWMENT'S MARKET VALUE. THE UNIVERSITY'S ENDOWMENT CONSISTS LARGELY OF INDIVIDUAL FUNDS THANKS TO THE GENEROSITY OF CHARITABLE DONORS. THE DONORS OF THESE GIFTS OFTEN SPECIFY AND RESTRICT THE PURPOSES FOR WHICH THE INCOME MAY BE SPENT TO ENSURE LONG-TERM BENEFITS.
4b (Code:   ) (Expenses $ 284,559,668 including grants of $ 0 ) (Revenue $ 91,312,899 )
SPONSORED RESEARCH ACTIVITIES - THE UNIVERSITY IS A CENTER FOR PROGRAMS OF RESEARCH. MUCH OF THE RESEARCH IS FUNDED IN SUBSTANTIAL PART BY PRIVATE AND GOVERNMENTAL AGENCIES. RESEARCH IS UNDERTAKEN IN THE PUBLICS' INTEREST AND ALL RESULTS ARE AVAILABLE TO THE PUBLIC. DURING THE 2013-2014 FISCAL YEAR, THERE WERE 5,578 GRANTS AND CONTRACTS IN EFFECT THAT TOTALED $344,622,203 IN REVENUE.
4c (Code:   ) (Expenses $ 1,624,607,048 including grants of $ 0 ) (Revenue $ 1,746,294,121 )
SERVICES OF HOSPITAL AND CLINICS- THE UNIVERSITY OF ROCHESTER (THE "UNIVERSITY") TO SUPPORT THE TEACHING AND RESEARCH MISSIONS OF ITS SCHOOL OF MEDICINE AND DENTISTRY AND ITS SCHOOL OF NURSING OPERATES A TERTIARY CARE, TEACHING HOSPITAL THAT PROVIDES HEALTH CARE SERVICES THROUGH ITS INPATIENT, OUTPATIENT AND EMERGENCY FACILITIES. THE MEDICAL STAFF OF THE HOSPITAL IS THE FACULTY OF THE SCHOOL OF MEDICINE AND DENTISTRY. THE ACADEMIC DEPARTMENT CHAIRS ALSO FUNCTION AS THE DEPARTMENT HEADS OF THE MEDICAL SERVICES IN THE HOSPITAL. THERE ARE EXTENSIVE INTERN AND RESIDENT PROGRAMS. THE HOSPITAL PROVIDES CARE REGARDLESS OF THE PATIENT'S ABILITY TO PAY FOR SERVICES. THERE WERE 271,452 PATIENT DAYS AND 1,361,273 EMERGENCY AND CLINICAL VISITS DURING THE 2013-2014 FISCAL YEAR. IN ADDITION TO BEING A TEACHING FACILITY, THE HOSPITAL OPERATES IN A CHARITABLE MANNER CONSISTENT WITH THE REQUIREMENTS OF INTERNAL REVENUE CODE SECTION 501(C)(3) AND THE "COMMUNITY BENEFIT STANDARD" OF IRS REVENUE RULING 69-545. IN THIS REGARD, THE GOVERNING BODY OF THE ORGANIZATION IS COMPOSED OF PROMINENT CITIZENS IN THE COMMUNITY. MEDICAL STAFF PRIVILEGES IN THE HOSPITAL ARE AVAILABLE TO ALL QUALIFIED PHYSICIANS IN THE AREA WHO ALSO CAN QUALIFY AS FULL OR PART-TIME FACULTY OF THE SCHOOL OF MEDICINE AND DENTISTRY; THE HOSPITAL MAINTAINS A FULL-TIME EMERGENCY ROOM OPEN TO ALL REGARDLESS OF ABILITY TO PAY; THE HOSPITAL PROVIDES CARE TO NEEDY MEMBERS OF ITS COMMUNITY WITH ITS CHARITY CARE POLICY REGARDLESS OF THEIR ABILITY TO PAY FOR SERVICES AND ADMITS AS PATIENTS THOSE ABLE TO PAY FOR CARE, EITHER THEMSELVES OR THROUGH THIRD-PARTY PAYERS SUCH AS PRIVATE HEALTH INSURANCE OR GOVERNMENT PROGRAMS SUCH AS MEDICARE AND MEDICAID. THE HOSPITAL'S EXCESS FUNDS ARE GENERALLY APPLIED TO EXPANSION AND REPLACEMENT OF EXISTING FACILITIES AND EQUIPMENT, MEDICAL RESEARCH, AMORTIZATION OF INDEBTEDNESS, IMPROVEMENTS IN PATIENT CARE, COMMUNITY BENEFIT ACTIVITIES AND CHARITY CARE.
4d Other program services (Describe in Schedule O.)
(Expenses $ 90,585,833 including grants of $ 0 ) (Revenue $ 71,448,841 )
4e Total program service expensesMediumBullet2,592,664,285
Form 990 (2013)
Form 990 (2013)
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 (see instructions)? ...
2
 
No
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, or have a section 501(h) election in effect during the tax year? 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 for escrow or custodial account liability; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt 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, line 10?
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 VIIClick 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 VIIIClick 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 IXClick 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 XClick 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 XClick 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 and XII 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 and XII 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, Parts I and IV......... 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 other assistance to or for any foreign organization? If “Yes,” complete Schedule F, Parts II and IVClick 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 other assistance to or for foreign individuals? If “Yes,” complete Schedule F, Parts III and IV... 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 I (see instructions).... Click 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 hospital facilities? 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 statements to this return? Click to see list of attachments
20b
Yes
 
Form 990 (2013)
Form 990 (2013)
Page 4
Part IV
Checklist of Required Schedules (continued)
21
Did the organization report more than $5,000 of grants or other assistance to any domestic organization or government on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II... Click to see attachment
21
Yes
 
22
Did the organization report more than $5,000 of grants or other assistance to individuals in the United States on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III........ Click to see attachment
22
Yes
 
23
Did the organization answer "Yes" to Part VII, Section A, line 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 lines 24b through 24d and complete Schedule K. If “No,” go to line 25a................ 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
Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons? If so, 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 direct or indirect 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 M..Click 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, Part II, III, or IV, and Part 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 11b and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Form 990 (2013)
Form 990 (2013)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response or note to any line in this Part V ..............
Yes
No
1a
Enter the number reported in Box 3 of Form 1096 Enter -0- if not applicable ..
1a
12,597
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
28,551
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” to line 3b, 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, securities account, or other financial 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 as charitable contributions?...
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. See the instructions for additional information the organization must report on Schedule O.
13a
 
 
b
Enter the amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans ....
13b
 
c
Enter the amount of reserves on hand ............
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O..
14b
 
No
Form 990 (2013)
Form 990 (2013)
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 or note to any line 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 .....................
1a
50
If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
b
Enter the number of voting members included in line 1a, above, who are independent ...................
1b
44
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
Yes
 
3
Did the organization delegate control over management duties customarily performed by or under the direct 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 this Form 990. .....
12a
Did the organization have a written conflict of interest policy? If "No," go to line 13.......
12a
Yes
 
b
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ..........................
12b
Yes
 
c
Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe in Schedule 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
Yes
 
b
If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization’s exempt status with respect to such arrangements? ............
16b
Yes
 
Section C. Disclosure
17
List the States with which a copy of this Form 990 is required to be 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:
MediumBulletRONALD J PAPROCKI208 WALLIS HALLROCHESTERNY14627 (585) 275-2800
Form 990 (2013)
Form 990 (2013)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response or note to any line 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. 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 organization compensated any current officer, director, or trustee.
(A)
Name and Title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(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; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(1) JOEL SELIGMAN........................................................................
TRUSTEE, PRESIDENT & CEO
 80.0
.......................0.0 		X   X       784,336 0 276,371
(2) RICHARD T AAB........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(3) MARK S AIN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(4) NAOMI M BERGMAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(5) LAURENCE H BLOCH........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(6) JOHN H BRUNING........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(7) WILLIAM M CARPENTER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(8) ARUNAS A CHESONIS........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(9) CAROL JOHN A DAVIDSON........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(10) LAUNCELOT F DRUMMOND........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(11) BERNARD T FERRARI MD........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(12) DAVID FLAUM........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(13) BARRY W FLORESCUE........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(14) ROGER B FRIEDLANDER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(15) ANI GABRELLIAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(16) ROBERT B GOERGEN........................................................................
CHAIR EMERITUS
 2.0
.......................0.0 		X           0 0 0
(17) GWEN MELTZER GREENE........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
Form 990 (2013)
Form 990 (2013)
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 (list any hours for related organizations below dotted line) 		(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; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(18) PAUL F GRINER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(19) EDMUND A HAJIM........................................................................
CHAIR
 3.0
.......................0.0 		X   X       0 0 0
(20) RICHARD B HANDLER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(21) ALAN F HILFIKER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(22) CAROL D KARP........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(23) ROBERT KEEGAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(24) JOHN M KELLY........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(25) LAURENCE KESSLER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(26) EVANS Y LAM........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(27) LOUIS G LANGE MD........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(28) NANCY A LIEBERMAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(29) GAIL A LIONE........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(30) CATHY E MINEHAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(31) NATHAN F MOSER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(32) KATHLEEN ANN MURRAY........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(33) SANDRA A PARKER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(34) PHILIP A PIZZO MD........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(35) FRANCIS L PRICE........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(36) RONALD RETTNER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(37) THOMAS S RICHARDS........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(38) MICHAEL S ROSEN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(39) RICHARD E SANDS........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(40) THOMAS R SLOAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(41) HUGO F SONNENSCHEIN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(42) KATHY N WALLER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(43) DANIEL R WEGMAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(44) TIMOTHY C WENTWORTH........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(45) RALPH R WHITNEY JR........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(46) JANICE M WILLETT........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(47) THOMAS C WILMOT SR........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(48) NATHANIEL WISCH MD........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(49) G ROBERT WITMER JR........................................................................
CHAIR EMERITUS
 3.0
.......................0.0 		X           0 0 0
(50) JAMES C WYANT........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(51) PAUL J BURGETT........................................................................
VP AND SR ADVISOR-PRES & DEAN
 40.0
.......................0.0 		    X       156,650 0 28,977
(52) ROBERT L CLARK........................................................................
SRVP RESEARCH&DEAN HAJIM ASE
 55.0
.......................0.0 		    X       570,660 0 95,691
(53) PETER LENNIE........................................................................
PROVOST & DEAN OF FACULTY-ASE
 60.0
.......................0.0 		    X       587,174 0 75,870
(54) LAMAR MURPHY........................................................................
GENL SECRETARY&CHIEF OF STAFF
 55.0
.......................0.0 		    X       251,946 0 35,213
(55) WILLIAM M MURPHY........................................................................
VP FOR COMMUNICATIONS
 55.0
.......................0.0 		    X       247,613 0 35,381
(56) GAIL M NORRIS........................................................................
VP AND GENERAL COUNSEL
 60.0
.......................2.0 		    X       377,199 0 53,321
(57) RONALD J PAPROCKI........................................................................
SR. VP ADMIN & FINANCE, CFO
 65.0
.......................2.0 		    X       651,897 0 148,280
(58) DOUGLAS W PHILLIPS........................................................................
SR. VP INSTITUTIONAL RESOURCES
 62.0
.......................0.0 		    X       634,689 0 39,840
(59) MARK B TAUBMAN........................................................................
DEAN,SMD;VP FOR HEALTH SCIENCE
 75.0
.......................0.0 		    X       744,672 0 149,860
(60) JAMES D THOMPSON Till 414........................................................................
SR. VP & CHIEF ADV. OFFICER
 75.0
.......................0.0 		    X       675,221 0 90,334
(61) STEVEN GOLDSTEIN........................................................................
URMC VP, PRES/CEO SMH & HH
 55.0
.......................16.0 		      X     946,186 0 263,006
(62) MICHAEL C GOONAN........................................................................
VICE PRESIDENT & CFO, URMC
 55.0
.......................2.0 		      X     1,059,374 0 633,278
(63) RAYMOND J MAYEWSKI........................................................................
VP, URMC
 51.0
.......................9.0 		      X     580,688 0 109,496
(64) PETER G ROBINSON........................................................................
VP&COO, MEDCTR & STRONG HEALTH
 55.0
.......................5.0 		      X     1,263,122 0 440,927
(65) MICHAEL ROTONDO........................................................................
CEO, URFMG
 55.0
.......................0.0 		      X     418,094 0 59,465
(66) LEONARD J SHUTE TILL 12-13........................................................................
ASSOC VP & SR DIR FINANCE/CFO
 55.0
.......................16.0 		      X     1,051,769 0 178,472
(67) MARC D BROWN MD........................................................................
PROF-DERMATOLOGY M&D
 60.0
.......................0.0 		        X   1,591,271 0 43,631
(68) MICHAEL D MALONEY MD........................................................................
ASSOC. PROF-ORTHOPAEDICS M&D
 86.0
.......................0.0 		        X   1,407,511 0 280,865
(69) JEFFREY H PETERS MD........................................................................
PROF CHAIR- DEPT OF SURGERY
 73.0
.......................0.0 		        X   1,270,695 0 44,779
(70) ILYA VOLOSHIN........................................................................
PROFESSOR-ORTHOPAEDICS M&D
 55.0
.......................0.0 		        X   1,110,045 0 53,588
(71) ELIZABETH R MCANARNEY........................................................................
FORMER KEY EMPLOYEE
 45.0
.......................0.0 		          X 136,716 0 21,040
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)............MediumBullet 16,517,528 0 3,157,685
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organizationMediumBullet2,479
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
LECHASE CONSTRUCTION SERVICES, 300 TROLLEY BLVDROCHESTERNY14606 CONSTRUCTION SRVCS 20,089,219
THE PIKE COMPANY, ONE CIRCLE STREETROCHESTERNY14607 CONSTRUCTION SRVCS 7,268,208
DELOITTE TAX LLP, NY-2 WORLD FINANCIAL CENTERNEW YORKNY10281 CONSULTING SRVCS 4,303,253
DGA BUILDERS LLC, 333 W COMMENCIAL ST SUITE 1500EAST ROCHESTERNY14445 CONSTRUCTION SRVCS 3,864,269
EPIC SYSTEMS CORP, 1979 MILKY WAYVERONAWI53593 TRAINING & SUPPORT 3,710,262
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet408
Form 990 (2013)
Form 990 (2013)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII .............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512-514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a 404,749
b Membership dues....1b  
c Fundraising events....1c 2,494,540
d Related organizations...1d 1,932,000
e Government grants (contributions)1e 253,309,304
f All other contributions, gifts, grants, and
similar amounts not included above1f 		98,209,149
g Noncash contributions included in lines
1a-1f:$ 		21,708,876
h Total. Add lines 1a-1f.......MediumBullet 356,349,742
Program Service RevenueAmt Business Code
2a SERVICES OF HOSPITALS AND CLINICS 622110 1,746,294,121 1,743,365,894   2,928,227
b EDUCATIONAL ACTIVITIES 611310 457,418,250 457,418,250    
c RESEARCH & OTHER CONTRACTS 900099 91,312,899 91,312,899    
d AUXILIARY ENTERPRISES 900099 71,448,841 46,800,205   24,648,636
e
f All other program service revenue .        
g Total. Add lines 2a–2f........MediumBullet 2,366,474,111
OtherAmt RevenueAmt 3 Investment income (including dividends, interest, and other similar amounts).......MediumBullet 77,602,668   -572,758 78,175,426
4 Income from investment of tax-exempt bond proceeds..MediumBullet 0      
5 Royalties...........MediumBullet 26,024,617     26,024,617
(i) Real (ii) Personal
6a Gross rents    
b Less: rental expenses    
c Rental income or (loss) 0 0
d Net rental income or (loss).......MediumBullet 0      
(i) Securities (ii) Other
7a Gross amount from sales of assets other than inventory 1,304,110,130  
b Less: cost or other basis and sales expenses 1,264,574,290  
c Gain or (loss) 39,535,840  
d Net gain or (loss)..........MediumBullet 39,535,840     39,535,840
8a Gross income from fundraising events (not including
$ 2,494,540
of contributions reported on line 1c). See Part IV, line 18 ..
a 1,859,367
b Less: direct expenses ...b 1,181,200
c Net income or (loss) from fundraising events..MediumBullet 678,167   678,167
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 RESEARCH LABS 900099 322,410   322,410  
b ATHLETIC FEES 900099 28,145   28,145  
c MAG ROOM RENTAL 900099 153,372   153,372  
d All other revenue .... 79,784   79,784  
e Total. Add lines 11a–11d ...... MediumBullet 583,711
12 Total revenue. See Instructions......MediumBullet 2,867,248,856 2,338,897,248 10,953 171,990,913
Form 990 (2013)
Form 990 (2013)
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).Check if Schedule O contains a response or note to any line 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 26,000 26,000
2 Grants and other assistance to individuals in the United States. See Part IV, line 22 177,904,185 177,904,185
3 Grants and other assistance to governments, organizations, and individuals outside the United States. See Part IV, lines 15 and 16 0  
4 Benefits paid to or for members 0  
5 Compensation of current officers, directors, trustees, and key employees .... 16,087,425 12,166,212 2,944,128 977,085
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 1,040,269 1,040,269 0 0
7 Other salaries and wages 1,280,700,230 1,212,630,856 46,736,781 21,332,593
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 79,286,429 75,479,878 2,399,144 1,407,407
9 Other employee benefits ....... 215,566,156 205,216,800 6,522,860 3,826,496
10 Payroll taxes ........... 83,603,020 79,589,229 2,529,761 1,484,030
11 Fees for services (non-employees):        
a Management ...... 1,498,867 1,498,867 0 0
b Legal ......... 4,039,611 3,874,666 95,713 69,232
c Accounting ........... 1,302,132 0 1,302,132 0
d Lobbying ........... 280,000 280,000 0 0
e Professional fundraising services. See Part IV, line 17 391,353 391,353
f Investment management fees ...... 36,306,000   36,306,000  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) ........ 68,867,899 65,422,598 1,445,989 1,999,312
12 Advertising and promotion .... 1,708,828 1,694,790 0 14,038
13 Office expenses ....... 99,821,258 91,669,827 5,483,684 2,667,747
14 Information technology ...... 4,871,282 4,488,806 139,836 242,640
15 Royalties .. 0      
16 Occupancy ........... 141,201,776 140,173,301 938,773 89,702
17 Travel ............ 15,496,716 10,129,264 882,343 4,485,109
18 Payments of travel or entertainment expenses for any federal, state, or local public officials ...... 0      
19 Conferences, conventions, and meetings .... 12,237,223 11,365,873 544,587 326,763
20 Interest ........... 33,584,528 29,624,912 3,351,736 607,880
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization ..... 154,933,163 144,918,421 9,234,017 780,725
23 Insurance .............. 5,116,360 4,332,952 783,408 0
24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24e. If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule O.)
a MEDICAL SUPPLIES 278,908,902 278,908,902 0 0
b PROVISION FOR DOUBTFUL ACCTS 17,864,908 17,864,908 0 0
c FOOD SERVICE PROGRAM 13,532,713 13,532,713 0 0
d OTHER-UBIT STATE TAX PAID 55,678 55,678 0 0
e All other expenses 30,303,708 8,774,378 20,554,917 974,413
25 Total functional expenses. Add lines 1 through 24e 2,776,536,619 2,592,664,285 142,195,809 41,676,525
26 Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here MediumBullet if following SOP 98-2 (ASC 958-720).        
Form 990 (2013)
Form 990 (2013)
Page 11
Part X Balance Sheet Check if Schedule O contains a response or note to any line in this Part X ..............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash–non-interest-bearing ............. 0 1 0
2 Savings and temporary cash investments ......... 372,344,754 2 323,906,315
3 Pledges and grants receivable, net ........... 143,814,020 3 144,258,065
4 Accounts receivable, net ............. 228,202,939 4 259,755,985
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of
Schedule L ..................
0 5 0
6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and sponsoring organizations of section 501(c)(9) voluntary employees' beneficiary organizations (see instructions) Complete Part II of Schedule L
0 6 0
7 Notes and loans receivable, net ............. 20,979,144 7 20,247,881
8 Inventories for sale or use .............. 28,378,405 8 30,329,733
9 Prepaid expenses and deferred charges .......... 18,778,289 9 21,994,016
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 3,362,357,181
b Less: accumulated depreciation ..... 10b 1,815,967,883 1,457,452,212 10c 1,546,389,298
11 Investments—publicly traded securities .......... 761,105,963 11 934,896,035
12 Investments—other securities. See Part IV, line 11 ..... 1,264,164,347 12 1,587,966,700
13 Investments—program-related. See Part IV, line 11 ..... 0 13 0
14 Intangible assets ............... 0 14 0
15 Other assets. See Part IV, line 11 ........... 89,994,869 15 85,026,221
16 Total assets. Add lines 1 through 15 (must equal line 34)...... 4,385,214,942 16 4,954,770,249
Liabilities 17 Accounts payable and accrued expenses ......... 391,706,964 17 339,518,515
18 Grants payable ................. 0 18 0
19 Deferred revenue ................ 29,642,825 19 30,109,256
20 Tax-exempt bond liabilities ............. 726,452,838 20 889,184,452
21 Escrow or custodial account liability. Complete Part IV of Schedule D.. 0 21 0
22 Loans and other payables to current and former officers, directors, trustees, key employees, highest compensated employees, and disqualified
persons. Complete Part II of Schedule L.......... 0 22 0
23 Secured mortgages and notes payable to unrelated third parties .. 59,791,497 23 126,411,044
24 Unsecured notes and loans payable to unrelated third parties .... 16,779,406 24 7,553,398
25 Other liabilities (including federal income tax, payables to related third parties, and other liabilities not included on lines 17-24). Complete Part X of Schedule D.................... 444,335,040 25 485,364,206
26 Total liabilities. Add lines 17 through 25......... 1,668,708,570 26 1,878,140,871
Net Assets or Fund Balance Organizations that follow SFAS 117 (ASC 958), check here MediumBullet and complete lines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets .............. 1,751,574,535 27 1,946,130,835
28 Temporarily restricted net assets ........... 559,346,114 28 674,193,190
29 Permanently restricted net assets ........... 405,585,723 29 456,305,353
Organizations that do not follow SFAS 117 (ASC 958), 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 ........... 2,716,506,372 33 3,076,629,378
34 Total liabilities and net assets/fund balances ........ 4,385,214,942 34 4,954,770,249
Form 990 (2013)
Form 990 (2013)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response or note to any line in this Part XI ..............
1
Total revenue (must equal Part VIII, column (A), line 12) ............
1
2,867,248,856
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
2,776,536,619
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
90,712,237
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
2,716,506,372
5
Net unrealized gains (losses) on investments ...............
5
266,543,426
6
Donated services and use of facilities .................
6
 
7
Investment expenses .....................
7
 
8
Prior period adjustments .....................
8
 
9
Other changes in net assets or fund balances (explain in Schedule O) ........
9
2,867,343
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
3,076,629,378
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response or note to any line 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
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both:
b
Were the organization’s financial statements audited by an independent accountant?
2b
Yes
 
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis, or both:
c
If "Yes," to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant?
2c
Yes
 
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.
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 (2013)
Form 990, Special Condition Description:
Special Condition Description
Additional Data


Software ID:  
Software Version:  
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.
right arrow Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 supported organization? ................
11g(i)
 
 
(ii) A family member of a person described in (i) above? ......................
11g(ii)
 
 
(iii) A 35% controlled entity of a person described in (i) or (ii) above? ................
11g(iii)
 
 
h
Provide the following information about the supported organization(s).
(i) Name of 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 monetary support
Yes No Yes No Yes No
Total  

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 2
Part II
Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)
(Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization fails to qualify under the tests listed below, please complete Part III.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .... 83,683,702 322,819,223 407,000,225 368,529,261 356,349,742 1,538,382,153
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......           0
3 The value of services or facilities furnished by a governmental unit to the organization without charge..           0
4 Total. Add lines 1 through 3 83,683,702 322,819,223 407,000,225 368,529,261 356,349,742 1,538,382,153
5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f).. 0
6 Public support. Subtract line 5 from line 4. 1,538,382,153
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (f) Total
7 Amounts from line 4.. 83,683,702 322,819,223 407,000,225 368,529,261 356,349,742 1,538,382,153
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources... 96,695,436 105,289,185 87,449,001 85,562,195 104,200,043 479,195,860
9 Net income from unrelated business activities, whether or not the business is regularly carried on..           0
10 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)..           0
11 Total support (Add lines 7 through 10). 2,017,578,013
12
12
10,927,445,088
13
First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization, check this box and stop here.................................................right arrow
Section C. Computation of Public Support Percentage
14
14
76.249 %
15
15
0 %
16a
b
17a
b
18
Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions ..................................................... right arrow
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 3
Part III
Support Schedule for Organizations Described in Section 509(a)(2)
(Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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) right arrow (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) 2013 (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) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 4
Part IV
Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
 
Explanation
 
 
 
 
Schedule A (Form 990 or 990-EZ) 2013

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.SchCMd Bullet Information about Schedule C (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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, Part V, 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 Paperwork Reduction Act Notice, see the instructions for Form 990 or 990-EZ.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2013

Schedule C (Form 990 or 990-EZ) 2013
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 SchCMd Bulletexpenses, and share of excess lobbying expenditures).
B Check SchCMd Bullet
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) 2010 (b) 2011 (c) 2012 (d) 2013 (e) Total
2a Lobbying nontaxable amount          
b Lobbying ceiling amount
(150% of line 2a, column(e)) 		 
c Total lobbying expenditures          
d Grassroots nontaxable amount          
e Grassroots ceiling amount
(150% of line 2d, column (e))		  
f Grassroots lobbying expenditures          
Schedule C (Form 990 or 990-EZ) 2013


Schedule C (Form 990 or 990-EZ) 2013
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)
No
Yes
(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
 
2,941
e
Publications, or published or broadcast statements? .......................
 
No
 
f
Grants to other organizations for lobbying purposes? .......................
 
No
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? ........
Yes
 
444,815
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ......
 
No
 
i
Other activities? ..........................
 
No
 
j
Total. Add lines 1c through 1i ...............................
447,756
2a
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....
 
No
b
If "Yes," enter the amount of any tax incurred under section 4912 .................
 
c
If "Yes," enter the amount of any tax incurred by organization managers under section 4912 .....
 
d
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? .......
 
 
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
Provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, line 5; Part II-A (affiliated group list); Part II-A, line 2; and Part ll-B, line 1. Also, complete this part for any additional information.
Return Reference Explanation
LOBBYING ACTIVITIES DETAIL- 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) 2013

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. SchDMd Bullet Information about Schedule D (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 ......... 19  
2 Aggregate contributions to (during year) ... 3,215,125  
3 Aggregate grants from (during year) ..... 770,900  
4 Aggregate value at end of year ........ 5,871,233  
5
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised
funds are the organization's property, subject to the organization's exclusive legal control? ............
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 section 170(h)(4)(B)(ii)? .......................................
9
In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and
balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes
the organization’s accounting for conservation easements.
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 XIII, the text of the footnote to its financial statements that describes these items.
b
If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items:
(i)
Revenues included in Form 990, Part VIII, line 1 ........................SchDMd Bullet $ 641,194
(ii)
Assets included in Form 990, Part X ..............................SchDMd Bullet $ 33,552,441
2
If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the
following amounts required to be reported under SFAS 116 (ASC 958) relating to these items:
a
Revenues included in Form 990, Part VIII, line 1 ..........................SchDMd Bullet $  
b
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 52283D
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply):
a
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 XIII.
5
During the year, did the organization solicit or receive donations of art, historical treasures or other similar
assets to be sold to raise funds rather than to be maintained as part of the organization’s collection?........
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 XIII 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 XIII. Check here if the explanation has been provided in Part XIII ........
Part V
Endowment Funds. Complete if the organization answered "Yes" to Form 990, Part IV, line 10.
(a)Current year (b)Prior year b (c)Two years back (d)Three years back (e)Four years back
1a Beginning of year balance .... 1,613,500,847 1,481,764,000 1,517,585,000 1,308,342,000 1,226,281,000
b Contributions ........ 55,721,494 40,254,764 23,399,000 20,773,000 15,354,000
c Net investment earnings, gains, and losses 301,335,737 175,395,638 22,662,000 252,741,000 148,151,000
d Grants or scholarships ..... 13,729,609 12,199,562 12,604,000 11,153,000 10,875,000
e Other expenditures for facilities
and programs ........ 		73,313,539 71,713,993 69,278,000 53,118,000 70,569,000
f Administrative expenses ....          
g End of year balance ...... 1,883,514,930 1,613,500,847 1,481,764,000 1,517,585,000 1,308,342,000
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet52.399 %
b
Permanent endowment SchDMd Bullet47.506 %
c
Temporarily restricted endowment SchDMd Bullet0.096 %
The percentages in lines 2a, 2b, and 2c should equal 100%.
3a
Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes
No
(i) unrelated organizations ........................
3a(i)
Yes
 
(ii) related organizations ........................
3a(ii)
 
No
b
If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
 
 
4
Describe in Part XIII the intended uses of the organization's endowment funds.
Part VI
Land, Buildings, and Equipment. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11a. 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 .................   5,473,647 5,473,647
b Buildings ................   2,035,478,228 1,063,749,445 971,728,783
c Leasehold improvements ............   17,462,359 4,932,906 12,529,453
d Equipment ................   857,646,976 586,956,719 270,690,257
e Other .................   446,295,971 160,328,813 285,967,158
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).).......SchDMdBullet 1,546,389,298
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 3
Part VII
Investments—Other Securities. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11b. See Form 990, Part X, line 12.
(a) Description of security or category
(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 		296,982,943 F

(B) CASH & CASH EQUIVALENTS 		389,002,831 F

(C) INTERESTS 		810,160,738 F

(D) OTHER INVESTMENTS 		91,820,188 F





Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 1,587,966,700
Part VIII
Investments—Program Related. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11c. See Form 990, Part X, line 13.
(a) Description of investment (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. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11d. 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. Complete if the organization answered 'Yes' to Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.
1.(a) Description of liability (b) Book value
Federal income taxes 0
THIRD PARTY SETTLEMENTS 109,259,000
RETIREMENT & POST-EMPLOYMENT 308,677,601
ASSET RETIREMENT OBLIGATION 26,313,475
FOR STUDENT LOANS 16,186,929
SPONSORED RESEARCH 24,927,201




Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 485,364,206
2. Liability for uncertain tax positions In Part XIII, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48 (ASC 740). Check here if the text of the footnote has been provided in Part XIII ..................................................
Schedule D (Form 990) 2013

Schedule D (Form 990) 2013
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total revenue, gains, and other support per audited financial statements ....... 1  
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains on investments .......... 2a  
b Donated services and use of facilities ......... 2b  
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIII.) ............ 2d  
e Add lines 2a through 2d ..................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b . 4a  
b Other (Describe in Part XIII.) ........... 4b  
c Add lines 4a and 4b....................... 4c  
5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ...... 5  
Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete if the organization answered 'Yes' to Form 990, Part IV, line 12a.
1 Total expenses and losses per audited financial statements ........... 1  
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:
a Donated services and use of facilities .......... 2a  
b Prior year adjustments .............. 2b  
c Other losses ................ 2c  
d Other (Describe in Part XIII.) ............ 2d  
e Add lines 2a through 2d...................... 2e  
3 Subtract line 2e from line 1..................... 3  
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b .. 4a  
b Other (Describe in Part XIII.) ............ 4b  
c Add lines 4a and 4b....................... 4c  
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5  
Part XIII
Supplemental Information
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, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.
Return Reference Explanation
DESCRIPTION OF DONOR 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 COLLECTIONS- SCHEDULE D, PART III, LINE 4 THE UNIVERSITY'S MEMORIAL ART 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. THE UNIVERSITY'S DEPARTMENT OF RARE BOOKS AND SPECIAL COLLECTIONS MAINTAINS RARE BOOK COLLECTIONS THAT INCLUDE PRINTED BOOKS, JOURNALS AND PAMPHLETS FROM 1472 TO THE PRESENT, AS WELL AS MANUSCRIPTS AND SPECIAL COLLECTIONS. THESE MATERIALS ARE PROVIDED FOR TEACHING, LEARNING AND RESEARCH PURPOSES. --------------------
USE OF ENDOWMENT FUNDS- SCHEDULE D, PART V 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) 2013

Additional Data


Software ID:  
Software Version:  




SCHEDULE E(Form 990 or 990-EZ)
Department of the Treasury
Internal 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.
Right pointing arrow large image Information about Schedule E (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 or Form 990-EZ.
Cat. No. 50085D
Schedule E (Form 990 or 990-EZ) 2013
Schedule E (Form 990 or 990EZ) 2013
Page 2
Part II
Supplemental Information. Provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable. Also complete this part to provide any other additional information (see instructions).
Return Reference Explanation
NONDISCRIMINATION 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 GOV'T AGENCY- FORM 990, 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) 2013
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.Right pointing arrow large image Information about Schedule F (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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. (The following Part I, line 3 table can be duplicated if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees, agents, and independent contractors in region (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 and investments
in region
Antarctica 0 20 Program Services CONDUCTED RESEARCH 12,460
Central America and the Caribbean 0 1 Fundraising   3,120
Central America and the Caribbean 0 0 Investments   656,785,256
Central America and the Caribbean 0 5 Program Services CONDUCTED RESEARCH 5,131
Central America and the Caribbean 0 14 Program Services PRESENTATION AT CONFER 16,564
Central America and the Caribbean 0 4 Program Services TEACHING & RECRUITMENT 12,714
East Asia and the Pacific 0 5 Fundraising   20,393
East Asia and the Pacific 0 61 Program Services CONDUCTED RESEARCH 114,528
East Asia and the Pacific 0 94 Program Services PRESENTATION AT CONFER 155,765
East Asia and the Pacific 0 8 Program Services STUDY ABROAD 7,233
East Asia and the Pacific 0 26 Program Services TEACHING & RECRUITMENT 145,272
Europe (Including Iceland and Greenland) 0 9 Fundraising   26,857
Europe (Including Iceland and Greenland) 0 0 Investments   2,733,661
Europe (Including Iceland and Greenland) 1 66 Program Services CONDUCTED RESEARCH 481,564
Europe (Including Iceland and Greenland) 0 297 Program Services PRESENTATION AT CONFER 622,341
Europe (Including Iceland and Greenland) 0 23 Program Services STUDY ABROAD 927,656
Europe (Including Iceland and Greenland) 0 43 Program Services TEACHING & RECRUITMENT 388,330
Middle East and North Africa 0 5 Program Services CONDUCTED RESEARCH 6,548
Middle East and North Africa 0 7 Program Services PRESENTATION AT CONFER 3,795
Middle East and North Africa 0 1 Program Services STUDY ABROAD 979
Middle East and North Africa 0 5 Program Services TEACHING & RECRUITMENT 18,191
North America 0 3 Fundraising   3,505
North America 0 0 Investments   2,700
North America 0 14 Program Services CONDUCTED RESEARCH 22,042
North America 0 136 Program Services PRESENTATION AT CONFER 144,858
North America 0 22 Program Services TEACHING & RECRUITMENT 32,175
Russia and the Newly Independent States 0 3 Program Services PRESENTATION AT CONFER 2,856
South America 0 0 Investments   2,836,057
South America 0 27 Program Services CONDUCTED RESEARCH 43,259
South America 0 12 Program Services PRESENTATION AT CONFER 21,513
South America 0 1 Program Services STUDY ABROAD 1,016
South America 0 8 Program Services TEACHING & RECRUITMENT 22,265
South Asia 0 17 Fundraising   40,022
South Asia 0 13 Program Services CONDUCTED RESEARCH 5,567
South Asia 0 11 Program Services PRESENTATION AT CONFER 26,445
South Asia 0 26 Program Services TEACHING & RECRUITMENT 83,206
Sub-Saharan Africa 0 0 Investments   23,254,740
Sub-Saharan Africa 0 44 Program Services CONDUCTED RESEARCH 183,424
Sub-Saharan Africa 0 4 Program Services PRESENTATION AT CONFER 9,451
Sub-Saharan Africa 0 4 Program Services STUDY ABROAD 7,776
Sub-Saharan Africa 0 2 Program Services TEACHING & RECRUITMENT 13,336
3a Sub-total ..... 1 676 662,458,845
b Total from continuation sheets to Part I ... 0 365 26,785,726
c Totals (add lines 3a and 3b) 1 1,041 689,244,571
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2013
Schedule F (Form 990) 2013
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. Part II can be duplicated 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 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) 2013
Schedule F (Form 990) 2013Page 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.
Part III can be duplicated 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) 2013
Schedule F (Form 990) 2013
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, Return by a U.S. Transferor of Property to a Foreign Corporation (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, Annual Return to Report Transactions with Foreign Trusts and Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust With a U.S. Owner (see Instructions for Forms 3520 and 3520-A).......................................
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, Information 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) 2013
Schedule F (Form 990) 2013
Page 5
Part V
Supplemental Information
Provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information (see instructions).
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) 2013
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.
right arrowInformation about Schedule G (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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.
Form 990-EZ filers are not required to complete this part.
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.
(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 910,510 377,952 532,558
HARRIS CONNECT LLC
1511 ROUTE 22
SUITE C-25
BREWSTER, NY10509 		PHONE SOLIC   No 65,886 13,401 52,485
             
             
             
             
             
             
             
             
Total .................right arrow 976,396 391,353 585,043
3
List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from registration or licensing.
NY
For Paperwork Reduction Act Notice, see the Instructions for Form 990or 990-EZ.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2013
Schedule G (Form 990 or 990-EZ) 2013
Page 2
Part II
Fundraising Events. Complete if the organization answered "Yes" to Form 990, Part IV, line 18, or reported more than $15,000 of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. List events with gross receipts greater than $5,000.
(a) Event #1

WINE AUCTION
(event type) 		(b) Event #2

GCHAS GALA
(event type) 		(c) Other events

12
(total number) 		(d) Total events
(add col. (a) through col. (c))
VerticalRevenue 1 Gross receipts . . . 1,266,650 723,000 2,364,257 4,353,907
2 Less: Contributions . . 758,872 307,251 1,428,417 2,494,540
3 Gross income (line 1
minus line 2) . . . 		507,778 415,749 935,840 1,859,367
VerticalDirectExpenses 4 Cash prizes . . .        
5 Noncash prizes . .     44,286 44,286
6 Rent/facility costs . . 2,623 5,613 260,197 268,433
7 Food and beverages . 65,440 75,056 214,643 355,139
8 Entertainment . . . 6,700 6,600 39,467 52,767
9 Other direct expenses . 144,674 37,731 278,170 460,575
10 Direct expense summary. Add lines 4 through 9 in column (d) ........... right arrow 1,181,200
11 Net income summary. Subtract line 10 from line 3, column (d)........... right arrow 678,167
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. Subtract line 7 from line 1, 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:
 
Schedule G (Form 990 or 990-EZ) 2013
Schedule G (Form 990 or 990-EZ) 2013
Page 3
11
Does the organization operate gaming activities with nonmembers? .................
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? ..........................
13
Indicate the percentage of gaming activity operated in:
a
The organization's facility ......................
13a
%
b
An outside facility ........................
13b
%
14
Enter the name and address of the person who prepares the organization's gaming/special events books and records:
Name 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 of the third party:
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
Supplemental Information. Provide the explanations required by Part I, line 2b, columns (iii) and (v), and Part III, lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also complete this part to provide any additional information (see instructions).
Return Reference Explanation
PHONE SOLICITATION FOR MULTI-YEAR PLEDGES- SCHEDULE G, PART I HARRIS CONNECT IS ENGAGED TO PHONE SOLICIT FOR MULTI-YEAR PLEDGES. THE GROSS RECEIPTS FIGURE OF $65,886 REPRESENTS CASH PAYMENTS RECEIVED IN FY2014 ONLY.
Schedule G (Form 990 or 990-EZ) 2013
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.
MediumBullet Information about Schedule H (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Part I
Financial Assistance 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) as a factor in determining eligibility for providing free care?
If "Yes," indicate which of the following was the FPG family income limit for eligibility for free care:
3a
Yes
 
%
b
Did the organization use FPG as a factor in determining eligibility for providing discounted care? If "Yes," indicate
which of the following was the family income limit for eligibility for discounted care: .........
3b
Yes
 
%
c
If the organization used factors other than FPG in determining eligibility, describe in Part VI the income based criteria for determining eligibility for free or discounted care. Include in the description whether the organization used an asset test or other threshold, regardless of income, as a factor in determining eligibility for free or discounted care.
4
Did the organization's financial assistance policy that applied to the largest number of its patients during the tax year provide for free or discounted care to the "medically indigent"? ..............

4

Yes

 
5a
Did the organization budget amounts for free or discounted care provided under its financial assistance policy during the tax year? ............................

5a

Yes

 
b
If "Yes," did the organization's financial assistance expenses exceed the budgeted amount? ......
5b
Yes
 
c
If "Yes" to line 5b, as a result of budget considerations, was the organization unable to provide free or 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) .. 		    22,587,530 4,674,348 17,913,182 0.650 %
b Medicaid (from Worksheet 3,
column a) .... 		    310,646,637 274,342,352 36,304,285 1.310 %
c Costs of other means-tested
government programs (from
Worksheet 3, column b) . 		    4,591,049 2,979,292 1,611,757 0.060 %
d Total Financial Assistance
and Means-Tested
Government Programs . 		    337,825,216 281,995,992 55,829,224 2.020 %
Other Benefits
     1,931,286 306,605 1,624,681 0.060 %
e Community health
improvement services and
community benefit operations
(from Worksheet 4) ..
f Health professions education
(from Worksheet 5) .. 		    104,482,651 10,811,407 93,671,244 3.400 %
g Subsidized health services
(from Worksheet 6) .. 		    123,253,115 97,456,887 25,796,228 0.940 %
h Research (from Worksheet 7)     321,189,861 321,189,861 0  
i Cash and in-kind
contributions for community
benefit (from Worksheet 8) 		    474,325 0 474,325 0.020 %
j Total. Other Benefits ..     551,331,238 429,764,760 121,566,478 4.420 %
k Total. Add lines 7d and 7j .     889,156,454 711,760,752 177,395,702 6.440 %
For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50192T Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
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     19,728 0 19,728  
4 Environmental improvements            
5 Leadership development and training for community members            
6 Coalition building     13,978 0 13,978  
7 Community health improvement advocacy     3,882 0 3,882  
8 Workforce development            
9 Other            
10 Total     37,588 0 37,588  
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. Explain in Part VI the methodology used by the organization to estimate this amount. ......
2
17,864,908
3
Enter the estimated amount of the organization's bad debt expense attributable to patients eligible under the organization's financial assistance policy. Explain in Part VI the methodology used by the organization to estimate this amount and the rationale, if any, for including this portion of bad debt as community benefit. ......
3
491,661
4
Provide in Part VI the text of the footnote to the organization’s financial statements that describes bad debt expense or the page number on which this footnote is contained in the attached financial statements.
Section B. Medicare
5
Enter total revenue received from Medicare (including DSH and IME).....
5
183,076,614
6
Enter Medicare allowable costs of care relating to payments on line 5.....
6
192,061,713
7
Subtract line 6 from line 5. This is the surplus (or shortfall)........
7
-8,985,099
8
Describe in Part VI the extent to which any shortfall reported in line 7 should be treated as community benefit.Also describe in Part VI the costing methodology or source used to determine the amount reported on line 6.Check the box that describes the method used:
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(owned 10% or more by officers, directors, trustees, key employees, and physicians—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) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information
Section A. Hospital Facilities
(list in order of size from largest to smallest—see instructions)
How many hospital facilities did the organization operate during the tax year?1
Name, address, primary website address, and state license number 		Licensed Hospital General-Medical-Surgical Children's Hospital Teaching Hospital Critical Hospital ResearchGrp Facility ER-24Hours ER-Other Other (Describe) Facility reporting group
2 STRONG MEMORIAL HOSPITAL &EXT CLINICS
601 ELMWOOD AVENUE
ROCHESTER,NY14642
WWW.URMC.ROCHESTER.EDU/STRONG-MEMORIAL
LICENSE# 2701005H 		X X X X   X X   OUTPATIENT MED CLINI OUTPATIENT MENTAL HE METHADONE MAINTENANC  
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information (continued)

Section B. Facility Policies and Practices

(Complete a separate Section B for each of the hospital facilities or facility reporting groups listed in Part V, Section A)
STRONG MEMORIAL HOSPITAL
Name of hospital facility or facility reporting group  
If reporting on Part V, Section B for a single hospital facility only: line number of
hospital facility (from Schedule H, Part V, Section A) 		1
Yes No
Community Health Needs Assessment (Lines 1 through 8c are optional for tax years begining on or before March 23, 2012)
1 During the tax year or either of the two immediately preceding tax years, did the hospital facility conduct a community health needs assessment (CHNA)? If "No," skip to line 9.................... 1 Yes  
If "Yes," indicate what the CHNA report describes (check all that apply):
a
b
c
d
e
f
g
h
i
j
2 Indicate the tax year the hospital facility last conducted a CHNA: 20 12
3 In conducting its most recent CHNA, did the hospital facility take into account input from persons who represent the broad interests of the community served by the hospital facility, including those with special knowledge of or expertise in public health? If "Yes," describe in Part VI how the hospital facility took into account input from persons who represent the community, and identify the persons the hospital facility consulted .................... 3 Yes  
4 Was the hospital facility’s CHNA conducted with one or more other hospital facilities? If "Yes," list the other hospital facilities in Part VI................................ 4 Yes  
5 Did the hospital facility make its CHNA report widely available to the public? ............. 5 Yes  
If "Yes," indicate how the CHNA report was made widely available (check all that apply):
a
b
c
d
6 If the hospital facility addressed needs identified in its most recently conducted CHNA, indicate how (check all that apply as of the end of the tax year):
a
b
c
d
e
f
g
h
i
7 Did the hospital facility address all of the needs identified in its most recently conducted CHNA? If "No," explain in Part VI which needs it has not addressed and the reasons why it has not addressed such needs ........ 7   No
8a Did the organization incur an excise tax under section 4959 for the hospital facility's failure to conduct a CHNA as required by section 501(r)(3)? ........................... 8a   No
b If "Yes" to line 8a, did the organization file Form 4720 to report the section 4959 excise tax? ...... 8b    
c If "Yes" to line 8b, what is the total amount of section 4959 excise tax the organization reported on Form 4720 for all of its hospital facilities? $  

Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information (continued)

Financial Assistance Policy Yes No
9 Did the hospital facility have in place during the tax year a written financial assistance policy that:
Explained eligibility criteria for financial assistance, and whether such assistance includes free or discounted care? 9 Yes  
10 Used federal poverty guidelines (FPG) to determine eligibility for providing free care?........... 10 Yes  
If "Yes," indicate the FPG family income limit for eligibility for free care: 200.%
If "No," explain in Part VI the criteria the hospital facility used.
11 Used FPG to determine eligibility for providing discounted care?................. 11 Yes  
If "Yes," indicate the FPG family income limit for eligibility for discounted care: 400.%
If "No," explain in Part VI the criteria the hospital facility used.
12 Explained the basis for calculating amounts charged to patients?................. 12 Yes  
If "Yes," indicate the factors used in determining such amounts (check all that apply):
a
b
c
d
e
f
g
h
i
13 Explained the method for applying for financial assistance?................... 13 Yes  
14 Included measures to publicize the policy within the community served by the hospital facility?....... 14 Yes  
If "Yes," indicate how the hospital facility publicized the policy (check all that apply):
a
b
c
d
e
f
g
Billing and Collections
15 Did the hospital facility have in place during the tax year a separate billing and collections policy, or a written financial assistance policy (FAP) that explained actions the hospital facility may take upon non-payment?....... 15 Yes  
16 Check all of the following actions against an individual that were permitted under the hospital facility's policies during the tax year before making reasonable efforts to determine the individual’s eligibility under the facility’s FAP:
a
b
c
d
e
17 Did the hospital facility or an authorized third party perform any of the following actions during the tax year before making reasonable efforts to determine the individual’s eligibility under the facility’s FAP?.......... 17   No
If "Yes," check all actions in which the hospital facility or a third party engaged:
a
b
c
d
e
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information (continued)

18 Indicate which efforts the hospital facility made before initiating any of the actions listed in line 17 (check all that apply):
a
b
c
d
e
Policy Relating to Emergency Medical Care
Yes No
19 Did the hospital facility have in place during the tax year a written policy relating to emergency medical care that requires the hospital facility to provide, without discrimination, care for emergency medical conditions to individuals regardless of their eligibility under the hospital facility’s financial assistance policy?.......... 19 Yes  
If "No," indicate why:
a
b
c
d
Charges to Individuals Eligible for Assistance under the FAP (FAP-Eligible Individuals)
20 Indicate how the hospital facility determined, during the tax year, the maximum amounts that can be charged to FAP-eligible individuals for emergency or other medically necessary care.
a
b
c
d
21 During the tax year, did the hospital facility charge any FAP-eligible individual to whom the hospital facility provided emergency or other medically necessary services more than the amounts generally billed to individuals who had insurance covering such care? ............................ 21   No
If "Yes," explain in Part VI.
22 During the tax year, did the hospital facility charge any FAP-eligible individual an amount equal to the gross charge for any service provided to that individual? ......................... 22   No
If "Yes," explain in Part VI.
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part V
Facility Information (continued)
Section C. Supplemental Information for Part V, Section B.Provide descriptions required for Part V, Section B, lines 1j, 3, 4, 5d, 6i, 7, 10, 11, 12i, 14g, 16e, 17e, 18e, 19c, 19d, 20d, 21, and 22. If applicable, provide separate descriptions for each facility in a facility reporting group, designated by "Facility A," "Facility B," etc.
Form and Line Reference Explanation
PART V, SECTION B, LINE 3- INPUT FROM COMMUNITY COMMUNITY INPUT IS AN ONGOING PROCESS IN MONROE COUNTY AND COLLABORATION AMONG THE HOSPITALS AND THE COMMUNITY IS VITAL TO INFORM OUR AGENDA. EACH OF THE HOSPITAL SYSTEMS INCLUDED IN THE CHNA: UNIVERSITY OF ROCHESTER MEDICAL CENTER STRONG MEMORIAL HOSPITAL, HIGHLAND HOSPITAL, ROCHESTER GENERAL HEALTH SYSTEM, UNITY HEALTH SYSTEM AND LAKESIDE HEALTH SYSTEM TOOK INTO ACCOUNT INPUT FROM PERSONS WHO REPRESENT THE COMMUNITY. THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH WAS REPRESENTED AT EACH COMMUNITY BENEFITS MEETING BY EITHER ANNE KERN, PUBLIC HEALTH PROGRAM COORDINATOR, OR BYRON KENNEDY, MD, PHD, MPH, DIRECTOR OF THE HEALTH DEPARTMENT. BOTH ARE AWARE OF COMMUNITY NEEDS, OVERSEE THE ADULT HEALTH SURVEY AND ARE EXPERTS IN EFFECTIVE PUBLIC HEALTH ASSESSMENT AND INTERVENTION. THERESA GREEN, DIRECTOR OF COMMUNITY HEALTH POLICY AND ANDREA DEMEO, EXECUTIVE DIRECTOR AND CHIEF OPERATING OFFICER, BOTH FOR THE URMC CENTER FOR COMMUNITY HEALTH, PROVIDED EXPERT ADVICE ON COMMUNITY ENGAGEMENT AND EVIDENCE BASED INTERVENTIONS. IN ADDITION, FINGER LAKES HEALTH SYSTEM AGENCY, WHO REPRESENTS THE COMMUNITY VOICE AND WHO MANAGES BOTH THE AFRICAN AMERICAN HEALTH COALITION AND THE LATINO HEALTH COALITION AND THE BLOOD PRESSURE COLLABORATIVE FOR MONROE COUNTY, WAS REPRESENTED AT EACH MEETING BY EITHER WADE NORWOOD, DIRECTOR OF COMMUNITY ENGAGEMENT OR AL BRADLEY, SENIOR MANAGER. THIS HIGH LEVEL COLLABORATION AMONG COMMUNITY MEMBERS, PUBLIC HEALTH PROVIDERS AND HOSPITAL SYSTEMS, ALONG WITH THE ROBUST HEALTH ACTION PROCESS OF COMMUNITY INPUT GATHERING, PROVIDES A TRULY COMMUNITY BASED HEALTH NEEDS ASSESSMENT AND IMPROVEMENT PLAN. --------------------
PART V, SECTION B, LINE 4- JOINT CHNA THE CHNA WAS CONDUCTED WITH OTHER HOSPITALS. AN ASSESSMENT OF MONROE COUNTY WAS CONDUCTED JOINTLY BY UNIVERSITY OF ROCHESTER MEDICAL CENTER STRONG MEMORIAL HOSPITAL, HIGHLAND HOSPITAL, ROCHESTER GENERAL HEALTH SYSTEM, UNITY HEALTH SYSTEM AND LAKESIDE HEALTH SYSTEM, ALONG WITH THE FINGER LAKES HEALTH SYSTEM AGENCY AND THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH. --------------------
PART V, SECTION B, LINE 5- CHNA PUBLIC AVAILABILITY THE CHNA REPORT WAS MADE WIDELY AVAILABLE TO THE PUBLIC. A COPY OF THE ORGANIZATION'S CHNA AND IMPLEMENTATION/IMPROVEMENT PLAN CAN BE FOUND AT: HTTP://WWW.URMC.ROCHESTER.EDU/COMMUNITY-ENGAGEMENT/ OUR CHNA AND IMPLEMENTATION/IMPROVEMENT PLAN ARE AVAILABLE TO THE PUBLIC UPON REQUEST AND ARE ALSO POSTED ON THE COLLABORATING HOSPITAL SYSTEM'S WEBSITES AND ON THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH'S WEBSITE. --------------------
PART V, SECTION B, LINE 7- ADDRESSING THE NEEDS IDENTIFIED IN THE CHNA THE FIRST CHNA AND IMPLEMENTATION PLAN FOR THE UNIVERSITY OF ROCHESTER WAS ADOPTED JUNE 30, 2013. THE ORGANIZATION IS IN THE PROCESS OF ADDRESSING THE NEEDS IDENTIFIED IN THE CHNA BUT HAS NOT FULLY ADDRESSED ALL NEEDS AT THIS TIME. FROM THE VARIOUS SETS OF DATA, FROM THE MULTIPLE COMMUNITY FORUMS, FROM THE CURRENT INITIATIVES ACTIVE AND NEW IN ROCHESTER, A LIST OF HEALTH NEEDS WAS ESTABLISHED. SOME OF THE PRIMARY NEEDS INCLUDE: - DECREASE CIGARETTE SMOKING AMONG ADULTS - DECREASE ADULT OBESITY - INCREASE HYPERTENSIVES WHO HAVE THEIR BLOOD PRESSURE IN CONTROL - DECREASE UNINTENDED PREGNANCY RATES - DECREASE STDS/STIS, ESPECIALLY CHLAMYDIA AND GONORRHEA RATES - IMPROVE MENTAL HEALTH AMONG ADULTS AND ADOLESCENTS THE COMMUNITY HEALTH IMPROVEMENT WORKGROUP CHOSE TO PRIORITIZE "PREVENTING CHRONIC DISEASE", WHICH CLEARLY INCLUDES THE TOP THREE BULLET POINTS. DUE TO LIMITED RESOURCES AND TO AVOID 'MISSION CREEP' THE HOSPITAL SYSTEMS CHOSE NOT TO ADDRESS RISKY SEXUAL BEHAVIORS AND MENTAL HEALTH PROMOTION IN THE IMPROVEMENT PLAN. REGARDING ISSUES OF RISKY SEXUAL BEHAVIOR: ALTHOUGH THE MEASURES OF SUCCESS INDICATE THAT MONROE COUNTY IS 'WORSE THAN' THE STATE AND HAS NOT REACHED THE GOALS SET IN THE NY STATE PREVENTION AGENDA, HOSPITAL LEADERS FELT THAT ALTHOUGH THIS ISSUE CERTAINLY AFFECTS THE MEMBERS IN THE HOSPITAL'S TARGET AREAS, THIS IS NOT A TOP PRIORITY FOR USE OF THE HOSPITALS' RESOURCES. HOSPITAL LEADERS FELT THEY WERE NOT THE BEST ENTITY TO ADDRESS THIS PROBLEM. IN ADDITION, THERE ARE COMMUNITY ORGANIZATIONS WHO HAVE THIS GOAL AS THEIR MISSION, AND SEVERAL INITIATIVES THAT HAVE JUST STARTED IN MONROE COUNTY THAT COULD BE QUITE IMPACTFUL. REGARDING ISSUES OF MENTAL HEALTH: ALTHOUGH MENTAL HEALTH IS ALWAYS A CONCERN AMONG THE COMMUNITY, THE COMMUNITY HEALTH IMPROVEMENT WORKGROUP FELT THAT THE DEGREE OF THE PROBLEM WAS NOT AS SEVERE AS SOME OTHER HEALTH ISSUES. ALTHOUGH MONROE COUNTY IS WORSE THAN THE STATE FOR PREVENTION AGENDA INDICATORS, THIS DIFFERENCE IS NOT SIGNIFICANT, SO MONROE COUNTY IS SOMEWHAT IN LINE WITH GOALS AND THE REST OF THE STATE. IN ADDITION, THE HOSPITALS FELT THAT THE LEVEL OF ACTIVITY BEING CONDUCTED BY MANY AGENCIES IN OUR COMMUNITY WAS STRONG. THE TEAM WAS ALSO NOT CONFIDENT IN THE LIKELIHOOD OF SUCCESS IF THE HOSPITALS CONCENTRATED ON ADDRESSING MENTAL HEALTH. THERE ARE OTHER ORGANIZATIONS MORE EQUIPPED, AND ALTHOUGH CERTAIN PARTS OF THE HOSPITALS ADDRESS MENTAL HEALTH TREATMENT, PREVENTING MENTAL HEALTH FROM THE HOSPITAL PERSPECTIVE WAS DIFFICULT TO ANTICIPATE. --------------------
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VFacility Information (continued)

Section D. Other Health Care Facilities That Are Not Licensed, Registered, or Similarly Recognized as a Hospital Facility
(list in order of size, from largest to smallest)
How many non-hospital health care facilities did the organization operate during the tax year?8
Name and address Type of Facility (describe)
1 EASTMAN DENTAL CENTER
625 ELMWOOD AVENUE
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINIC
2 UNIVERSITY DENTAL FACULTY GROUP
2400 SOUTH CLINTON AVENUE BLDG H S
ROCHESTER,NY14618 		OUTPATIENT DENTAL CLINIC
3 ENRICO FERMI DENTAL CLINIC AT SCHOOL #17
158 ORCHARD STREET
ROCHESTER,NY14611 		OUTPATIENT DENTAL CLINIC
4 EASTMAN DENTAL DOWNTOWN CLINIC
228 EAST MAIN STREET
ROCHESTER,NY14604 		OUTPATIENT DENTAL CLINIC
5 EDC SMILEMOBILE VANS
625 ELMWOOD AVENUE
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINIC
6 ORAL MEDICINE SALIVARY DYSFUNCTION
601 ELMWOOD AVENUE
ROCHESTER,NY14642 		OUTPATIENT DENTAL CLINIC
7 EDC-MONROE COMMUNITY HOSPITAL CLINIC
435 EAST HENRIETTA ROAD
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINIC
8 EDC-HILLSIDE CHILDRENS CENTER CLINIC
1183 MONROE AVENUE
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINIC
9
10
Schedule H (Form 990) 2013
Schedule H (Form 990) 2013
Page
Part VI
Supplemental Information
Provide the following information.
1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II and Part III, lines 2, 3, 4, 8 and 9b.
2 Needs assessment. Describe how the organization assesses the health care needs of the communities it serves, in addition to any CHNAs reported in Part V, Section B.
3 Patient education of eligibility for assistance. Describe how the organization informs and educates patients and persons who may be billed for patient care about their eligibility for assistance under federal, state, or local government programs or under the organization’s financial assistance policy.
4 Community information. Describe the community the organization serves, taking into account the geographic area and demographic constituents it serves.
5 Promotion of community health. Provide any other information important to describing how the organization’s hospital facilities or other health care facilities further its exempt purpose by promoting the health of the community (e.g., open medical staff, community board, use of surplus funds, etc.).
6 Affiliated health care system. If the organization is part of an affiliated health care system, describe the respective roles of the organization and its affiliates in promoting the health of the communities served.
7 State filing of community benefit report. If applicable, identify all states with which the organization, or a related organization, files a community benefit report.
Form and Line Reference Explanation
PART V, SECTION B, LINE 3- INPUT FROM COMMUNITY COMMUNITY INPUT IS AN ONGOING PROCESS IN MONROE COUNTY AND COLLABORATION AMONG THE HOSPITALS AND THE COMMUNITY IS VITAL TO INFORM OUR AGENDA. EACH OF THE HOSPITAL SYSTEMS INCLUDED IN THE CHNA: UNIVERSITY OF ROCHESTER MEDICAL CENTER STRONG MEMORIAL HOSPITAL, HIGHLAND HOSPITAL, ROCHESTER GENERAL HEALTH SYSTEM, UNITY HEALTH SYSTEM AND LAKESIDE HEALTH SYSTEM TOOK INTO ACCOUNT INPUT FROM PERSONS WHO REPRESENT THE COMMUNITY. THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH WAS REPRESENTED AT EACH COMMUNITY BENEFITS MEETING BY EITHER ANNE KERN, PUBLIC HEALTH PROGRAM COORDINATOR, OR BYRON KENNEDY, MD, PHD, MPH, DIRECTOR OF THE HEALTH DEPARTMENT. BOTH ARE AWARE OF COMMUNITY NEEDS, OVERSEE THE ADULT HEALTH SURVEY AND ARE EXPERTS IN EFFECTIVE PUBLIC HEALTH ASSESSMENT AND INTERVENTION. THERESA GREEN, DIRECTOR OF COMMUNITY HEALTH POLICY AND ANDREA DEMEO, EXECUTIVE DIRECTOR AND CHIEF OPERATING OFFICER, BOTH FOR THE URMC CENTER FOR COMMUNITY HEALTH, PROVIDED EXPERT ADVICE ON COMMUNITY ENGAGEMENT AND EVIDENCE BASED INTERVENTIONS. IN ADDITION, FINGER LAKES HEALTH SYSTEM AGENCY, WHO REPRESENTS THE COMMUNITY VOICE AND WHO MANAGES BOTH THE AFRICAN AMERICAN HEALTH COALITION AND THE LATINO HEALTH COALITION AND THE BLOOD PRESSURE COLLABORATIVE FOR MONROE COUNTY, WAS REPRESENTED AT EACH MEETING BY EITHER WADE NORWOOD, DIRECTOR OF COMMUNITY ENGAGEMENT OR AL BRADLEY, SENIOR MANAGER. THIS HIGH LEVEL COLLABORATION AMONG COMMUNITY MEMBERS, PUBLIC HEALTH PROVIDERS AND HOSPITAL SYSTEMS, ALONG WITH THE ROBUST HEALTH ACTION PROCESS OF COMMUNITY INPUT GATHERING, PROVIDES A TRULY COMMUNITY BASED HEALTH NEEDS ASSESSMENT AND IMPROVEMENT PLAN. --------------------
PART V, SECTION B, LINE 4- JOINT CHNA THE CHNA WAS CONDUCTED WITH OTHER HOSPITALS. AN ASSESSMENT OF MONROE COUNTY WAS CONDUCTED JOINTLY BY UNIVERSITY OF ROCHESTER MEDICAL CENTER STRONG MEMORIAL HOSPITAL, HIGHLAND HOSPITAL, ROCHESTER GENERAL HEALTH SYSTEM, UNITY HEALTH SYSTEM AND LAKESIDE HEALTH SYSTEM, ALONG WITH THE FINGER LAKES HEALTH SYSTEM AGENCY AND THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH. --------------------
PART V, SECTION B, LINE 5- CHNA PUBLIC AVAILABILITY THE CHNA REPORT WAS MADE WIDELY AVAILABLE TO THE PUBLIC. A COPY OF THE ORGANIZATION'S CHNA AND IMPLEMENTATION/IMPROVEMENT PLAN CAN BE FOUND AT: HTTP://WWW.URMC.ROCHESTER.EDU/COMMUNITY-ENGAGEMENT/ OUR CHNA AND IMPLEMENTATION/IMPROVEMENT PLAN ARE AVAILABLE TO THE PUBLIC UPON REQUEST AND ARE ALSO POSTED ON THE COLLABORATING HOSPITAL SYSTEM'S WEBSITES AND ON THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH'S WEBSITE. --------------------
PART V, SECTION B, LINE 7- ADDRESSING THE NEEDS IDENTIFIED IN THE CHNA THE FIRST CHNA AND IMPLEMENTATION PLAN FOR THE UNIVERSITY OF ROCHESTER WAS ADOPTED JUNE 30, 2013. THE ORGANIZATION IS IN THE PROCESS OF ADDRESSING THE NEEDS IDENTIFIED IN THE CHNA BUT HAS NOT FULLY ADDRESSED ALL NEEDS AT THIS TIME. FROM THE VARIOUS SETS OF DATA, FROM THE MULTIPLE COMMUNITY FORUMS, FROM THE CURRENT INITIATIVES ACTIVE AND NEW IN ROCHESTER, A LIST OF HEALTH NEEDS WAS ESTABLISHED. SOME OF THE PRIMARY NEEDS INCLUDE: - DECREASE CIGARETTE SMOKING AMONG ADULTS - DECREASE ADULT OBESITY - INCREASE HYPERTENSIVES WHO HAVE THEIR BLOOD PRESSURE IN CONTROL - DECREASE UNINTENDED PREGNANCY RATES - DECREASE STDS/STIS, ESPECIALLY CHLAMYDIA AND GONORRHEA RATES - IMPROVE MENTAL HEALTH AMONG ADULTS AND ADOLESCENTS THE COMMUNITY HEALTH IMPROVEMENT WORKGROUP CHOSE TO PRIORITIZE "PREVENTING CHRONIC DISEASE", WHICH CLEARLY INCLUDES THE TOP THREE BULLET POINTS. DUE TO LIMITED RESOURCES AND TO AVOID 'MISSION CREEP' THE HOSPITAL SYSTEMS CHOSE NOT TO ADDRESS RISKY SEXUAL BEHAVIORS AND MENTAL HEALTH PROMOTION IN THE IMPROVEMENT PLAN. REGARDING ISSUES OF RISKY SEXUAL BEHAVIOR: ALTHOUGH THE MEASURES OF SUCCESS INDICATE THAT MONROE COUNTY IS 'WORSE THAN' THE STATE AND HAS NOT REACHED THE GOALS SET IN THE NY STATE PREVENTION AGENDA, HOSPITAL LEADERS FELT THAT ALTHOUGH THIS ISSUE CERTAINLY AFFECTS THE MEMBERS IN THE HOSPITAL'S TARGET AREAS, THIS IS NOT A TOP PRIORITY FOR USE OF THE HOSPITALS' RESOURCES. HOSPITAL LEADERS FELT THEY WERE NOT THE BEST ENTITY TO ADDRESS THIS PROBLEM. IN ADDITION, THERE ARE COMMUNITY ORGANIZATIONS WHO HAVE THIS GOAL AS THEIR MISSION, AND SEVERAL INITIATIVES THAT HAVE JUST STARTED IN MONROE COUNTY THAT COULD BE QUITE IMPACTFUL. REGARDING ISSUES OF MENTAL HEALTH: ALTHOUGH MENTAL HEALTH IS ALWAYS A CONCERN AMONG THE COMMUNITY, THE COMMUNITY HEALTH IMPROVEMENT WORKGROUP FELT THAT THE DEGREE OF THE PROBLEM WAS NOT AS SEVERE AS SOME OTHER HEALTH ISSUES. ALTHOUGH MONROE COUNTY IS WORSE THAN THE STATE FOR PREVENTION AGENDA INDICATORS, THIS DIFFERENCE IS NOT SIGNIFICANT, SO MONROE COUNTY IS SOMEWHAT IN LINE WITH GOALS AND THE REST OF THE STATE. IN ADDITION, THE HOSPITALS FELT THAT THE LEVEL OF ACTIVITY BEING CONDUCTED BY MANY AGENCIES IN OUR COMMUNITY WAS STRONG. THE TEAM WAS ALSO NOT CONFIDENT IN THE LIKELIHOOD OF SUCCESS IF THE HOSPITALS CONCENTRATED ON ADDRESSING MENTAL HEALTH. THERE ARE OTHER ORGANIZATIONS MORE EQUIPPED, AND ALTHOUGH CERTAIN PARTS OF THE HOSPITALS ADDRESS MENTAL HEALTH TREATMENT, PREVENTING MENTAL HEALTH FROM THE HOSPITAL PERSPECTIVE WAS DIFFICULT TO ANTICIPATE. --------------------
Schedule H (Form 990) 2013
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
lBullet Information about Schedule I (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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. Part II can be duplicated if additional space is needed.
(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
(1) MANAGEMENT LEADERSHIP FOR TOMORROW
5335 WISCONSIN AVE NW
SUITE 805
WASHINGTON,DC20015 		52-1795164 501(C)(3) 15,000   N/A N/A TO INCREASE THE PRESENCE OF MINORITY STUDENTS IN LEADING ENTRY-LEVEL CAREERS AND MAJOR GRADUATE BUSINESS SCHOOLS AS PREPARATION FOR LEADERSHIP POSITIONS IN CORPORATIONS, NON-PROFIT ORGANIZATIONS AND ENTREPRENEURIAL VENTURES.
(2) GAY ALLIANCE
875 E MAIN STREET
STE500
ROCHESTER,NY14605 		16-1066400 501(C)(3) 11,000   N/A N/A GENERAL SUPPORT




















2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................ Bullet Image
2
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
0
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2013

Schedule I (Form 990) 2013
Page 2
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.
Part III can be duplicated 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 5166 177,904,185   N/A N/A












Part IV
Supplemental Information. Provide the information required in Part I, line 2, Part III, column (b), and any other additional information.
Return Reference Explanation
STUDENT SCHOLARSHIP, FELLOWSHIPS AND STUDENT LOANS- SCHEDULE I, PART IV STUDENTS 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) 2013


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, line 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
SchJMediumBullet Information about Schedule J (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 of 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
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked in line 1a? ..
2
Yes
 
3
Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
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 Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
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 (E) amounts for that individual.
(A) Name and Title (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 SELIGMANTRUSTEE, PRESIDENT & CEO (i)
(ii)		 753,772
0 		0
0 		30,564
0 		213,817
0 		62,554
0 		1,060,707
0 		0
0
(2)BRADFORD C BERKSR. VP HEALTH SCIENCE (i)
(ii)		 904,509
0 		0
0 		45,654
0 		409,267
0 		11,393
0 		1,370,823
0 		0
0
(3)PAUL J BURGETTVP AND SR ADVISOR-PRES & DEAN (i)
(ii)		 156,315
0 		0
0 		335
0 		14,865
0 		14,112
0 		185,627
0 		0
0
(4)ROBERT L CLARKSRVP RESEARCH&DEAN HAJIM ASE (i)
(ii)		 504,773
0 		0
0 		65,887
0 		75,880
0 		19,811
0 		666,351
0 		0
0
(5)PETER LENNIEPROVOST & DEAN OF FACULTY-ASE (i)
(ii)		 560,715
0 		0
0 		26,459
0 		24,567
0 		51,303
0 		663,044
0 		0
0
(6)LAMAR MURPHYGENL SECRETARY&CHIEF OF STAFF (i)
(ii)		 234,446
0 		0
0 		17,500
0 		24,830
0 		10,383
0 		287,159
0 		0
0
(7)WILLIAM M MURPHYVP FOR COMMUNICATIONS (i)
(ii)		 230,113
0 		0
0 		17,500
0 		24,436
0 		10,945
0 		282,994
0 		0
0
(8)GAIL M NORRISVP AND GENERAL COUNSEL (i)
(ii)		 377,199
0 		0
0 		0
0 		30,903
0 		22,418
0 		430,520
0 		0
0
(9)RONALD J PAPROCKISR. VP ADMIN & FINANCE, CFO (i)
(ii)		 629,951
0 		0
0 		21,946
0 		126,353
0 		21,927
0 		800,177
0 		0
0
(10)DOUGLAS W PHILLIPSSR. VP INSTITUTIONAL RESOURCES (i)
(ii)		 589,345
0 		0
0 		45,344
0 		24,567
0 		15,273
0 		674,529
0 		0
0
(11)MARK B TAUBMANDEAN,SMD;VP FOR HEALTH SCIENCE (i)
(ii)		 731,940
0 		0
0 		12,732
0 		129,567
0 		20,293
0 		894,532
0 		0
0
(12)JAMES D THOMPSON Till 414SR. VP & CHIEF ADV. OFFICER (i)
(ii)		 545,351
0 		0
0 		129,870
0 		67,067
0 		23,267
0 		765,555
0 		0
0
(13)STEVEN GOLDSTEINURMC VP, PRES/CEO SMH & HH (i)
(ii)		 889,314
0 		0
0 		56,872
0 		258,967
0 		4,039
0 		1,209,192
0 		0
0
(14)MICHAEL C GOONANVICE PRESIDENT & CFO, URMC (i)
(ii)		 248,426
0 		0
0 		810,948
0 		622,114
0 		11,164
0 		1,692,652
0 		241,200
0
(15)RAYMOND J MAYEWSKIVP, URMC (i)
(ii)		 539,046
0 		0
0 		41,642
0 		99,567
0 		9,929
0 		690,184
0 		0
0
(16)KATHLEEN PARRINELLOEXEC VP & COO, SMH (i)
(ii)		 429,710
0 		0
0 		28,461
0 		100,927
0 		11,718
0 		570,816
0 		0
0
(17)PETER G ROBINSONVP&COO, MEDCTR & STRONG HEALTH (i)
(ii)		 456,195
0 		0
0 		806,927
0 		417,117
0 		23,810
0 		1,704,049
0 		241,200
0
(18)MICHAEL ROTONDOCEO, URFMG (i)
(ii)		 352,094
0 		60,000
0 		6,000
0 		49,567
0 		9,898
0 		477,559
0 		0
0
(19)LEONARD J SHUTE TILL 12-13ASSOC VP & SR DIR FINANCE/CFO (i)
(ii)		 461,162
0 		0
0 		590,607
0 		155,802
0 		22,670
0 		1,230,241
0 		0
0
(20)MARC D BROWN MDPROF-DERMATOLOGY M&D (i)
(ii)		 625,766
0 		948,005
0 		17,500
0 		24,567
0 		19,064
0 		1,634,902
0 		0
0
(21)SHERRIF F IBRAHIMASST PROFESSOR-DERMATOLOGY M&D (i)
(ii)		 308,573
0 		940,195
0 		17,500
0 		17,480
0 		22,141
0 		1,305,889
0 		0
0
(22)MICHAEL D MALONEY MDASSOC. PROF-ORTHOPAEDICS M&D (i)
(ii)		 583,953
0 		806,058
0 		17,500
0 		264,567
0 		16,298
0 		1,688,376
0 		0
0
(23)JEFFREY H PETERS MDPROF CHAIR- DEPT OF SURGERY (i)
(ii)		 965,671
0 		275,000
0 		30,024
0 		24,567
0 		20,212
0 		1,315,474
0 		0
0
(24)ILYA VOLOSHINPROFESSOR-ORTHOPAEDICS M&D (i)
(ii)		 473,563
0 		618,982
0 		17,500
0 		34,537
0 		19,051
0 		1,163,633
0 		0
0
(25)ELIZABETH R MCANARNEYFORMER KEY EMPLOYEE (i)
(ii)		 119,216
0 		0
0 		17,500
0 		12,612
0 		8,428
0 		157,756
0 		0
0
Schedule J (Form 990) 2013

Schedule J (Form 990) 2013
Page 3
Part III
Supplemental Information
Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II.
Also complete this part for any additional information.
Return Reference Explanation
DETAIL OF ADDITIONAL BENEFITS PROVIDED- FORM 990, SCHEDULE J, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN CERTAIN CIRCUMSTANCES, THE PRESIDENT AND PROVOST 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 AND PROVOST OR OTHER KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE ONLY IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" 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. ONE OFFICER RECEIVED A GROSS-UP PAYMENT THAT WAS TREATED AS TAXABLE COMPENSATION. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT AND PROVOST ARE REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. SOCIAL CLUB DUES THE UNIVERSITY PROVIDES A SOCIAL CLUB MEMBERSHIP, TO BE USED BY CERTAIN OFFICERS AND KEY EMPLOYEES IN CONNECTION WITH THEIR DUTIES. THESE OFFICERS AND KEY EMPLOYEES ARE RESPONSIBLE FOR ANY PERSONAL USE OF THE CLUB MEMBERSHIP. NINE OFFICERS AND ONE KEY EMPLOYEE RECEIVED SOCIAL CLUB DUES THAT WAS TREATED AS TAXABLE COMPENSATION. --------------------
PARTICIPATION IN A SUPP. NONQUALIFIED PLAN- FORM 990, SCHEDULE J, LINE 4B THE FOLLOWING INDIVIDUALS LISTED ON FORM 990, PART VII, SECTION A 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 - $105,000 STEVEN GOLDSTEIN - SERP - $159,400 MICHAEL C. GOONAN - SERP - $61,500 RAYMOND J. MAYEWSKI - SERP - $75,000 PETER G. ROBINSON - SERP - $61,500 KATHLEEN PARRINELLO - SERP - $48,000 LEONARD J. SHUTE - SERP - $50,000 MICHAEL ROTONDO - SERP - $25,000 JOEL S. SELIGMAN - 457(F) - $189,250 BRADFORD C. BERK - 457(F) - $240,000 ROBERT CLARK - 457(F) - $50,000 RONALD J. PAPROCKI - 457(F) - $101,786 DOUGLAS PHILLIPS - 457(F) - NONE JAMES THOMPSON - 457(F) - $42,500 STEVEN GOLDSTEIN - 457(F) - $75,000 MICHAEL C. GOONAN - 457(F) - $536,047 PETER G. ROBINSON - 457(F) - $331,050 KATHLEEN PARRINELLO - 457(F) - $23,878 LEONARD J. SHUTE - 457(F) - $81,250 MICHAEL MALONEY - 457(F) - $240,000 --------------------
PROVISION OF NON-FIXED PAYMENTS- FORM 990, 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) 2013

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.
SchKMediumBulletInformation about Schedule K (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 649905KL9 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
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075THK7 09-19-2013 198,885,260 2013 A, B CAPITAL PROJECTS   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 71,895,000 28,810,249 6,855,000 9,649,195
2 Amount of bonds legally defeased . . . . . . . . . . . 0 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 165,914,139 46,665,022 111,180,000 186,725,496
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 2,520,693 0 1,501,163
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 0 0
7 Issuance costs from proceeds . . . . . . . . . . . . 3,122,743 839,083 2,170,437 3,175,140
8 Credit enhancement from proceeds . . . . . . . . . . . 2,349,000 0 1,213,000 0
9 Working capital expenditures from proceeds . . . . . . . . . 383,179 0 0 1,629,892
10 Capital expenditures from proceeds . . . . . . . . . . . 70,315,050 43,305,246 0 173,638,861
11 Other spent proceeds . . . . . . . . . . . . . . 89,744,167 0 107,796,563 6,780,440
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2009 2008 2000 2010
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . . X     X   X   X
15 Were the bonds issued as part of an advance refunding issue? . . . . . X     X X     X
16 Has the final allocation of proceeds been made? . . . . . . . . X   X   X   X  
17 Does the organization maintain adequate books and records to support the final 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 Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
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 % 0.800 % 0 % 0.100 %
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0.400 % 0.400 % 0 % 0.400 %
6 Total of lines 4 and 5 . . . . . . . . . . . . . 0.400 % 1.200 % 0 % 0.500 %
7 Does the bond issue meet the private security or payment test? . . . . .   X   X   X   X
8a Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?. . . . . . . . . . . . . . . . .   X   X   X   X
b If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of. 0 % 0 % 0 % 0 %
c If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . .   X   X   X   X
9 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 the issuer filed Form 8038-T? . . . . .   X   X   X   X
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . .                
b Exception to rebate? . . . . . . . . X   X   X   X  
c No rebate due? . . . . . . . .                
If you checked "No rebate due" in line 2c, provide in
Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . . X     X X     X
4a Has the organization or the governmental issuer entered 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 the hedge terminated? . . . . . .   X       X    
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
Page 3
Part IV
Arbitrage (Continued)
A B C D
Yes No Yes No Yes No Yes No
5a 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? . . . . .                
6 Were any gross proceeds invested beyond an available temporary period? . . . . . . . . X     X   X X  
7 Has the organization established written procedures to monitor the requirements of section 148? . . . X   X   X   X  
Part V
Procedures To Undertake Corrective Action
A B C D
Yes No Yes No Yes No Yes No
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? X   X   X   X  
Part VI
Supplemental Information. Provide additional information for responses to questions on Schedule K (see instructions).
Return Reference Explanation
PART I, COLUMN C- ADDITIONAL TAX-EXEMPOT BOND CUSIP # INFORMATION BOND ISSUE 2007 A-2- CUSIP #649903CK5 BOND ISSUE 2007 B- CUSIP #649903CG4 BOND ISSUE 2009 A,B,C,D,E- CUSIP #649907VR0, #649907VS8 BOND ISSUE 2009 B- CUSIP #649907VP4, #649907VQ2, #649907VR0, #649907VS8 BOND ISSUE 2011- CUSIP #61075TDC9, BOND ISSUE 2011A- CUSIP #61075TJM1, #61075TJN9, #61075TJK9, #61075TJL3, #61075TJK5 BOND ISSUE 2013- CUSIP #61075TJH2, #61075TJH2 --------------------
PART II, LINE 3- ADDITIONAL DETAIL FOR PROCEEDS OF ISSUES THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2003 A,B,C BOND ISSUE INCLUDES $1,489,139 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2004A BOND ISSUE INCLUDES $1,062,225 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2007 A-1, A-2, B BOND ISSUE INCLUDES $5,766,318 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2009 A,B,C,D,E BOND ISSUE INCLUDES $185,527 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2011 A,B BOND ISSUE INCLUDES $82,185 IN INVESTMENT EARNINGS.
Schedule K (Form 990) 2013

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.
SchKMediumBulletInformation about Schedule K (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 649905KL9 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
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075THK7 09-19-2013 198,885,260 2013 A, B CAPITAL PROJECTS   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 71,895,000 28,810,249 6,855,000 9,649,195
2 Amount of bonds legally defeased . . . . . . . . . . . 0 0 0 0
3 Total proceeds of issue . . . . . . . . . . . . . . 165,914,139 46,665,022 111,180,000 186,725,496
4 Gross proceeds in reserve funds . . . . . . . . . . . . 0 0 0 0
5 Capitalized interest from proceeds . . . . . . . . . . . 0 2,520,693 0 1,501,163
6 Proceeds in refunding escrows . . . . . . . . . . . . 0 0 0 0
7 Issuance costs from proceeds . . . . . . . . . . . . 3,122,743 839,083 2,170,437 3,175,140
8 Credit enhancement from proceeds . . . . . . . . . . . 2,349,000 0 1,213,000 0
9 Working capital expenditures from proceeds . . . . . . . . . 383,179 0 0 1,629,892
10 Capital expenditures from proceeds . . . . . . . . . . . 70,315,050 43,305,246 0 173,638,861
11 Other spent proceeds . . . . . . . . . . . . . . 89,744,167 0 107,796,563 6,780,440
12 Other unspent proceeds . . . . . . . . . . . . . . 0 0 0 0
13 Year of substantial completion . . . . . . . . . . . . 2009 2008 2000 2010
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . . X     X   X   X
15 Were the bonds issued as part of an advance refunding issue? . . . . . X     X X     X
16 Has the final allocation of proceeds been made? . . . . . . . . X   X   X   X  
17 Does the organization maintain adequate books and records to support the final 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 Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
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 % 0.800 % 0 % 0.100 %
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0.400 % 0.400 % 0 % 0.400 %
6 Total of lines 4 and 5 . . . . . . . . . . . . . 0.400 % 1.200 % 0 % 0.500 %
7 Does the bond issue meet the private security or payment test? . . . . .   X   X   X   X
8a Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?. . . . . . . . . . . . . . . . .   X   X   X   X
b If "Yes" to line 8a, enter the percentage of bond-financed property sold or disposed of. 0 % 0 % 0 % 0 %
c If "Yes" to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . .   X   X   X   X
9 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 the issuer filed Form 8038-T? . . . . .   X   X   X   X
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . .                
b Exception to rebate? . . . . . . . . X   X   X   X  
c No rebate due? . . . . . . . .                
If you checked "No rebate due" in line 2c, provide in
Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . . X     X X     X
4a Has the organization or the governmental issuer entered 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 the hedge terminated? . . . . . .   X       X    
Schedule K (Form 990) 2013
Schedule K (Form 990) 2013
Page 3
Part IV
Arbitrage (Continued)
A B C D
Yes No Yes No Yes No Yes No
5a 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? . . . . .                
6 Were any gross proceeds invested beyond an available temporary period? . . . . . . . . X     X   X X  
7 Has the organization established written procedures to monitor the requirements of section 148? . . . X   X   X   X  
Part V
Procedures To Undertake Corrective Action
A B C D
Yes No Yes No Yes No Yes No
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? X   X   X   X  
Part VI
Supplemental Information. Provide additional information for responses to questions on Schedule K (see instructions).
Return Reference Explanation
PART I, COLUMN C- ADDITIONAL TAX-EXEMPOT BOND CUSIP # INFORMATION BOND ISSUE 2007 A-2- CUSIP #649903CK5 BOND ISSUE 2007 B- CUSIP #649903CG4 BOND ISSUE 2009 A,B,C,D,E- CUSIP #649907VR0, #649907VS8 BOND ISSUE 2009 B- CUSIP #649907VP4, #649907VQ2, #649907VR0, #649907VS8 BOND ISSUE 2011- CUSIP #61075TDC9, BOND ISSUE 2011A- CUSIP #61075TJM1, #61075TJN9, #61075TJK9, #61075TJL3, #61075TJK5 BOND ISSUE 2013- CUSIP #61075TJH2, #61075TJH2 --------------------
PART II, LINE 3- ADDITIONAL DETAIL FOR PROCEEDS OF ISSUES THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2003 A,B,C BOND ISSUE INCLUDES $1,489,139 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2004A BOND ISSUE INCLUDES $1,062,225 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2007 A-1, A-2, B BOND ISSUE INCLUDES $5,766,318 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2009 A,B,C,D,E BOND ISSUE INCLUDES $185,527 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2011 A,B BOND ISSUE INCLUDES $82,185 IN INVESTMENT EARNINGS.
Schedule K (Form 990) 2013

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, line 38a or 40b.
MediumBullet Attach to Form 990 or Form 990-EZ. MediumBullet See separate instructions.
MediumBulletInformation about Schedule L (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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) Relationship between disqualified person and organization (c) Description of transaction (d) Corrected?
Yes No





2
Enter the amount of tax incurred by 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-EZ, Part V, line 38a, or Form 990, Part IV, line 26; or if the organization reported an amount on Form 990, Part X, line 5, 6, or 22
(a) Name of interested person (b) Relationship with organization (c) Purpose of loan (d) Loan to or from the organization? (e)Original principal amount (f)Balance due (g) In default? (h) Approved by board or committee? (i)Written agreement?
To From Yes No Yes No Yes No
Total ......Small Bullet $  
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 assistance (d) Type of assistance (e) Purpose of assistance
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2013
Schedule L (Form 990 or 990-EZ) 2013
Page 2
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) BONNIE GOLDSTEIN FAMILY MEMBER OF KEY EMPL 70,572 PAYMENT OF COMPENSATION   No
(2) THOMAS W WITMER FAMILY MEMBER OF TRUSTEE 120,322 PAYMENT OF COMPENSATION   No
(3) KAREN BERK FAMILY MEMBER OF OFFICER 56,137 PAYMENT OF COMPENSATION   No
(4) DENNIS KESSLER FAMILY MEMBER OF TRUSTEE 115,931 PAYMENT OF COMPENSATION   No
(5) DELORES CONWAY FAMILY MEMBER OF OFFICER 363,147 PAYMENT OF COMPENSATION   No
(6) REBECCA WALTERS FAMILY MEMBER OF KEY EMPL 98,435 PAYMENT OF COMPENSATION   No
(7) ELIZABETH MAYEWSKI FAMILY MEMBER OF KEY EMPL 72,161 PAYMENT OF COMPENSATION   No
(8) ROBERT L CLARK FAMILY MEMBER OF OFFICER 30,080 PAYMENT OF COMPENSATION   No
(9) JONATHAN SUSSMAN FAMILY MEMBER OF KEY EMPL 83,642 PAYMENT OF COMPENSATION   No
(10) JENNIFER PARRINELLO FAMILY MEMBER OF KEY EMPL 14,443 PAYMENT OF COMPENSATION   No
(11) LYDIA ROTONDO FAMILY MEMBER OF KEY EMPL 15,400 PAYMENT OF COMPENSATION   No
(12) XEROX COMMON TRUSTEE/OFFICER 2,066,088 PURCHASE OF BUSINESS SERVICES   No
(13) WEGMANS COMMON TRUSTEE/OWNER 618,859 PAYMENT OF DRUG DISPENSING FEE   No
(14) ACCOUNTABLE HEALTH PARTNERS LLC COMMON KEY EMPL/DIRECTORS 2,157,307 INVESTMENT   No
Part V
Supplemental Information
Provide additional information for responses to questions on Schedule L (see instructions).
Return Reference Explanation
ADD'L SUPP INFORMATION- FORM 990, SCHEDULE L, PART IV XEROX- TRUSTEE, JOHN M. KELLY IS AN OFFICER OF XEROX. TRUSTEE, ROBERT KEEGAN IS A DIRECTOR OF XEROX. WEGMANS- TRUSTEE, DANIEL R. WEGMAN IS AN OFFICER, DIRECTOR AND OWNER OF WEGMANS. ACCOUNTABLE HEALTH PARTNERS, LLC - KEY EMPLOYEES, STEVEN GOLDSTEIN AND RAYMOND J. MAYEWSKI ARE DIRECTORS OF ACCOUNTABLE HEALTH PARTNERS, LLC.
Schedule L (Form 990 or 990-EZ) 2013

Additional Data


Software ID:  
Software Version:  




SCHEDULE M
(Form 990)

Department of the Treasury
Internal Revenue Service
Noncash Contributions
Right pointing arrow large imageComplete if the organizations answered "Yes" on Form 990, Part IV, lines 29 or 30.
Right pointing arrow large image Attach to Form 990.
Right pointing arrow large imageInformation about Schedule M (Form 990) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
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 23 641,194 FAIR MARKET VALUE
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications .. X 2 FAIR MARKET VALUE
5 Clothing and household
goods ....... 		     
6 Cars and other vehicles ..        
7 Boats and planes ....        
8 Intellectual property ...        
9 Securities—Publicly traded . X 342 17,640,126 FAIR MARKET VALUE
10 Securities—Closely held stock .        
11 Securities—Partnership, LLC,
or trust interests .... 		       
12 Securities—Miscellaneous ..        
13 Qualified conservation
contribution—Historic
structures ..... 		       
14 Qualified conservation
contribution—Other ... 		       
15 Real estate—Residential . X 1 48,000 FAIR MARKET VALUE
16 Real estate—Commercial ..        
17 Real estate—Other ...        
18 Collectibles .....        
19 Food inventory ...        
20 Drugs and medical supplies .        
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( MUSICAL INSTRUMENTS ) X 15 104,721 FAIR MARKET VALUE
26 Other Right pointing arrow large image ( GIFT-IN-KIND ) X 35 97,588 FAIR MARKET VALUE
27 Other Right pointing arrow large image ( PERSONAL PROPERTY ) X 78 75,183 FAIR MARKET VALUE
28 Other Right pointing arrow large image ( MISCELLANEOUS EQUIPMENT ) X 2 3,102,062 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
7
Yes
No
30a
During the year, did the organization receive by contribution any property reported in Part I, lines 1 through 28, that
it must hold for at least three years from the date of the initial contribution, and which is not required to be used
for exempt purposes for the entire holding period? ..................
30a
 
No
b
If "Yes," describe the arrangement in Part II.
31
Does the organization have a gift acceptance policy that requires the review of any non-standard contributions?
31
Yes
 
32a
Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash
contributions? ..........................
32a
 
No
b
If "Yes," describe in Part II.
33
If the organization did not report an amount in column (c) for a type of property for which column (a) is checked,
describe in Part II.
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 51227J
Schedule M (Form 990) (2013)
Schedule M (Form 990) (2013)
Page 2
Part II
Supplemental Information. Provide the information required by Part I, lines 30b,
32b, and 33, and whether the organization is reporting in Part I, column (b), the number of contributions, the number of items received, or a combination of both. Also complete this part for any additional information.
Return Reference Explanation
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) (2013)
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.
MediumBullet Information about Schedule O (Form 990 or 990-EZ) and its instructions is at
www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public
Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
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 5,223 UNDERGRADUATES 2,809,971 MEALS IN FIVE DINING SERVICES. THE UNIVERSITY HAS 777 UNITS USED FOR STUDENT HOUSING. --------------------
FAMILY/BUSINESS RELATIONSHIPS- FORM 990, PART VI, SECTION A, LINE 2 ROBERT J. KEEGAN AND JOHN M. KELLY - BUSINESS RELATIONSHIP --------------------
FORM 990 REVIEW PROCESS- FORM 990, PART VI, SECTION B, LINE 11 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. --------------------
CONFLICT OF INTEREST POLICY- FORM 990, PART VI, SECTION A, 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. --------------------
COMPENSATION PROCESS- FORM 990, PART VI, SECTION B, LINE 15 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. --------------------
DOCUMENTS AVAILABILITY TO 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. --------------------
STATE FILING OF FORM 990- 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 9 CHANGE IN VALUATION OF ANNUITIES $(4,137,398) LOSS ON EXTINGUISHMENT OF DEBT (2,167,272) OTHER CHANGES 9,172,013 ---------- TOTAL $ 2,867,343 --------------------
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. --------------------
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2013

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" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.
MediumBulletAttach to Form 990. MediumBullet See separate instructions.
MediumBullet Information about Schedule R (Form 990) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047
2013
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 (if applicable) 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 83,582 2,477,379 UNIV OF ROCH
 
(2) EXTENSIBLE CATALOG ORGANIZATION LLC
263 WALLIS HALL
ROCHESTER,NY14627
16-0743209 		TECH DEVELOP NY 0 0 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 entity?
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) 11A, 1 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

222 WEST RIDGE ROAD

ROCHESTER,NY14615
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) 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
 
(17) 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
 
(18) 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
(19) 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
(20) 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
(21) 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
(22) TW ETTA BASCOM FBO SMH CANCER UNIT

CO JO MORGAN CHASE TRUSTEE PO BOX

MILWAUKEE,WI53201
16-6055197 		SUPPORT ORG NY 501 (c)(3) 11D,III-OTH NA
 
 
No
(23) 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
(24) 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
(25) 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
(26) U OF R BROADCASTING CORPORATION

201 WILSON COMMONS

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

263 WALLIS HALL

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

263 WALLIS HALL

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

263 WALLIS HALL

ROCHESTER,NY14627
45-2464788 		SUPPORT ORG NY 501 (c)(3) 11A, 1 UNIV OF ROCH
 
Yes
 
(30) FREDERICK FERRIS THOMPSON HOSPITAL

350 PARRISH STREET

CANANDAIGUA,NY14424
16-0743024 		HOSPITAL NY 501 (c)(3) 3 FFTHS INC
 
Yes
 
(31) FF THOMPSON FOUNDATION INC

350 PARRISH STREET

CANANDAIGUA,NY14424
22-2959984 		FUNDRAISING NY 501 (c)(3) 7 FFTHS INC
 
Yes
 
(32) M M EWING CONTINUING CARE CENTER

350 PARRISH STREET

CANANDAIGUA,NY14424
23-7046583 		HEALTHCARE NY 501 (c)(3) 3 FFTHS INC
 
Yes
 
(33) FF THOMPSON HEALTH SYSTEM INC

350 PARRISH STREET

CANANDAIGUA,NY14424
22-2959987 		SUPPORT ORG NY 501 (c)(3) IIA UNIV OF ROCH
 
Yes
 
(34) FF THOMPSON SENIOR COMMUNITIES INC

350 PARRISH STREET

CANANDAIGUA,NY14424
16-1557494 		ELDER CARE NY 501 (c)(3) 9 FFTHS INC
 
Yes
 
(35) PLUTA CANCER CENTER FOUNDATION INC

125 RED CREEK DRIVE

ROCHESTER,NY14623
27-0425383 		SUPPORT ORG NY 501 (c)(3) 11A, 1 NA
 
 
No
(36) FINGER LAKES VISITING NURSE SERVICE INC

756 PRE-EMPTION ROAD

GENEVA,NY14456
22-3067627 		HEALTHCARE NY 501 (c)(3) 9 VNSR
 
Yes
 
(37) FINGER LAKES HOME CARE INC

756 PRE-EMPTION ROAD

GENEVA,NY14456
16-1489133 		HEALTHCARE NY 501 (c)(3) 9 VNSR
 
Yes
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 2
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
(1) EXCELL INNOVATE NY FUND LP

222 WEST RIDGE ROAD SUITE 156
ROCHESTER,NY14615
46-2405519 		FUNDING START NY EXCELL TECH VEN
  		              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
 		(i)
Section 512(b)(13) controlled entity?
Yes No
(1) MEDICAL ADMINISTRATIVE ASSOCIATES INC

777 SOUTH CLINTON AVENUE
ROCHESTER,NY14620
16-1354319 		RETAIL PHARMACY NY HIGHLD HOSP
  		C CORP 0 0 100.000 % Yes  
(2) UR EQUITY HOLDINGS INC

110 OFFICE PARK WAY
PITTSFORD,NY14534
27-3040889 		HOLDING COMPANY NY UNIV OF ROCH
  		C CORP -1,093 0 100.000 % Yes  
(3) FFTH PROPERTIES AND SERVICES INC

350 PARRISH STREET
CANANDAIGUA,NY14424
16-1286518 		HOLDING COMPANY NY FFTHS INC
  		C CORP       Yes  
(4) EXCELL TECHNOLOGY VENTURES INC

222 WEST RIDGE ROAD STE 156-1
ROCHESTER,NY14615
80-0909149 		BIOTECH INCUB NY ROCH BIOVENTURE
  		C CORP       Yes  
(5) ACCOUNTABLE HEALTH PARTNERS LLC

135 CORPORATE WOODS SUITE 320
ROCHESTER,NY14623
30-0787967 		ACCT CARE NETWORK NY UNIV OF ROCH
  		C CORP 0 0 85.090 % Yes  
(6) CHARITABLE REMAINDER TRUSTS (29)

 
 
N/A NY NA
  		TRUST         No
(7) POOLED INCOME FUNDS (3)

 
 
N/A NY NA
  		TRUST         No
(8) IRC SECTION 4947(A)(1) TRUSTS (7)

 
 
N/A NY NA
  		TRUST         No
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
Page 3
Part V
Transactions With Related Organizations Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35b, or 36.
Note. Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule.
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 or (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 Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1f
 
No
g Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1g
 
No
h Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1h
 
No
i Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1i
 
No
j Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1j
Yes
 
k Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . .
1k
Yes
 
l Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . .
1l
Yes
 
m Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . .
1m
Yes
 
n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . .
1n
 
No
o Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1o
 
No
p Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1p
Yes
 
q Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1q
Yes
 
r Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1r
Yes
 
s Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1s
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 related organization 		(b)
Transaction
type (a-s) 		(c)
Amount involved 		(d)
Method of determining amount involved
(1) HIGHLAND HOSPITAL OF ROCHESTER INC

 M 9,441,645 SERVICE COST
(2) HIGHLAND HOSPITAL OF ROCHESTER INC

 R 32,009,546 PATIENT COST
(3) EXCELL PARTNERS INC

 B 137,500 FMV GRANT
(4) EXCELL PARTNERS INC

 B 60,000 FMV GIFT
(5) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 B 1,400,000 FMV GIFT
(6) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 D 6,441,000 FMV LOAN
(7) ROCHESTER BIOVENTURE CENTER INC

 B 167,112 FMV GRANT
(8) ROCHESTER BIOVENTURE CENTER INC

 K 1,098,180 RENTAL COST
(9) STRONG HOME CARE GROUP INC

 B 118,205 FMV GIFT
(10) THE MEADOWS AT WESTFALL INC

 B 2,050,814 FMV GIFT
(11) THE MEADOWS AT WESTFALL INC

 P 287,678 NET EXPENSES
(12) THE HIGHLAND FOUNDATION INC

 B 77,176 FMV GIFT
(13) THE FREDERICK FERRIS THOMPSON HOSPITAL

 M 166,033 SERVICE COST
(14) THE FREDERICK FERRIS THOMPSON HOSPITAL

 P 224,735 NET EXPENSES
(15) ACCOUNTABLE HEALTH PARTNERS LLC

 B 500,000 FMV CAP CONT
(16) ACCOUNTABLE HEALTH PARTNERS LLC

 R 185,400 FMV COST
(17) HIGHLAND HOSPITAL OF ROCHESTER INC

 L 64,765,448 SERVICE COST
(18) HIGHLAND HOSPITAL OF ROCHESTER INC

 Q 56,578 NET EXPENSES
(19) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 L 449,067 SERVICE COST
(20) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 A 26 INTEREST COST
(21) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 S 421,203 PRINCIPAL COST
(22) THE HIGHLANDS LIVING CENTER INC

 L 289,653 SERVICE COST
(23) THE MEADOWS AT WESTFALL INC

 J 904,192 FMV RENT
(24) THE MEADOWS AT WESTFALL INC

 S 144,000 FMV RES FUND
(25) THE MEADOWS AT WESTFALL INC

 L 3,184,979 SERVICE COST
(26) CRITTENDEN BOULEVARD HOUSING COMPANY INC

 Q 523,572 NET EXPENSES
(27) CRITTENDEN BOULEVARD HOUSING COMPANY INC

 K 83,782 RENTAL COST
(28) UR REAL ESTATE CORPORATION

 A 284,817 INTEREST COST
Schedule R (Form 990) 2013
Schedule R (Form 990) 2013
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) 2013
Schedule R (Form 990) 2013
Page 5
Part VII
Supplemental Information
Provide additional information for responses to questions on Schedule R (see instructions).
Return Reference Explanation
Schedule R (Form 990) 2013
Additional Data


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