2016-11-10T06:51:26-06:00 2015-12-31 ERNST & YOUNG US LLP 5 TIMES SQUARE NEW YORK NY 10036 990 2015-01-01 132914343 ST LUKE'S-ROOSEVELT INSTITUTE FOR HEALTH SCIENCES % KENNETH BARRITT STLU 6466054217 1111 AMSTERDAM AVENUE NEW YORK NY 10025 DONALD SCANLON EVP,System Chief Fin 6466054217 2016-11-09 true Laura Kielczewski P00740769 2127733000 2015 2017-02-10 21:41:12Z DONALD SCANLON 150 EAST 42ND STREET - 5TH FL NEW YORK NY 10017 14299099 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 3 0 0 0 0 1575 21550250 14276610 0 0 13441 20914 21563691 14299099 0 0 0 0 14035802 10685499 0 0 0 7527889 3613600 21563691 14299099 0 206934 508448 206934 508448 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 13441267 14299099 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. 13441267 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 3 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 LAWRENCE S HUNTINGTON CHAIRMAN 2.0 2.0 X 0 0 0 ROBERT F SAVAGE JR BOARD MEMBER 1.0 11.5 X 0 0 0 MICHAEL BRUNO 1 BOARD MEMBER 0.5 62.0 X 0 631105 37079 STEVEN HOCHBERG TREASURER,BOARD MEMBER 2.0 19.5 X 0 0 0 MICHAEL PASTIER 1 BOARD MEMBER 0.0 0.5 X 0 776098 69464 DONALD SCANLON BOARD MEMBER 0.0 0.5 X 0 1721029 57964 GAIL DONOVAN FORMER BOAR MEMBER 0.0 0.0 X 0 655275 0 0 3783507 164507 0 true true false COLUMBIA UNIVERSITY 630 WEST 168TH STREET NEW YORK NY 10032 RESRCH SUBCONTRACTOR 397222 UNIVERSITY OF ROCHESTER 910 GENESSE ST STE 200BROOKS LAND ROCHESTER NY 146113847 RESRCH SUBCONTRACTOR 311588 REGENTS OF THE UNIVERSITY OF CALIFO PO BOX 989062 CASHIERS OFFICE WEST SACRAMENTO CA 957989062 RESRCH SUBCONTRACTOR 152982 UNIVERSITY OF IOWA B5 JESSUP HALL GRANT ACCT OFFICE IOWA CITY IA 52242 RESRCH SUBCONTRACTOR 267878 SIXTA CONSULTING INC 2615 PINEBAND DRIVE PEARLAND TX 77584 PROJECT MGMT SERVS 152570 6 1575 1575 REVENUE FROM EXCHANGE CONTRACTS 541700 14276610 14276610 14276610 0 0 0 0 0 0 0 0 0 0 PHARMACEUTICAL DRUG RESEARCH 541700 20914 20914 20914 14299099 14297524 X 0 0 0 0 0 0 7859508 7859508 0 2825991 2825991 0 0 0 0 0 0 0 2142164 2142164 10165 10165 217489 217489 46712 46712 0 3011 3011 129589 129589 0 9054 9054 0 0 0 0 IDC ALLOCATED FROM SLR HOSP 857832 857832 MEDICAL SUPPLIES 78511 78511 COMMUNITY BENEFIT GRANT 73200 73200 OTHER EXPENSES 45873 45873 14299099 13441267 857832 0 0 0 0 0 206934 508448 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 206934 508448 162206 112165 0 0 0 0 0 0 0 0 0 0 0 0 0 0 44728 396283 206934 508448 X 0 0 0 0 0 0 0 0 206934 508448 0 X X false true X true false X ST LUKE'S ROOSEVELT HOSPITAL CENTER NEW YORK NY 0 DUE TO AFFILIATES 396283 396283 true false false false false false false false false MICHAEL BRUNO 1 BOARD MEMBER 0 581844 0 36794 0 12467 0 22260 0 14819 0 668184 0 0 MICHAEL PASTIER 1 BOARD MEMBER 0 591500 0 88423 0 96175 0 26500 0 42964 0 845562 0 0 DONALD SCANLON BOARD MEMBER 0 1030000 0 339000 0 352029 0 26500 0 31464 0 1778993 0 0 GAIL DONOVAN FORMER BOAR MEMBER 0 9121 0 0 0 646154 0 0 0 0 0 655275 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. 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. - OUR OUTSIDE AUDITORS, ERNST & YOUNG ("E&Y"), PARTICIPATED IN THE PREPARATION OF, AND REVIEWED, ALL TAX RETURNS. - A QUESTIONNAIRE WAS CIRCULATED TO ALL TRUSTEES (I.E., 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 COUNSEL'S OFFICE AND THE COMPLIANCE DEPARTMENT. THESE RECOMMENDATIONS WERE REVIEWED AND APPROVED BY E&Y. THE SAME PROCESS WAS CONDUCTED BY THE FINANCE DEPARTMENT, THE GENERAL COUNSEL'S OFFICE AND THE COMPLIANCE DEPARTMENT 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 E&Y, THE FINANCE DEPARTMENT, AND THE GENERAL COUNSEL'S OFFICE. THE AUDIT COMMITTEE APPROVED THE TAX RETURNS AS PRESENTED. - THE AUDIT COMMITTEE'S 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, 2016, 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 ORGANIZATION'S 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 - COMPENSATION POLICY (OF RELATED ORG) The Compensation, Employee Benefits and Employee Relations Committee of the Boards of Trustees (the "Compensation Committee") determines the compensation for the CEO and reviews and modifies or approves the CEO's recommendations for compensation for other officers and key employees, including physician leaders, who are or may be "disqualified persons" as that term is defined in IRC Section 4958. 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 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 meeting's 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 Sinai's 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. The Compensation Committee receives and reviews the comparability data and any analysis provided by the 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 CEO's performance. For the CEO, the Committee then determines an appropriate level of total compensation in relation to the comparability data. For the other executives and key employees, the Committee also reviews the position description, the credentials of the incumbent or the candidate for the position, an incumbent's performance appraisal, and the CEO's (or Chairman of the Board's, with respect to the CEO) recommendation, in relation to the comparability data, and decides whether to approve the recommended compensation or to modify it. The Compensation Committee discusses and votes on the compensation arrangements for the CEO, CFO and other senior executive staff members in executive session. The Compensation Committee contemporaneously documents in written minutes the terms of the transaction that were approved and the date it was approved; the members of the Compensation Committee who were present during debate on the transaction that was approved and those who voted on it; the comparability data and information from management obtained and relied on, and how the comparability data was obtained; and the Compensation Committee's 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 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE 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. FORM 990 PART IX LINE 11G DESCRIPTION:OUTSIDE LABOR TOTAL FEES:35209 FORM 990 PART IX LINE 11G DESCRIPTION:CONTRACT SERVICES TOTAL FEES:1829507 FORM 990 PART IX LINE 11G DESCRIPTION:OUTSIDE SERVICES TOTAL FEES:277448 CONTINUUM HEALTH PARTNERS INC 150 EAST 42ND STREET NEW YORK NY 10017 133939476 HOLDING CO NY 501(C)(3) 11 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) 11 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) 9 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) 11 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) 11 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) 11 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) 11 TYPE I ISMMS false THE MSMC REALTY CORPORATION ONE GUSTAVE L LEVY PLACE NEW YORK NY 10029 133852596 REAL ESTATE NY 501(C)(3) 11 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) 11 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) 11 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) 11 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) 11 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) 11 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 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 GT 150 EAST 42ND STREET NEW YORK NY 10017 460953126 HEALTH CARE MGT NY BIMC HOLDCO 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.