2017-11-05T13:16:01-06:00 2016-12-31 ERNST & YOUNG US LLP 5 TIMES SQUARE NEW YORK NY 100366530 990 2016-01-01 132914343 ST LUKE'S-ROOSEVELT INSTITUTE FOR HEALTH SCIENCES % KENNETH BARRITT STLU 6466054217 1111 AMSTERDAM AVENUE NEW YORK NY 10025 DONALD SCANLON EVP,System CFO & CCS 6466054217 2017-11-01 true Laura Kielczewski P00740769 2127733000 72.89.28.204 12813320173095000000 2017-11-05 P 050F75853A9F423F493495C03CDD05FDA32C01D0 050F75853A9F423F493495C03CDD05FDA32C01D0 2016 2021-01-29 14:40:06Z DONALD SCANLON 150 EAST 42ND STREET - 5TH FL NEW YORK NY 10017 9651310 false X N/A X 1979 NY THE INSTITUTE FOR HEALTH SCIENCES PROVIDES SUPPORT AND OVERSIGHT FOR THE CLINICAL RESEARCH ACTIVITIES OF ST. LUKE'S-ROOSEVELT HOSPITAL CENTER. 6 2 0 0 0 1575 0 14276610 9629641 0 0 20914 21669 14299099 9651310 0 0 0 0 10685499 7491301 0 0 0 3613600 2160009 14299099 9651310 0 508448 616478 508448 616478 0 0 THE INSTITUTE FOR HEALTH SCIENCES PROVIDES SUPPORT AND OVERSIGHT FOR THE CLINICAL RESEARCH ACTIVITIES OF ST. LUKE'S-ROOSEVELT HOSPITAL CENTER. false false 9651310 0 9651310 THE ACTIVITIES OF THE INSTITUTE ARE PRIMARILY CLINICAL AND RESEARCH TRIALS, APPROVED AND SPONSORED BY THE NATIONAL INSTITUTE OF HEALTH SCIENCES, DESIGNED TO PROVIDE ADVANCED CLINICAL STUDIES IN MAJOR MEDICAL AND HEALTH RELATED AREAS. THE ACTIVITIES PROVIDE THE OPPORTUNITY TO ADVANCE NEW AND UNTESTED PROTOCOLS IN THE DETECTION AND TREATMENT OF HEALTH RELATED ISSUES FOR THE HOSPITAL'S PATIENTS AND PROVIDE A UNIQUE EDUCATIONAL OPPORTUNITY FOR RESIDENTS AND FELLOWS TRAINING AT ST. LUKE'S-ROOSEVELT HOSPITAL CENTER. 9651310 true false false false false false false false false false false false false false true false false true false false false false false false false false false false false true false false false false false false false false false false false false false true true false false false true 0 0 0 false false false false false false false false false false X 6 2 false false false false true true true true true false false true true true true true true false false false NY X KENNETH BARRITT 6466054217 150 EAST 42ND STREET - 5TH FLOOR NEW YORK NY 10017 MICHAEL PASTIER 1 TREASURER, BOARD MEMBER 1.0 46.5 X X 0 991970 74560 DONALD SCANLON VICE CHAIR, BOARD MEMBER 1.0 68.5 X X 0 1868167 59287 MICHAEL MINIKES CHAIRMAN,BOARD MEMBER 2.0 21.0 X X 0 0 0 STEPHEN HARVEY BOARD MEMBER 0.5 56.5 X 0 727583 70805 STEPHEN HOCHBERG BOARD MEMBER 1.0 19.0 X 0 0 0 MICHAEL BRUNO BOARD MEMBER 0.5 60.0 X 0 645355 39916 CHRISTOPHER CONSIDINE SECRETARY 1.0 1.0 X 0 388588 52099 BETH ESSIG ASSISTANT SECRETARY 1.0 67.5 X 0 1251507 27989 0 5873170 324656 0 true true false UNIVERSITY OF ROCHESTER 910 GENESSE ST STE 200BROOKS LAND ROCHESTER NY 146113847 RESRCH SUBCONTRACTOR 128210 SIXTA CONSULTING INC 2615 PINEBAND DRIVE PEARLAND TX 77584 PROJECT MGMT SERVS 109834 2 0 REVENUE FROM EXCHANGE CONTRACTS 541700 9629641 9629641 9629641 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 PHARMACEUTICAL DRUG RESEARCH 541700 21669 21669 21669 9651310 9651310 0 0 0 0 0 0 0 5517276 5517276 0 1974025 1974025 0 0 0 0 0 0 0 784014 784014 541 541 140886 140886 34317 34317 0 27010 27010 64386 64386 0 1589 1589 0 0 0 0 IDC ALLOCATED FROM SLR HOSP 963718 963718 MEDICAL SUPPLIES 67604 67604 OTHER EXPENSES 75944 75944 9651310 9651310 0 0 0 0 0 0 508448 616478 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 508448 616478 112165 97817 0 0 0 0 0 0 0 0 0 0 0 0 0 0 396283 518661 508448 616478 X 0 0 0 0 0 0 0 0 508448 616478 0 X X false true X true false X ST LUKES-ROOSEVELT HOSPITAL CENTER NEW YORK NY 0 DUE TO AFFILIATES 518661 518661 false false false false false false true false false MICHAEL PASTIER 1 TREASURER, BOARD MEMBER 0 675000 0 205640 0 111330 0 26500 0 48060 0 1066530 0 0 DONALD SCANLON VICE CHAIR, BOARD MEMBER 0 1030000 0 485000 0 353167 0 26500 0 32787 0 1927454 0 0 STEPHEN HARVEY BOARD MEMBER 0 456000 0 211809 0 59774 0 26500 0 44305 0 798388 0 0 CHRISTOPHER CONSIDINE SECRETARY 0 353295 0 24250 0 11043 0 21200 0 30899 0 440687 0 0 BETH ESSIG ASSISTANT SECRETARY 0 863076 0 326787 0 61644 0 26500 0 1489 0 1279496 0 0 MICHAEL BRUNO BOARD MEMBER 0 558177 0 75000 0 12178 0 0 0 0 0 645355 0 0 PART I, LINE 3 - METHODS TO ESTABLISH COMPENSATION BY RELATED ORGANIZATION THE FOLLOWING METHODS ARE USED BY A RELATED ORGANIZATION TO ESTABLISH COMPENSATION OF THE CEO/EXECUTIVE DIRECTOR: A COMPENSATION COMMITTEE, INDEPENDENT COMPENSATION CONSULTANT, WRITTEN EMPLOYMENT CONTRACT, COMPENSATION SURVEY OR STUDY, AND APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE. SUPPLEMENTAL INFORMATION COMPENSATION FOOTNOTES: OFFICERS OF THE BOARD OF TRUSTEES HOURS REFLECT SERVICE TO ALL RELATED ORGANIZATIONS OF MOUNT SINAI HEALTH SYSTEM. PART VII, SECTION A & SCHEDULE J COMPENSATION FOOTNOTES (1) COMPENSATION AND BENEFITS ARE FUNDED FROM THE MOUNT SINAI HOSPITAL, ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI, BETH ISRAEL MEDICAL CENTER, ST. LUKE'S-ROOSEVELT HOSPITAL CENTER, AND/OR NEW YORK EYE AND EAR INFIRMARY. SCHEDULE J, PART I, LINES 6A & 6B THE MOUNT SINAI HOSPITAL, A RELATED ORGANIZATION, ANSWERED YES TO QUESTIONS 6A AND 6B IN SCHEDULE J AS THE INSTITUTION UTILIZES AN INCENTIVE BASED BONUS PROGRAM FOR CERTAIN EMPLOYEES, INCLUDING SEVERAL OF THOSE EMPLOYEES LISTED IN SCHEDULE J. NET EARNINGS IS ONE OF SEVERAL METRICS UTILIZED BY THE INSTITUTION IN THE ANNUAL BONUS CALCULATION. OTHER METRICS UTILIZED IN THE INCENTIVE COMPENSATION MODEL INCLUDE THE ORGANIZATION'S PERFORMANCE ON THE JCAHO HOSPITAL CORE MEASURES, PATIENT SATISFACTION SCORES, AND OTHER ORGANIZATIONAL GOALS SUCH AS LENGTH OF STAY INITIATIVES. INDIVIDUALS THAT HAVE RESPONSIBILITIES IN RELATED ORGANIZATIONS TO THE HOSPITAL MAY HAVE INCENTIVES BASED ON THE PERFORMANCE OF THESE ORGANIZATIONS AS WELL AS THAT OF THE HOSPITAL. FORM 990, PART VI, LINE 6 - MEMBERS OF THE ORGANIZATION THE TRUSTEES OF ST. LUKE'S-ROOSEVELT HOSPITAL CENTER CONSTITUTE THE MEMBERS OF THE FILING ORGANIZATION. FORM 990, PART VI, LINE 7A - ELECTION OF THE GOVERNING BODY THE TRUSTEES OF ST. LUKE'S-ROOSEVELT HOSPITAL CENTER DESIGNATE THE TRUSTEES OF THE FILING ORGANIZATION. FORM 990, PART VI, LINE 7B - DECISIONS OF THE GOVERNING BODY THE MEMBERs MUST APPROVE ANY AMENDMENTS TO THE BYLAWS OF THE ORGANIZATION. FORM 990, PART VI, LINE 11B - FORM 990 PROVIDED TO GOVERNING BODY The Finance Department gathered the relevant information and prepared the tax returns. - The Tax department of our outside auditors, Ernst & Young (EY), participated in the preparation of, and reviewed, all tax returns. - A questionnaire was circulated to all trustees, directors, officers and key employees in order to elicit the information required to be reported on the tax returns. - The Trustee Conflicts of Interest Review Committee reviewed the responses provided by trustees and certain officers in the questionnaires and assessed additional pertinent facts gathered by the institution in order to evaluate the applicability of IRS reporting requirements. The Review Committee then determined the appropriate trustee (and certain officer) disclosures that should be made on Form 990 based on the recommendations of the Finance Department, the General Counsels office and the Audit and Compliance Department. These recommendations were reviewed and approved by EY. The same process was conducted by the Finance Department, the General Counsels office, the Audit and Compliance Department and EY with respect to the questionnaires submitted by other officers and key employees. - The Audit and Compliance Committee of the Board of Trustees conducted a review of the entire tax return, with the participation of EY, the Finance Department, the General Counsels office, and the Audit and Compliance Department. The Audit Committee approved the tax returns as presented. - The Audit Committees report of its review of the tax returns and its recommendation to file the returns were presented to, and accepted by, the Executive Committee of the Board of Trustees (the "Executive Committee"). - In addition to authorizing the filing of the tax returns, the Executive Committee directed that the returns, which will be filed on or before November 15, 2017, be provided to all trustees via the trustees confidential website, and those returns were so provided before being filed. FORM 990, PART VI, LINE 12C - CONFLICT OF INTEREST POLICY Compliance with the Organizations Business Conflicts of Interest Policy (the "Policy") is required of trustees, employees, medical staff and non-employee members of institutional committees and includes an ongoing duty to disclose potential conflicts. Compliance with the Policy is monitored and enforced regularly and consistently. All disclosures with the potential for conflict are reviewed by an appropriate committee where they are carefully evaluated. When appropriate, a plan, which may involve measures including, but not limited to, recusal from participating in affected transactions, is developed to manage the potential conflict. FORM 990, PART VI, LINE 15A & 15B Process for determination of compensation (for related orgs) The Compensation, Employee Benefits and Employee Relations Committee of the Board of Trustees (the "Compensation Committee") determines the compensation for the CEO and other executives, including physician leaders, who are or may be "disqualified persons" as that term is defined in IRC Section 4958. The Compensation Committee also reviews the compensation of other senior and/or highly compensated personnel. The Compensation Committees' Operating Procedures are designed to ensure that the compensation of all such officers and key employees is reasonable (i.e. the value of services is the amount that would ordinarily be paid for like services by like enterprises under like circumstances) and with respect to 'disqualified persons' to follow the specific steps outlined in the IRC regulations for establishing the rebuttable presumption of reasonableness that a transaction is not an excess benefit transaction. The Compensation Committee consists exclusively of independent trustees without any conflict of interest (as defined in the applicable IRC regulations) with regard to the compensation arrangements being reviewed or approved. The absence of any conflict of interest with respect to items on that meetings agenda is confirmed at the beginning of each meeting of the Compensation Committee. The Compensation Committee selects and engages an independent, qualified compensation consultant which performs such valuations on a regular basis to provide appropriate comparability data. Comparability data includes, but is not limited to, compensation levels paid by similarly situated organizations, both taxable and tax-exempt, for functionally comparable positions; the availability of similar services in Mount Sinais geographic area; current compensation surveys compiled by independent firms; customized surveys in specific circumstances, and actual written offers from similar institutions competing for the services of the disqualified person. The sources of the comparability data used by the compensation consultant are provided to the Compensation Committee. In appropriate circumstances formal written opinions are obtained from the Compensation Consultant. With respect to "Executives" as they are defined in the policy which includes all of the institutions "disqualified persons," the Compensation Committee receives and reviews the comparability data and any analysis provided by the Compensation Consultant, as well as information provided by management, or in the case of the CEO, by the Chairman of the Board of Trustees, including information about the individuals performance, and for new employees, the individuals job description. When a written opinion is obtained from the Compensation Consultant, that written opinion is also reviewed by the Compensation Committee. After considering all of the facts, the Compensation Committee then determines the appropriate compensation in relation to the comparability data and in light of the written opinion, recommendations of the Compensation Consultant. As more fully set forth in the Compensation Committees Operating Guidelines, the Compensation Committee also reviews the compensation arrangements for those other senior management and/or highly compensated personnel who are not "Executives." The Compensation Committee is provided details of the compensation arrangement of the individuals job and job performance, the benchmark(s) used and, in certain cases, a description of the role of the Compensation Consultant and a brief description of why the arrangement is appropriate. The Compensation Committee contemporaneously documents in written minutes the terms of the transaction that was approved and the date it was approved; the members of the Compensation Committee who were present; the discussion at the Compensation Committee meeting; the comparability data and any other information obtained and relied on; how the comparability data was obtained; and the Compensation Committees basis for the decisions, if the approved compensation is outside the range of comparability data. These minutes are prepared before the later of the next meeting of the Compensation Committee or 60 days after the final actions of the Compensation Committee are taken with respect to the compensation decisions made. The minutes are reviewed and approved by the Compensation Committee within a reasonable time thereafter. FORM 990, PART VI, LINE 19 - DOCUMENTS AVAILABLE FOR PUBLIC INSPECTION Governing documents and conflict of interest policy available to the public. The organization makes its Business Conflicts of Interest Policy available on its website (www.mountsinai.org) and makes its governing documents and financial statements available upon request. FORM 990, PART XII, LINE 3A & 3B - CIRCULAR A-133 AUDIT THE ORGANIZATION'S FEDERAL AWARDS WERE AUDITED ON A CONSOLIDATED BASIS. CONTINUUM HEALTH PARTNERS INC 150 EAST 42ND STREET NEW YORK NY 10017 133939476 HOLDING CO NY 501(C)(3) 12 TYPE I NA false BETH ISRAEL MEDICAL CENTER FIRST AVENUE AT 16TH STREET NEW YORK NY 10003 135564934 HOSPITAL NY 501(C)(3) 3 MSHG false BIMC HOLDING CORPORATION FIRST AVENUE AT 16TH STREET NEW YORK NY 10003 133444730 HOLDING CO NY 501(C)(3) 12 TYPE I BIMC false BETH ISRAEL AMBULATORY CARE SERVICES 150 EAST 42ND STREET NEW YORK NY 10017 133838460 SURGICENTER NY 501(C)(3) 3 BIMC HOLDCO false BI NURSING HOME COMPANY 327 EAST 17TH STREET NEW YORK NY 10003 133627753 NURSING HOME NY 501(C)(3) 3 BIMC HOLDCO false EAST 17TH STREET PROPERTIES INC 150 EAST 42ND STREET NEW YORK NY 10017 133547502 REAL ESTATE NY 501(C)(3) 10 BIMC HOLDCO false THE LONG ISLAND COLLEGE HOSPITAL 150 EAST 42ND STREET NEW YORK NY 10017 111018985 HOSPITAL NY 501(C)(3) 3 CHP false ST LUKE'S-ROOSEVELT HOSPITAL CENTER 1111 AMSTERDAM AVENUE NEW YORK NY 10025 132997301 HOSPITAL NY 501(C)(3) 3 MSHG false AUGUSTUS & JAMES CORPORATION 150 EAST 42ND STREET NEW YORK NY 10017 133392851 REAL ESTATE NY 501(C)(3) 12 TYPE I SLR true NEW YORK EYE AND EAR INFIRMARY 310 EAST 14TH STREET NEW YORK NY 10003 135562304 HOSPITAL NY 501(C)(3) 3 MSHG false NEW YORK EYE & EAR INFIRMARY FOUNDATION 310 EAST 14TH STREET NEW YORK NY 10003 134012469 PRIVATE FDN NY 501(C)(3) PF NYEE false NYEEI HOUSING COMPANY INC 317-327 EAST 13TH STREET NEW YORK NY 10003 311696826 REAL ESTATE NY 501(C)(2) N/A NYEE false BETH ISRAEL MEDICAL CENTER FDN INC 150 EAST 42ND STREET NEW YORK NY 10017 300571387 FUNDRAISING NY 501(C)(3) 7 BIMC false ST LUKE'S-ROOSEVELT HOSPITAL CENTER FDN 150 EAST 42ND STREET NEW YORK NY 10017 300571390 FUNDRAISING NY 501(C)(3) 7 SLR true THE MOUNT SINAI MEDICAL CENTER INC ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 136271888 SUPPORT NY 501(C)(3) 12 TYPE II MSHS false THE MOUNT SINAI HOSPITAL ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 131624096 HOSPITAL NY 501(C)(3) 3 MSHG false MITRAL FOUNDATION 1190 FIFTH AVENUE NEW YORK NY 10029 800468600 RESEARCH NY 501(C)(3) 12 TYPE I ISMMS false THE MOUNT SINAI CHILDREN'S CENTER FND ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 223059294 SUPPORT NY 501(C)(3) 12 TYPE I ISMMS false THE MSMC REALTY CORPORATION ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 133852596 REAL ESTATE NY 501(C)(3) 12 TYPE I SEE PART VII false THE MSMC RESIDENTIAL REALTY LLC 1425 MADISON AVENUE NEW YORK NY 10029 200244426 REAL ESTATE NY 501(C)(3) 12 TYPE I SEE PART VII false MOUNT SINAI DIAG & TREATMENT CENTER ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 450537391 DIAG CLINIC NY 501(C)(3) 3 MSH false THE MSMC RESIDENTIAL REALTY MANAGER INC 1425 MADISON AVENUE NEW YORK NY 10029 201289396 MANAGEMENT NY 501(C)(3) 12 TYPE II SEE PART VII false VALENTIN FUSTER MTSINAI FND FOR SCIENCE ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 800952088 SUPPORT NY 501(C)(3) 12 TYPE I ISMMS & MSH false MOUNT SINAI HEALTH SYSTEM INC ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 464248304 HOLDING CO NY 501(C)(3) 12 TYPE II NA false MOUNT SINAI HOSPITAL GROUP INC ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 464242915 HOLDING CO NY 501(C)(3) 12 TYPE II MSHS false ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 136171197 SCHOOL NY 501(C)(3) 2 MSHS false MOUNT SINAI HEALTH PARTNERS PC 150 EAST 42ND STREET 5TH FLR NEW YORK NY 10017 812057452 HEALTHCARE NY 501(C)(3) 10 MSH false GREATER METROPOLITAN IPA II 150 EAST 42ND STREET NEW YORK NY 10017 133977019 INACTIVE NY BIMCSLR C false GREATER METROPOLITAN IPA V 150 EAST 42ND STREET NEW YORK NY 10017 134141695 INACTIVE NY BIMCSLR C false MANHATTAN MANAGEMENT SERVICES 1780 BROADWAY 7TH FL NEW YORK NY 10019 133618543 MGMT SERVICES NY SLR C false SLR MANAGEMENT SERVICES 150 EAST 42ND STREET NEW YORK NY 10017 133853145 MGMT SERVICES NY SLR C false WEST CARE MEDICAL PC 150 EAST 42ND STREET NEW YORK NY 10017 133811203 INACTIVE NY SLR C false MOUNT SINAI HC VENTURES INC 150 EAST 42ND STREET NEW YORK NY 10017 460953126 HEALTH CARE MGMT NY BIMC HOLDCO C false MOUNT SINAI GENOMICS INC 1425 MADISON AVE NEW YORK NY 10029 475349024 CLINICAL LAB DE ISMMS c false HIBER-CELL INC 850 NEW BURTON ROAD SUITE 201 DOVER DE 19904 820608182 CLINICAL LAB DE ISMMS C false AMATHUS THERAPEUTICS INC 1506 BOSTON PROVIDENCE HIGHWAY STE NORWOOD MA 02062 814373501 BIOTECH/PHARMA MA ISMMS C false false false false false false false false false false false false false true true true true false false false SCHEDULE R, PART II, COLUMN (F) - MSMC REALTY CORPORATION DIRECT CONTROLLING ENTITY ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI, THE MOUNT SINAI HOSPITAL AND THE MSMC REALTY CORPORATION ARE ALL MEMBERS OF THIS ENTITY. SCHEDULE R, PART II, COLUMN (F) - MSMC RESIDENTIAL REALTY LLC DIRECT CONTROLLING ENTITY ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI, THE MOUNT SINAI HOSPITAL, THE MSMC REALTY CORPORATION AND THE MSMC RESIDENTIAL REALTY MANAGER, INC. ARE ALL MEMBERS OF THIS ENTITY. SCHEDULE R, PART II, COLUMN (F) - MSMC RESIDENTIAL REALTY MANAGER, INC. DIRECT CONTROLLING ENTITY ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI, THE MOUNT SINAI HOSPITAL AND THE MSMC REALTY CORPORATION ARE ALL MEMBERS OF THIS ENTITY.