Form990
Click to see attachment
Department of the TreasuryInternal 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.
MediumBullet Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2018
Open to Public Inspection
A For the 2019 calendar year, or tax year beginning 07-01-2018 , and ending 06-30-2019
BCheck if applicable:
CName of organization
UNIVERSITY OF ROCHESTER
 
% HOLLY G CRAWFORD
Doing business as
 
 
Number and street (or P.O. box if mail is not delivered to street address)
BOX 278893
 
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
ROCHESTER, NY146278893
D Employer identification number

16-0743209
E Telephone number

G Gross receipts $ 5,229,132,529
F Name and address of principal officer:
SARAH C MANGELSDORF
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: THE PROVISION OF HIGHER EDUCATION IN THE LIBERAL ARTS AND SCIENCES, MEDICINE AND DENTISTRY, NURSING AND MUSIC; RESEARCH; AND CHARITABLE PATIENT CARE SERVICES.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 45
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 38
5 Total number of individuals employed in calendar year 2018 (Part V, line 2a) ...... 5 32,684
6 Total number of volunteers (estimate if necessary) ............. 6 7,572
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 21,265,910
b Net unrelated business taxable income from Form 990-T, line 34 ......... 7b 0
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 398,868,083 415,411,853
9 Program service revenue (Part VIII, line 2g) ......... 3,299,478,987 3,492,293,403
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 199,086,732 250,799,994
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 2,259,695 3,210,327
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12) 3,899,693,497 4,161,715,577
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 225,773,794 242,418,990
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) 2,166,644,871 2,314,944,492
16a Professional fundraising fees (Part IX, column (A), line 11e) ..... 247,712 260,891
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet41,706,588    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 1,425,478,186 1,449,968,909
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 3,818,144,563 4,007,593,282
19 Revenue less expenses. Subtract line 18 from line 12....... 81,548,934 154,122,295
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 5,497,835,359 5,717,053,404
21 Total liabilities (Part X, line 26)............. 2,216,216,343 2,302,095,381
22 Net assets or fund balances. Subtract line 21 from line 20..... 3,281,619,016 3,414,958,023
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 (2018)
Form 990 (2018)
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: THE PROVISION OF HIGHER EDUCATION IN THE LIBERAL ARTS AND SCIENCES, MEDICINE AND DENTISTRY, NURSING AND MUSIC; RESEARCH; AND CHARITABLE PATIENT CARE SERVICES.
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 $ 701,946,306 including grants of $ 242,418,990 ) (Revenue $ 584,379,266 )
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 1,348 FULL-TIME TENURED FACULTY MEMBERS AND 11,817 UNDERGRADUATE AND GRADUATE STUDENTS ENROLLED IN THE UNIVERSITY. THE UNIVERSITY HAS ALWAYS PLACED FINANCIAL AID FOR ITS STUDENTS AMONG ITS HIGHEST PRIORITIES. SCHOLARSHIPS COVER A PORTION 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 5.7 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 $ 336,275,025 including grants of $ 0 ) (Revenue $ 97,875,232 )
RESEARCH ACTIVITIES: THE UNIVERSITY PERFORMS RESEARCH, TRAINING, AND OTHER SERVICES UNDER GRANTS, CONTRACTS, AND SIMILAR AGREEMENTS WITH SPONSORING ORGANIZATIONS, PRIMARILY DEPARTMENTS AND AGENCIES OF THE UNITED STATES GOVERNMENT. DURING THE 2018-2019 FISCAL YEAR, THERE WERE 4,165 GRANTS AND CONTRACTS IN EFFECT THAT TOTALED $320,729,801 IN REVENUE. ROCHESTER RESEARCHERS ARE SCIENTISTS AND SCHOLARS, INVENTORS AND CONSERVATORS, ARTISTS AND ANALYSTS. THEY KNOW MANY OF THE BEST BREAKTHROUGHS IN KNOWLEDGE AND CREATIVITY OCCUR BY CROSSING BOUNDARIES. MANY OF THE UNIVERSITYS RESEARCH ENVIRONMENTS ARE DESIGNED TO FACILITATE COLLABORATION AND EXPLORATION ACROSS DISCIPLINES. RESEARCH AT THE UNIVERSITY OF ROCHESTER OCCURS IN 60 RESEARCH CENTERS AND INSTITUTES ACROSS THE UNIVERSITY, INCLUDING: - THE LABORATORY FOR LASER ENERGETICS (LLE) - THE LASER LAB IS THE LARGEST UNIVERSITY-BASED DEPARTMENT OF ENERGY RESEARCH PROGRAM IN THE NATION AND IS HOME TO THE MOST POWERFUL LASER SYSTEMS FOUND AT ANY ACADEMIC INSTITUTION IN THE WORLD. AT THE LAB, RESEARCHERS FROM ALL OVER THE WORLD PROBE THE EXTREMES OF TEMPERATURE AND PRESSURE IN LABORATORY-SCALE EXPERIMENTS. - THE INSTITUTE OF OPTICS - HOME TO THE NATIONS FIRST OPTICAL SCIENCE, ENGINEERING AND DESIGN PROGRAM. THE INSTITUTE OF OPTICS HAS GRANTED ABOUT HALF OF ALL DEGREES IN OPTICS AWARDED IN THE U.S. - THE DEL MONTE INSTITUTE FOR NEUROSCIENCE - INSTRUMENTAL IN BRINGING TOGETHER NEUROSCIENCE AND RELATED DISCIPLINES- BIOMEDICAL ENGINEERING, BRAIN AND COGNITIVE SCIENCES, COMPUTER SCIENCE, AND NEUROLOGY. THIS MULTIDISCIPLINARY WORK HAS MADE POSSIBLE CRITICAL RESEARCH INTO ALZHEIMERS, MULTIPLE SCLEROSIS, AUTISM AND DYSLEXIA. - THE HUMANITIES CENTER - AN INTELLECTUAL HOME BASE FOR STUDENTS, FACULTY, RESEARCHERS, ARTISTS AND THE PUBLIC. RESEARCH PROJECTS AFFECT FIELDS BEYOND THE HUMANITIES, INCLUDING MEDICINE, BUSINESS, SCIENCE AND ENGINEERING. - MT. HOPE FAMILY CENTER - LEADING EXPERTS PROVIDE EVIDENCE-BASED INTERVENTION AND PREVENTION SERVICES TO OVER 900 AT-RISK CHILDREN AND FAMILIES ANNUALLY. - INSTITUTE FOR MUSIC LEADERSHIP - DEVELOPING CREATIVE AND EFFECTIVE LEADERS FOR TODAYS MUSICAL WORLD.
4c (Code:   ) (Expenses $ 2,598,314,807 including grants of $ 0 ) (Revenue $ 2,698,224,265 )
SERVICES OF HOSPITAL AND CLINICS- THE UNIVERSITY OF ROCHESTER (THE "UNIVERSITY") PROVIDES HEALTH CARE SERVICES TO THE GREATER ROCHESTER AND FINGER LAKES AREA THROUGH STRONG MEMORIAL HOSPITAL, STRONG HOME CARE GROUP, THE VARIOUS ENTITIES INCLUDED IN STRONG PARTNERS HEALTH SYSTEM, INC. (SPHS), F.F. THOMPSON HEALTH SYSTEM, INC., LIVINGSTON HEALTH CARE SYSTEM, INC., THE MEMORIAL HOSPITAL OF WILLIAM F. AND GERTRUDE F. JONES, INC. AND ST. JAMES HOSPITAL. TO SUPPORT THE TEACHING AND RESEARCH MISSIONS OF ITS SCHOOL OF MEDICINE AND DENTISTRY AND ITS SCHOOL OF NURSING, THE UNIVERSITY OF ROCHESTER OPERATES STRONG MEMORIAL HOSPITAL, A TERTIARY CARE TEACHING HOSPITAL, WHICH INCLUDES THE GOLISANO CHILDRENS HOSPITAL. STRONG MEMORIAL HOSPITAL, GOLISANO CHILDRENS HOSPITAL, AND THE UNIVERSITY OF ROCHESTER MEDICAL FACULTY GROUP OPERATE AS UNINCORPORATED DIVISIONS OF THE UNIVERSITY OF ROCHESTER. STRONG MEMORIAL HOSPITAL 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. DURING THE 2018-2019 FISCAL YEAR, THERE WERE 303,771 TOTAL INPATIENT DAYS AND 134,231 EMERGENCY VISITS. 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 $ 125,367,567 including grants of $ 0 ) (Revenue $ 111,740,912 )
4e Total program service expensesMediumBullet3,761,903,705
Form 990 (2018)
Form 990 (2018)
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)? Click to see attachment...
2
Yes
 
3
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If "Yes," complete Schedule C, Part IClick to see attachment.............
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities, 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 IIIClick 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
Yes
 
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 IV.....Click to see attachment
15
 
No
16
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or 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
 
21
Did the organization report more than $5,000 of grants or other assistance to any domestic organization or domestic government on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II.....Click to see attachment
21
 
No
22
Did the organization report more than $5,000 of grants or other assistance to or for domestic individuals on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III........Click to see attachment
22
Yes
 
Form 990 (2018)
Form 990 (2018)
Page 4
Part IV
Checklist of Required Schedules (continued)
Yes
No
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), 501(c)(4), and 501(c)(29) 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 "Yes," complete Schedule L, Part II................Click to see attachment
26
Yes
 
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
Yes
 
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
 
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
16,965
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
 
Form 990 (2018)
Form 990 (2018)
Page 5
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
32,684
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
Yes
 
b
If "Yes," enter the name of the foreign country: MediumBulletUK
See instructions for filing requirements for FinCEN Form 114, Report of Foreign Bank and Financial Accounts (FBAR).
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.
Did a donor advised fund maintained by the sponsoring organization have excess business holdings at any time during the year? .........................
8
 
No
9a
Did the sponsoring organization make any taxable distributions under section 4966?...
9a
 
No
b
Did the sponsoring 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
 
 
15
Is the organization subject to the section 4960 tax on payment(s) of more than $1,000,000 in remuneration or excess parachute payment(s) during the year? If "Yes," see instructions and file Form 4720, Schedule N .....
15
 
No
16
Is the organization an educational institution subject to the section 4968 excise tax on net investment income?
If "Yes," complete Form 4720, Schedule O ................
16
 
No
Form 990 (2018)
Form 990 (2018)
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
45
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
38
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
 
No
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-A 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, address, and telephone number of the person who possesses the organization's books and records:
MediumBulletHOLLY G CRAWFORD208 WALLIS HALL   ROCHESTER,NY14627 (585) 275-2800
Form 990 (2018)
Form 990 (2018)
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) RICHARD FELDMAN......................................................................
INTERIM TRUSTEE,PRES&CEO
 80.0
.................
0.0 		X   X       877,740 0 53,057
(2) RICHARD T AAB......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(3) JOSEPH W ABRAMS......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(4) MARK S AIN......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(5) JOAN S BEAL......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(6) JAY S BENET......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(7) NAOMI M BERGMAN......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(8) STEPHEN R BIGGAR MD PHD......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(9) LAURENCE H BLOCH......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(10) H CHRISTOPHER BOEHNING......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(11) JOHN H BRUNING......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(12) ELIZABETH P BRUNO......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(13) BARBARA J BURGER......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(14) CAROL JOHN A DAVIDSON......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(15) LAUNCELOT F DRUMMOND......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(16) BERNARD T FERRARI MD......................................................................
TRUSTEE
 2.0
.................
0.0 		X           0 0 0
(17) ROGER B FRIEDLANDER......................................................................
TRUSTEE (UNTIL MAY 2019)
 2.0
.................
0.0 		X           0 0 0
Form 990 (2018)
Form 990 (2018)
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) EMERSON U FULLWOOD........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(19) ANI N GABRELLIAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(20) GWEN MELTZER GREENE........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(21) EDMUND A HAJIM........................................................................
TRUSTEE (UNTIL MAY 2019)
 2.0
.......................0.0 		X           0 0 0
(22) RICHARD B HANDLER........................................................................
TRUSTEE (CHAIR AS OF OCT 2018)
 2.0
.......................0.0 		X   X       0 0 0
(23) CAROL D KARP........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(24) ROBERT J KEEGAN........................................................................
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) NANCY A LIEBERMAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(28) GAIL A LIONE........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(29) EDWARD D MILLER MD........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(30) CATHY E MINEHAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(31) KATHLEEN ANN MURRAY........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(32) NEVEEN NATARAJ........................................................................
TRUSTEE (AS OF MAY 2019)
 2.0
.......................0.0 		X           0 0 0
(33) SANDRA A PARKER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(34) LIZETTE M PEREZ-DEISBOECK........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(35) PHILIP A PIZZO MD........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(36) FRANCIS L PRICE........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(37) BRIAN F PRINCE........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(38) RONALD RETTNER........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(39) THOMAS S RICHARDS........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(40) MICHAEL S ROSEN........................................................................
TRUSTEE (UNTIL MAY 2019)
 2.0
.......................0.0 		X           0 0 0
(41) PHILIP E SAUNDERS........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(42) THOMAS R SLOAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(43) KATHY N WALLER........................................................................
TRUSTEE (AS OF MAY 2019)
 2.0
.......................0.0 		X           0 0 0
(44) DANIEL R WEGMAN........................................................................
TRUSTEE (CHAIR UNTIL OCT 2018)
 2.0
.......................0.0 		X   X       0 0 0
(45) TIMOTHY C WENTWORTH........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(46) THOMAS C WILMOT SR........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(47) NATHANIEL WISCH MD........................................................................
TRUSTEE (UNTIL MAY 2019)
 2.0
.......................0.0 		X           0 0 0
(48) G ROBERT WITMER JR........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(49) ALAN S ZEKELMAN........................................................................
TRUSTEE
 2.0
.......................0.0 		X           0 0 0
(50) PAUL J BURGETT........................................................................
VP&SR ADVISOR-(UNTIL AUG 2018)
 40.0
.......................0.0 		    X       136,492 0 23,730
(51) ROBERT L CLARK........................................................................
PROVOST & SRVP RESEARCH
 55.0
.......................0.0 		    X       658,835 0 290,761
(52) HOLLY G CRAWFORD........................................................................
SR VP, ADMIN & FIN, CFO, TRSR
 65.0
.......................0.0 		    X       577,720 0 50,598
(53) THOMAS J FARRELL........................................................................
SRVP & CHIEF ADVANCEMENT OFCR
 55.0
.......................0.0 		    X       723,253 0 51,079
(54) LAMAR R MURPHY........................................................................
CHIEF OF STAFF, GENL SECRETARY
 55.0
.......................0.0 		    X       403,206 0 55,371
(55) GAIL M NORRIS........................................................................
VP & GENERAL COUNSEL
 60.0
.......................2.0 		    X       541,868 0 50,537
(56) DOUGLAS W PHILLIPS........................................................................
SRVP & CHIEF INVESTMENT OFCR
 62.0
.......................0.0 		    X       760,655 0 54,677
(57) ELIZABETH STAUDERMAN........................................................................
VP FOR COMMUNICATIONS
 55.0
.......................0.0 		    X       332,315 0 36,261
(58) MARK B TAUBMAN MD........................................................................
SRVP HEALTH,CEO URMC, DEAN SMD
 68.0
.......................7.0 		    X       2,070,504 0 248,883
(59) ADAM P ANOLIK........................................................................
CFO URMC
 55.0
.......................9.0 		      X     652,526 0 149,040
(60) MICHAEL J APOSTOLAKOS MD........................................................................
CMO,SMH & HH, VP URMC
 55.0
.......................9.0 		      X     649,551 0 52,865
(61) CARRIE P FULLER-SPENCER0718........................................................................
CFO SMH,HH,LTC&ASSOC VP URMC
 55.0
.......................9.0 		      X     357,952 0 57,127
(62) STEVEN I GOLDSTEIN........................................................................
PRES/CEO SMH & HH,SRVP URMC
 55.0
.......................16.0 		      X     1,196,035 0 504,848
(63) KATHLEEN PARRINELLO........................................................................
COO SMH, EXEC VP SMH
 55.0
.......................0.0 		      X     756,814 0 151,698
(64) PETER G ROBINSON........................................................................
VP GOV'T & COMM REL, URMC
 55.0
.......................5.0 		      X     1,827,058 0 229,274
(65) MICHAEL F ROTONDO MD........................................................................
CEO URMFG, SR VP URMC
 55.0
.......................0.0 		      X     1,350,556 0 142,353
(66) MICHAEL D MALONEY MD........................................................................
PROFESSOR-ORTHOPAEDICS M&D
 86.0
.......................0.0 		        X   1,967,072 0 53,737
(67) ILYA VOLOSHIN MD........................................................................
PROFESSOR-ORTHOPAEDICS M&D
 60.0
.......................0.0 		        X   1,851,932 0 49,186
(68) GEORGE M ALFIERIS MD........................................................................
PROFESSOR-CARDIAC SURGERY M&D
 85.0
.......................0.0 		        X   1,687,660 0 347,479
(69) SHERRIF F IBRAHIM MD PHD........................................................................
ASSOC PROF DERMATOLOGY M&D
 60.0
.......................0.0 		        X   1,541,049 0 56,029
(70) YAN M LI MD........................................................................
ASST PROFESSOR-NEUROSURGERY
 60.0
.......................0.0 		        X   1,293,784 0 55,551
(71) JOEL S SELIGMAN........................................................................
PRESIDENT EMERITUS & PROFESSOR
 40.0
.......................0.0 		          X 2,756,529 0 54,445
(72) BRADFORD C BERK........................................................................
DIRECTOR-UR NEUROREST. INST.
 65.0
.......................0.3 		          X 1,437,230 0 184,903
(73) PETER LENNIE........................................................................
PROFESSOR
 40.0
.......................0.0 		          X 528,326 0 41,836
(74) RAYMOND J MAYEWSKI MD........................................................................
PROFESSOR
 40.0
.......................0.0 		          X 548,504 0 51,822
(75) LEONARD J SHUTE........................................................................
SPEC PROJ/CONTRACT MGR URMC
 20.0
.......................0.0 		          X 221,033 0 33,534
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)...........MediumBullet 27,706,199 0 3,130,681
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organization MediumBullet3,242
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,
205 INDIGO CREEK DRIVE
ROCHESTER,NY14626 		CONSTRUCTION SRVCS 11,326,941
EPIC SYSTEMS CORPORATION,
1979 MILKY WAY
VERONA,WI53593 		TECH SUPPT,TRAINING 6,993,892
PIKE COMPANY INC,
ONE CIRCLE STREET
ROCHESTER,NY14607 		CONSTRUCTION SRVCS 6,034,309
DGA BUILDERS LLC,
1170 PITTSFORD-VICTOR ROAD
PITTSFORD,NY14534 		CONSTRUCTION SRVCS 5,880,002
INTERLAKES ONCOLOGY AND HEMATOLOGY,
211 WHITE SPRUCE BLVD SUITE A
ROCHESTER,NY14623 		ADMIN MGMT CONSULT 5,276,178
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet677
Form 990 (2018)
Form 990 (2018)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII.............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512 - 514
Contributions, Gifts, GrantAmt and OtherAmt Similar Amounts 1a Federated campaigns..1a 606,660
b Membership dues..1b  
c Fundraising events..1c 4,548,774
d Related organizations1d 2,035,000
e Government grants (contributions)1e 320,729,801
f All other contributions, gifts, grants, and similar amounts not included above1f 87,491,618
g Noncash contributions included in lines 1a - 1f:$ 14,938,682
h Total. Add lines 1a-1f.......MediumBullet 415,411,853
Program Service RevenueAmt Business Code
2a SERVICES OF HOSPITALS AND CLINICS (NET) 621500 2,698,224,265 2,686,355,009 11,869,256  
b EDUCATIONAL ACTIVITIES 611310 584,452,995 584,452,995    
c RESEARCH & OTHER CONTRACTS 900099 97,875,232 97,875,232    
d AUXILIARY ENTERPRISES 900099 111,740,911 111,740,911    
e
f All other program service revenue.        
g Total. Add lines 2a–2f ....MediumBullet 3,492,293,403
OtherAmtRevenueAmt 3 Investment income (including dividends, interest, and othersimilar amounts) ......MediumBullet 102,525,700   8,679,581 93,846,119
4 Income from investment of tax-exempt bond proceedsMediumBullet 719,811     719,811
5 Royalties...........MediumBullet 2,141,762     2,141,762
(ii) Personal (i) Real
6a Gross rents    
b Less: rental expenses    
c Rental income or (loss) 0 0
d Net rental income or (loss)......MediumBullet 0      
(ii) Other (i) Securities
7a Gross amount from sales of assets other than inventory   1,213,205,974
b Less: cost or other basis and sales expenses   1,065,651,491
c Gain or (loss)   147,554,483
d Net gain or (loss).....MediumBullet 147,554,483     147,554,483
8a Gross income from fundraising events (not including $ 4,548,774of contributions reported on line 1c). See Part IV, line 18 ....
a 2,116,953
b Less: direct expenses ...b 1,765,461
c Net income or (loss) from fundraising events..MediumBullet 351,492   351,492
9a Gross income from gaming activities.
See Part IV, line 19 ...
a 0
b Less: direct expenses ...b 0
c Net income or (loss) from gaming activities..MediumBullet 0      
10a Gross sales of inventory, less
returns and allowances ..
a 0
b Less: cost of goods sold ..b 0
c Net income or (loss) from sales of inventory..MediumBullet 0      
Business Code Miscellaneous Revenue
11a ATHLETIC FACILITY FEES 713940 28,338   28,338  
b MAG & CHAPEL FACILITY RENTAL 531390 677,026   677,026  
c TRAVEL TOURS 561520 11,709   11,709  
d All other revenue ....        
e Total. Add lines 11a–11d ...... MediumBullet 717,073
12 Total revenue. See Instructions......MediumBullet 4,161,715,577 3,480,424,147 21,265,910 244,613,667
Form 990 (2018)
Form 990 (2018)
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 domestic organizations and domestic governments. See Part IV, line 21 5,485 5,485
2 Grants and other assistance to domestic individuals. See Part IV, line 22 242,413,505 242,413,505
3 Grants and other assistance to foreign organizations, foreign governments, and foreign individuals. See Part IV, line 15 and 16. 0  
4 Benefits paid to or for members 0  
5 Compensation of current officers, directors, trustees, and key employees .... 14,029,490 10,105,679 3,135,827 787,984
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .... 1,950,418 1,950,418 0 0
7 Other salaries and wages 1,781,721,838 1,713,422,416 47,520,547 20,778,875
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 109,077,872 103,246,821 4,549,225 1,281,826
9 Other employee benefits ....... 292,468,266 276,833,589 12,197,744 3,436,933
10 Payroll taxes ........... 115,696,608 109,511,735 4,825,268 1,359,605
11 Fees for services (non-employees):        
a Management ...... 21,681,560 21,681,560 0 0
b Legal ......... 5,367,119 4,614,256 746,819 6,044
c Accounting ........... 1,136,014 15,420 1,120,594 0
d Lobbying ........... 396,800 396,800 0 0
e Professional fundraising services. See Part IV, line 17 260,891 260,891
f Investment management fees ...... 69,805,638 0 69,805,638 0
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O) 130,671,483 125,958,850 3,917,911 794,722
12 Advertising and promotion .... 3,447,892 3,406,787 7,340 33,765
13 Office expenses ....... 144,063,820 139,698,510 2,213,158 2,152,152
14 Information technology ...... 38,200,739 37,523,684 431,674 245,381
15 Royalties .. 0      
16 Occupancy ........... 106,990,989 106,345,717 637,486 7,786
17 Travel ............ 26,305,858 23,691,987 491,902 2,121,969
18 Payments of travel or entertainment expenses for any federal, state, or local public officials . 0      
19 Conferences, conventions, and meetings .... 18,657,482 14,769,549 793,709 3,094,224
20 Interest ........... 39,776,124 34,867,751 4,192,403 715,970
21 Payments to affiliates ....... 0      
22 Depreciation, depletion, and amortization .. 200,816,863 187,077,006 12,934,861 804,996
23 Insurance ... 17,650,926 16,450,629 1,198,631 1,666
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 559,912,518 559,912,518 0 0
b OTHER-UBIT STATE TAX PAID 69,937 69,937 0 0
c OTHER EXPENSES 65,017,147 27,933,096 33,262,252 3,821,799
d
e All other expenses        
25 Total functional expenses. Add lines 1 through 24e 4,007,593,282 3,761,903,705 203,982,989 41,706,588
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 (2018)
Form 990 (2018)
Page 11
Part X
Balance Sheet
Check if Schedule O contains a response or note to any line in this Part IX..............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash–non-interest-bearing ........ 0 1 0
2 Savings and temporary cash investments ......... 151,765,883 2 192,343,078
3 Pledges and grants receivable, net ...... 171,584,520 3 169,882,730
4 Accounts receivable, net ............. 394,791,413 4 465,708,277
5 Loans and other receivables from current and former officers, directors, trustees, key employees, and highest compensated employees. Complete Part II of Schedule L .............
6,986,310 5 7,726,910
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 .... 18,126,176 7 14,778,895
8 Inventories for sale or use ........ 40,936,082 8 42,924,580
9 Prepaid expenses and deferred charges ...... 16,094,890 9 15,803,827
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 4,364,254,631
b Less: accumulated depreciation 10b 2,496,800,112 1,817,162,481 10c 1,867,454,519
11 Investments—publicly traded securities . 776,570,920 11 537,332,694
12 Investments—other securities. See Part IV, line 11 ..... 2,020,295,437 12 2,316,041,545
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 ........... 83,521,247 15 87,056,349
16 Total assets. Add lines 1 through 15 (must equal line 34)... 5,497,835,359 16 5,717,053,404
Liabilities 17 Accounts payable and accrued expenses ..... 431,583,825 17 463,184,532
18 Grants payable ... 0 18 0
19 Deferred revenue ......... 37,412,586 19 48,306,338
20 Tax-exempt bond liabilities ......... 929,102,585 20 881,078,720
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 .. 127,802,106 23 123,988,599
24 Unsecured notes and loans payable to unrelated third parties .. 52,763,897 24 100,696,968
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 637,551,344 25 684,840,224
26 Total liabilities. Add lines 17 through 25.. 2,216,216,343 26 2,302,095,381
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 2,005,042,560 27 2,089,796,609
28 Temporarily restricted net assets ........... 688,906,646 28 699,846,122
29 Permanently restricted net assets 587,669,810 29 625,315,292
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 ........... 3,281,619,016 33 3,414,958,023
34 Total liabilities and net assets/fund balances ........ 5,497,835,359 34 5,717,053,404
Form 990 (2018)
Form 990 (2018)
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
4,161,715,577
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
4,007,593,282
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
154,122,295
4
Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) ..
4
3,281,619,016
5
Net unrealized gains (losses) on investments ...............
5
-22,293,521
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
1,510,233
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 33, column (B))
10
3,414,958,023
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 (2018)
Form 990 (2018)
Additional Data


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

Department of the Treasury
Internal Revenue Service
Public Charity Status and Public Support
Complete if the organization is a section 501(c)(3) organization or a section 4947(a)(1) nonexempt charitable trust.
right arrow Attach to Form 990 or Form 990-EZ.
right arrow Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2018
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 12, check only one box.)
1
2
3
4
5
6
7
8
9

10
11
12
a
b
c
d
e
f
Enter the number of supported organizations ...............................  
g
Provide the following information about the supported organization(s).
(i) Name of supported organization (ii) EIN (iii) Type of organization (described on lines 1- 10 above (see instructions)) (iv) Is the organization listed in your governing document? (v) Amount of monetary support (see instructions) (vi) Amount of other support (see instructions)
Yes No
Total
 
   
For Paperwork Reduction Act Notice, see the Instructions for
Form 990 or 990-EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2018

Schedule A (Form 990 or 990-EZ) 2018
Page 2
Part II
Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv), 170(b)(1)(A)(vi), and 170(b)(1)(A)(ix)
(Complete only if you checked the box on line 5, 7, 8, or 9 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) 2014 (b) 2015 (c) 2016 (d) 2017 (e) 2018 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grant.") .. 345,905,882 365,364,666 379,449,692 398,868,083 415,411,853 1,905,000,176
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 3 345,905,882 365,364,666 379,449,692 398,868,083 415,411,853 1,905,000,176
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. 1,905,000,176
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2014 (b) 2015 (c) 2016 (d) 2017 (e) 2018 (f) Total
7 Amounts from line 4.. 345,905,882 365,364,666 379,449,692 398,868,083 415,411,853 1,905,000,176
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources... 106,498,980 84,262,108 76,738,221 92,486,026 96,707,692 456,693,027
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 VI.)..           0
11 Total support. Add lines 7 through 10 2,361,693,203
12
12
14,980,338,558
13
First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization, check this box and stop here........................................right arrow
Section C. Computation of Public Support Percentage
14
14
80.663 %
15
15
79.907 %
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) 2018

Schedule A (Form 990 or 990-EZ) 2018
Page 3
Part III
Support Schedule for Organizations Described in Section 509(a)(2)
(Complete only if you checked the box on line 10 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) 2014 (b) 2015 (c) 2016 (d) 2017 (e) 2018 (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) 2014 (b) 2015 (c) 2016 (d) 2017 (e) 2018 (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 VI.) ..            
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) 2018

Schedule A (Form 990 or 990-EZ) 2018
Page 4
Part IV
Supporting Organizations
(Complete only if you checked a box on line 12 of Part I. If you checked 12a of Part I, complete Sections A and B. If you checked 12b of Part I, complete Sections A and C. If you checked 12c of Part I, complete Sections A, D, and E. If you checked 12d of Part I, complete Sections A and D, and complete Part V.)
Section A. All Supporting Organizations
Yes
No
1
Are all of the organization’s supported organizations listed by name in the organization’s governing documents?
If "No," describe in Part VI how the supported organizations are designated. If designated by class or purpose,
describe the designation. If historic and continuing relationship, explain.
1
 
 
2
Did the organization have any supported organization that does not have an IRS determination of status under section 509(a)(1) or (2)? If "Yes," explain in Part VI how the organization determined that the supported organization was described in section 509(a)(1) or (2).
2
 
 
3a
Did the organization have a supported organization described in section 501(c)(4), (5), or (6)? If "Yes," answer (b) and (c) below.
3a
 
 
b
Did the organization confirm that each supported organization qualified under section 501(c)(4), (5), or (6) and satisfied the public support tests under section 509(a)(2)? If "Yes," describe in Part VI when and how the organization made the determination.
3b
 
 
c
Did the organization ensure that all support to such organizations was used exclusively for section 170(c)(2)(B) purposes? If "Yes," explain in Part VI what controls the organization put in place to ensure such use.
3c
 
 
4a
Was any supported organization not organized in the United States ("foreign supported organization")? If “Yes” and if you checked 12a or 12b in Part I, answer (b) and (c) below.
4a
 
 
b
Did the organization have ultimate control and discretion in deciding whether to make grants to the foreign supported organization? If “Yes,” describe in Part VI how the organization had such control and discretion despite being controlled or supervised by or in connection with its supported organizations.
4b
 
 
c
Did the organization support any foreign supported organization that does not have an IRS determination under sections 501(c)(3) and 509(a)(1) or (2)? If “Yes,” explain in Part VI what controls the organization used to ensure that all support to the foreign supported organization was used exclusively for section 170(c)(2)(B) purposes.
4c
 
 
5a
Did the organization add, substitute, or remove any supported organizations during the tax year? If “Yes,” answer (b) and (c) below (if applicable). Also, provide detail in Part VI, including (i) the names and EIN numbers of the supported organizations added, substituted, or removed; (ii) the reasons for each such action; (iii) the authority under the organization's organizing document authorizing such action; and (iv) how the action was accomplished (such as by amendment to the organizing document).
5a
 
 
b
Type I or Type II only. Was any added or substituted supported organization part of a class already designated in the organization's organizing document?
5b
 
 
c
Substitutions only. Was the substitution the result of an event beyond the organization's control?
5c
 
 
6
Did the organization provide support (whether in the form of grants or the provision of services or facilities) to anyone other than (i) its supported organizations, (ii) individuals that are part of the charitable class benefited by one or more of its supported organizations, or (iii) other supporting organizations that also support or benefit one or more of the filing organization’s supported organizations? If “Yes,” provide detail in Part VI.
6
 
 
7
Did the organization provide a grant, loan, compensation, or other similar payment to a substantial contributor (defined in section 4958(c)(3)(C)), a family member of a substantial contributor, or a 35% controlled entity with regard to a substantial contributor? If “Yes,” complete Part I of Schedule L (Form 990 or 990-EZ) .
7
 
 
8
Did the organization make a loan to a disqualified person (as defined in section 4958) not described in line 7? If “Yes,” complete Part I of Schedule L (Form 990 or 990-EZ).
8
 
 
9a
Was the organization controlled directly or indirectly at any time during the tax year by one or more disqualified persons as defined in section 4946 (other than foundation managers and organizations described in section 509(a)(1) or (2))? If “Yes,” provide detail in Part VI.
9a
 
 
b
Did one or more disqualified persons (as defined in line 9a) hold a controlling interest in any entity in which the supporting organization had an interest? If “Yes,” provide detail in Part VI.
9b
 
 
c
Did a disqualified person (as defined in line 9a) have an ownership interest in, or derive any personal benefit from, assets in which the supporting organization also had an interest? If “Yes,” provide detail in Part VI.
9c
 
 
10a
Was the organization subject to the excess business holdings rules of section 4943 because of section 4943(f) (regarding certain Type II supporting organizations, and all Type III non-functionally integrated supporting organizations)? If “Yes,” answer line 10b below.
10a
 
 
b
Did the organization have any excess business holdings in the tax year? (Use Schedule C, Form 4720, to determine whether the organization had excess business holdings).
10b
 
 
Schedule A (Form 990 or 990-EZ) 2018

Schedule A (Form 990 or 990-EZ) 2018
Page 5
Part IV
Supporting Organizations (continued)
Yes
No
11
Has the organization accepted a gift or contribution from any of the following persons?
a
A person who directly or indirectly controls, either alone or together with persons described in (b) and (c) below, the governing body of a supported organization?
11a
 
 
b
A family member of a person described in (a) above?
11b
 
 
c
A 35% controlled entity of a person described in (a) or (b) above? If “Yes” to a, b, or c, provide detail in Part VI.
11c
 
 
Section B. Type I Supporting Organizations
Yes
No
1
Did the directors, trustees, or membership of one or more supported organizations have the power to regularly appoint or elect at least a majority of the organization’s directors or trustees at all times during the tax year? If “No,” describe in Part VI how the supported organization(s) effectively operated, supervised, or controlled the organization’s activities. If the organization had more than one supported organization, describe how the powers to appoint and/or remove directors or trustees were allocated among the supported organizations and what conditions or restrictions, if any, applied to such powers during the tax year.
1
 
 
2
Did the organization operate for the benefit of any supported organization other than the supported organization(s) that operated, supervised, or controlled the supporting organization? If “Yes,” explain in Part VI how providing such benefit carried out the purposes of the supported organization(s) that operated, supervised or controlled the supporting organization.
2
 
 
Section C. Type II Supporting Organizations
Yes
No
1
Were a majority of the organization’s directors or trustees during the tax year also a majority of the directors or trustees of each of the organization’s supported organization(s)? If “No,” describe in Part VI how control or management of the supporting organization was vested in the same persons that controlled or managed the supported organization(s).
1
 
 
Section D. All Type III Supporting Organizations
Yes
No
1
Did the organization provide to each of its supported organizations, by the last day of the fifth month of the organization’s tax year, (i) a written notice describing the type and amount of support provided during the prior tax year, (ii) a copy of the Form 990 that was most recently filed as of the date of notification, and (iii) copies of the organization’s governing documents in effect on the date of notification, to the extent not previously provided?
1
 
 
2
Were any of the organization’s officers, directors, or trustees either (i) appointed or elected by the supported organization(s) or (ii) serving on the governing body of a supported organization? If "No," explain in Part VI how the organization maintained a close and continuous working relationship with the supported organization(s).
2
 
 
3
By reason of the relationship described in (2), did the organization’s supported organizations have a significant voice in the organization’s investment policies and in directing the use of the organization’s income or assets at all times during the tax year? If "Yes," describe in Part VI the role the organization’s supported organizations played in this regard.
3
 
 
Section E. Type III Functionally-Integrated Supporting Organizations
1
Check the box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions):
a
b
c
2
Activities Test. Answer (a) and (b) below.
Yes
No
a
Did substantially all of the organization’s activities during the tax year directly further the exempt purposes of the supported organization(s) to which the organization was responsive? If "Yes," then in Part VI identify those supported organizations and explain how these activities directly furthered their exempt purposes, how the organization was responsive to those supported organizations, and how the organization determined that these activities constituted substantially all of its activities.
2a
 
 
b
Did the activities described in (a) constitute activities that, but for the organization’s involvement, one or more of the organization’s supported organization(s) would have been engaged in? If "Yes," explain in Part VI the reasons for the organization’s position that its supported organization(s) would have engaged in these activities but for the organization’s involvement.
2b
 
 
3
Parent of Supported Organizations. Answer (a) and (b) below.
a
Did the organization have the power to regularly appoint or elect a majority of the officers, directors, or trustees of each of the supported organizations? Provide details in Part VI.
3a
 
 
b
Did the organization exercise a substantial degree of direction over the policies, programs and activities of each of its supported organizations? If "Yes," describe in Part VI. the role played by the organization in this regard.
3b
 
 
Schedule A (Form 990 or 990-EZ) 2018

Schedule A (Form 990 or 990-EZ) 2018
Page 6
Part V
Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations
1
Section A - Adjusted Net Income (A) Prior Year (B) Current Year
(optional)
1 Net short-term capital gain 1    
2 Recoveries of prior-year distributions 2    
3 Other gross income (see instructions) 3    
4 Add lines 1 through 3 4    
5 Depreciation and depletion 5    
6 Portion of operating expenses paid or incurred for production or collection of gross income or for management, conservation, or maintenance of property held for production of income (see instructions) 6    
7 Other expenses (see instructions) 7    
8 Adjusted Net Income (subtract lines 5, 6 and 7 from line 4) 8    
Section B - Minimum Asset Amount (A) Prior Year (B) Current Year
(optional)
1 Aggregate fair market value of all non-exempt-use assets (see instructions for short tax year or assets held for part of year): 1
a Average monthly value of securities 1a    
b Average monthly cash balances 1b    
c Fair market value of other non-exempt-use assets 1c    
d Total (add lines 1a, 1b, and 1c) 1d    
e Discount claimed for blockage or other factors
(explain in detail in Part VI):  
2 Acquisition indebtedness applicable to non-exempt use assets 2    
3 Subtract line 2 from line 1d 3    
4 Cash deemed held for exempt use. Enter 1-1/2% of line 3 (for greater amount, see instructions). 4    
5 Net value of non-exempt-use assets (subtract line 4 from line 3) 5    
6 Multiply line 5 by .035 6    
7 Recoveries of prior-year distributions 7    
8 Minimum Asset Amount (add line 7 to line 6) 8    
Section C - Distributable Amount Current Year
1 Adjusted net income for prior year (from Section A, line 8, Column A) 1  
2 Enter 85% of line 1 2  
3 Minimum asset amount for prior year (from Section B, line 8, Column A) 3  
4 Enter greater of line 2 or line 3 4  
5 Income tax imposed in prior year 5  
6 Distributable Amount. Subtract line 5 from line 4, unless subject to emergency temporary reduction (see instructions) 6  
7
Schedule A (Form 990 or 990-EZ) 2018

Schedule A (Form 990 or 990-EZ) 2018
Page 7
Part V
Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations (continued)
Section D - Distributions Current Year
1 Amounts paid to supported organizations to accomplish exempt purposes  
2 Amounts paid to perform activity that directly furthers exempt purposes of supported organizations, in
excess of income from activity		  
3 Administrative expenses paid to accomplish exempt purposes of supported organizations  
4 Amounts paid to acquire exempt-use assets  
5 Qualified set-aside amounts (prior IRS approval required)  
6 Other distributions (describe in Part VI). See instructions  
7Total annual distributions. Add lines 1 through 6.  
8 Distributions to attentive supported organizations to which the organization is responsive (provide
details in Part VI). See instructions		  
9 Distributable amount for 2018 from Section C, line 6  
10 Line 8 amount divided by Line 9 amount  
Section E - Distribution Allocations (see instructions) (i)
Excess Distributions 		(ii)
Underdistributions
Pre-2018 		(iii)
Distributable
Amount for 2018
1 Distributable amount for 2018 from Section C, line
6 		 
2 Underdistributions, if any, for years prior to 2018 (reasonable cause required-- explain in Part VI).
See instructions.		  
3 Excess distributions carryover, if any, to 2018:
a From 2013.......  
b From 2014.......  
c From 2015.......  
d From 2016.......  
e From 2017.......  
fTotal of lines 3a through e  
g Applied to underdistributions of prior years  
h Applied to 2018 distributable amount  
i Carryover from 2013 not applied (see
instructions) 		 
j Remainder. Subtract lines 3g, 3h, and 3i from 3f.  
4Distributions for 2018 from Section D, line 7:
$  
a Applied to underdistributions of prior years  
b Applied to 2018 distributable amount  
c Remainder. Subtract lines 4a and 4b from 4.  
5 Remaining underdistributions for years prior to
2018, if any. Subtract lines 3g and 4a from line 2.
If the amount is greater than zero, explain in Part VI.
See instructions.		  
6 Remaining underdistributions for 2018. Subtract
lines 3h and 4b from line 1. If the amount is greater
than zero, explain in Part VI. See instructions.		  
7 Excess distributions carryover to 2019. Add lines
3j and 4c.		  
8 Breakdown of line 7:
a Excess from 2014......  
b Excess from 2015.....  
c Excess from 2016.....  
d Excess from 2017.....  
e Excess from 2018.....  
Schedule A (Form 990 or 990-EZ) (2018)

Schedule A (Form 990 or 990-EZ) 2018
Page 8
Part VI
Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; Part III, line 12; Part IV, Section A, lines 1, 2, 3b, 3c, 4b, 4c, 5a, 6, 9a, 9b, 9c, 11a, 11b, and 11c; Part IV, Section B, lines 1 and 2; Part IV, Section C, line 1; Part IV, Section D, lines 2 and 3; Part IV, Section E, lines 1c, 2a, 2b, 3a and 3b; Part V, line 1; Part V, Section B, line 1e; Part V Section D, lines 5, 6, and 8; and Part V, Section E, lines 2, 5, and 6. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
 
Return Reference Explanation
Schedule A (Form 990 or 990-EZ) 2018


Additional Data


Software ID:  
Software Version:  
Schedule B
(Form 990, 990-EZ,
or 990-PF)
Department of the Treasury
Internal Revenue Service
Schedule of Contributors

Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
Arrow Bullet Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2018
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

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






Form 990-PF




Check if your organization is covered by the General Rule or a Special Rule.  
Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
General Rule
Special Rules
......... Arrow Bullet $  
Caution. An organization that isn't covered by the General Rule and/or the Special Rules doesn't file Schedule B (Form 990,
990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its
Form 990-EZ or on its Form 990PF, Part I, line 2, to certify that it doesn't meet the filing requirements of Schedule B (Form 990,
990-EZ, or 990-PF).
For Paperwork Reduction Act Notice, see the Instructions
for Form 990, 990-EZ, or 990-PF.
Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2018)
Schedule B (Form 990, 990-EZ, or 990-PF) (2018) Page 2
Name of organization
UNIVERSITY OF ROCHESTER
  		Employer identification number
16-0743209
Part I
Contributors (See instructions). Use duplicate copies of Part I if additional space is needed.
(a)
No.		 (b)
Name, address, and ZIP + 4		 (c)
Total contributions		 (d)
Type of contribution
RESTRICTED
 
 
 
 
  ,    

$ RESTRICTED


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

$  


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

$  


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

$  


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

$  


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

$  


(Complete Part II for noncash contributions.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2018)
Schedule B (Form 990, 990-EZ, or 990-PF) (2018)
Page 3
Name of organization
UNIVERSITY OF ROCHESTER
  		Employer identification number

16-0743209
Part II
Noncash Property (See instructions). Use duplicate copies of Part II if additional space is needed.
(a)
No. from Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(See instructions) 		(d)
Date received
 
$    
(a)
No. from Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(See instructions) 		(d)
Date received
 
$    
(a)
No. from Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(See instructions) 		(d)
Date received
 
$    
(a)
No. from Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(See instructions) 		(d)
Date received
 
$    
(a)
No. from Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(See instructions) 		(d)
Date received
 
$    
(a)
No. from Part I		 (b)
Description of noncash property given		 (c)
FMV (or estimate)
(See instructions) 		(d)
Date received
 
$    
Schedule B (Form 990, 990-EZ, or 990-PF) (2018)
Schedule B (Form 990, 990-EZ, or 990-PF) (2018)
Page 4
Name of organization
UNIVERSITY OF ROCHESTER
  		Employer identification number

16-0743209
Part III
Exclusively religious, charitable, etc., contributions to organizations described in section 501(c)(7), (8), or (10) that total more than $1,000 for the year from any one contributor. Complete columns (a) through (e) and the following line entry. For organizations completing Part III, enter the total of exclusively religious, charitable, etc., contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet$  
Use duplicate copies of Part III if additional space is needed.
(a)
No. from Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a)
No. from Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a)
No. from Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
(a)
No. from Part I		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
 
(e) Transfer of gift
Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
 
 
     
 
Schedule B (Form 990, 990-EZ, or 990-PF) (2018)

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 BulletGo to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2018
Open to Public
Inspection
If the organization answered "Yes" on 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" on 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" on Form 990, Part IV, Line 5 (Proxy Tax) (see separate instructions) or Form 990-EZ, Part V, line 35c (Proxy Tax) (see separate instructions), 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 (see instructions for definition of “political campaign activities")

2
Political campaign activity expenditures (see instructions) ....................................................................SchCMd Bullet
$  
3
Volunteer hours for political campaign activities (see instructions) ..................................................................
 

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-.
1
2
3
4
5
6
For Paperwork Reduction Act Notice, see the instructions for Form 990 or 990-EZ.
Cat. No. 50084S
Schedule C (Form 990 or 990-EZ) 2018

Schedule C (Form 990 or 990-EZ) 2018
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 separate instructions for lines 2a through 2f.)
Lobbying Expenditures During 4-Year Averaging Period
Calendar year (or fiscal year
beginning in) 		(a) 2015 (b) 2016 (c) 2017 (d) 2018 (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) 2018


Schedule C (Form 990 or 990-EZ) 2018
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 on 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? ...........................................................................................................
Yes
 
b
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ........
Yes
 
c
Media advertisements? ...................................................................................................
 
No
 
d
Mailings to members, legislators, or the public? .............................................................................
Yes
 
3,992
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
 
608,677
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ..................
 
No
 
i
Other activities? ...................................................................................................................
 
No
 
j
Total. Add lines 1c through 1i ....................................................................................................
612,669
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, lines 1 and 2 (see instructions), and Part ll-B, line 1. Also, complete this part for any additional information.
Return Reference Explanation
SCHEDULE C, PART II-B, LINE 1 DETAIL OF LOBBYING ACTIVITIES THE UNIVERSITY OF ROCHESTER (THE "UNIVERSITY") ADVANCES ITS MISSIONS(EDUCATION, RESEARCH, HEALTH CARE AND COMMUNITY) WITH NATIONAL, STATE AND LOCAL ELECTED OFFICIALS, THEIR STAFF, OUR SURROUNDING COMMUNITY, AND WITH AGENCIES AT ALL LEVELS OF GOVERNMENT. THE UNIVERSITY ALSO INTERACTS WITH PEER INSTITUTIONS, D.C. AND ALBANY-BASED HIGHER EDUCATION AND MEDICAL ASSOCIATIONS, SCIENTIFIC COALITIONS AND SOCIETIES, AND CONSULTANTS TO ADVANCE ITS INTERESTS THROUGH POLICY, LEGISLATION AND REGULATIONS.
Schedule C (Form 990 or 990EZ) 2018


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," on 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 Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2018
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" on Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year ......... 23  
2 Aggregate value of contributions to (during year) 484,530  
3 Aggregate value of grants from (during year) 1,800,384  
4 Aggregate value at end of year ........ 6,375,841  
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" on 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 7/25/06, 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, handling of violations, and enforcing conservation easements during the year
SchDMd Bullet  
7
Amount of expenses incurred in monitoring, inspecting, handling of violations, 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" on 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)
Revenue included on Form 990, Part VIII, line 1 .........................SchDMd Bullet $ 81,589
(ii)
Assets included in Form 990, Part X ...............................SchDMd Bullet $ 40,612,986
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
Revenue included on 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) 2018

Schedule D (Form 990) 2018
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" on 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, for escrow or custodial account liability? ...
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" on Form 990, Part IV, line 10.
(a)Current year (b)Prior year (c)Two years back (d)Three years back (e)Four years back
1a Beginning of year balance .... 2,108,597,452 1,980,167,484 1,797,727,143 1,922,892,466 1,883,514,930
b Contributions ... 39,807,016 39,128,228 38,987,413 31,412,694 45,895,617
c Net investment earnings, gains, and losses 128,306,491 194,112,646 251,558,457 -61,083,382 83,377,311
d Grants or scholarships ... 20,918,930 18,661,772 17,912,500 16,617,676 14,971,593
e Other expenditures for facilities
and programs ... 		82,806,003 86,149,134 90,193,029 78,876,959 74,923,799
f Administrative expenses ....          
g End of year balance ...... 2,172,986,026 2,108,597,452 1,980,167,484 1,797,727,143 1,922,892,466
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet48.330 %
b
Permanent endowment SchDMd Bullet51.320 %
c
Temporarily restricted endowment SchDMd Bullet0.350 %
The percentages on 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" on 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" on 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 .....   11,607,818 11,607,818
b Buildings ....   2,696,865,348 1,208,581,288 1,488,284,060
c Leasehold improvements   89,489,763 25,333,769 64,155,994
d Equipment ....   1,152,377,131 1,049,182,889 103,194,242
e Other .....   413,914,571 213,702,166 200,212,405
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).)..SchDMdBullet 1,867,454,519
Schedule D (Form 990) 2018

Schedule D (Form 990) 2018
Page 3
Part VII
Investments—Other Securities. Complete if the organization answered "Yes" on 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		 332,613,384 F

(B) CASH & CASH EQUIVALENTS		 31,762,631 F

(C) INTERESTS		 1,951,665,530 F
(C)
(D)
(E)
(F)
(G)
(H)
Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet 2,316,041,545
Part VIII
Investments—Program Related. Complete if the organization answered 'Yes' on 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
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
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' on Form 990, Part IV, line 11d. See Form 990, Part X, line 15.
(a) Description (b) Book value
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
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' on Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.
1.(a) Description of liability (b) Book value
(1) Federal income taxes 0
THIRD PARTY SETTLEMENTS 153,956,555
RETIREMENT & POST-EMPLOYMENT 470,289,616
ASSET RETIREMENT OBLIGATION 35,207,039
FOR STUDENT LOANS 14,825,436
SPONSORED RESEARCH 10,561,578
(6)
(7)
(8)
(9)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 684,840,224
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) 2018

Schedule D (Form 990) 2018
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return Complete if the organization answered 'Yes' on 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 (losses) 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' on 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
SCHEDULE D, PART I, LINE 1 DESCRIPTION OF DONOR ADVISED FUNDS 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. --------------------
SCHEDULE D, PART III, LINE 4 DESCRIPTION OF COLLECTIONS 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 THE UNIVERSITY'S 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. --------------------
SCHEDULE D, PART V USE OF ENDOWMENT FUNDS 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, PART X, LINE 2 TEXT OF FIN48 (ASC 740) DISCLOSURE FROM AUDITED FINANCIAL STATEMENTS THE UNIVERSITY AND THE MAJORITY OF ITS AFFILIATES ARE NOT-FOR-PROFIT ORGANIZATIONS AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND ARE GENERALLY EXEMPT FROM INCOME TAXES ON RELATED INCOME PURSUANT TO SECTION 501(A) OF THE CODE. UNRELATED ACTIVITIES AND INCOME, INCLUDING CERTAIN LABORATORY AND FACILITY RENTALS AND INCOME FROM LIMITED PARTNERSHIPS IN THE LONG TERM INVESTMENT POOL, ARE SUBJECT TO FEDERAL AND STATE UNRELATED BUSINESS INCOME TAX. THE TAX CUTS AND JOBS ACT (THE ACT) WAS ENACTED ON DECEMBER 22, 2017. THE ACT IMPACTS THE UNIVERSITY IN SEVERAL WAYS, INCLUDING A NEW EXCISE TAX ON EXECUTIVE COMPENSATION AND NEW RULES TO CALCULATE UNRELATED BUSINESS TAXABLE INCOME. THE UNIVERSITY REGULARLY EVALUATES ITS TAX POSITION AND DOES NOT BELIEVE IT HAS ANY UNCERTAIN TAX POSITIONS THAT REQUIRE DISCLOSURE OR ADJUSTMENT TO THE CONSOLIDATED FINANCIAL STATEMENTS BASED ON CURRENTLY AVAILABLE REGULATORY GUIDANCE.
Schedule D (Form 990) 2018


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 image Complete if the organization answered "Yes" on 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 Go to www.irs.gov/Form990EZ for instructions and the latest information.
OMB No. 1545-0047 2018Open 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) (2018)
Schedule E (Form 990 or 990EZ) (2018)
Page 2
Part II
Supplemental Information. Provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable. Also provide
any other additional information (see instructions).
Return Reference Explanation
SCHEDULE E, LINE 3A NONDISCRIMINATION POLICY STATEMENT 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 A NONDISCRIMINATION 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 EQUAL OPPORTUNITY, READS AS FOLLOWS: The University of Rochester does not discriminate on the basis of age, color, disability, domestic violence victim status, ethnicity, gender identity or expression, genetic information, marital status, military/veteran status, national origin, race, religion/creed, sex, sexual orientation, citizenship status, or any other status protected by law in matters of admissions, employment, housing or services or in the educational programs or activities it operates. The University of Rochester prohibits and will not engage in discrimination and harassment on the basis of age, color, disability, domestic violence victim status, ethnicity, gender identity or expression, genetic information, marital status, familial status or an individuals reproductive health decision making, military/veteran status, national origin, race (including hair style), religion/creed (including religious attire and facial hair), sex, sexual orientation, citizenship status, or any other status protected by law (anyone individually, a "Protected Class"). Discrimination or harassment (including hostile work environment harassment) based on protected status is illegal, will not be tolerated, and is considered misconduct that will be subject to discipline. The University complies with all federal and state laws that prohibit discrimination based on the protected categories listed above, including Title IX of the Education Amendments of 1972, which prohibits sex discrimination (including sexual harassment and violence based on sex) in the Universitys educational programs and activities, and Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination on the basis of disability. Inquiries concerning the application of Title IX and sex-based complaints should be referred to the Universitys Title IX Coordinator, Morgan Levy, 20 Taylor Hall, 585-275-7814, Morgan.Levy@rochester.edu. Questions about compliance with Section 504 can be addressed to the Universitys Disability Compliance Director, 36 Wallis Hall, 275-9125, l.vanslyke@rochester.edu. Questions regarding the application of Title IX and Section 504 can also be directed to the U.S. Department of Educations Office of Civil Rights (OCR) at its New York office at (646) 428-3800 or its national headquarters at (800) 421-3481; TTY: (800)-877-8339, or www.ed.gov/ocr/. THE UNIVERSITY OF ROCHESTER ALSO POSTS A "STATEMENT OF EDUCATIONAL PHILOSOPHY" WHICH IS AMPLIFICATION OF THE NONDISCRIMINATION STATEMENT. SEE:https://www.rochester.edu/diversity/reports/policies-2/statement-of-ed ucational-philosophy/. --------------------
SCHEDULE E, LINE 6A FINANCIAL AID/ASSISTANCE FROM GOV'T AGENCY 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) (2018)
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 Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2018
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
Central America and the Caribbean   16 Program Services CONDUCTED RESEARCH 19,879
Central America and the Caribbean   14 Program Services PRESENTATION AT CONFER 38,871
Central America and the Caribbean   1 Program Services TEACHING & RECRUITMENT 376
Central America and the Caribbean     Investments   1,400,796,751
Central America and the Caribbean   12 Program Services STUDY ABROAD 24,439
East Asia and the Pacific   33 Fundraising   101,698
East Asia and the Pacific   20 Program Services CONDUCTED RESEARCH 54,600
East Asia and the Pacific   141 Program Services PRESENTATION AT CONFER 365,135
East Asia and the Pacific   30 Program Services STUDY ABROAD 111,494
East Asia and the Pacific   50 Program Services TEACHING & RECRUITMENT 164,641
Europe (Including Iceland and Greenland)   15 Fundraising   22,859
Europe (Including Iceland and Greenland)     Investments   11,799,364
Europe (Including Iceland and Greenland)   74 Program Services CONDUCTED RESEARCH 151,238
Europe (Including Iceland and Greenland)   379 Program Services PRESENTATION AT CONFER 945,338
Europe (Including Iceland and Greenland)   75 Program Services STUDY ABROAD 283,209
Europe (Including Iceland and Greenland)   85 Program Services TEACHING & RECRUITMENT 87,146
Middle East and North Africa   7 Program Services CONDUCTED RESEARCH 29,339
Middle East and North Africa   32 Program Services PRESENTATION AT CONFER 88,832
Middle East and North Africa   19 Program Services STUDY ABROAD 97,963
Middle East and North Africa   7 Program Services TEACHING & RECRUITMENT 7,489
North America   4 Fundraising   9,171
North America     Investments   26,954,869
North America   19 Program Services CONDUCTED RESEARCH 36,860
North America   203 Program Services PRESENTATION AT CONFER 302,294
North America   4 Program Services STUDY ABROAD 5,909
North America   41 Program Services TEACHING & RECRUITMENT 25,317
Russia and the Newly Independent States   3 Program Services CONDUCTED RESEARCH 6,996
Russia and the Newly Independent States   9 Program Services PRESENTATION AT CONFER 25,471
Russia and the Newly Independent States   1 Program Services STUDY ABROAD 18,432
Russia and the Newly Independent States   2 Program Services TEACHING & RECRUITMENT 2,653
South America   3 Program Services CONDUCTED RESEARCH 7,807
South America   9 Program Services PRESENTATION AT CONFER 14,723
South America   9 Program Services STUDY ABROAD 36,607
South America   7 Program Services TEACHING & RECRUITMENT 30,084
South Asia   4 Program Services CONDUCTED RESEARCH 17,687
South Asia   17 Program Services PRESENTATION AT CONFER 32,152
South Asia   15 Program Services STUDY ABROAD 76,229
South Asia   15 Program Services TEACHING & RECRUITMENT 41,291
Sub-Saharan Africa     Investments   31,597,078
Sub-Saharan Africa   32 Program Services CONDUCTED RESEARCH 112,718
Sub-Saharan Africa   6 Program Services PRESENTATION AT CONFER 12,491
Sub-Saharan Africa   9 Program Services STUDY ABROAD 17,581
Sub-Saharan Africa   21 Program Services TEACHING & RECRUITMENT 25,660
3a Sub-total .....   952 1,414,996,377
b Total from continuation sheets to Part I ...     59,604,364
c Totals (add lines 3a and 3b)   1,443 1,474,600,741
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2018
Schedule F (Form 990) 2018
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) 2018
Schedule F (Form 990) 2018Page 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) 2018
Schedule F (Form 990) 2018
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 separately 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; don't file with Form 990). . . . . . . . . . . . . . . . . . . . . . . .
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 separately file Form 5713, International Boycott Report (see Instructions for Form 5713; don't file with Form 990).. . . . . . . . . . . . . . . . . . . . . . . . . . . .
Schedule F (Form 990) 2018
Schedule F (Form 990) 2018
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
SCHEDULE F, PART I, LINE 3(c) SUBAWARDS ISSUED TO FOREIGN ENTITIES 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) 2018
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" on 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 arrowGo to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2018
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" on 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
RUFFALO NOEL LEVITZ LLC
1025 KIRKWOOD PARKWAY SW
 
CEDAR RAPIDS, IA524063018 		PHONE SOLICITAT'N   No 379,470 260,891 118,579
             
             
             
             
             
             
             
             
             
Total . . . . . . . . . . . . . . . . . . . . right arrow 379,470 260,891 118,579
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 990 or 990-EZ.
Cat. No. 50083H
Schedule G (Form 990 or 990-EZ) 2018
Schedule G (Form 990 or 990-EZ) 2018
Page 2
Part II
Fundraising Events. Complete if the organization answered "Yes" on 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.




VerticalRevenue
(a) Event #1

TOAST HLTH AUCT
(event type) 		(b) Event #2

GCH GALA
(event type) 		(c) Other events

9
(total number) 		(d) Total events
(add col. (a) through col. (c))

1
Gross receipts . . . . .
2,618,000
1,152,408
2,895,319
6,665,727

2
Less: Contributions . . . .
2,114,395
421,310
2,013,069
4,548,774
3 Gross income (line 1 minus
line 2) . . . . . .
503,605
731,098
882,250
2,116,953



VerticalDirectExpenses
4 Cash prizes . . . . . 0 0 0 0
5 Noncash prizes . . . . 6,863 0 57,096 63,959
6 Rent/facility costs . . . . 161,753 4,000 236,898 402,651
7 Food and beverages . . . 56,548 129,043 221,058 406,649
8 Entertainment . . . . 1,400 67,975 100,356 169,731
9 Other direct expenses . . . 156,836 106,310 459,325 722,471
10 Direct expense summary. Add lines 4 through 9 in column (d) . . . . . . . . . . right arrow 1,765,461
11 Net income summary. Subtract line 10 from line 3, column (d). . . . . . . . . . right arrow 351,492
Part III
Gaming. Complete if the organization answered "Yes" on 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
Noncash 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 conducts gaming activities:
a
Is the organization licensed to conduct 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) 2018
Schedule G (Form 990 or 990-EZ) 2018
Page 3
11
Does the organization conduct 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 conducted 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 provide any additional information. See instructions.
Return Reference Explanation
SCHEDULE G, PART I, LINE 2(B), ITEM #1 ADDITIONAL INFORMATION REGARDING FUNDRAISING ACTIVITIES GROSS RECEIPTS REPORTED IN PART I, LINE 1, COLUMN (IV) REPRESENT PHONE DONATIONS ONLY RECEIVED PURSUANT TO RUFFALO NOEL LEVITZS SOLICITATION EFFORTS. ON-LINE DONATIONS TO THE UNIVERSITY, WHICH MAY HAVE BEEN PROMPTED BY A PHONE SOLICITATION, ARE NOT REFLECTED IN THIS COLUMN. ADDITIONALLY, THE AMOUNT PAID TO RUFFALO NOEL LEVITZ AS REPORTED IN PART I, LINE 2B, COLUMN (V) INCLUDES BOTH PHONE SOLICITATION/TELEMARKETING SERVICES AND NON-SOLICITATION EFFORTS RELATED TO ALUMNI ENGAGEMENT AND DATA ENRICHMENT. THESE NON-SOLICITATION EFFORTS HAVE RESULTED IN IMPROVED ALUMNI CONTACT INFORMATION FOR THE UNIVERSITYS USE AND INCLUDES SERVICES TO UPDATE ADDRESSES, CELL PHONE NUMBERS, EMAIL ADDRESSES AND SOCIAL HANDLES.
Schedule G (Form 990 or 990-EZ) 2018
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" on Form 990, Part IV, question 20.
MediumBullet Attach to Form 990.
MediumBullet Go to www.irs.gov/Form990EZ for instructions and the latest information.
OMB No. 1545-0047
2018
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 criteria used 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
 
No
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
 
 
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) . . . 		    17,249,252 6,863,468 10,385,784 0.260 %
b Medicaid (from Worksheet 3, column a) . . . . .     489,724,882 365,718,129 124,006,753 3.090 %
c Costs of other means-tested government programs (from Worksheet 3, column b) . .     5,061,665 1,632,545 3,429,120 0.090 %
d Total Financial Assistance and Means-Tested Government Programs . . . . .     512,035,799 374,214,142 137,821,657 3.440 %
Other Benefits
e Community health improvement services and community benefit operations (from Worksheet 4).     1,920,666 2,400 1,918,266 0.050 %
f Health professions education (from Worksheet 5) . . .     139,351,909 12,172,023 127,179,886 3.170 %
g Subsidized health services (from Worksheet 6) . . . .     269,475,977 198,866,566 70,609,411 1.760 %
h Research (from Worksheet 7) .     332,668,309 332,668,309 0 0 %
i Cash and in-kind contributions for community benefit (from Worksheet 8) . . . .     451,999 0 451,999 0.010 %
j Total. Other Benefits . .     743,868,860 543,709,298 200,159,562 4.990 %
k Total. Add lines 7d and 7j .     1,255,904,659 917,923,440 337,981,219 8.430 %
For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat. No. 50192T Schedule H (Form 990) 2018
Schedule H (Form 990) 2018
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     9,065 0 9,065 0 %
4 Environmental improvements            
5 Leadership development and
training for community members		     434 0 434 0 %
6 Coalition building            
7 Community health improvement advocacy     1,260 0 1,260 0 %
8 Workforce development            
9 Other     74 0 74 0 %
10 Total     10,833 0 10,833 0 %
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
21,230,117
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
408,015
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
287,478,436
6
Enter Medicare allowable costs of care relating to payments on line 5.....
6
329,321,889
7
Subtract line 6 from line 5. This is the surplus (or shortfall)........
7
-41,843,453
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) 2018
Schedule H (Form 990) 2018
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?1Name, address, primary website address, and state license number (and if a group return, the name and EIN of the subordinate hospital organization that operates the hospital facility) 		Licensed Hospital General-Medical-Surgical Children's Hospital Teaching Hospital Critical Hospital ResearchGrp Facility ER-24Hours ER-Other Other (describe) Facility reporting group
1 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 MAINT, URG  
Schedule H (Form 990) 2018
Schedule H (Form 990) 2018
Page 4
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 letter of facility reporting group  
Line number of hospital facility, or line numbers of hospital facilities in a facility
reporting group (from Part V, Section A): 		1
Yes No
Community Health Needs Assessment
1 Was the hospital facility first licensed, registered, or similarly recognized by a state as a hospital facility in the current tax year or the immediately preceding tax year?........................ 1   No
2 Was the hospital facility acquired or placed into service as a tax-exempt hospital in the current tax year or the immediately preceding tax year? If “Yes,” provide details of the acquisition in Section C............... 2   No
3 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 12...................... 3 Yes  
If "Yes," indicate what the CHNA report describes (check all that apply):
a
b
c
d
e
f
g
h
i
j
4 Indicate the tax year the hospital facility last conducted a CHNA: 20 18
5 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 Section C how the hospital facility took into account input from persons who represent the community, and identify the persons the hospital facility consulted ................. 5 Yes  
6 a Was the hospital facility’s CHNA conducted with one or more other hospital facilities? If "Yes," list the other hospital facilities in Section C.................................. 6a Yes  
b Was the hospital facility’s CHNA conducted with one or more organizations other than hospital facilities?” If “Yes,” list the other organizations in Section C. ............................ 6b Yes  
7 Did the hospital facility make its CHNA report widely available to the public?.............. 7 Yes  
If "Yes," indicate how the CHNA report was made widely available (check all that apply):
a
b
c
d
8 Did the hospital facility adopt an implementation strategy to meet the significant community health needs
identified through its most recently conducted CHNA? If "No," skip to line 11. .............. 		8 Yes  
9 Indicate the tax year the hospital facility last adopted an implementation strategy: 20 18
10 Is the hospital facility's most recently adopted implementation strategy posted on a website?......... 10 Yes  
a If "Yes" (list url): SEE SCHEDULE H, PART V, SECTION C
b If "No," is the hospital facility’s most recently adopted implementation strategy attached to this return? ...... 10b    
11 Describe in Section C how the hospital facility is addressing the significant needs identified in its most recently conducted CHNA and any such needs that are not being addressed together with the reasons why such needs are not being addressed.
12a 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)?............................... 12a   No
b If "Yes" on line 12a, did the organization file Form 4720 to report the section 4959 excise tax?........ 12b    
c If "Yes" on line 12b, 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) 2018
Schedule H (Form 990) 2018
Page 5
Part VFacility Information (continued)

Financial Assistance Policy (FAP)
STRONG MEMORIAL HOSPITAL
Name of hospital facility or letter of facility reporting group  
Yes No
Did the hospital facility have in place during the tax year a written financial assistance policy that:
13 Explained eligibility criteria for financial assistance, and whether such assistance included free or discounted care? 13 Yes  
If “Yes,” indicate the eligibility criteria explained in the FAP:
a
b
c
d
e
f
g
h
14 Explained the basis for calculating amounts charged to patients?................. 14 Yes  
15 Explained the method for applying for financial assistance?................... 15 Yes  
If “Yes,” indicate how the hospital facility’s FAP or FAP application form (including accompanying instructions) explained the method for applying for financial assistance (check all that apply):
a
b
c
d
e
16 Was widely publicized within the community served by the hospital facility?........ 16 Yes  
If "Yes," indicate how the hospital facility publicized the policy (check all that apply):
a
SEE PART V, SECTION C
b
SEE PART V, SECTION C
c
d
e
f
g
h
i
j
Schedule H (Form 990) 2018
Schedule H (Form 990) 2018
Page 6
Part VFacility Information (continued)

Billing and Collections
STRONG MEMORIAL HOSPITAL
Name of hospital facility or letter of facility reporting group  
Yes No
17 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 all of the actions the hospital facility or other authorized party may take upon nonpayment?.................................. 17 Yes  
18 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
f
19 Did the hospital facility or other authorized 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?............ 19   No
If "Yes," check all actions in which the hospital facility or a third party engaged:
a
b
c
d
e
20 Indicate which efforts the hospital facility or other authorized party made before initiating any of the actions listed (whether or not checked) in line 19. (check all that apply):
a
b
c
d
e
f
Policy Relating to Emergency Medical Care
21 Did the hospital facility have in place during the tax year a written policy relating to emergency medical care that required 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?.................. 21 Yes  
If "No," indicate why:
a
b
c
d
Schedule H (Form 990) 2018
Schedule H (Form 990) 2018
Page 7
Part VFacility Information (continued)

Charges to Individuals Eligible for Assistance Under the FAP (FAP-Eligible Individuals)
STRONG MEMORIAL HOSPITAL
Name of hospital facility or letter of facility reporting group  
Yes No
22 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
23 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? ............................... 23   No
If "Yes," explain in Section C.
24 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? ........................... 24   No
If "Yes," explain in Section C.
Schedule H (Form 990) 2018
Schedule H (Form 990) 2018
Page 8
Part V
Facility Information (continued)
Section C. Supplemental Information for Part V, Section B. Provide descriptions required for Part V, Section B, lines 2, 3j, 5, 6a, 6b, 7d, 11, 13b, 13h, 15e, 16j, 18e, 19e, 20e, 21c, 21d, 23, and 24. If applicable, provide separate descriptions for each hospital facility in a facility reporting group, designated by facility reporting group letter and hospital facility line number from Part V, Section A (“A, 1,” “A, 4,” “B, 2,” “B, 3,” etc.) and name of hospital facility.
Form and Line Reference Explanation
PART V, SECTION B, LINE 5- INPUT FROM COMMUNITY UR STRONG MADE SEVERAL SUCCESSFUL ATTEMPTS TO SOLICIT INPUT FROM THE BROAD INTERESTS OF THE COMMUNITY SERVED WHILE CONDUCTING ITS CHNA AND CHIP. THE MONROE COUNTY CHNA IS CONDUCTED IN COLLABORATION WITH OTHER HOSPITALS, THE LOCAL PUBLIC HEALTH DEPARTMENT AND OTHER AGENCIES IN MONROE COUNTY. A GROUP OF REPRESENTATIVES FROM EACH OF THESE ENTITIES MEETS MONTHLY AND IS CALLED THE COMMUNITY HEALTH IMPROVEMENT WORKGROUP (CHIW). THE CHIW MEETS TO CONDUCT THE CHNA WHEN INDICATED AND TO IMPLEMENT THE COMMUNITY-WIDE IMPROVEMENT STRATEGY. THERESA GREEN, DIRECTOR OF COMMUNITY HEALTH POLICY FROM THE URMC CENTER FOR COMMUNITY HEALTH AND PREVENTION, LED THE CHIW AND PROVIDED EXPERT ADVICE ON COMMUNITY ENGAGEMENT AND EVIDENCE BASED INTERVENTIONS. COMMUNITY INPUT IS CRITICAL THROUGHOUT THE CHNA PROCESS, THE IMPROVEMENT PLANNING PROCESS, AND THE IMPLEMENTATION PROCESS. ONGOING COMMUNITY ENGAGEMENT IS VITAL TO INFORM THE AGENDA. THE CHIW USED SEVERAL STRATEGIES TO ASSURE COMMUNITY INPUT WHEN DEVELOPING THE CHNA. FIRST, EACH OF THE COUNTYS HOSPITAL SYSTEMS REPRESENTATIVES TO THE CHIW TOOK INTO ACCOUNT INPUT FROM PERSONS WHO REPRESENT THE COMMUNITY. EACH OF THE HOSPITAL SYSTEMS INCLUDED IN THE CHNA: UNIVERSITY OF ROCHESTER STRONG MEMORIAL HOSPITAL, HIGHLAND HOSPITAL, ROCHESTER REGIONAL HEALTH, AND UNITY HOSPITAL, SEND A REPRESENTATIVE TO THE CHIW. IN ADDITION, COMMON GROUND HEALTH, WHO REPRESENTS THE COMMUNITY VOICE AND WHO MANAGES BOTH THE AFRICAN AMERICAN HEALTH COALITION AND THE LATINO HEALTH COALITION FOR MONROE COUNTY, WAS REPRESENTED AT EACH CHIW MEETING BY EITHER DINA FATICONE, DIRECTOR OF COMMUNITY HEALTH AND ENGAGEMENT, OR SEVERAL OF THEIR OTHER REPRESENTATIVES. SEVERAL OTHER COMMUNITY AGENCIES INCLUDING UNITED WAY, THE REGIONAL HEALTH INFORMATION ORGANIZATION, AND THE COORDINATED CARE SERVICES, INC FOR MENTAL HEALTH ATTEND THE CHIW MEETINGS AND INFORMED THE CHNA AND CHIP. THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH WAS REPRESENTED AT EACH CHIW MEETING BY DR. MARIELENA VELEZ DE BROWN, MD, MPH DEPUTY COMMISSIONER OF PUBLIC HEALTH AT MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH; ANNE KERN, PUBLIC HEALTH PROGRAM COORDINATOR, AND KATHY CARELOCK, MANAGER OF THE DIVISION OF EPIDEMIOLOGY. ALL ARE AWARE OF COMMUNITY NEEDS, OVERSEE THE ADULT AND YOUTH HEALTH SURVEY PROCESS AND ARE EXPERTS IN EFFECTIVE PUBLIC HEALTH ASSESSMENT AND INTERVENTION. MICHAEL MENDOZA, MD, MPH AND CURRENT COMMISSIONER OF THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH, ATTENDED MEETINGS OCCASSIONALLY BUT WAS ALSO INFORMED BY DR. VELEZ DE BROWN, MS. KERN, MS. CARELOCK, AND DR. GREEN. ASIDE FOR INFRASTRUCTURE DESIGNED FOR COMMUNITY REPRSENTATION, THE CHIW RELIED HEAVILY ON A COMMUNITY SURVEY CONDUCTED BY COMMON GROUND HEALTH FOR COMMUNITY INPUT. IN 2018, COMMON GROUND HEALTH CONDUCTED A REGIONAL SURVEY OF COMMUNITY MEMBERS TO LEARN MORE ABOUT HEALTH BEHAVIORS AND BARRIERS TO HEALTHY LIVES. WITH PARTICULAR ATTENTION TO GATHERING INPUT FROM A DIVERSE GROUP OF PARTICIPANTS, OVER 4,000 PEOPLE WERE SURVEYED. THE SURVEY ASKED ABOUT A WIDE RANGE OF TOPICS FROM ACCESS TO MEDICAL AND DENTAL CARE TO PERCEPTIONS OF PERSONAL SAFETY AND SATISFACTION WITH WORK. TO CAPTURE EACH INDIVIDUALS UNIQUE STORY, SEVERAL QUESTIONS ARE OPEN-ENDED WITH AN OPPORTUNITY FOR UNSTRUCTURED FEEDBACK. THE RESULTS OF THE SURVEY INDICATED THAT THE TOP CONCERN FOR ADULTS IN MONROE COUNTY ACROSS ALL RACES, GEOGRAPHIES, AND SOCIOECONOMIC STATUS LEVELS WAS MENTAL HEALTH. AFTER REVIEWING THE DATA AND PRIORITIZING THE GENERAL DIRECTION FOR THE CHNA/CHIP, SEVERAL MEETINGS WERE PLANNED WITH SIGNIFICANT COMMUNITY GROUPS TO GATHER INPUT. MEMBERS FROM THE CHIW MET FIRST WITH THE AFRICAN AMERICAN HEALTH COALITION AT COMMON GROUND HEALTH ON MARCH 14TH, 2019. THEIR FEEDBACK INCLUDED SPECIFIC AREAS OF MENTAL HEALTH CONCERNS, THE NEED TO REDUCE THE STIGMA OF MENTAL HEALTH DIAGNOSES, AND INVOLVEMENT WITH THE CHURCH COMMUNITY. THEY ALSO SUGGESTED EMPHASIS IN MATERNAL AND CHILD HEALTH OUTCOMES DISPARITIES. REPRESENTATIVES FROM THE CHIW MET WITH THE LATINO HEALTH COALITION AT COMMON GROUND HEALTH ON MARCH 27TH, 2019. THE MATERNAL AND CHILD HEALTH ADVISORY GROUP MET WITH CHIW LEADERS ON MARCH 22, 2019. THIS GROUP DISCUSSED AREAS OF NEED WITHIN MATERNAL/CHILD HEALTH IN MONROE COUNTY, AND IDENTIFIED SEVERAL PRIORITIES INCLUDING FOCUSING ON HOUSING, TRANSPORTATION AND INCOME AS WELL AS ADVOCATING FOR FUNDING FOR SOME OF THE GRANT FUNDED AGENCIES AND INITIATIVES. A SPECIAL SESSION OF THE COMMUNITY ADVISORY COUNCIL WAS CALLED FOR APRIL 11, 2019. THE COMMUNITY ADVISORY COUNCIL (CAC) IS A GROUP OF 40+ LEADERS OF COMMUNITY AGENCIES MEETING WITH UNIVERSITY RESEARCHERS AND PROVIDERS. THE CAC MET IN THIS SESSION TO DISCUSS BOTH THE UNIVERSITY OF ROCHESTERS UPCOMING APPLICATION FOR THE CARNEGIE CLASSIFICATION IN COMMUNITY ENGAGEMENT AND THE COMMUNITY HEALTH IMPROVEMENT PLAN. THE CAC EXPRESSED OVERALL APPROVAL FOR THE PRIORITY AREAS OF THE CHIP AND ADDED SEVERAL MEANINGFUL SUGGESTIONS THAT WERE INCORPORATED INTO THE PLAN. THIS HIGH LEVEL COLLABORATION AMONG COMMUNITY MEMBERS, PUBLIC HEALTH PROVIDERS AND HOSPITAL SYSTEMS, ALONG WITH THE ROBUST PROCESS OF COMMUNITY INPUT GATHERING, PROVIDES A TRULY COMMUNITY BASED HEALTH NEEDS ASSESSMENT AND IMPROVEMENT PLAN. --------------------
PART V, SECTION B, LINE 6a- JOINT CHNA THE CHNA WAS CONDUCTED WITH SEVERAL OTHER HOSPITAL FACILITIES, as it has been since the early 2000s. THE CURRENT COMMUNITY HEALTH NEEDS ASSESSMENT OF MONROE COUNTY WAS CONDUCTED JOINTLY BY UNIVERSITY OF ROCHESTER STRONG MEMORIAL HOSPITAL AND HIGHLAND HOSPITAL, and ROCHESTER REGIONAL HEALTH INCLUDING ROCHESTER REGIONAL HOSPITAL AND UNITY HOSPITAL. --------------------
PART V, SECTION B, LINE 6b - CHNA CONDUCTED WITH NON-HOSPITAL FACILITIES THE CHNA WAS CONDUCTED WITH SEVERAL OTHER ORGANIZATIONS BESIDES THE HOSPITAL FACILITIES. THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH WAS VERY ENGAGED IN THE CHNA PROCESS, WAS PRESENT AT EACH MEETING AND ASSISTED WITH DATA ANALYSIS AND IMPROVEMENT PLANNING. COMMON GROUND HEALTH IS THE REGIONAL PLANNING AGENCY AND IS REPRESENTED AT ALMOST EVERY MEETING OF THE COMMUNITY HEALTH IMPROVEMENT WORKGROUP (CHIW), AND WAS INSTRUMENTAL IN DEVELOPING THE CHNA, BOTH BY PROVIDING DATA AND ASSISTING WITH COMMUNITY ENGAGEMENT. THE REGIONAL DSRIP AGENCY ALSO ATTENDS THE CHIW MEETINGS AND GAVE INPUT TO THE CHNA PROCESS. AND THE REGIONAL HEALTH INFORMATION ORGANIZATION (RHIO) HAS BEEN TO MOST CHIW MEETINGS AND WAS ENGAGED IN THE CHNA PROCESS. THE MONROE COUNTY OFFICE OF MENTAL HEALTH JOINED THE CHIW AS THE 2019-2021 GOALS AND OBJECTIVES CHANGED TO INCLUDE MORE FOCUS IN MENTAL HEALTH AND WELL-BEING INITIATIVES. --------------------
PART V, SECTION B, LINE 7A&D,10 - CHNA & IMP PLAN 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: https://www.urmc.rochester.edu/community.aspx THE 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. OUR CHIW MEETINGS ARE OPEN TO THE PUBLIC UPON REQUEST AND THE CHNA WAS DISCUSSED WITH EACH OF THE HOSPITALS BOARD OF DIRECTORS. IN ADDITION, THE CHNA AND CHIP HAS BEEN SHARED WITH NUMEROUS COMMUNITY AGENCIES AND STUDENT GROUPS AT CLASSES OR MEETINGS With MEMBERS OF THE CHIW PRESENT. INFORMATION IS ALWAYS SHARED AS TO WHERE TO FIND THE COMPLETE REPORT. --------------------
PART V, SECTION B, LINE 11 - ADDRESSING THE NEEDS IDENTIFIED IN THE CHNA THE 2019 COMMUNITY HEALTH NEEDS ASSESSMENT IDENTIFIED TWO PRIMARY FOCUS AREAS BASED ON VARIOUS SOURCES OF DATA AND SEVERAL OPPORTUNITIES FOR COMMUNITY INPUT. THE IDENTIFIED PRIORITY AREAS ARE MENTAL HEALTH/WELL-BEING AND MATERNAL CHILD HEALTH DISPARITIES. THE OBJECTIVES AND INTERVENTIONS FOR EACH AREA OF NEED WERE SELECTED FROM THE NEW YORK STATE PREVENTION AGENDAS LIST OF RECOMMENDED, EVIDENCE-BASED INTERVENTIONS AND PROGRAMS. THE FOLLOWING WORK PLAN WILL BE IMPLEMENTED IN MONROE COUNTY TO PROGRESS TOWARDS THE GOALS OF THE 2019-2021 COMMUNITY HEALTH IMPROVEMENT PLAN, USING THE RESOURCES OF THE CHIW. ALL FOUR HOSPITALS AND THE HEALTH DEPARTMENT AS WELL AS COMMUNITY PARTNERS WILL WORK COLLABORATIVELY ON THE SAME WORK PLAN TOWARDS THE SAME GOALS. THE INTERVENTIONS WILL BE IMPLEMENTED IN A COLLABORATIVE MANNER, AND THE HOSPITALS WILL DELEGATE RESOURCES INCLUDING REPRESENTATIVES, MEETING SPACES, CONTENT EXPERTS AND ORGANIZATIONAL CONNECTIONS. OUR COMMUNITY PARTNERS ARE INVOLVED IN THE PLANNING AND IMPLEMENTATION OF ALL INTERVENTION STRATEGIES, FROM THEIR SELECTION TO THEIR COMPLETION. MATERNAL CHILD HEALTH IS AN AREA OF CONCERN FOR MONROE COUNTY, AND THE CURRENT DISPARITIES ARE UNACCEPTABLE. THE GOAL FOR MATERNAL CHILD HEALTH IN THE 2019-2021 CHIP IS: REDUCE RACIAL, ETHNIC, ECONOMIC AND GEOGRAPHIC DISPARITIES IN MATERNAL AND CHILD HEALTH OUTCOMES AND PROMOTE HEALTH EQUITY FOR MATERNAL AND CHILD POPULATIONS. THE GOAL WILL BE ATTAINED THROUGH SEVERAL INTERVENTIONS INCLUDING: 1. PARTNER WITH HEALTHY BABY NETWORK AND OTHER MEMBERS OF THE MATERNAL CHILD HEALTH ADVISORY GROUP TO CONDUCT COMMUNITY INPUT SESSIONS TO IDENTIFY THE DRIVERS AND SOLUTIONS TO DISPARITIES. BY DECEMBER OF 2020, COMPLETE A COMPREHENSIVE SUMMARY OF BARRIERS TO HEALTHY OUTCOMES AMONG WOMEN OF REPRODUCTIVE AGE, PRIMARILY PEOPLE OF COLOR, PEOPLE WITH LOW SES, AND PEOPLE WHO LIVE IN THE CITY OF ROCHESTER. 2. CONVENE A MATERNAL CHILD HEALTH ADVISORY GROUP TO DISCUSS INTERVENTIONS AND PLAN IMPLEMENTATION TO ADDRESS BARRIERS IDENTIFIED BY THE COMMUNITY. BY DECEMBER OF 2021, IMPLEMENT AT LEAST 3 SYSTEMS CHANGES THAT WILL ADDRESS SOCIAL BARRIERS AND IMPROVE DISPARITIES IN MATERNAL CHILD HEALTH OUTCOMES. AND 3. HOST A SYNERGY MEETING ON LOCAL MATERNAL AND CHILD HEALTH DISPARITIES ANNUALLY PRESENTING RESULTS OF FOCUS GROUPS AND MCH ADVISORY GROUP WORK. BY DECEMBER OF 2021, HOST TWO WELL ATTENDED SYNERGY MEETINGS FOCUSING ON MCH DISPARITIES AND PROGRESS OF THE ADVISORY GROUP. PROMOTING MENTAL HEALTH AND WELL-BEING IS A PRIORITY AREA OF PARTICULAR IMPORTANCE TO OUR COMMUNITY MEMBERS. INTERVENTIONS FOCUS ON THE UPSTREAM APPROACH OF ADDRESSING SOCIAL DETERMINANTS OF HEALTH INCLUDING POVERTY AND EMPLOYMENT IN ORDER TO IMPACT THE LONG TERM HEALTH OF THE COMMUNITY AND ADDRESS DISPARITIES IN WEALTH. THERE ARE TWO GOALS IN THIS AREA. ONE IS TO STRENGTHEN OPPORTUNITIES TO BUILD WELL-BEING AND RESILIENCE ACROSS THE LIFESPAN. THIS GOAL WILL BE ATTAINED THROUGH SEVERAL INTERVENTIONS INCLUDING: 1. EXPLORE OPPORTUNITIES TO USE THE POWER OF ANCHOR INSTITUTIONS SUCH AS HOSPITALS TO REVITALIZE NEIGHBORHOODS, SUPPORTING DEMOCRATICALLY OPERATED WORKER COOPERATIVES, REEMPLOYMENT, AND SUPPORTED EMPLOYMENT. BY DECEMBER OF 2021, COMPLETE A COMPREHENSIVE SUMMARY OF INTERVENTIONS THAT ANCHOR INSTITUTIONS HAVE SUCCESSFULLY IMPLEMENTED TO IMPROVE COMMUNITY WEALTH AND PRESENT AT LEAST ONE RECOMMENDED OPTION TO EACH OF THE HOSPITALS IN THE COMMUNITY HEALTH IMPROVEMENT WORKGROUP. THE SECOND GOAL FOR THIS AREA IS TO FACILITATE SUPPORTIVE ENVIRONMENTS THAT PROMOTE RESPECT AND DIGNITY FOR PEOPLE OF ALL AGES. INTERVENTIONS IN THIS AREA INCLUDE: 1. BY DECEMBER 2021, HOST AT LEAST 4 MENTAL HEALTH FIRST AID SESSIONS TO INCREASE MENTAL HEALTH LITERACY, AWARENESS, AND EDUCATION ABOUT MENTAL HEALTH AND AVAILABLE SERVICES IN MONROE COUNTY. 2. BY DECEMBER 2021, REVIEW AT LEAST 3 TYPES OF DOCUMENTS INTERNAL TO THE HOSPITAL SYSTEMS, AND SEEK HELP FROM LANGUAGE EXPERTS TO CHANGE AND ADAPT LANGUAGE THAT IS NOT ENHANCING STIGMA AND IS DESIGNED TO BE MORE INCLUSIVE. IF RELEVANT, MAKE THESE LANGUAGE CHANGES TO DEFAULT LANGUAGE THAT IS USED IN THE EMR. IN ADDITION TO THE TWO IDENTIFIED FOCUS AREAS OUTLINED ABOVE, THERE ARE SEVERAL AREAS THAT WERE OF NOTED CONCERN TO THE CHIW. THESE SECONDARY AREAS SHOW UNACCEPTABLE OUTCOMES IN ONE OR MORE MEASURABLE INDICATOR HOWEVER LIMITED RESOURCES DO NOT ALLOW FOR DEDICATED ATTENTION AND INTERVENTION TO ADDRESS THEM. THE CHIW HAS AGREED TO FOLLOW AND SUPPORT THESE AREAS IN THE CHIP 2019-2021, WHILE DEDICATING PRIMARY ATTENTION TO THE TWO FOCUS AREAS OF MENTAL HEALTH, AND MATERNAL CHILD HEALTH INEQUITIES. THE FIVE AREAS THE CHIW WILL FOLLOW ARE: 1. SMOKING CESSATION INCREASING SMOKING CESSATION WAS A FOCUS AREA FOR THE MONROE COUNTY COMMUNITY HEALTH IMPROVEMENT PLAN (2016-2018). THROUGH A CHANGE IN THE ELECTRONIC MEDICAL RECORDS PROCESS OF ALL FOUR HOSPITALS IN THE CHIW COLLABORATIVE, THE REFERRALS TO THE NYS QUIT LINE INCREASED 100 FOLD. ELECTRONIC REFERRALS TO THE NYS QUITLINE ARE AVAILABLE THROUGH BOTH MAJOR HEALTH SYSTEMS AND SEVERAL INDEPENDENT CLINICS AND FQHCS THROUGHOUT THE REGION. IN ADDITION, THE LOCAL MILLION HEARTS GROUP CONTINUES TO ORGANIZE AND HOST TOBACCO FREE COLLEGE CAMPUS CONFERENCES AND SUPPORT T-21 LEGISLATIVE INITIATIVES. THE TOBACCO FREE COLLEGE CAMPUS CONFERENCES WAS ORGANIZED BY THE MILLION HEARTS COLLABORATIVE, INCLUDING MEMBERS FROM THE ROCHESTER CHAMBER OF COMMERCE, AND LIDESTRI FOODS INC. AND INCLUDES SUPPORT AND REPRESENTATION FROM LOCAL COLLEGES INCLUDING ROCHESTER INSTITUTE OF TECHNOLOGY, UNIVERSITY OF ROCHESTER, ST. JOHN FISHER, MONROE COMMUNITY COLLEGE, AND NAZARETH COLLEGE. THIS GROUP MEETS TO DISCUSS PROGRESS, CAMPUS POLICIES, AND SETBACKS IN DEVELOPING AND MAINTAINING SMOKE-, TOBACCO-, AND VAPE-FREE LOCAL COLLEGE CAMPUSES. 2. FOOD INSECURITY WORK ON FOOD INSECURITY WAS BEGUN WITH THE CHIP 2016-2018. LOCAL SYSTEMS INTEGRATION PROJECTS ARE UNDERWAY, AND BOTH ROCHESTER REGIONAL HEALTH AND UNIVERSITY OF ROCHESTER MEDICAL CENTER ARE INVOLVED IN THESE PROJECTS, BOTH AS POTENTIAL PILOT LOCATIONS, AND ADVISORY GROUPS. AS THE COMMUNITY HEALTH IMPROVEMENT PLAN FOR 2019-2021 WILL BE ADDRESSING COMMUNITY WELL-BEING, AND SOCIAL DETERMINANT IMPACT ON MATERNAL-CHILD HEALTH, THESE FOCUS AREAS ARE RELATED TO AND INSEPARABLE FROM FOOD INSECURITY AND RESOURCE PROVISION. THE CHIW WILL CONTINUE TO SUPPORT PEDIATRIC DEPARTMENTS AS THEY SCREEN FOR SOCIAL DETERMINANTS INCLUDING FOOD SECURITY, AND WORK WITH LOCAL ORGANIZATIONS SUCH AS FOODLINK AND 2-1-1 TO BUILD COLLABORATIONS WITH THE HEALTH SYSTEMS. 3. OPIOID CRISIS THE OPIOID CRISIS HAS BEEN IMPACTING MONROE COUNTY SINCE THE EARLY 2010S. IN 2016, THE PUBLIC HEALTH GOAL WAS TO DECREASE OVERDOSE AND DEATH BY OVERDOSE RATES TO BELOW THE 2015 LEVEL. UNFORTUNATELY, WITH THE SPREAD OF THE OPIOID CRISIS AND THE INTRODUCTION OF FENTANYL TO THE STREET MARKETPLACE, OPIOID OVERDOSES AND DEATHS HAVE NOT DECREASED TO THIS SET GOAL, AND THEY HAVE INCREASED IN THE PAST 3 YEARS. THERE ARE MANY GROUPS WITHIN AND OUTSIDE OF THE HEALTH SYSTEMS WORKING TO ADDRESS THIS CRISIS. INCREASING THE HIRING OF TOXICOLOGISTS IN THE OFFICE OF THE MEDICAL EXAMINER, TRAINING MORE LOCAL PROVIDERS WITH BUPRENORPHINE WAIVERS AND TRAINING IN MEDICATION-ASSISTED TREATMENT (MAT), THE CONTINUATION AND EXPANSION OF LOCAL HEROIN AND OPIOID TASK FORCES INCLUDING LAW ENFORCEMENT, COUNTY OFFICIALS, TREATMENT CENTERS, AND MEDICAL PROFESSIONALS. THE HEALTH SYSTEMS ARE CONTINUING WORK IN THE SPACE OF SUBSTANCE USE DISORDER PREVENTION, IDENTIFICATION, AND TREATMENT WITH COMMUNITY AND GOVERNMENT PARTNERS. NALOXONE: THERE IS A NYS POLICY NALOXONE CO-PAYMENT ASSISTANCE PROGRAM (N-CAP) THAT PROVIDES A STANDING PRESCRIPTION AND COPAY COVERAGE AVAILABLE AT PHARMACIES WITHOUT AN OPEN PRESCRIPTION. RAISING AWARENESS ABOUT THE AVAILABILITY AND PROPER USE OF NALOXONE WILL CONTINUE IN MONROE COUNTY. TRAININGS ON HOW TO ADMINISTER NALOXONE IN THE CASE OF AN OPIOID OVERDOSE ARE PROVIDED BY MANY COMMUNITY GROUPS AND HEALTHCARE PROVIDERS INCLUDING BUT NOT LIMITED TO MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH, ROCHESTER GENERAL HOSPITAL, URMC, OAK ORCHARD HEALTH, AND TRILLIUM HEALTH. THESE TRAININGS ARE FREQUENT, OFTEN OPEN TO THE PUBLIC, AND ADVERTISED ONLINE BY EACH GROUP. 4. SEXUALLY TRANSMITTED INFECTION (STI) RATES MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH RUNS THE STD AND HIV CONTROL PROGRAM, INCLUDING MEDICAL INTERVENTIONS, SCREENINGS, PREVENTION, EDUCATION, AND PROVIDER TRAINING. THE MATERNAL CHILD HEALTH ADVISORY GROUP INCLUDES MANY GROUPS THAT WORK IN PRENATAL CARE, REPRODUCTIVE EDUCATION, AND STI EDUCATION. CONTINUATION OF SUPPORT AND FUNDING TO THE LOCAL PROVIDERS OF SEX AND REPRODUCTIVE EDUCATION TO BOTH CHILDREN AND ADULTS IN MONROE COUNTY WILL BE NECESSARY TO REDUCE THE RATE OF STIS IN THE REGION. 5. VIOLENCE PREVENTION THERE ARE CONSISTENT TRENDS OF DISPARITIES IN POPULATIONS IMPACTED BY VIOLENCE WITHIN MONROE COUNTY AND THE CITY OF ROCHESTER. THE AFRICAN AMERICAN HEALTH COALI
PARV V, SECTION B, LINE 13B - INCOME LEVEL OTHER THAN FPG CHARITY CARE ASSISTANCE IS GENERALLY AVAILABLE TO INDIVIDUALS WHOSE INCOME IS LESS THAN OR EQUAL TO 400% OF THE FEDERAL POVERTY LEVEL. HOWEVER, PATIENTS WHO EXCEED THE INCOME THRESHOLD WHO HAVE EXHAUSTED THEIR INSURANCE BENEFITS, FACE EXTRAORDINARY MEDICAL COSTS, HAVE FILED FOR BANKRUPTCY OR HAVE OTHER UNIQUE OR EXTENUATING CIRCUMSTANCES MAY BE CONSIDERED FOR CHARITY CARE APPROVAL IN THE HOSPITAL'S SOLE DISCRETION. --------------------
PART V, SECTION B, LINES 16A-C - FINANCIAL ASSISTANCE POLICY AVAILABILITY A COPY OF THE ORGANIZATION'S FINANCIAL ASSISTANCE POLICY, APPLICATION AND PLAIN LANGUAGE SUMMARY CAN BE ACCESSED AT: HTTPS://WWW.URMC.ROCHESTER.EDU/STRONG-MEMORIAL/PATIENTS-FAMILIES/BILLING-I NSURANCE.ASPX --------------------
PART V, SECTION B, LINE 20E - PRESUMPTIVE ELIGIBILITY PRESUMPTIVE ELIGIBILITY FILES ARE RUN THROUGH PARO/CONNANCE TO DETERMINE WHETHER A PATIENT MAY QUALIFY FOR 100% PRESUMPTIVE FINANCIAL ASSISTANCE PRIOR TO AN EXTERNAL CREDIT AGENCY REFERRAL. --------------------
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule H (Form 990) 2018
Schedule H (Form 990) 2018
Page 9
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?7
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 EASTMAN DENTAL CLINIC AT SCHOOL #17
158 ORCHARD STREET
ROCHESTER,NY14611 		OUTPATIENT DENTAL CLINIC
4 EASTMAN DENTAL-DOWNTOWN CLINIC
228 E MAIN STREET
ROCHESTER,NY14604 		OUTPATIENT DENTAL CLINIC
5 EDC SMILEMOBILE VANS
625 ELMWOOD AVENUE
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINIC
6 EDC HIGHLAND HOSPITAL CLINIC
990 SOUTH AVENUE SUITE 020
ROCHESTER,NY14620 		OUTPATIENT DENTAL CLINIC
7 CULVER COMPLEX CARE CENTER
905 CULVER ROAD
ROCHESTER,NY14609 		OUTPATIENT DENTAL CLINIC
8
9
10
Schedule H (Form 990) 2018
Schedule H (Form 990) 2018
Page 10
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 I, LINE 7g- SUBSIDIZED HEALTH SERVICES COSTS ATTRIBUTABLE TO A PHYSICIAN CLINIC WERE INCLUDED ON PART I, LINE 7G, SUBSIDIZED HEALTH SERVICES, AND INCLUDED TOTAL COMMUNITY BENEFIT EXPENSE OF $98,889,019; DIRECT OFFSETTING REVENUE OF $72,623,147; NET COMMUNITY BENEFIT EXPENSE OF $26,265,872. --------------------
PART I, LINE 7- COSTING METHODOLOGY USED, BAD DEBT EXPENSE THE COSTING METHODOLOGY USED IN CALCULATING THE AMOUNTS REPORTED ON THE LINE 7 TABLE ARE BASED ON A COST ACCOUNTING SYSTEM. DUE TO THE ADOPTION OF NEW ACCOUNTING PRONOUNCEMENT ASC 606, CURRENT YEAR IMPLICIT PRICE CONCESSIONS ARE TREATED AS A CONTRA-REVENUE ITEM ON THE STATEMENT OF REVENUE. --------------------
PART II- DETAIL OF COMMUNITY BUILDING ACTIVITIES THE UNIVERSITY OF ROCHESTER IS VERY ENGAGED IN COMMUNITY BUILDING. PROGRAMS REPORTED IN PART II PROMOTE THE HEALTH OF THE COMMUNITY IN MANY WAYS. A FEW EXEMPLARY EXAMPLES OF COMMUNITY BUILDING ACTIVITIES ARE INCLUDED BELOW: COMMUNITY SUPPORT - BRA DAY- BREAST RECONSTRUCTION AWARENESS/BRA DAY. TO LEARN ABOUT THE OPTIONS AVAILABLE AND THE LATEST TECHNIQUES FOR IMPROVED RESULT IN BREAST RECONSTRUCTION. IN ADDITION, HEAR FROM PATIENTS WHO HAVE HAD BREAST RECONSTRUCTION AND HOW IT HAS HELPED THEM. - ROCHESTER ROOKIES VOLUNTEER- ENHANCING THE QUALITY OF CHILDREN'S LIVES BY TEACHING ATHLETIC SKILLS, FOSTERING INDEPENDENCE, BUILDING CHARACTER AND HELPING FAMILIES REALIZE THEIR CHILD'S FULL POTENTIAL THROUGH PROGRAMS, ADVOCACY AND SERVICES. THE UR SUPPORTS MANY COMMUNITY COALITIONS THROUGH MEETING ATTENDANCE AND RESOURCE ALLOCATION. THESE COALITIONS INCLUDE THE AFRICAN AMERICAN AND LATINO HEALTH COALITIONS WHICH ARE GROUPS OF INDIVIDUALS AND ORGANIZATIONS CONVENED BY THE FINGER LAKES HEALTH SYSTEMS AGENCY, WHO WORK TOGETHER TO BUILD A COORDINATED COMMUNITY RESPONSE TO ELIMINATE AFRICAN AMERICAN AND LATINO HEALTH DISPARITIES. THE CENTER FOR COMMUNITY HEALTH LINKS UR TO COMMUNITY MEMBERS AND FACILITATES COMMUNITY ENGAGEMENT, DEVELOPING LEADERS AMONG COMMUNITY MEMBERS AND SUPPORTING COALITIONS AND COMMUNITY IMPROVEMENT. THE CENTER FOR COMMUNITY HEALTH FACILITATES THE COMMUNITY ADVISORY BOARD WHICH GIVES LEADERS OF COMMUNITY BASED ORGANIZATIONS A VOICE IN SETTING THE RESEARCH AND INTERVENTION AGENDA FOR UR. IN ADDITION TO SEVERAL COMMUNITY SERVICE AND EDUCATION INITIATIVES, THE CENTER ADVOCATES FOR COMMUNITY HEALTH IN EDUCATION, SERVICE AND RESEARCH. THE CENTER HAS SEVERAL ONGOING INTIATIVES TO IMPROVE HEALTHY LIVING THROUGH NUTRITION ACCESS AND ACTIVE LIFESTYLE BOTH IN HEALTH EDUCATION AND ENVIRONMENTAL DESIGN. THE CENTER HOUSES THE TEEN HEALTH AND SUCCESS PARTNERSHIP THAT MENTORS YOUTH IN THE ROCHESTER CITY SCHOOLS TO GRADUATE AND OBTAIN AND MAINTAIN EMPLOYMENT, THUS SUPPORTING WORKFORCE DEVELOPMENT. THE CENTER ALSO ORGANIZES AND FACILITATES THE DEVELOPMENT AND IMPLEMENTATION OF THE COMMUNITY HEALTH NEEDS ASSESSMENT AND IMPROVEMENT PLANNING, WHICH IS A COOPERATIVE EFFORT FOR ALL THE HOSPITALS IN MONROE COUNTY AND THE HEALTH DEPARTMENT. --------------------
PART III, SECTION A, LINE 2- IMPLICIT PRICE CONCESSIONS/BAD DEBT EXPENSE THE COSTING METHODOLOGY USED IN DETERMINING THE AMOUNTS REPORTED ON LINES 2 AND 3 ARE BASED ON ACTUAL CHARGES WRITTEN OFF (AMOUNTS THAT ARE DEEMED TO BE UNCOLLECTIBLE AND RECORDED AS IMPLICIT PRICE CONCESSIONS UNDER NEW ACCOUNTING PRONOUNCEMENT ASC 606). -------------------- PART III, SECTION A, LINE 4- IMPLICIT PRICE CONCESSION FOOTNOTE THE TEXT OF THE IMPLICIT PRICE CONCESSION (BAD DEBT EXPENSE) FOOTNOTE FOR THE UNIVERSITY CAN BE FOUND ON PAGE 14 (ITEM V) OF THE ELECTRONICALLY ATTACHED AUDITED FINANCIAL STATEMENTS. --------------------
PART III, SECTION B, LINE 8- COSTING METHODOLOGY, MEDICARE SHORTFALL THE COSTING METHODOLOGY USED IN DETERMINING THE AMOUNT REPORTED ON LINE 6 IS BASED ON REPORTS PRODUCED FROM THE HOSPITAL'S DECISION SUPPORT SYSTEM FOR THE YEAR. CONSISTENT WITH THE CHARITABLE HEALTHCARE MISSION OF THE HOSPITAL AND THE COMMUNITY BENEFIT STANDARD SET FORTH IN IRS REVENUE RULING 69-545, THE HOSPITAL PROVIDES CARE FOR ALL PATIENTS COVERED BY MEDICARE SEEKING MEDICAL CARE. SUCH CARE IS PROVIDED REGARDLESS OF WHETHER THE REIMBURSEMENT PROVIDED FOR SUCH SERVICES MEETS OR EXCEEDS THE COSTS INCURRED BY THE HOSPITAL TO PROVIDE SUCH SERVICES. AS A RESULT, THE HOSPITAL VIEWS ANY SHORTFALL REPORTED IN LINE 7 AS AN ADDITIONAL ITEM OF COMMUNITY BENEFIT PROVIDED BY THE ORGANIZATION. --------------------
PART III, SECTION C, LINE 9b- COLLECTION PRACTICES FINANCIAL ASSISTANCE PROGRAM MISSION/PURPOSE/PREAMBLE: STRONG MEMORIAL HOSPITAL IMPROVES HEALTH THROUGH CARING, DISCOVERY, TEACHING AND LEARNING. WE PROVIDE EXCELLENT AND COMPASSIONATE CARE AND RESPONSIVE SERVICE. AS WE SEEK TO UNDERSTAND AND FULLY MEET OUR PATIENTS' CURRENT AND FUTURE NEEDS AND EXPECTATIONS, WE RECOGNIZE OUR RESPONSIBILITY TO PRUDENTLY USE THE SCARCE RESOURCES ENTRUSTED TO US. LAWS, REGULATIONS, CATASTROPHIC ILLNESSES AND THE RISING COSTS OF NEW TECHNOLOGY HAVE CREATED A CATEGORY OF PATIENTS WHO ARE EITHER UNINSURED OR UNDERINSURED. THIS CHARITY CARE PROGRAM HAS BEEN DEVELOPED TO HELP THE HOSPITAL MEET THE NEEDS OF THESE PATIENTS AND, CONCURRENTLY, MAINTAIN THE FINANCIAL VIABILITY OF THE HOSPITAL FOR FUTURE GENERATIONS. THIS CHARITY CARE POLICY EXPLAINS HOW THE HOSPITAL ASSISTS PATIENTS WHO CANNOT PAY FOR PART OR ALL OF THE ESSENTIAL MEDICAL CARE THEY RECEIVE. PRINCIPLES: STRONG MEMORIAL HOSPITAL PROACTIVELY CONVEYS INFORMATION ABOUT THIS CHARITY CARE POLICY TO PATIENTS AND THEIR FAMILIES. - WE BELIEVE THAT FEAR OF A HOSPITAL BILL SHOULD NEVER GET IN THE WAY OF ESSENTIAL HEALTH SERVICES. THE PROVISION OF URGENT OR EMERGENT HEALTHCARE IS NEVER DELAYED PENDING A FINANCIAL ASSISTANCE DETERMINATION. SIGNS ANNOUNCING THE CHARITY CARE PROGRAM ARE POSTED IN THE HOSPITAL (E.G. EMERGENCY DEPARTMENT, ADMITTING OFFICE) TO PROACTIVELY CONVEY THIS MESSAGE TO PROSPECTIVE PATIENTS AND THE PUBLIC IN GENERAL. - WE MAINTAIN FINANCIAL AID POLICIES THAT ARE CONSISTENT WITH THE MISSION, VALUES AND CAPACITY OF THE HOSPITAL AND THAT TAKE INTO ACCOUNT EACH INDIVIDUAL'S ABILITY TO CONTRIBUTE TO THE COST OF HIS OR HER CARE. - WE COMMUNICATE THE AVAILABILITY OF FINANCIAL AID IN A MANNER THAT IS CLEAR, UNDERSTANDABLE, SENSITIVE TO THE PATIENT'S DIGNITY, AND IN MULTIPLE LANGUAGES. A NOTICE IS AVAILABLE AT REGISTRATION SITES THAT INFORMS PATIENTS OF THIS PROGRAM AND PROVIDES THE PHONE NUMBER TO CALL TO OBTAIN MORE INFORMATION AND TO APPLY FOR THIS PROGRAM. DESIGNATED STAFF ARE PROVIDED DETAILED TRAINING SO THAT THEY CAN PROVIDE INFORMATION AND ANSWER QUESTIONS ABOUT THE CHARITY CARE PROGRAM. INFORMATION IS GENERALLY AVAILABLE IN BOTH ENGLISH AND SPANISH. WHEN REQUESTED, IT WILL ALSO BE MADE AVAILABLE IN OTHER LANGUAGES. - INFORMATION REGARDING OUR CHARITY CARE PROGRAM IS ALSO AVAILABLE ON THE URMC WEBSITE. - WE IMPLEMENT FINANCIAL AID PROCEDURES THAT ARE CONSUMER-FRIENDLY, RESPECTFUL, AND CONFIDENTIAL, AS WELL AS DEBT COLLECTION POLICIES THAT REFLECT THE MISSION AND VALUES OF THIS HOSPITAL. - WE WORK WITH GOVERNMENT, PAYERS, BUSINESS, CONSUMER GROUPS AND OTHERS TO ADDRESS THE UNDERLYING PROBLEM THAT TOO MANY NEW YORKERS LACK HEALTH INSURANCE. GENERAL GUIDELINES: AS PART OF FINANCIAL PLANNING ASSISTANCE, WE PROVIDE PATIENTS, AND/OR THEIR LEGAL REPRESENTATIVE, WITH INFORMATION ABOUT THE CRITERIA THAT MUST BE MET IN ORDER TO OBTAIN MEDICAID, MEDICARE, OR OTHER HEALTH INSURANCES. PATIENTS ARE ASSISTED IN MAKING APPLICATIONS FOR ANY OF THESE INSURANCES OR DISCOUNTED FEE PLANS. PATIENTS ARE EXPECTED TO PARTICIPATE FULLY IN ALL EFFORTS TO OBTAIN ANY INSURANCE FOR WHICH THEY MAY QUALIFY. UNDER CERTAIN CIRCUMSTANCES, AS DETERMINED BY THE FINANCIAL CASE MANAGERS OR OTHER HOSPITAL SENIOR ADMINISTRATORS. APPLICATIONS FOR MEDICAID, MEDICARE OR OTHER INSURANCE PROGRAMS MAY BE WAIVED WHEN DEEMED UNNECESSARY. IF AVAILABLE INSURANCE BENEFITS ARE NOT SUFFICIENT TO COVER THE COST OF THEIR CARE, PATIENTS MAY THEN APPLY FOR ASSISTANCE FROM THE CHARITY CARE PROGRAM. CHARITY CARE APPLICATIONS MUST BE COMPLETED AND RETURNED TO THE HOSPITAL WITH THE REQUESTED INCOME DOCUMENTATION. PATIENTS WILL NOT RECEIVE CHARITY CARE ASSISTANCE IF THEY (A) DO NOT COMPLETE THE APPLICATION PROCESS FOR MEDICAID OR OTHER INSURANCE FOR WHICH THEY MAY QUALIFY, (B) ELECT NOT TO MAKE APPLICATION FOR CHARITY CARE, OR (C) HAVE ADEQUATE RESOURCES OR INCOME TO PAY PRIVATELY FOR THEIR CARE. IN THESE SITUATIONS, THEY WILL REMAIN FINANCIALLY RESPONSIBLE FOR FULL PAYMENT OF THEIR HOSPITAL BILLS. CHARITY CARE ASSISTANCE IS AVAILABLE FOR PATIENTS WHO RESIDE IN NEW YORK STATE AND RECEIVE EMERGENCY HOSPITAL SERVICES, INCLUDING EMERGENCY TRANSFERS, AND TO PATIENTS WHO RESIDE IN STRONG MEMORIAL HOSPITAL'S PRIMARY SERVICE AREA IN NEW YORK STATE WHO RECEIVE SERVICES IN DESIGNATED STRONG MEMORIAL HOSPITAL PROGRAMS, INCLUDING MOST INPATIENT AND OUTPATIENT SERVICES. IN ADDITION, THE HOSPITAL MAY, IN ITS DISCRETION, GRANT CHARITY CARE TO INDIVIDUALS WHO RESIDE OUTSIDE OF NEW YORK STATE. CHARITY CARE ASSISTANCE DOES NOT COVER MEDICALLY UNNECESSARY CARE, COSMETIC ALTERATION, TELEPHONE, TELEVISION AND PRIVATE ROOM CHARGES. IT DOES NOT COVER SERVICES GENERATED BY AN INSURED PATIENT WHO CHOOSES TO RECEIVE CARE AT AN OUT-OF-NETWORK HOSPITAL, OR WHO FAILS TO COMPLY WITH INSURANCE POLICY REQUIREMENTS (E.G. UNAUTHORIZED SERVICES) NOR DOES IT APPLY TO NON-RESIDENT ALIENS (UNLESS APPROVED IN ADVANCE OF CARE BEING PROVIDED), TO DRUGS NOT ADMINISTERED IN THE HOSPITAL, TO TRANSPORTATION FURNISHED BY THIRD PARTY VENDORS, OR TO CARE, SERVICES, DRUGS OR SUPPLIES FOR THE PURPOSE OF GENDER CHANGE PROCEDURE. SPECIFIC QUESTIONS ABOUT SERVICES THAT ARE NOT COVERED SHOULD BE DIRECTED TO THE PATIENT ACCOUNTS MANAGER OR THEIR DELEGATE. FINANCIAL GUIDELINES: FINANCIAL AID IS INTENDED TO ASSIST THOSE INDIVIDUALS WHO CANNOT AFFORD TO PAY IN PART OR IN FULL FOR THEIR CARE. IT SHOULD TAKE INTO ACCOUNT EACH INDIVIDUAL'S ABILITY TO CONTRIBUTE TO THE COST OF HIS OR HER CARE. HOSPITAL FINANCIAL AID SHOULD NOT BE VIEWED AS A SUBSTITUTE FOR EMPLOYER-SPONSORED OR INDIVIDUALLY PURCHASED INSURANCE. PATIENTS WITHOUT INSURANCE AND WITH INCOME THAT WOULD QUALIFY THEM FOR THE CHARITY CARE PROGRAM BUT ALSO HAVE SUBSTANTIAL RESOURCES (OTHER THAN TAX-DEFERRED OR COMPARABLE RETIREMENT SAVINGS OR COLLEGE SAVINGS ACCOUNTS) MAY BE EXPECTED TO PAY PART OF THEIR BILLS(S). CHARITY CARE ASSISTANCE IS GENERALLY AVAILABLE TO INDIVIDUALS WHOSE INCOME IS LESS THAN OR EQUAL TO 400% OF THE FEDERAL POVERTY LEVEL. HOWEVER, PATIENTS WHO HAVE EXHAUSTED THEIR INSURANCE BENEFITS, EXCEEDED FINANCIAL ELIGIBILITY CRITERIA, FACE EXTRAORDINARY MEDICAL COSTS, OR WHO HAVE OTHER UNIQUE CIRCUMSTANCES MAY BE CONSIDERED FOR CHARITY CARE APPROVAL IN THE HOSPITAL'S SOLE DISCRETION. WHILE APPLICATION FOR MEDICAID OR OTHER INSURANCE IS USUALLY REQUIRED, THE HOSPITAL MAY, AT ITS SOLE DISCRETION, IN APPROPRIATE CASES, ALSO CONSIDER PATIENTS FOR CHARITY CARE WHEN THEY MEET THE FINANCIAL CRITERIA OF THIS PROGRAM, BUT HAVE NOT SATISFACTORILY COMPLETED ALL THE REQUIREMENTS OF THE CHARITY CARE APPLICATION PROCESS. THIS MAY INCLUDE PATIENTS WHO HAVE BEEN SANCTIONED BY MEDICAID, HAVE FILED BANKRUPTCY OR APPEAR TO BE ELIGIBLE FOR CHARITY CARE ASSISTANCE BASED ON AVAILABLE INFORMATION. ELIGIBILITY DETERMINATIONS IN COMPLEX CASE CIRCUMSTANCES WILL BE MADE AFTER CONSIDERATION BY THE CHARITY CARE REVIEW TEAM THAT INCLUDES THE CHARITY CARE OFFICER, FINANCIAL CASE MANAGER AND/OR THEIR MANAGERS, OR MAY BE MADE BY SENIOR HOSPITAL ADMINISTRATORS. THE AMOUNT OF THE DISCOUNT AFFORDED TO QUALIFIED CHARITY CARE PATIENTS WILL BE DETERMINED THROUGH ASSESSMENT OF THE RESPONSIBLE PARTY'S ANNUAL HOUSEHOLD INCOME AND THE NUMBER OF PEOPLE IN THE HOME, AS A PERCENTAGE OF THE FEDERAL POVERTY GUIDELINE AMOUNTS FOR SAME SIZE HOUSEHOLDS. THE FINANCIAL GUIDELINES WILL BE UPDATED ANNUALLY IN CONJUNCTION WITH THE FEDERAL POVERTY UPDATES PUBLISHED BY CMS. PATIENTS MAY RECEIVE FULL OR PARTIAL DISCOUNT FROM THE COST OF CARE, DEPENDING ON THE PERCENTAGE OF THE GUIDELINES MATCHED BY THE PATIENT'S HOUSEHOLD INCOME. ANY BILL AMOUNT REMAINING AFTER APPLICATION OF A PARTIAL CHARITY CARE DISCOUNT IS THE RESPONSIBILITY OF THE PATIENT. THE AMOUNT AN APPROVED CHARITY CARE PATIENT WILL GENERALLY BE EXPECTED TO PAY FOR SERVICES COVERED BY THE POLICY WILL BE LIMITED TO THE LOWER OF THE AMOUNT THAT THE HOSPITAL WOULD HAVE RECEIVED FOR THE SAME SERVICE UNDER MEDICARE PARTS A AND B, (INCLUDING COINSURANCE, CO-PAYMENTS AND DEDUCTIBLES) OR THE USUAL AND CUSTOMARY CHARGES. THE PATIENT WILL BE ASSISTED BY THE HOSPITAL IN MAKING ARRANGEMENTS TO SATISFY ANY BALANCE REMAINING ON THE ACCOUNT(S) AFTER THE APPLICATION OF THE APPROPRIATE CHARITY CARE DISCOUNT BY USE OF A PAYMENT PLAN. THE MONTHLY PAYMENTS UNDER SUCH PLANS SHALL NOT EXCEED TEN PERCENT (10%) OF THE ELIGIBLE PATIENT'S GROSS MONTHLY INCOME. THE RATE OF INTEREST ON UNPAID BALANCES SHALL NOT EXCEED THE US TREASURY RATE FOR 90 DAY SECURITIES PLUS 0.5%. HOSPITAL PATIENT FINANCIAL AID STATUTE DISCOUNTING REQUIREMENTS DISCOUNT / GROSS INCOME AS % OF FEDERAL POVERTY LEVEL 100% / UP TO 200% 80% / BETWEEN 201-250% 60% / BETWEEN 251-300% 40% / BETWEEN 301-350% 20% / BETWEEN 351-400% 0% / OVER 401% PROCESS: APPLICATIONS WILL BE ACCEPTED IMMEDIATELY BEFORE, DURING OR AFTER CARE IS PROVIDED. THE HOSPITAL WILL STRIVE TO ASSIST PATIENTS RECEIVING HIGH-COST SERVICES AS THEY OCCUR. PATIENTS MAY BE APPROVED FOR CHARITY CARE ON AN ACCOUNT-BY-ACCOUNT BASIS OR FOR A PERIOD OF TIME (FOR A COURSE OF TREATMENT). F
PART VI, LINE 2- NEEDS ASSESSMENT UR STRONG CONDUCTS ASSESSMENT OF HEALTH CARE NEEDS OF THE COMMUNITY, MOST FORMALLY THROUGH THE CHNA IN COLLABORATION WITH THE MEMBERS OF THE COMMUNITY HEALTH IMPROVEMENT WORKGROUP (CHIW) AS WELL AS SEVERAL ADDITION COMMUNITY MEMBERS, ORGANIZATIONS AND ASSOCIATIONS. WITH THE INPUT OF THE MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH (MCDPH), SEVERAL DATA SOURCES ARE REVIEWED, PRIMARILY NATALITY AND MORTALITY DATA, HOSPITALIZATION DATA THROUGH THE STATEWIDE PLANNING AND RESEARCH COOPERATIVE SYSTEMS (SPARCS) FILES, DISEASE AND SPECIFIC CONDITION DATA, AND THE NY STATE PREVENTION AGENDA DASHBOARD DATA. SEVERAL REPORTS ARE CONDUCTED PERIODICALLY BY COMMON GROUND HEALTH INCLUDING THE HEALTH EQUITY CHARTBOOK AND THE MONROE COUNTY HEALTH PROFILES, AND BY THE MCDPH INCLUDING THE YOUTH RISK BEHAVIOR SURVEY REPORT AND CHRONIC DISEASES IN MONROE COUNTY REPORT. THESE REPORTS INFORM THE HOSPITAL OF THE HEALTH CARE NEEDS OF THE COMMUNITY. THERE ARE SEVERAL UR STRONG REPRESENTATIVES TO THE CHIW COMMITTEE, WHICH BEGAN MEETING MONTHLY IN MAY 2012 AND CONTINUES TO MEET EVERY MONTH TO ASSESS THE NEEDS OF THE MONROE COUNTY COMMUNITY AND TO MONITOR SUCCESSES OF IMPLEMENTATION OF THE COMMUNITY HEALTH IMPROVEMENT PLAN. IN ADDITION, COMMUNITY INPUT IS PERIODICALLY SOUGHT FROM RESIDENTS, THE AFRICAN AMERICAN HEALTH COALITION AND THE LATINO HEALTH COALITION. PROGRAM SPECIFIC NEEDS ASSESSMENTS ARE CONDUCTED AS NECESSARY TO ENSURE THE SUCCESS AMONG THE TARGET POPULATION FOR INDIVIDUAL INTERVENTIONS, FOR EXAMPLE, THE UR WELL STUDENT RUN FREE MEDICAL CLINICS OFTEN ASSESS THE NEEDS OF THEIR CLIENTS IN ORDER TO IMPROVE SERVICES DELIVERED. THE MEDICAL CENTER PROVIDES SALARY SUPPORT FOR FACULTY AND STAFF TO CONTRIBUTE TO THEIR ACADEMIC AND CLINICAL EXPERTISE TO HELP IDENTIFY AND IMPLEMENT THE MOST EFFECTIVE INTERVENTIONS ON THE HEALTH PRIORITY NEEDS. THE CENTER FOR COMMUNITY HEALTH & PREVENTION (CCHP) WAS ESTABLISHED IN 2006 AS THE LINK BETWEEN THE COMMUNITY AND THE UNIVERSITY. AS PART OF THAT LINK, THE CENTERS FACULTY AND STAFF ARE FREQUENTLY ENGAGED WITH THE COMMUNITY FOR PROGRAMS, MEETINGS, INFORMATION SHARING AND RESEARCH. THE COMMUNICABLE DISEASE SECTION OF THE CCHP MONITORS INFECTIOUS DISEASE PREVALENCE AND TRENDS FOR OUR COMMUNITY AND SHARES DATA BOTH LOCALLY AND NATIONALLY. THE CANCER PREVENTION SECTION IN THE CCHP FOLLOWS TRENDS IN CANCER RATES AS WELL AS SCREENING RATES. FACULTY AND STAFF FROM WITHIN THE CCHP AS WELL AS AROUND THE INSTITUTION FREQUENTLY ATTEND COMMUNITY MEETINGS AND EVENTS TO GAUGE THE NEEDS OF COMMUNITY MEMBERS. IN ADDITION, THE CCHP SUPPORTS THE COMMUNITY ADVISORY COUNCIL (CAC), A LARGE COLLABORATIVE OF COMMUNITY LEADERS THAT INFORMS THE UNIVERSITY ABOUT ON-GOING AND EMERGING CONCERNS. THE COMMUNITY ADVISORY COUNCIL (CAC) WAS CREATED IN 2006 TO REPRESENT THE VOICE OF THE COMMUNITY AND TO GUIDE AND SUPPORT THE MISSION OF THE URMC. THE THIRTY-NINE MEMBER CAC REPRESENTS TWENTY-ONE COMMUNITY-BASED ORGANIZATIONS, INCLUDING HEALTH AND SOCIAL SERVICE AGENCIES, THE FAITH COMMUNITY, LOCAL GOVERNMENT, THE CITY SCHOOL DISTRICT AND MEDIA. A PRIMARY FUNCTION OF THE CAC IS TO STRENGTHEN URMC-COMMUNITY PARTNERSHIPS WITH A MUTUAL GOAL TO REDUCE INEQUALITIES AND IMPROVE ACCESS TO HEALTH CARE AND SERVICES. THE CAC MEETS AT LEAST QUARTERLY IN EXTENSIVE DIALOGUE AROUND COMMUNITY NEEDS. THE GOVERNMENT AND COMMUNITY RELATIONS OFFICE OF THE UNIVERSITY OF ROCHESTER IS ALSO ENGAGED WITH THE COMMUNITY AND IS ACTIVELY INVOLVED WITH SEVERAL COMMUNITY GROUPS THAT INFORM THE NEEDS OF THE COMMUNITY. THERE IS ALSO A PATIENT AND FAMILY RELATIONS DEPARTMENT WHICH IS A CONFIDENTIAL RESOURCE FOR PATIENTS AND FAMILIES WHO HAVE CONCERNS ABOUT COMMUNICATION, QUALITY OF CARE OR UNEXPECTED OUTCOMES. --------------------
PART VI, LINE 3- PATIENT EDUCATION OF ELIGIBILITY FOR ASSISTANCE INFORMATION ABOUT THE AVAILABILITY OF FINANCIAL ASSISTANCE IS POSTED IN ALL AREAS OF THE FACILITY AND ITS OFF-SITE LOCATIONS. CHARITY CARE INFORMATION IS POSTED IN INPATIENT AND OUTPATIENT REGISTRATION AREAS; THE EMERGENCY DEPARTMENT; ADMITTING; AND ALL PRIMARY CARE SITES. PRINTED INFORMATION ABOUT CHARITY CARE ASSISTANCE IS ALSO PROVIDED WITH DISCHARGE MATERIALS WHEN IT HAS BEEN DETERMINED THAT A PATIENT IS IN FINANCIAL NEED. OUR CHARITY CARE POLICY IS ON-LINE AS WELL, ON THE HOSPITAL WEBSITE. AS PART OF FINANCIAL PLANNING ASSISTANCE, WE PROVIDE PATIENTS, OR THEIR LEGAL REPRESENTATIVE, WITH INFORMATION ABOUT THE CRITERIA THAT MUST BE MET IN ORDER TO OBTAIN MEDICAID, MEDICARE, OR OTHER HEALTH INSURANCES. PATIENTS ARE ASSISTED IN MAKING APPLICATIONS FOR ANY OF THESE INSURANCES OR DISCOUNTED FEE PLANS. PATIENTS ARE EXPECTED TO PARTICIPATE FULLY IN ALL EFFORTS TO OBTAIN ANY INSURANCE FOR WHICH THEY MAY QUALIFY. UNDER CERTAIN CIRCUMSTANCES, AS DETERMINED BY THE FINANCIAL CASE MANAGERS OR OTHER HOSPITAL SENIOR ADMINISTRATORS, APPLICATIONS FOR MEDICAID, MEDICARE OR OTHER INSURANCE PROGRAMS MAY BE WAIVED WHEN DEEMED UNNECESSARY. IF AVAILABLE INSURANCE BENEFITS ARE NOT SUFFICIENT TO COVER THE COST OF THEIR CARE, PATIENTS MAY THEN APPLY FOR ASSISTANCE FROM THE CHARITY CARE PROGRAM. --------------------
PART VI, LINE 4- COMMUNITY INFORMATION THE MAJORITY OF PATIENTS FROM UR STRONG RESIDE IN MONROE COUNTY, WHICH IS LOCATED IN WESTERN NEW YORK, CENTERED ON THE CITY OF ROCHESTER, WITH 19 SUBURBAN AND RURAL TOWNS. THE US CENSUS BUREAU POPULATION ESTIMATE FOR MONROE COUNTY IN 2019 IS 741,770 PERSONS, WHICH REPRESENTS A SLIGHT DECREASE FROM THE 2010 CENSUS FIGURE OF 744,344. THE ESTIMATE FOR THE CITY OF ROCHESTER IS 206,284 IN 2018, DOWN SINCE 2010 WHEN THE POPULATION WAS 210,565. THE AVERAGE HOUSEHOLD SIZE IN MONROE COUNTY (2014-18) IS 2.4 PERSONS. ACCORDING TO THE 2019 POPULATION ESTIMATES THE POPULATION AGED 5 OR YOUNGER IS 5.5% AND THE AGE 65 AND OVER MAKES UP 17.2%. ROUGHLY SIXTEEN PERCENT OR 119,623 OF MONROE COUNTY RESIDENTS ARE AFRICAN-AMERICAN; OF THOSE, 73% RESIDE WITHIN THE CITY OF ROCHESTER. OF THE COUNTYS LATINO CITIZENS, 60% RESIDE IN THE CITY OF ROCHESTER. THE LATINO COMMUNITY, MOSTLY OF PUERTO RICAN DESCENT, IS THE FASTEST GROWING SEGMENT OF THE ROCHESTER POPULATION. FOR 2019, IT IS ESTIMATED THAT 14.4% OF PEOPLE LIVING IN MONROE COUNTY WERE LIVING BELOW THE POVERTY LEVEL. ROCHESTER IS CONSIDERED THE 5TH POOREST CITY IN THE UNITED STATES AMONG THE TOP 75 METROPOLITAN AREAS AND WORST IN CHILD POVERY WITH MORE THAN 50% OF CHILDREN IN ROCHESTER LIVE IN POVERTY, THE HIGHEST FOR ANY COMPARABLY SIZED CITY IN THE US. (1) THE 66,500 ROCHESTER RESIDENTS LIVING IN POVERTY ACCOUNTED FOR 62% OF THE POVERTY IN MONROE COUNTY AND 41% OF THE TOTAL FOR THE REGION. ONE DISTINCT CHARACTERISTIC OF MONROE COUNTY IS THE SIZE OF THE DEAF POPULATION; AN ESTIMATED 10,000-15,000 PRIMARY AMERICAN SIGN LANGUAGE (ASL) USERS. THE DEAF POPULATION IS HETEROGENEOUS AND COMPLEX, DIFFERENTIATED ALONG LINES OF EDUCATIONAL BACKGROUND, ASL FLUENCY, AGE OF ONSET OF DEAFNESS, AS WELL AS RACE AND ETHNICITY. RACIAL AND ETHNIC DISPARITIES WITHIN THIS GROUP, WHILE LIKELY, HAVE NOT BEEN WELL-DOCUMENTED. MONROE COUNTY HAS A PLETHORA OF EXISTING FACILITIES AND RESOURCES WITHIN THE COMMUNITY. SPECIFICALLY, MONROE COUNTY ENJOYS PRODUCTIVE COLLABORATION AMONG ITS HOSPITAL SYSTEMS INCLUDING UNIVERSITY OF ROCHESTERS STRONG MEMORIAL HOSPITAL AND HIGHLAND HOSPITAL, AND ROCHESTER REGIONAL HEALTHS ROCHESTER GENERAL AND UNITY HOSPITAL. IN ADDITION TO THE HEALTH SYSTEMS, THERE IS A ROBUST MONROE COUNTY DEPARTMENT OF PUBLIC HEALTH, A REGIONAL PLANNING AGENCY COMMON GROUND HEALTH, AND MANY RELEVANT COMMUNITY INITIATIVES. FURTHER DETAILS REGARDING THE ROCHESTER COMMUNITY, INCLUDING DESCRIPTIONS OF THE HOSPITALS AND COMMUNITY BASED ORGANIZATIONS AND INITIATIVES, CAN BE FOUND IN THE COMPLETE COMMUNITY HEALTH NEEDS ASSESSMENT. (1) Analysis of American Community Survey Data for 2010-2014, ACT Rochester downloaded May 3, 2016 http://www.actrochester.org/sites/default/files/Rochester%27s%20Poverty%20 Rate%20Rises%20According%20to%20New%20Census_December%202015.pdf --------------------
PART VI, LINE 5- PROMOTION OF COMMUNITY HEALTH THE UR AND AFFILIATED HOSPITALS FURTHER THEIR EXEMPT PURPOSE BY PROMOTING THE HEALTH OF THE COMMUNITY THROUGH THE MEDICAL STAFF, COMMUNITY BOARD, HEALTH IMPROVEMENT PROGRAMS AND USE OF SURPLUS FUNDS, ALL DESCRIBED BELOW. OUR MEDICAL STAFF AND COMMUNITY BOARD PLAY AN IMPORTANT ROLE IN COMMUNITY HEALTH IMPROVEMENT. STRONG MEMORIAL HOSPITAL IS OVERSEEN BY THE UNIVERSITY OF ROCHESTER MEDICAL CENTER BOARD, A 33 MEMBER BOARD, INCLUSIVE OF 16 EX-OFFICIO MEMBERS AND 19 LIFE MEMBERS, THAT REPORT TO THE UNIVERSITY BOARD OF TRUSTEES. THE MEDICAL CENTER BOARD IS LED BY AND COMPRISED OF A DIVERSE GROUP OF COMMUNITY AND INDUSTRY LEADERS AND ADVOCATES - PEOPLE WHO LIVE AND WORK IN THIS COMMUNITY AND CARE DEEPLY ABOUT THE HEALTH AND WELFARE OF ITS CITIZENS. THE BOARD INCLUDES NON-UR MEDICAL CENTER-EMPLOYED PRIVATE COMMUNITY PHYSICIANS, MEMBERS OF THE BUSINESS COMMUNITY, LOCAL PHILANTHROPISTS WITH AN INTEREST IN ADVOCATING FOR HEALTH CARE, AND OTHER LOCAL REPRESENTATIVES. AS A DEDICATED BOARD, EACH MEMBER UPHOLDS WELL-ESTABLISHED PRINCIPLES OF NONPROFIT CORPORATION LAW CONCERNING THE STANDARDS OF CONDUCT AND ATTENTION A BOARD MEMBER MUST MEET: FIDUCIARY RESPONSIBILITY, OBEDIENCE TO THE CHARITABLE PURPOSE OF THE ORGANIZATION, LOYALTY, A COMMITMENT TO ACT BASED ON BEST INTERESTS OF THE ORGANIZATION AND THE WIDER COMMUNITY IT SERVES, AND DILIGENCE IN CARRYING OUT THE WORK OF THE BOARD. ADMINISTRATIVELY, UR MEDICAL CENTER LEADERSHIP HAS INITIATED A COMPREHENSIVE AND AMBITIOUS STRATEGIC PLAN WHICH SEEKS TO PRODUCES EXCEPTIONAL RESULTS AT AN AFFORDABLE COST, ACROSS ALL OF OUR MISSIONS: EDUCATION, RESEARCH, PATIENT CARE, AND COMMUNITY HEALTH. THE GOALS OF THE PLAN INCLUDE EXPANDING COMMUNITY HEALTH PROGRAMS AND RESEARCH THAT IMPROVE THE OVERALL HEALTH OF THE GREATER ROCHESTER COMMUNITY. THE BOARD OF DIRECTORS ENDORSE AND CHAMPION THE VISION OF THE PLAN. TO HIGHLIGHT THE IMPORTANCE OF THE COMMUNITY HEALTH MISSION, THE CENTER FOR COMMUNITY HEALTH AND PREVENTION (CCHP) WAS ESTABLISHED IN 2006 AS THE LINK BETWEEN THE COMMUNITY AND THE UNIVERSITY. THE CCHP MISSION IS TO JOIN FORCES WITH THE COMMUNITY TO PROMOTE HEALTH EQUITY; IMPROVE HEALTH THROUGH RESEARCH, EDUCATION, SERVICES, AND POLICY; AND ESTABLISH LOCAL AND NATIONAL MODELS FOR PREVENTION AND COMMUNITY ENGAGEMENT. THROUGH DISEASE PREVENTION AND HEALTHY LIVING PROGRAMS, RESEARCH, EDUCATION, AND POLICY THE CCHP WORKS TO CREATE ENVIRONMENTS THAT SUPPORT HEALTHY BEHAVIORS AIMED AT PREVENTING DISEASE AND CREATING A HEALTHIER COMMUNITY. THE CENTER FOR COMMUNITY HEALTH AND PREVENTION HOSTS THE ANNUAL "DR. DAVID SATCHER COMMUNITY HEALTH IMPROVEMENT AWARDS" PROGRAM THAT WAS ESTABLISHED IN 2010 TO RECOGNIZE URMC FACULTY/STAFF AND THEIR COMMUNITY PARTNERS FOR EXEMPLARY COMMUNITY-ENGAGED WORK WHICH CONTRIBUTES TO REDUCING HEALTH INEQUALITIES AND IMPROVES THE COMMUNITY'S HEALTH. THE COMMUNITY HEALTH IMPROVEMENT PLAN (CHIP) FOR MONROE COUNTY IS MANAGED AND LED BY FACULTY AND STAFF OF THE CENTER FOR COMMUNITY HEALTH AND PREVENTION, PART OF UR MEDICAL CENTER. THE 2019 CHIP HAS TWO PRIMARY FOCUS AREAS AND IS ALIGNED WITH THE NYS PREVENTION AGENDA. UR STRONG SUPPORTS THE COMMUNITY HEALTH IMPROVEMENT PLAN OUTLINED IN THE CHNA/CHIP AND HAS DEDICATED FACULTY, STAFF AND RESOURCES TO MEET THE GOALS OUTLINED IN THE PLAN. THE FOCUS AREAS ADDRESSED ARE 1. MATERNAL AND CHILD HEALTH DISPARITIES AND 2. MENTAL HEALTH AND WELL-BEING. UR STRONG WILL DEDICATE ALL REASONABLE RESOURCES TO SUPPORT EFFORTS IN THESE FOCUS AREAS. URMC EXTENDS MEDICAL STAFF PRIVILEGES TO EMPLOYED UR MEDICAL CENTER FACULTY PHYSICIANS AND ALL ELIGIBLE PRIVATE PHYSICIANS WHO PRACTICE AT UR MEDICAL CENTER AFFILIATED HOSPITALS. MANY FACULTY MEMBERS SERVE A DUAL ROLE WITH COMMUNITY AGENCIES, PROVIDING SERVICE AS A MEDICAL DIRECTOR OR ATTENDING PHYSICIAN FOR COMMUNITY HEALTH INITIATIVES. THIS LINKAGE ENHANCES COLLABORATION, PRODUCING A HIGHER QUALITY OF CARE AND SMOOTHER TRANSITIONS FOR PATIENTS WHO MAY NEED ANY OR ALL OF THESE SERVICES. THROUGH THE EFFECTIVE USE OF SURPLUS FUNDS THE UR MEDICAL CENTER CONTINUALLY REINVESTS IN ITS FACILITIES AND PROGRAMS IN AN EFFORT TO IMPROVE THE HEALTH OF THE COMMUNITY. SURPLUS FUNDS ARE ALSO DEDICATED TO SUPPORT RESEARCH. OUR CLINICAL AND TRANSLATIONAL RESEARCH INSTITUTE (CTSI) THAT SERVES AS THE HUB OF RESOURCES, EXPERTISE AND NETWORKS NECESSARY TO ACCELERATE THE CLINICAL APPLICATION OF BIOMEDICAL AND BEHAVIORAL RESEARCH SO THAT INTERVENTIONS CAN REACH INDIVIDUALS IN THE COMMUNITY MORE QUICKLY. THE CTSI'S COMMUNITY ENGAGEMENT FUNCTION, WHICH IS SUPPORTED BY THE UR MEDICAL CENTER'S CENTER FOR COMMUNITY HEALTH AND PREVENTION, SUPPORTS THE CTSI COMMUNITY ENGAGEMENT MISSION BY FACILITATING COMMUNICATION AND PARTNERSHIPS AMONG RESEARCHERS, HEALTH CARE PROVIDERS, AND COMMUNITY MEMBERS AND ORGANIZATIONS. IN ADDITION, SURPLUS FUNDS ALSO SUPPORT THE UR MEDICAL CENTER'S COMMITMENT TO COMMUNITY HEALTH, WHICH DATES BACK TO THE MEDICAL SCHOOL'S FOUNDING. IN 1920, LOCAL BENEFACTOR GEORGE EASTMAN BEQUEATHED A GIFT TO THE SCHOOL WITH THE INSTRUCTIONS THAT THE SCHOOL HELP MAKE ROCHESTER "ONE OF THE HEALTHIEST COMMUNITIES IN THE WORLD." OUTSTANDING EXAMPLES INCLUDE: THE HOEKELMAN CENTER SERVES AS A NATIONAL LEADER FOR PEDIATRIC COMMUNITY HEALTH BY FOCUSING ON CONNECTING, ADVOCATING, RESEARCHING AND EDUCATING IN OUR COMMUNITIES TO "DO WHAT WORKS" FOR HEALTH. THE HOEKELMAN CENTER HOSTS THE PEDIATRIC LINKS WITH THE COMMUNITY (PLC) WHICH WILL HAVE TRAINED OVER 800 FIRST-YEAR RESIDENTS FROM PEDIATRICS, MEDICINE-PEDIATRICS, AND FAMILY MEDICINE, AND MEDICAL STUDENTS BY THE END OF 2016- 2017 ACADEMIC YEAR. DURING THE PLC TWO-WEEK ROTATION, RESIDENTS AND STUDENTS LEARN FIRST-HAND ABOUT CRITICAL FACTORS AFFECTING CHILD HEALTH, WHILE INTERACTING WITH MEDICAL AND NON-MEDICAL PROVIDERS AT VARIOUS COMMUNITY-BASED ORGANIZATIONS AND PROGRAMS. THE CLOSTRIDIUM DIFFICILE INFECTION REDUCTION COLLABORATIVE (CDPC) IS FOCUSED ON LIMITING C. DIFF INFECTION TRANSMISSION BY EMPHASIZING HAND HYGIENE AND ADEQUATE CLEANING OF THE ENVIRONMENT WITHIN FOUR HOSPITALS IN OUR COMMUNITY. A REDUCTION OF HOSPITAL-ONSET CDI OF OVER 30% WAS ACHIEVED THROUGH INVOLVEMENT OF STAFF FROM MULTIPLE DISCIPLINES, EDUCATION, OBSERVATIONS, STANDARDIZATION OF POLICIES, BEHAVIORAL CHANGE THEORY IMPLEMENTATION AND ANTIBIOTIC STEWARDSHIP. THE INITIATIVE IS NOW EXPANDING TO NURSING HOMES IN THE COMMUNITY. FUNDS FROM THE MEDICAL CENTER SUPPORT THE EMERGENCY DEPARTMENTS INJURY FREE COALITION FOR KIDS WHICH HAS AS ITS MISSION TO WORK WITH A COMMUNITY COALITIONS TO LEARN MORE ABOUT HOW, WHEN, AND WHERE INJURIES TO CHILDREN OCCUR, TO SET PRIORITIES FOR INJURY PREVENTION, TO DEVELOP NEW PREVENTION STRATEGIES, AND TO STUDY THE IMPACT OF THESE STRATEGIES ON THE ROCHESTER COMMUNITY. ACTIVITIES INCLUDE BABY SAFE SLEEP, BIKE SAFETY EDUCATION, CHILD PASSENGER SAFETY PROGRAMS, HOME SAFETY, PEDESTRIAN SAFETY AND SAFE TEEN DRIVING SEMINARS. UR STRONG IS HOME TO THE REGIONS ONLY ACADEMIC MEDICAL CENTER, THE LEADING SOURCE OF NEW PHYSICIANS IN THE AREA AND THE SAFETY-NET PROVIDER FOR OUR MOST VULNERABLE CITIZENS. WE ARE HOME TO THE REGIONS ONLY LEVEL I TRAUMA CENTER; NEONATAL, PEDIATRIC, AND ADULT INTENSIVE CARE UNITS; A BURN TRAUMA UNIT; SURGICAL TRANSPLANT SERVICES; AND OTHER NEW AND SPECIALIZED 24/7 CARE UNAVAILABLE ELSEWHERE IN THE COMMUNITY. FINGER LAKES OCCUPATIONAL HEALTH SERVICES IS DEDICATED TO THE DIAGNOSIS, TREATMENT, AND PREVENTION OF WORKPLACE INJURY AND DISEASE ACROSS NINE COUNTIES IN NEW YORK STATE. UR IS ALSO STRONGLY COMMITTED TO THE DSRIP INITIATIVE AS ONE OF THE KEY PARTNER AGENCIES IN THE REGIONAL DSRIP INITIATIVE CALLED FLPPS (FINGER LAKES PERFORMING PROVIDER SYSTEM). FLPPS HAS CHOSEN SEVERAL PROJECTS WITH EXTENSIVE COMMUNITY HEALTH IMPROVEMENT POSSIBILITIES. UR HAS BUILT INFRASTRUCTURE AND LEADERSHIP TO BE ABLE TO IMPLEMENT THE PROJECTS WHICH INLCUDES BEHAVIORAL HEALTH SERVICE IMPROVEMENTS AND CRISIS STABILIZATION, EXPANSION OF THE BABY LOVE PROGRAM THAT PROVIDES SOCIAL AND EDUCATIONAL SUPPORT TO HIGH RISK PREGNANT WOMEN, INCREASING TRANSITIONAL HOUSING OPTIONS FOR HOUSING INSECURE PATIENTS UPON DISCHARGE, AND ACTIVATING PATIENTS WHO ARE HIGH UTILIZERS AND UNDERINSURED. --------------------
PART VI, LINE 6- AFFILIATED HEALTH CARE SYSTEM THE UNIVERSITY OF ROCHESTER MEDICAL CENTER IS AN INTEGRATED ACADEMIC HEALTH CENTER THAT COMPRISES THE SCHOOL OF MEDICINE AND DENTISTRY, INCLUDING ITS FACULTY PRACTICE (UNIVERSITY OF ROCHESTER MEDICAL FACULTY GROUP); STRONG MEMORIAL HOSPITAL; HIGHLAND HOSPITAL; GOLISANO CHILDREN'S HOSPITAL; JAMES P. WILMOT CANCER CENTER; STRONG WEST; SCHOOL OF NURSING; EASTMAN INSTITUTE FOR ORAL HEALTH; VISITING NURSE SERVICE; HIGHLANDS AT PITTSFORD; THE HIGHLANDS LIVING CENTER, INC.; HIGHLANDS AT BRIGHTON, FF THOMPSON HEALTH SYSTEM, INC., JONES MEMORIAL HOSPITAL, NOYES HEALTH, ST. JAMES HOSPITAL AND ACCOUNTABLE HEALTH PARTNERS, LLC. UR MEDICAL CENTER AND THE AFFILIATED HEALTH CARE ENTITIES HAVE EMBRACED A COMPREHENSIVE APPROACH TO COMMUNITY HEALTH, WHICH EMPLOYS THE MULTIDISCIPLINARY SKILLS FOUND IN AN ACADEMIC MEDICAL CENTER TO BOTH PROVIDE IMPORTANT COMMUNITY SERVICES AND CONDUCT COMMUNITY-BASED RESEARCH. THESE ACTIVITIES HELP INFORM POLICYMAKERS AND THE COMMUNITY ABOUT LOCAL HEALTH CHALLENGES, EVALUATE THE EFFECTIVENESS OF INTERVENTIONS, AND SERVE AS A FOUNDATION FOR EVIDENCE-BASED PRACTICES TO IMPROVE HEALTH AND OVERALL QUALITY OF LIFE. - THE UNIVERSITY'S HEALTH CARE DELIVERY NETWORK IS ANCHORED BY STRONG MEMORIAL HOSPITAL, AN 838 BED TEACHING HOSPITAL, WHICH INCLUDES A CHILDREN'S HOSPITAL-GOLISANO CHILDREN'S HOSPITAL. PATIENTS BENEFIT FROM THE MEDICAL CENTER'S ROBUST TEACHING AND BIOMEDICAL RESEARCH PROGRAMS. STUDENT ROSTERS INCLUDE APPROXIMATELY 400 MEDICAL STUDENTS, 500 GRADUATE STUDENTS, AND 890 RESIDENTS AND FELLOWS WHO ARE ENGAGED IN COMMUNITY SERVICE THROUGHOUT THEIR EDUCATION. - EASTMAN INSTITUTE FOR ORAL HEALTH PROVIDES COMMUNITY DENTAL CARE IN A NUMBER OF CLINICS, AS WELL AS CLINICAL EDUCATION TO DENTAL STUDENTS ENROLLED AT THE UNIVERSITY OF ROCHESTER SCHOOL OF MEDICINE AND DENTISTRY. IT OFFERS GENERAL DENTISTRY, PEDIATRIC AND ORTHODONTIC CLINICS, AND AN URGENT CARE DENTAL CLINIC THAT SEES 10 - 50 PATIENTS PER DAY. IT OPERATES LOW-INCOME CLINICS AT SCHOOLS AND A DOWNTOWN LOCATION. ADDITIONALLY, FOUR SMILEMOBILES PROVIDE A DENTAL OFFICE ON WHEELS, ALLOWING THE CITY'S CHILDREN INCREASED ACCESS TO MUCH NEEDED DENTAL CARE. - THE JAMES P. WILMOT CANCER CENTER IS ORGANIZED AROUND A MULTIDISCIPLINARY CARE MODEL, WHICH LEADING CANCER EXPERTS BELIEVE IS THE GOLD STANDARD IN CANCER CARE IN THE 21ST CENTURY. ITS MODEL UNDERSCORES A COMMITMENT TO PROVIDE PATIENTS IN THE ROCHESTER AREA WITH THE MOST UP-TO-DATE INFORMATION AND AVAILABLE TREATMENTS, BASING OUR RECOMMENDATIONS ON THE BEST EVIDENCE. IT IS THE ONLY CENTER IN THE ROCHESTER AND FINGER LAKES REGION OFFERING THIS TEAM APPROACH TO CARE. A VARIETY OF FREE PREVENTIVE EDUCATION EVENTS ARE HELD THROUGHOUT THE YEAR, INCLUDING MEN'S HEALTH DAY, WHICH INCLUDES NUMEROUS FREE HEALTH SCREENINGS; FREE SKIN CANCER SCREENINGS; AND BREAST CANCER SCREENINGS FOR THE UNINSURED AND UNDERINSURED. - GOLISANO CHILDREN'S HOSPITAL, HOUSED IN STRONG MEMORIAL HOSPITAL, IS A 124-BED CHILDREN'S HOSPITAL THAT SERVES AS THE REFERRAL CENTER FOR ALL SERIOUSLY ILL OR INJURED CHILDREN FROM THE 17-COUNTY FINGER LAKES REGION. IT COMBINES AWARD-WINNING RESEARCH, INTERNATIONALLY ACCLAIMED EDUCATION AND COMPASSIONATE CARE TO SERVE CHILDREN AND FAMILIES. PEDIATRIC SPECIALTIES INCLUDE ORTHOPAEDICS, NEUROLOGY/NEUROSURGERY, CANCER AND NEONATAL CARE. IN ADDITION TO THESE TRADITIONAL MEDICAL SERVICES, GOLISANO CHILDREN'S HOSPITAL IS THE NATION'S MODEL FOR "COMMUNITY PEDIATRICS", A PHILOSOPHY THAT EMBRACES THE IDEA THAT A CHILD'S COMMUNITY AND ENVIRONMENT AFFECT HIS HEALTH AND, THEREFORE, HE CANNOT BE TREATED SOLELY IN AN EXAM ROOM. THE HOSPITAL ENCOURAGES PHYSICIANS AND STAFF TO PARTNER WITH COMMUNTIY ORGANIZAITONS TO IMPROVE VACCINATION RATES, EDUCATIONAL OPPORTUNITIES, SAFETY AT HOME AND ON PLAYGROUNDS, AND HEALTH INSURANCE AND HEALTH CARE ACCESS. - THE STRONG WEST CAMPUS, WHICH IS LOCATED APPROXIMATELY 20 MILES WEST OF ROCHESTER IN BROCKPORT, NY WAS ACQUIRED BY THE UNIVERSITY IN 2013. IT IS THE SITE OF THE FORMER 61 BED LAKESIDE MEMORIAL HOSPITAL, WHICH ANNOUNCED IT WAS CLOSING IN APRIL, 2013, LEAVING THE COMMUNITY WITHOUT AN EMERGENCY ROOM AND LOCAL ACCESS TO OTHER HEALTH CARE SERVICES. STRONG MEMORIAL HOSPITAL NOW OPERATES A FREE-STANDING EMERGENCY ROOM ON THE STRONG WEST CAMPUS, IN ADDITION TO OFFERING AMBULATORY SURGERY, HEALTH IMAGING, LABORATORY SERVICES, PRIMARY CARE, ORTHOPAEDICS, CARDIAC CARE, ONCOLOGY AND HEMATOLOGY, SLEEP MEDICINE, NEUROLOGY, AND UROLOGY SERVICES. THE UNIVERSITY'S WHOLLY OWNED HEALTH CARE AFFILIATES ARE: STRONG PARTNERS HEALTH SYSTEM, INC. AND AFFILIATES IN JUNE 1997, HIGHLAND HOSPITAL AND ITS AFFILIATES AND THE UNIVERSITY BECAME AFFILIATED THROUGH THE RESTRUCTURING OF A CORPORATION NOW KNOWN AS STRONG PARTNERS HEALTH SYSTEM, INC. ("SPHS"), OF WHICH THE UNIVERSITY IS THE SOLE MEMBER. SPHS, A NOT-FOR-PROFIT CORPORATION, NOW SERVES AS THE CORPORATE PARENT OF HIGHLAND HOSPITAL AND THE UNIVERSITYS LONG TERM CARE AFFILIATES. A BRIEF DESCRIPTION OF THE SPHS AFFILIATES FOLLOWS: HIGHLAND HOSPITAL OF ROCHESTER HIGHLAND HOSPITAL OF ROCHESTER IS A 261-BED NOT-FOR-PROFIT ACUTE CARE HOSPITAL LOCATED IN ROCHESTER, NEW YORK. THE HOSPITALS SERVICES INCLUDE MEDICAL/SURGICAL CARE, INTENSIVE CARE, MATERNITY AND EMERGENCY CARE. IN ADDITION, THE HOSPITAL OWNS AND OPERATES 21 OUTPATIENT EXTENSION CLINICS, PROVIDING PRIMARY CARE, PRENATAL CARE, RADIOLOGY, AND/OR THERAPEUTIC RADIOLOGY SERVICES. HIGHLAND COMMUNITY DEVELOPMENT CORPORATION HIGHLAND COMMUNITY DEVELOPMENT CORPORATION ("HCDC") IS A NOT-FOR-PROFIT CORPORATION WHICH OWNS AND OPERATES THE HIGHLANDS AT PITTSFORD, A RETIREMENT COMMUNITY LOCATED IN PITTSFORD, MONROE COUNTY, NEW YORK. THE RETIREMENT COMMUNITY INCLUDES 130 INDEPENDENT LIVING APARTMENTS, 36 INDEPENDENT LIVING COTTAGES, 60 ENRICHED HOUSING UNITS, A COMMUNITY COMMON AREA, A DINING ROOM, SITTING AREAS, RECREATIONAL AREAS, A WELLNESS CENTER, AND A COMMUNITY CENTER. HCDC ALSO OWNS AND OPERATES LAURELWOOD AT THE HIGHLANDS, AN ASSISTED LIVING FACILITY INCLUDING 68 APARTMENTS LOCATED ON THE SAME CAMPUS AS THE HIGHLANDS AT PITTSFORD. THE HIGHLANDS LIVING CENTER, INC. THE HIGHLANDS LIVING CENTER, INC. IS A NOT-FOR-PROFIT CORPORATION WHICH OWNS AND OPERATES A 122-BED SKILLED NURSING FACILITY AND AN ADULT DAY CARE HEALTH PROGRAM FOR SENIORS IN PITTSFORD, MONROE COUNTY, NEW YORK. THE SKILLED NURSING FACILITY IS ADJACENT TO THE HIGHLANDS AT PITTSFORD. THE HIGHLANDS AT BRIGHTON THE MEADOWS AT WESTFALL, INC. D/B/A/ THE HIGHLANDS AT BRIGHTON ("HAB") IS A NOT-FOR-PROFIT CORPORATION WHICH OWNS AND OPERATES A 145-BED SKILLED NURSING FACILITY IN BRIGHTON, MONROE COUNTY, NEW YORK. HIGHLAND FACILITIES DEVELOPMENT CORPORATION HIGHLAND FACILITIES DEVELOPMENT CORPORATION ("HFDC") IS A NOT-FOR-PROFIT CORPORATION WHOSE PRIMARY PURPOSE IS TO PROVIDE SERVICES THAT ARE SUBSTANTIALLY RELATED TO THE CHARITABLE PURPOSES OF HIGHLAND HOSPITAL BUT DO NOT INVOLVE THE PROVISION OF HEALTH CARE SERVICES. HFDC OWNS AND OPERATES A MEDICAL OFFICE BUILDING AND A PARKING GARAGE ON THE HOSPITAL CAMPUS. MEDICAL ADMINISTRATIVE ASSOCIATES, INC. HIGHLAND HOSPITAL IS THE SOLE SHAREHOLDER OF MEDICAL ADMINISTRATIVE ASSOCIATES, INC., D/B/A HIGHLAND SOUTH WEDGE PHARMACY, WHICH IS A FOR-PROFIT CORPORATION WHICH OWNS AND OPERATES A RETAIL PHARMACY IN ROCHESTER, NEW YORK. THE HIGHLAND FOUNDATION, INC. THE HIGHLAND FOUNDATION, INC. IS A NOT-FOR-PROFIT CORPORATION CONTROLLED BY HIGHLAND HOSPITAL WHICH SOLICITS, RECEIVES AND MAINTAINS FUNDS FOR THE SUPPORT OF HIGHLAND HOSPITAL AND THE LONG TERM CARE AFFILIATES. STRONG HOME CARE GROUP AND AFFILIATES THE UNIVERSITY AFFILIATED WITH VISITING NURSE FOUNDATION, INC. IN APRIL 1999, WHICH IS A NOT-FOR-PROFIT CORPORATION NOW KNOWN AS STRONG HOME CARE GROUP ("SHCG"). THE UNIVERSITY IS THE SOLE CORPORATE MEMBER OF SHCG. SHCG SERVES AS THE CORPORATE PARENT OF THE UNIVERSITYS HOME HEALTH CARE AFFILIATES. SHCG IS THE CORPORATE PARENT OF TWO NOT-FOR-PROFIT HOME HEALTH CARE PROVIDERS, UR MEDICINE HOME CARE, CERTIFIED SERVICES, INC. ("CERTIFIED SERVICES") (FORMERLY NAMED VISITING NURSE SERVICE OF ROCHESTER AND MONROE COUNTY, INC.), WHICH OPERATES A LICENSED HOME CARE SERVICES AGENCY. IN OCTOBER 2014, FINGER LAKES VISITING NURSE SERVICE, INC., WHICH OPERATES A NOT-FOR-PROFIT CERTIFIED HOME HEALTH AGENCY AND A HOSPICE, AND FINGER LAKES HOME CARE, INC., WHICH OPERATES A NOT-FOR-PROFIT LICENSED HOME CARE SERVICES AGENCY, BECAME UNIVERSITY AFFILIATES. CERTIFIED SERVICES IS THE SOLE CORPORATE MEMBER OF THE FINGER LAKES HOME HEALTH AFFILIATES. CERTIFIED SERVICES AND FINGER LAKES VISITING NURSE SERVICE, INC. ARE IN THE FINAL STAGES OF A CORPORATE MERGER. IN 2018, SHCG FORMED TWO NEW WHOLLY CONTROLLED, NOT-FOR-PROFIT SUBSIDIARIES: UR MEDICINE HOME CARE, COMMUNITY SERVICES, INC., WHICH OPERATES CERTAIN COMMUNITY-BASED PROGRAMS THAT PROVIDE HOME-BASED SERVICES THAT ARE NOT REGULATED BY THE DEPARTMENT OF HEALTH OR SUBJECT TO THE MEDICARE CONDITIONS OF PARTICIPATION, INCLUDING PROGRAMS SUCH AS MEALS ON WHEELS, WHICH WAS FORMERLY OPERATED BY CERT
Schedule H (Form 990) 2018
Additional Data


Software ID:  
Software Version:  

Note: To capture the full content of this document, please select landscape mode (11" x 8.5") when printing.

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," on Form 990, Part IV, line 21 or 22.
lBullet Attach to Form 990.
lBullet Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2018
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 Domestic Organizations and Domestic Governments. Complete if the organization answered "Yes" on 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 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
noncash assistance		 (h) Purpose of grant
or assistance
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................. Bullet Image
 
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2018

Schedule I (Form 990) 2018
Page 2
Part III
Grants and Other Assistance to Domestic Individuals. Complete if the organization answered "Yes" on 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
noncash assistance		 (e) Method of valuation (book,
FMV, appraisal, other)		 (f) Description of noncash assistance
(1) SCHOLARSHIPS AND FELLOWSHIPS TO STUDENTS 6684 242,413,505   N/A N/A
(1)
(2)
(3)
(4)
(5)
(6)
(7)
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
SCHEDULE I, PART II DETAIL OF SUBAWARDS 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, PART I, LINE 2 AND PART III STUDENT SCHOLARSHIPS, FELLOWSHIPS AND STUDENT LOANS THE OFFICE OF FINANCIAL AID MONITORS THE DISBURSEMENT OF GRANTS AND FEDERAL LOANS TO STUDENTS. 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. --------------------
Schedule I (Form 990) 2018



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" on Form 990, Part IV, line 23.
SchJMediumBullet Attach to Form 990.
SchJMediumBullet Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2018
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 on 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 on 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
Yes
 
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), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.
5
For persons listed on 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," on line 5a or 5b, describe in Part III.
6
For persons listed on 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," on line 6a or 6b, describe in Part III.
7
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
Yes
 
8
Were any amounts reported on 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" on 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) 2018

Schedule J (Form 990) 2018
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 on 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 in column (B) reported as deferred on prior Form 990
(i) Base
compensation 		(ii) Bonus & incentive
compensation 		(iii) Other reportable compensation
1RICHARD FELDMAN
INTERIM TRUSTEE,PRES&CEO 		(i)

(ii)		 857,512
-------------
0 		0
-------------
0 		20,228
-------------
0 		34,409
-------------
0 		18,648
-------------
0 		930,797
-------------
0 		0
-------------
0
2PAUL J BURGETT
VP&SR ADVISOR-(UNTIL AUG 2018) 		(i)

(ii)		 114,569
-------------
0 		0
-------------
0 		21,923
-------------
0 		12,736
-------------
0 		10,994
-------------
0 		160,222
-------------
0 		0
-------------
0
3ROBERT L CLARK
PROVOST & SRVP RESEARCH 		(i)

(ii)		 655,044
-------------
0 		0
-------------
0 		3,791
-------------
0 		226,403
-------------
0 		64,358
-------------
0 		949,596
-------------
0 		0
-------------
0
4HOLLY G CRAWFORD
SR VP, ADMIN & FIN, CFO, TRSR 		(i)

(ii)		 558,676
-------------
0 		0
-------------
0 		19,044
-------------
0 		26,403
-------------
0 		24,195
-------------
0 		628,318
-------------
0 		0
-------------
0
5THOMAS J FARRELL
SRVP & CHIEF ADVANCEMENT OFCR 		(i)

(ii)		 644,130
-------------
0 		0
-------------
0 		79,123
-------------
0 		26,403
-------------
0 		24,676
-------------
0 		774,332
-------------
0 		0
-------------
0
6LAMAR R MURPHY
CHIEF OF STAFF, GENL SECRETARY 		(i)

(ii)		 334,706
-------------
0 		50,000
-------------
0 		18,500
-------------
0 		31,705
-------------
0 		23,666
-------------
0 		458,577
-------------
0 		0
-------------
0
7GAIL M NORRIS
VP & GENERAL COUNSEL 		(i)

(ii)		 541,868
-------------
0 		0
-------------
0 		0
-------------
0 		27,033
-------------
0 		23,504
-------------
0 		592,405
-------------
0 		0
-------------
0
8DOUGLAS W PHILLIPS
SRVP & CHIEF INVESTMENT OFCR 		(i)

(ii)		 729,282
-------------
0 		0
-------------
0 		31,373
-------------
0 		26,403
-------------
0 		28,274
-------------
0 		815,332
-------------
0 		0
-------------
0
9ELIZABETH STAUDERMAN
VP FOR COMMUNICATIONS 		(i)

(ii)		 328,315
-------------
0 		0
-------------
0 		4,000
-------------
0 		26,560
-------------
0 		9,701
-------------
0 		368,576
-------------
0 		0
-------------
0
10MARK B TAUBMAN MD
SRVP HEALTH,CEO URMC, DEAN SMD 		(i)

(ii)		 1,126,391
-------------
0 		300,000
-------------
0 		644,113
-------------
0 		226,402
-------------
0 		22,481
-------------
0 		2,319,387
-------------
0 		612,699
-------------
0
11ADAM P ANOLIK
CFO URMC 		(i)

(ii)		 648,669
-------------
0 		0
-------------
0 		3,857
-------------
0 		126,402
-------------
0 		22,638
-------------
0 		801,566
-------------
0 		0
-------------
0
12MICHAEL J APOSTOLAKOS MD
CMO,SMH & HH, VP URMC 		(i)

(ii)		 631,051
-------------
0 		0
-------------
0 		18,500
-------------
0 		26,402
-------------
0 		26,463
-------------
0 		702,416
-------------
0 		0
-------------
0
13CARRIE P FULLER-SPENCER0718
CFO SMH,HH,LTC&ASSOC VP URMC 		(i)

(ii)		 357,702
-------------
0 		0
-------------
0 		250
-------------
0 		34,238
-------------
0 		22,889
-------------
0 		415,079
-------------
0 		0
-------------
0
14STEVEN I GOLDSTEIN
PRES/CEO SMH & HH,SRVP URMC 		(i)

(ii)		 1,116,420
-------------
0 		0
-------------
0 		79,615
-------------
0 		485,802
-------------
0 		19,046
-------------
0 		1,700,883
-------------
0 		0
-------------
0
15KATHLEEN PARRINELLO
COO SMH, EXEC VP SMH 		(i)

(ii)		 598,520
-------------
0 		88,000
-------------
0 		70,294
-------------
0 		127,403
-------------
0 		24,295
-------------
0 		908,512
-------------
0 		30,603
-------------
0
16PETER G ROBINSON
VP GOV'T & COMM REL, URMC 		(i)

(ii)		 590,364
-------------
0 		0
-------------
0 		1,236,694
-------------
0 		178,353
-------------
0 		50,921
-------------
0 		2,056,332
-------------
0 		1,193,967
-------------
0
17MICHAEL F ROTONDO MD
CEO URMFG, SR VP URMC 		(i)

(ii)		 941,473
-------------
0 		125,000
-------------
0 		284,083
-------------
0 		138,903
-------------
0 		3,450
-------------
0 		1,492,909
-------------
0 		259,823
-------------
0
18MICHAEL D MALONEY MD
PROFESSOR-ORTHOPAEDICS M&D 		(i)

(ii)		 1,947,672
-------------
0 		19,400
-------------
0 		0
-------------
0 		26,403
-------------
0 		27,334
-------------
0 		2,020,809
-------------
0 		0
-------------
0
19ILYA VOLOSHIN MD
PROFESSOR-ORTHOPAEDICS M&D 		(i)

(ii)		 1,796,985
-------------
0 		36,447
-------------
0 		18,500
-------------
0 		26,402
-------------
0 		22,784
-------------
0 		1,901,118
-------------
0 		0
-------------
0
20GEORGE M ALFIERIS MD
PROFESSOR-CARDIAC SURGERY M&D 		(i)

(ii)		 1,669,160
-------------
0 		0
-------------
0 		18,500
-------------
0 		326,403
-------------
0 		21,076
-------------
0 		2,035,139
-------------
0 		0
-------------
0
21SHERRIF F IBRAHIM MD PHD
ASSOC PROF DERMATOLOGY M&D 		(i)

(ii)		 612,307
-------------
0 		910,242
-------------
0 		18,500
-------------
0 		26,403
-------------
0 		29,626
-------------
0 		1,597,078
-------------
0 		0
-------------
0
22YAN M LI MD
ASST PROFESSOR-NEUROSURGERY 		(i)

(ii)		 591,241
-------------
0 		684,043
-------------
0 		18,500
-------------
0 		26,403
-------------
0 		29,148
-------------
0 		1,349,335
-------------
0 		0
-------------
0
23JOEL S SELIGMAN
PRESIDENT EMERITUS & PROFESSOR 		(i)

(ii)		 1,180,056
-------------
0 		250,000
-------------
0 		1,326,473
-------------
0 		26,402
-------------
0 		28,043
-------------
0 		2,810,974
-------------
0 		0
-------------
0
24BRADFORD C BERK
DIRECTOR-UR NEUROREST. INST. 		(i)

(ii)		 672,018
-------------
0 		0
-------------
0 		765,212
-------------
0 		171,103
-------------
0 		13,800
-------------
0 		1,622,133
-------------
0 		704,264
-------------
0
25PETER LENNIE
PROFESSOR 		(i)

(ii)		 509,826
-------------
0 		0
-------------
0 		18,500
-------------
0 		18,790
-------------
0 		23,046
-------------
0 		570,162
-------------
0 		0
-------------
0
26RAYMOND J MAYEWSKI MD
PROFESSOR 		(i)

(ii)		 518,377
-------------
0 		0
-------------
0 		30,127
-------------
0 		36,378
-------------
0 		15,444
-------------
0 		600,326
-------------
0 		0
-------------
0
27LEONARD J SHUTE
SPEC PROJ/CONTRACT MGR URMC 		(i)

(ii)		 187,689
-------------
0 		0
-------------
0 		33,344
-------------
0 		19,578
-------------
0 		13,956
-------------
0 		254,567
-------------
0 		0
-------------
0
Schedule J (Form 990) 2018

Schedule J (Form 990) 2018
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
SCHEDULE J, PART I, LINE 1A DETAIL OF ADDITIONAL BENEFITS PROVIDED FIRST CLASS OR CHARTER TRAVEL IN LIMITED CIRCUMSTANCES, THE PRESIDENT AND PROVOST OR OTHER KEY EMPLOYEE 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 LIMITED CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT AND PROVOST OR OTHER KEY EMPLOYEE MAY TRAVEL FOR LEGITIMATE UNIVERSITY-RELATED BUSINESS PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, AND ON THESE LIMITED OCCASIONS, THE UNIVERSITY WILL REIMBURSE THE TRAVEL EXPENSES FOR SPOUSAL TRAVEL AS A BUSINESS EXPENSE ONLY IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. 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. SIX OFFICERS, TWO KEY EMPLOYEES AND ONE FORMER OFFICER RECEIVED SOCIAL CLUB DUES THAT WERE TREATED AS TAXABLE COMPENSATION. --------------------
SCHEDULE J, PART I, LINE 4A DETAIL OF SEVERANCE OR CHANGE-OF-CONTROL PAYMENT IN CONNECTION WITH THE TERMS OF HIS RESIGNATION AS PRESIDENT OF THE UNIVERSITY, JOEL S. SELIGMAN RECEIVED A PAYMENT OF $1,300,000 IN CALENDAR YEAR 2018 THAT IS INCLUDED IN OTHER REPORTABLE COMPENSATION. -------------------- SCHEDULE J, PART I, LINE 4B PARTICIPATION IN A SUPP. NONQUALIFIED PLAN 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: ADAM P. ANOLIK - SERP - $100,000 BRADFORD C. BERK - SERP - $144,700 MARK B. TAUBMAN - SERP - $125,000 STEVEN I. GOLDSTEIN - SERP - $159,400 PETER G. ROBINSON - SERP - $61,500 KATHLEEN PARRINELLO - SERP - $75,000 MICHAEL ROTONDO - SERP - $75,000 GEORGE M. ALFIERIS - 457(F) $300,000 ROBERT L. CLARK - 457(F) - $200,000 STEVEN I. GOLDSTEIN - 457(F) - $300,000 PETER G. ROBINSON - 457(F) - $90,450 KATHLEEN PARRINELLO - 457(F) - $26,000 MICHAEL ROTONDO - 457(F) - $37,500 MARK B. TAUBMAN - 457(F) - $75,000 PURSUANT TO THE UNIVERSITY'S IRC SECTION 457(F) SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN, PARTICIPANTS ARE ENTITLED TO DISTRIBUTIONS FROM THE PLAN UPON THE OCCURRENCE OF CERTAIN VESTING EVENTS. THE FOLLOWING INDIVIDUALS MET THE VESTING CONDITIONS UNDER THE PLAN AND RECEIVED DISTRIBUTIONS IN CALENDAR YEAR 2018, WHICH ARE REPORTED IN SCHEDULE J, PART II, COLUMN (B)(III) AS OTHER REPORTABLE COMPENSATION: BRADFORD C. BERK - 457(F) - $704,264 MARK B. TAUBMAN - 457(F) - $612,699 KATHLEEN PARRINELLO - 457(F) - $30,603 PETER G. ROBINSON - 457(F) - $1,193,967 MICHAEL F. ROTONDO, M.D. - 457(F) - $259,823 THESE AMOUNTS REPRESENT EMPLOYEE DEFERRALS OF COMPENSATION OVER SEVERAL YEARS THAT VESTED AND WERE PAID PURSUANT TO THE REQUIREMENTS OF THE PLAN. THESE AMOUNTS WERE REPORTED AS DEFERRED COMPENSATION IN SCHEDULE J, PART II, COLUMN (C) IN PRIOR YEARS AND ARE ALSO REFLECTED IN SCHEDULE J, PART II, COLUMN (F). --------------------
SCHEDULE J, PART I, LINE 7 PROVISION OF NON-FIXED PAYMENTS 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) 2018
Additional Data


Software ID:  
Software Version:  

Note: To capture the full content of this document, please select landscape mode (11" x 8.5") when printing.

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 Ⅵ, line 24a. Provide descriptions,
explanations, and any additional information in Part Ⅵ.
SchKMediumBullet Attach to Form 990.
SchKMediumBulletGo to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2018
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 64983QWB1 03-16-2008 111,180,000 2006 A-1 & B-1- BOND REFINANCING   X   X   X
C 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
D 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
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075TND6 06-24-2015 248,557,616 2015 A, B CAPITAL PROJECTS   X   X   X
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075TQA9 04-05-2017 289,439,545 2017 A, B CAPITAL PROJECTS   X   X   X
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075TSK5 12-14-2017 246,123,340 2017 C, D BOND REFINANCE   X   X   X
Part Ⅱ
Proceeds
A B C D
1 Amount of bonds retired .................. 111,895,000 66,305,000 107,300,000 146,045,000
2 Amount of bonds legally defeased .............. 0 0 0 0
3 Total proceeds of issue .................. 165,914,138 111,180,000 120,927,106 175,833,848
4 Gross proceeds in reserve funds ............. 0 0 0 0
5 Capitalized interest from proceeds ............. 0 0 0 3,243,526
6 Proceeds in refunding escrows ............... 0 0 0 0
7 Issuance costs from proceeds ............... 3,122,743 2,170,437 1,169,973 1,502,375
8 Credit enhancement from proceeds ............. 2,349,000 1,213,000 0 0
9 Working capital expenditures from proceeds ............. 383,179 0 1,991,256 6,789,361
10 Capital expenditures from proceeds ............. 70,315,050 0 76,605,196 149,668,886
11 Other spent proceeds ............. 89,744,166 107,796,563 41,160,681 14,629,700
12 Other unspent proceeds ............. 0 0 0 0
13 Year of substantial completion ............. 2009 2000 2010 2016
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) 2018

Schedule K (Form 990) 2018
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 0.500 % 0 % 0.900 % 1.100 %
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 0.200 % 0 % 2.500 % 0.200 %
6 Total of lines 4 and 5 ............. 0.700 % 0 % 3.400 % 1.300 %
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 %
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, Arbitrage Rebate, Yield Reduction and Penalty in Lieu of Arbitrage Rebate? ...   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 "Yes" to 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
  		BANK OF AMERICA
  		0
  		0
 
c Term of hedge ......... 30 % 2130 %    
d Was the hedge superintegrated? ......   X   X        
e Was the hedge terminated? ........   X   X        
Schedule K (Form 990) 2018

Schedule K (Form 990) 2018
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-EXEMPT BOND CUSIP # INFORMATION BOND ISSUE 2009 A,B,C,D,E- CUSIP #649907VR0; #649907VS8; #649907VP4; #649907VQ2 BOND ISSUE 2011 A,B - CUSIP #61075TJM1; #61075TJN9; #61075TDC9; #61075TJK9; #61075TJL3 BOND ISSUE 2013 A,B - CUSIP #61075TJH2 BOND ISSUE 2017 C,D - CUSIP #61075TTB5 --------------------
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 $1,489,138 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 $85,914 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2013 A,B BOND ISSUE INCLUDES $82,004 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2015 A,B BOND ISSUE INCLUDES $720,608 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2017 A,B BOND ISSUE INCLUDES $950,091 IN INVESTMENT EARNINGS.
Schedule K (Form 990) 2018

Additional Data


Software ID:  
Software Version:  


Note: To capture the full content of this document, please select landscape mode (11" x 8.5") when printing.

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 Ⅵ, line 24a. Provide descriptions,
explanations, and any additional information in Part Ⅵ.
SchKMediumBullet Attach to Form 990.
SchKMediumBulletGo to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2018
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 64983QWB1 03-16-2008 111,180,000 2006 A-1 & B-1- BOND REFINANCING   X   X   X
C 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
D 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
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075TND6 06-24-2015 248,557,616 2015 A, B CAPITAL PROJECTS   X   X   X
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075TQA9 04-05-2017 289,439,545 2017 A, B CAPITAL PROJECTS   X   X   X
MONROE COUNTY INDUSTRIAL DEVELOPMENT CORPORATION
  		51-0188852 61075TSK5 12-14-2017 246,123,340 2017 C, D BOND REFINANCE   X   X   X
Part Ⅱ
Proceeds
A B C D
1 Amount of bonds retired .................. 111,895,000 66,305,000 107,300,000 146,045,000
2 Amount of bonds legally defeased .............. 0 0 0 0
3 Total proceeds of issue .................. 165,914,138 111,180,000 120,927,106 175,833,848
4 Gross proceeds in reserve funds ............. 0 0 0 0
5 Capitalized interest from proceeds ............. 0 0 0 3,243,526
6 Proceeds in refunding escrows ............... 0 0 0 0
7 Issuance costs from proceeds ............... 3,122,743 2,170,437 1,169,973 1,502,375
8 Credit enhancement from proceeds ............. 2,349,000 1,213,000 0 0
9 Working capital expenditures from proceeds ............. 383,179 0 1,991,256 6,789,361
10 Capital expenditures from proceeds ............. 70,315,050 0 76,605,196 149,668,886
11 Other spent proceeds ............. 89,744,166 107,796,563 41,160,681 14,629,700
12 Other unspent proceeds ............. 0 0 0 0
13 Year of substantial completion ............. 2009 2000 2010 2016
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) 2018

Schedule K (Form 990) 2018
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 0.500 % 0 % 0.900 % 1.100 %
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 0.200 % 0 % 2.500 % 0.200 %
6 Total of lines 4 and 5 ............. 0.700 % 0 % 3.400 % 1.300 %
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 %
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, Arbitrage Rebate, Yield Reduction and Penalty in Lieu of Arbitrage Rebate? ...   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 "Yes" to 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
  		BANK OF AMERICA
  		0
  		0
 
c Term of hedge ......... 30 % 2130 %    
d Was the hedge superintegrated? ......   X   X        
e Was the hedge terminated? ........   X   X        
Schedule K (Form 990) 2018

Schedule K (Form 990) 2018
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-EXEMPT BOND CUSIP # INFORMATION BOND ISSUE 2009 A,B,C,D,E- CUSIP #649907VR0; #649907VS8; #649907VP4; #649907VQ2 BOND ISSUE 2011 A,B - CUSIP #61075TJM1; #61075TJN9; #61075TDC9; #61075TJK9; #61075TJL3 BOND ISSUE 2013 A,B - CUSIP #61075TJH2 BOND ISSUE 2017 C,D - CUSIP #61075TTB5 --------------------
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 $1,489,138 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 $85,914 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2013 A,B BOND ISSUE INCLUDES $82,004 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2015 A,B BOND ISSUE INCLUDES $720,608 IN INVESTMENT EARNINGS. THE TOTAL PROCEEDS OF ISSUE REPORTED FOR THE 2017 A,B BOND ISSUE INCLUDES $950,091 IN INVESTMENT EARNINGS.
Schedule K (Form 990) 2018

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.
MediumBulletGo to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2018
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), section 501(c)(4), and 501(c)(29) 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
(1) BRADFORD C BERK FORMER OFFICER SPLITDOLLAR LIFE INS   X 1,643,600 1,643,600   No Yes   Yes  
(2) STEVEN I GOLDSTEIN KEY EMPLOYEE SPLITDOLLAR LIFE INS   X 1,925,200 1,925,200   No Yes   Yes  
(3) RAYMOND J MAYEWSKI FORMER KEY EMPLOYEE SPLITDOLLAR LIFE INS   X 921,520 921,520   No Yes   Yes  
(4) KATHLEEN PARRINELLO KEY EMPLOYEE SPLITDOLLAR LIFE INS   X 689,884 689,884   No Yes   Yes  
(5) PETER G ROBINSON KEY EMPLOYEE SPLITDOLLAR LIFE INS   X 742,510 742,510   No Yes   Yes  
(6) MICHAEL ROTONDO KEY EMPLOYEE SPLITDOLLAR LIFE INS   X 200,000 200,000   No Yes   Yes  
(7) LEONARD J SHUTE FORMER KEY EMPLOYEE SPLITDOLLAR LIFE INS   X 418,496 418,496   No Yes   Yes  
(8) MARK B TAUBMAN OFFICER SPLITDOLLAR LIFE INS   X 995,700 995,700   No Yes   Yes  
(9) ADAM ANOLIK KEY EMPLOYEE SPLITDOLLAR LIFE INS   X 190,000 190,000   No Yes   Yes  
Total ...............Small Bullet $ 7,726,910
Part III
Grants or Assistance Benefiting 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
(1) NA N/A 30,000 MERIT SCHOLARSHIP EDUCATION
(2) NA N/A 56,229 TUITION ASSISTANCE EDUCATION
(3) NA N/A 28,987 TAXABLE FELLOWSHIP EDUCATION
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 50056A
Schedule L (Form 990 or 990-EZ) 2018
Schedule L (Form 990 or 990-EZ) 2018
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) KAREN BERK FAMILY MEMBER OF FORMER OFFICER 25,875 PAYMENT OF COMPENSATION   No
(2) DENNIS KESSLER FAMILY MEMBER OF TRUSTEE 127,642 PAYMENT OF COMPENSATION   No
(3) REBECCA WALTERS FAMILY MEMBER OF KEY EMPLOYEE 138,518 PAYMENT OF COMPENSATION   No
(4) ELIZABETH MAYEWSKI FAMILY MEMBER OF FORMER KEY EMPLOYEE 87,781 PAYMENT OF COMPENSATION   No
(5) LYDIA ROTONDO FAMILY MEMBER OF KEY EMPLOYEE 202,595 PAYMENT OF COMPENSATION   No
(6) JENNIFER ANOLIK MD FAMILY MEMBER OF KEY EMPLOYEE 261,978 PAYMENT OF COMPENSATION   No
(7) SANDRA G WITMER RN FAMILY MEMBER OF TRUSTEE 76,710 PAYMENT OF COMPENSATION   No
(8) LES WEISBROD MD FAMILY MEMBER OF KEY EMPLOYEE 427,580 PAYMENT OF COMPENSATION   No
(9) MAUREEN PRINCE FAMILY MEMBER OF TRUSTEE 123,726 PAYMENT OF COMPENSATION   No
(10) ERICKA AUGUSTINE FAMILY MEMBER OF TRUSTEE 280,845 PAYMENT OF COMPENSATION   No
(11) CHERITH A REYNOLDS CLARK FAMILY MEMBER OF OFFICER 131,046 PAYMENT OF COMPENSATION   No
(12) KENNETH APOSTOLAKOS FAMILY MEMBER OF KEY EMPLOYEE 66,120 PAYMENT OF COMPENSATION   No
(13) WEGMANS OWNED > 35% BY TRUSTEE 386,672 PAYMENT OF SUPPLIES & MEDS   No
(14) VALLEY PROPANE AND FUELS OWNED > 35% BY TRUSTEE 1,085,867 PAYMENT OF FUEL PURCHASES   No
Part V
Supplemental Information
Provide additional information for responses to questions on Schedule L (see instructions).
Return Reference Explanation
FORM 990, SCHEDULE L, PART IV ADDITIONAL SUPPLEMENTAL INFORMATION WEGMANS- TRUSTEE DANIEL R. WEGMAN IS AN OFFICER, DIRECTOR AND OWNER OF WEGMANS. VALLEY PROPANE AND FUELS- TRUSTEE PHILIP E. SAUNDERS IS A GREATER THAN 35% OWNER OF VALLEY PROPANE AND FUELS.
Schedule L (Form 990 or 990-EZ) 2018


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 imageGo to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2018
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 60 81,589 FAIR MARKET VALUE
2 Art—Historical treasures .        
3 Art—Fractional interests ..        
4 Books and publications .. X 6,304 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 250 13,234,205 FAIR MARKET VALUE
10 Securities—Closely held stock . X 1 100,000 FAIR MARKET VALUE
11 Securities—Partnership, LLC,
or trust interests .... 		       
12 Securities—Miscellaneous ..        
13 Qualified conservation
contribution—Historic
structures ..... 		       
14 Qualified conservation
contribution—Other ... 		       
15 Real estate—Residential .        
16 Real estate—Commercial ..        
17 Real estate—Other ...        
18 Collectibles .....        
19 Food inventory ...        
20 Drugs and medical supplies .        
21 Taxidermy ......        
22 Historical artifacts ....        
23 Scientific specimens ..        
24 Archeological artifacts ...        
25 Other Right pointing arrow large image ( MUSICAL INSTRUMENTS ) X 12 93,098 FAIR MARKET VALUE
26 Other Right pointing arrow large image ( GIFT-IN-KIND ) X 14 2,447 FAIR MARKET VALUE
27 Other Right pointing arrow large image ( PERSONAL PROPERTY ) X 109 180,718 FAIR MARKET VALUE
28 Other Right pointing arrow large image ( MISCELLANEOUS EQUIPMENT ) X 30 1,240,321 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 nonstandard 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) (2018)
Schedule M (Form 990) (2018)
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
SCHEDULE M, PART I, COLUMN (B) NUMBER OF CONTRIBUTIONS 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) (2018)

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 990-EZ or to provide any additional information.
MediumBullet Attach to Form 990 or 990-EZ.
MediumBullet Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2018
Open to Public
Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
 
Employer identification number

16-0743209
Return Reference Explanation
FORM 990, PART III, LINE 4D DETAIL OF OTHER PROGRAM SERVICES AUXILIARY ENTERPRISES- THE UNIVERSITY OPERATES EITHER DIRECTLY OR THROUGH THIRD PARTY CONTRACTORS FOOD SERVICES WHICH SERVED 5,828 UNDERGRADUATES 3,133,795 MEALS IN FIVE DINING SERVICES. THE UNIVERSITY HAS 803 UNITS USED FOR STUDENT HOUSING. --------------------
FORM 990, PART VI, SECTION A, LINE 1A DELEGATION OF AUTHORITY 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. --------------------
FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCESS 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. --------------------
FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY 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. --------------------
FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION PROCESS 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. --------------------
FORM 990, PART VI, SECTION C, LINE 17 STATE FILING OF FORM 990 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. --------------------
FORM 990, PART VI, SECTION C, LINE 19 DOCUMENTS AVAILABILITY TO PUBLIC 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. --------------------
FORM 990, PART VII, SECTION B DETAIL OF INDEPENDENT CONTRACTOR PAYMENTS THE PAYMENT AMOUNTS LISTED FOR LECHASE CONSTRUCTION SERVICES, PIKE COMPANY, AND DGA BUILDERS, LLC REPRESENT THE ESTIMATED SERVICE COMPONENT OF THE TOTAL PAYMENTS MADE TO THESE VENDORS FOR CONSTRUCTION SERVICES. --------------------
FORM 990, PART XI, LINE 9 DETAIL OF OTHER CHANGES IN NET ASSETS CHANGE IN VALUATION OF ANNUITIES $ 1,151,325 CHANGE IN POST RETIREMENT LIABILITY 2,932,202 OTHER CHANGES (2,573,294) ----------- TOTAL $ 1,510,233 --------------------
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990 or 990-EZ) 2018


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 Go to www.irs.gov/Form990 for instructions and the latest information.

OMB No. 1545-0047
2018
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) 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) 12A,I HIGHLD HOSP
 
Yes
 
(3)HIGHLAND FACILITIES DEVELOPMENT CORP
1000 SOUTH AVENUE

ROCHESTER,NY14620
22-3039077 		MEDICAL BLDG NY 501 (c)(3) 10 HIGHLD HOSP
 
Yes
 
(4)HIGHLAND COMMUNITY DEVELOPMENT CORP
100 HAHNEMANN TRAIL

PITTSFORD,NY14534
22-3154715 		ELDER CARE NY 501 (c)(3) 10 SPHS
 
Yes
 
(5)THE HIGHLANDS LIVING CENTER INC
500 HAHNEMANN TRAIL

PITTSFORD,NY14534
22-3240227 		HEALTHCARE NY 501 (c)(3) 10 SPHS
 
Yes
 
(6)THE MEADOWS AT WESTFALL INC
5901 LAC DE VILLE BLVD

ROCHESTER,NY14618
16-1502303 		HEALTHCARE NY 501 (c)(3) 10 SPHS
 
Yes
 
(7)STRONG PARTNERS HEALTH SYSTEM INC
1000 SOUTH AVENUE

ROCHESTER,NY14620
16-1499099 		SUPPORT ORG NY 501 (c)(3) 12A,I 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)UR MEDICINE HOME CARE CERTIFIED SRV INC
2180 EMPIRE BOULEVARD

WEBSTER,NY14580
16-0743215 		HEALTHCARE NY 501 (c)(3) 10 SHCG
 
Yes
 
(10)COMMUNITY CARE OF ROCHESTER
2180 EMPIRE BOULEVARD

WEBSTER,NY14580
16-1561691 		HEALTHCARE NY 501 (c)(3) 10 SHCG
 
Yes
 
(11)EXCELL PARTNERS INC
343 STATE STREET KODAK TOWER 2ND F

ROCHESTER,NY14650
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) 12A,I UNIV OF ROCH
 
Yes
 
(13)NEXTCORPS INC
260 EAST MAIN STREET SUITE 6000

ROCHESTER,NY14604
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) 12A,I NA
 
 
No
(15)THE JAMES P WILMOT FOUNDATION INC
387 E MAIN STREET

ROCHESTER,NY14604
22-2341413 		SUPPORT ORG NY 501 (c)(3) 12D,III-OTH NA
 
 
No
(16)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
 
(17)ROBERT P GIDDINGS TRUST CO TAYLOR
GANSON PERRIN 160 FEDERAL ST 20

BOSTON,MA02110
04-6660588 		SUPPORT ORG MA 501 (c)(3) 12D,III-OTH NA
 
 
No
(18)U OF R BROADCASTING CORPORATION
201 WILSON COMMONS

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

ROCHESTER,NY14627
27-1140014 		SUPPORT ORG NY 501 (c)(3) 12A,I UNIV OF ROCH
 
Yes
 
(20)MELIORA REAL ESTATE CORPORATION
263 WALLIS HALL

ROCHESTER,NY14627
45-2464788 		SUPPORT ORG NY 501 (c)(3) 12A,I UNIV OF ROCH
 
Yes
 
(21)FREDERICK FERRIS THOMPSON HOSPITAL
350 PARRISH STREET

CANANDAIGUA,NY14424
16-0743024 		HOSPITAL NY 501 (c)(3) 3 FFTHS INC
 
Yes
 
(22)FF THOMPSON FOUNDATION INC
350 PARRISH STREET

CANANDAIGUA,NY14424
22-2959984 		FUNDRAISING NY 501 (c)(3) 7 FFTHS INC
 
Yes
 
(23)MM EWING CONTINUING CARE CENTER
350 PARRISH STREET

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

CANANDAIGUA,NY14424
22-2959987 		SUPPORT ORG NY 501 (c)(3) 12A,I UNIV OF ROCH
 
Yes
 
(25)FF THOMPSON SENIOR COMMUNITIES INC
350 PARRISH STREET

CANANDAIGUA,NY14424
16-1557494 		ELDER CARE NY 501 (c)(3) 10 FFTHS INC
 
Yes
 
(26)PLUTA CANCER CENTER FOUNDATION INC
125 RED CREEK DRIVE

ROCHESTER,NY14623
27-0425383 		SUPPORT ORG NY 501 (c)(3) 12A,I NA
 
 
No
(27)FINGER LAKES VISITING NURSE SERVICE INC
756 PRE-EMPTION ROAD

GENEVA,NY14456
22-3067627 		HEALTHCARE NY 501 (c)(3) 10 VNSR
 
Yes
 
(28)FINGER LAKES HOME CARE INC
756 PRE-EMPTION ROAD

GENEVA,NY14456
16-1489133 		HEALTHCARE NY 501 (c)(3) 10 VNSR
 
Yes
 
(29)THE MEMORIAL HOSPITAL OF WILLIAM F AND
191 NORTH MAIN STREET

WELLSVILLE,NY14895
22-2807681 		Hospital NY 501(c)(3) 3 UNIV OF ROCH
 
Yes
 
(30)LIVINGSTON HEALTH CARE SYSTEM INC
111 CLARA BARTON STREET

DANSVILLE,NY14427
16-1455240 		SUPPORT ORG NY 501 (c)(3) 12A,I UNIV OF ROCH
 
Yes
 
(31)NICHOLAS H NOYES MEMORIAL HOSPITAL INC
111 CLARA BARTON STREET

DANSVILLE,NY14427
16-0743979 		Hospital NY 501(c)(3) 3 LHCS
 
Yes
 
(32)RED JACKET CENTER INC
111 CLARA BARTON STREET

DANSVILLE,NY14427
16-1037658 		Med Off Bldg NY 501(c)(3) 12A,I LHCS
 
Yes
 
(33)THE FOUNDATION FOR NOYES MEMORIAL HEALTH
111 CLARA BARTON STREET

DANSVILLE,NY14427
16-1584778 		Fundraising NY 501(c)(3) 7 LHCS
 
Yes
 
(34)JONES MEMORIAL HOSPITAL FOUNDATION
191 NORTH MAIN STREET

WELLSVILLE,NY14895
47-3763374 		SUPPORT ORG NY 501 (c)(3) 7 JONES
 
Yes
 
(35)JONES MEDICAL SERVICES PC
191 NORTH MAIN STREET

WELLSVILLE,NY14895
46-5210222 		MEDICAL CLINI NY 501 (c)(3) 3 JONES
 
Yes
 
(36)ST JAMES HOSPITAL
411 CANISTEO STREET

HORNELL,NY14844
16-0743310 		HOSPITAL NY 501 (c)(3) 3 UNIV OF ROCH
 
Yes
 
(37)ST JAMES FOUNDATION
411 CANISTEO STREET

HORNELL,NY14844
16-1486437 		FUNDRAISING NY 501 (c)(3) 7 ST JAMES
 
Yes
 
(38)UR MEDICINE HOME CARE COMMUNITY SRVCS
2180 EMPIRE BOULEVARD

WEBSTER,NY14580
82-5091873 		HEALTHCARE NY 501 (c)(3) 10 SHCG
 
Yes
 
(39)UR MEDICINE HOME CARE FOUNDATION INC
2180 EMPIRE BOULEVARD

WEBSTER,NY14580
83-1912967 		SUPPORT ORG NY 501 (c)(3) 12A,I SHCG
 
Yes
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2018
Schedule R (Form 990) 2018
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

343 STATE STREET KODAK TOWER 2ND
ROCHESTER,NY14650
46-2405519 		INVESTMENT FUND NY ETV INC
  		                 
(2) EXCELL MINORITY AND WOMEN OWNED BUSINESS

343 STATE STREET KODAK TOWER 2ND
ROCHESTER,NY14650
81-0723223 		INVESTMENT FUND NY ETV INC
  		                 
(3) EXCELL PARTNERS INNOVATIVE TC FUND LP

343 STATE STREET KODAK TOWER 2ND
ROCHESTER,NY14615
81-0711015 		INVESTMENT FUND NY ETV INC
  		                 








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       Yes  
(2) UR EQUITY HOLDINGS INC

110 OFFICE PARK WAY
PITTSFORD,NY14534
27-3040889 		HOLDING COMPANY DE UNIV OF ROCH
  		C CORP -1,291 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

343 STATE STREET KODAK TOWER 2ND
ROCHESTER,NY14650
80-0909149 		BIOTECH INCUBATOR 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 16,110,988 11,913,526 71.000 % Yes  
(6) CHARITABLE REMAINDER TRUSTS (30)

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

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

 
 
N/A NY NA
  		TRUST         No
(9) FINGER LAKES COMMUNITY CARE NETWORK INC

350 PARRISH STREET
CANANDAIGUA,NY14424
16-1423442 		INACTIVE NY THS
  		C CORP       Yes  
(10) ACCOUNTABLE HEALTH PARTNERS IPA LLC

135 CORPORATE WOODS STE 320
ROCHESTER,NY14623
37-1746016 		INDEP PRACT ASSOC NY AHP LLC
  		C CORP       Yes  
(11) AHP INSURANCE COMPANY

76 ST PAUL STREET SUITE 500
BURLINGTON,VT05401
81-4644839 		CAPTIVE INS CO VT AHP LLC
  		C CORP       Yes  
(12) LUMINATE VENTURE CHALLENGE CORP

260 EAST MAIN STREET SUITE 6000
ROCHESTER,NY14604
82-3954131 		BUSINESS INCUBATO NY NEXTCORPS INC
  		C CORP       Yes  
(13) HORNELL MEDICAL VILLAGE LLC

7100 ROUTE 70A
HORNELL,NY14843
61-1886763 		HOLD REAL ESTATE NY ST JAMES
  		C CORP       Yes  
Schedule R (Form 990) 2018
Schedule R (Form 990) 2018
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 1,807,582 SERVICE COST
(2) HIGHLAND HOSPITAL OF ROCHESTER INC

 R 45,778,979 PATIENT COST
(3) HIGHLAND HOSPITAL OF ROCHESTER INC

 K 502,606 FMV RENT
(4) HIGHLAND HOSPITAL OF ROCHESTER INC

 P 1,503,827 NET EXPENSES
(5) HIGHLAND FACILITIES DEVELOPMENT CORP

 K 102,603 FMV RENT
(6) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 B 560,000 FMV GIFT
(7) THE MEADOWS AT WESTFALL INC

 B 1,959,661 FMV GIFT
(8) THE MEADOWS AT WESTFALL INC

 P 801,778 NET EXPENSES
(9) THE MEADOWS AT WESTFALL INC

 R 306,267 PATIENT COST
(10) HIGHLAND FOUNDATION INC

 B 62,366 FMV GIFT
(11) THE FREDERICK FERRIS THOMPSON HOSPITAL

 K 1,031,264 RENTAL COST
(12) THE FREDERICK FERRIS THOMPSON HOSPITAL

 M 238,572 SERVICE COST
(13) THE FREDERICK FERRIS THOMPSON HOSPITAL

 P 406,691 NET EXPENSES
(14) THE FREDERICK FERRIS THOMPSON HOSPITAL

 R 31,958,851 PATIENT COST
(15) ACCOUNTABLE HEALTH PARTNERS LLC

 R 22,666,779 FMV COST
(16) COMMUNITY CARE OF ROCHESTER

 P 57,183 NET EXPENSES
(17) NICHOLAS H NOYES MEMORIAL HOSPITAL

 K 148,048 RENTAL COST
(18) NICHOLAS H NOYES MEMORIAL HOSPITAL

 P 298,539 NET EXPENSES
(19) NICHOLAS H NOYES MEMORIAL HOSPITAL

 R 160,632 FMV COST
(20) JONES MEMORIAL HOSPITAL

 P 372,539 NET EXPENSES
(21) JONES MEMORIAL HOSPITAL

 R 4,170,769 FMV COST
(22) ST JAMES HOSPITAL

 D 737,000 FMV LOAN
(23) ST JAMES HOSPITAL

 P 143,767 NET EXPENSES
(24) HIGHLAND HOSPITAL OF ROCHESTER INC

 L 83,160,097 SERVICE COST
(25) HIGHLAND HOSPITAL OF ROCHESTER INC

 Q 319,722 NET EXPENSES
(26) VISITING NURSE SERVICE OF ROCHESTER & MC INC

 L 497,805 SERVICE COST
(27) THE MEADOWS AT WESTFALL INC

 A,J 654,363 FMV RENT
(28) THE MEADOWS AT WESTFALL INC

 L 115,839 SERVICE COST
(29) THE MEADOWS AT WESTFALL INC

 S 144,000 FMV RES FUND
(30) THE HIGHLANDS LIVING CENTER INC

 L 195,170 SERVICE COST
(31) THE HIGHLANDS LIVING CENTER INC

 Q 61,611 NET EXPENSES
(32) THE FREDERICK FERRIS THOMPSON HOSPITAL

 A,J 242,288 FMV RENT
(33) THE FREDERICK FERRIS THOMPSON HOSPITAL

 L 6,495,608 SERVICE COST
(34) THE FREDERICK FERRIS THOMPSON HOSPITAL

 Q 293,838 NET EXPENSES
(35) JONES MEMORIAL HOSPITAL

 L 517,909 SERVICE COST
(36) NICHOLAS H NOYES MEMORIAL HOSPITAL

 L 374,873 SERVICE COST
(37) ST JAMES HOSPITAL INC

 Q 1,377,420 NET EXPENSES
(38) ST JAMES HOSPITAL INC

 L 880,592 SERVICE COST
(39) ACCOUNTABLE HEALTH PARTNERS LLC

 L 5,185,965 SERVICE COST
(40) ACCOUNTABLE HEALTH PARTNERS LLC

 S 5,700,019 GAIN SHARING CO
Schedule R (Form 990) 2018
Schedule R (Form 990) 2018
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) 2018
Schedule R (Form 990) 2018
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) 2018

Additional Data


Software ID:  
Software Version: