Community Benefit Insight - Tax-exempt hospital

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The Rockefeller University

Rockefeller University Hospital

1230 York Avenue
New York, NY 10021

Bed count	40	Medicare provider number	330387	Member of the Council of Teaching Hospitals	NO	Children's hospital	NO

EIN: 131624158

Display data for year:

Community Benefit Spending- 2021
(as % of functional expenses, which all tax-exempt organizations report on Form 990 Schedule H)

2.22%

Spending by Community Benefit Category- 2021
(as % of total functional expenses)

* = CBI denoted preventative categories

Community Benefit Spending Compared to Functional Expenses, 2010-2021

Additional data

Community Benefit Expenditures: 2021

All tax-exempt organizations file a Form 990 with the IRS for every tax year. If the tax-exempt organization operates one or more hospital facilities during the tax year, the organization must attach a Schedule H to Form 990. On Part I of Schedule H, the organization records the expenditures it made during the tax year for various types of community benefits; 9 types are shown on this web tool. By default, this web tool presents community benefit expenditures as a percentage of the organization’s functional expenses, which it reports on Form 990, Part IX, Line 25, Column A. (The more commonly heard term, ‘total operating expenses’, which organizations report to CMS, is generally about 90% of the ‘functional expenses’). The user may change the default to see the dollar expenditures.
Amount spent in the following IRS community benefit categories:

Financial Assistance at cost as % of operating expenses	$ 0 0 %
Medicaid as % of operating expenses	$ 0 0 %
Costs of other means-tested government programs as % of operating expenses	$ 0 0 %
Health professions education as % of operating expenses	$ 0 0 %
Subsidized health services as % of operating expenses	$ 0 0 %
Research as % of operating expenses	$ 13,210,838 2.22 %
Community health improvement services and community benefit operations* as % of operating expenses Note: these two community benefit categories are reported together on the Schedule H, part I, line 7e.	$ 0 0 %
Cash and in-kind contributions for community benefit* as % of operating expenses	$ 0 0 %
Community building* as % of operating expenses	$ 0 0 %

* = CBI denoted preventative categories

Community building activities details:

Did tax-exempt hospital report community building activities?	Not available
Number of activities or programs (optional)	0
Physical improvements and housing	0
Economic development	0
Community support	0
Environmental improvements	0
Leadership development and training for community members	0
Coalition building	0
Community health improvement advocacy	0
Workforce development	0
Other	0
Persons served (optional)	0
Physical improvements and housing	0
Economic development	0
Community support	0
Environmental improvements	0
Leadership development and training for community members	0
Coalition building	0
Community health improvement advocacy	0
Workforce development	0
Other	0
Community building expense as % of operating expenses	$ 0 0 %
Physical improvements and housing as % of community building expenses	$ 0
Economic development as % of community building expenses	$ 0
Community support as % of community building expenses	$ 0
Environmental improvements as % of community building expenses	$ 0
Leadership development and training for community members as % of community building expenses	$ 0
Coalition building as % of community building expenses	$ 0
Community health improvement advocacy as % of community building expenses	$ 0
Workforce development as % of community building expenses	$ 0
Other as % of community building expenses	$ 0
Direct offsetting revenue	$ 0
Physical improvements and housing	$ 0
Economic development	$ 0
Community support	$ 0
Environmental improvements	$ 0
Leadership development and training for community members	$ 0
Coalition building	$ 0
Community health improvement advocacy	$ 0
Workforce development	$ 0
Other	$ 0

Other Useful Tax-exempt Hospital Information: 2021

In addition to community benefit and community building expenditures, the Schedule H worksheet includes sections on what percentage of bad debt can be attributable to patients eligible for financial assistance, and questions on the tax-exempt hospital's debt collection policy. When searching a specific tax-exempt hospital in this web tool, Section II provides information about bad debt and the financial assistance policy, and whether the state in which the tax-exempt hospital resides has expanded Medicaid coverage under the federal ACA.

Of the tax-exempt hospital’s overall operating expenses, amount reported as bad debt as % of operating expenses	$ 0 0 %
Is the tax-exempt hospital considered a "sole community hospital" under the Medicare program?	NO

Information about the tax-exempt hospital's Financial Assistance Policy and Debt Collection Policy
The Financial Assistance Policy section of Schedule H has changed over the years. The questions listed below reflect the questions on the 2009-2011 Schedule H forms and the answers tax-exempt hospitals provided for those years. The Financial Assistance Policy requirements were changed under the ACA. In the future, as the Community Benefit Insight web site is populated with 2021 data and subsequent years, the web tool will also be updated to reflect the new wording and requirements. In the meantime, if you have any questions about this section, we encourage you to contact your tax-exempt hospital directly.

Does the organization have a written financial assistance (charity care) policy?	Not available
Did the tax-exempt hospital rely upon Federal Poverty Guidelines (FPG) to determine when to provide free or discounted care for patients?	Not available
Amount of the tax-exempt hospital’s bad debt (at cost) attributed to patients eligible under the organization’s financial assistance (charity care) policy as % of operating expenses	$ 0 0 %

Did the tax-exempt hospital, or an authorized third party, take any of the following collection activities before determining whether the patient was eligible for financial assistance:
Under the ACA, states have the choice to expand Medicaid eligibility for their residents up to 138% of the federal poverty guidelines. The Medicaid expansion provision of the ACA did not go into effect until January 2014, so data in this web tool will not reflect each state's current Medicaid eligibility threshold. For up to date information, please visit the Terms and Glossary under the Resources tab.
The federal poverty guidelines (FPG) are set by the government and used to determine eligibility for many federal financial assistance programs. Tax-exempt hospitals often use FPG guidelines in their Financial Assistance policies to determine which patients will qualify for free or discounted care.
In addition to the federal requirements, some states have laws stipulating community benefit requirements as a result of tax-exemption. The laws vary from state to state and may require the tax-exempt hospitals to submit community benefit reports. Data on this web tool captures whether or not a state had a mandatory community benefit reporting law as of 2011. For more information, please see Community Benefit State Law Profiles Comparison at The Hilltop Institute.

Community Health Needs Assessment Activities: 2021

The ACA requires all 501(c)(3) tax-exempt hospitals to conduct a Community Health Needs Assessment (CHNA) every three years, starting with the hospital's tax year beginning after March 23, 2012. The 2011 Schedule H included an optional section of questions on the CHNA process. This web tool includes responses for those hospitals voluntary reporting this information. The web tool will be updated to reflect changes in these questions on the 2012 and subsequent Schedule H forms.

Did the tax-exempt hospital report that they had conducted a CHNA?	YES
Did the CHNA define the community served by the tax-exempt hospital?	YES
Did the CHNA consider input from individuals that represent the broad interests of the community served by the tax-exempt hospital?	YES
Did the tax-exempt hospital make the CHNA widely available (i.e. post online)?	YES
Did the tax-exempt hospital adopt an implementation strategy to address the community needs identified by the CHNA?	YES

Supplemental Information: 2021

This section presents qualitative information submitted by the hospital, verbatim from the 990H record.

Statement of Program Service Accomplishments
Description of 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 (Expenses $ 308920701 including grants of $ 12512597) (Revenue $ 0)
RESEARCH EDUCATION - 69 LABORATORIES (AND 17 EMERITUS LABORATORIES) INCLUDING 75 FACULTY MEMBERS, 233 POST-DOCTORAL SCHOLARS, 252 GRADUATE STUDENTS AND WEILL MEDICAL COLLEGE OF CORNELL UNIVERSITY MEDICAL STUDENTS.

4B (Expenses $ 15869010 including grants of $ 0) (Revenue $ 0)
HOSPITAL - CONSISTS OF 40 BEDS AND SERVES AS A CLINICAL RESEARCH CENTER FOR OUTPATIENTS AND INPATIENTS. THE ROCKEFELLER UNIVERSITY HOSPITAL EXISTS SOLELY TO CONDUCT CLINICAL RESEARCH. THE SPECIALIZED PERSONNEL AND OTHER RESOURCES AVAILABLE AT THE HOSPITAL FACILITATE CLINICAL RESEARCH FOR BOTH THE INVESTIGATOR AND THE RESEARCH PARTICIPANT.

4C (Expenses $ 2860405 including grants of $ 0) (Revenue $ 0)
LIBRARY CONTAINS 415,492 VOLUMES (OF WHICH 370,028 ARE ON-LINE) AND 7,209 ON-LINE SUBSCRIPTIONS AND IS MAINTAINED ON AN OPEN STOCK POLICY. THE LIBRARY STRIVES TO ADVANCE KNOWLEDGE BY SUPPORTING OUR UNIVERSITY'S WORLD CLASS RESEARCH COMMUNITY WITH TECHNOLOGY, INNOVATION, AND COLLABORATION IN THE FIELD OF SCIENCE INFORMATION AND COMMUNICATION.

4D (Expenses $ 35046950 including grants of $ 0) (Revenue $ 29223957)
Auxiliary Enterprises - housing on campus for single and married students; off campus housing for faculty and other University personnel; food service consists of cafeteria dining facilities; press includes Journal and subscriptions.

Facility Information

Schedule H (Form 990) Section C. Supplemental Information for Part V, Section B.

Part V, Section A:
The Rockefeller University Hospital exists solely to conduct clinical research. The specialized personnel and other resources available at the Hospital facilitate clinical research for both the investigator and the research participant. The Hospital's facilities include a licensed 40 bed inpatient unit (14 beds are active) which operates 24 hours a day, 365 days a year. All patient rooms are single occupancy, private accommodations. Specialized facilities include a four-room procedure suite, suitable for endoscopy and biopsy procedures; and an inpatient wireless telemetry system that can remotely monitor any 4 beds at a time. The Robert & Harriet Heilbrunn Outpatient Research Center opened in January 2003 and includes 9 exam rooms, 2 consultation rooms, and 2 phlebotomy rooms, as well as other patient and staff facilities. The Outpatient Research Center is open weekdays from 7AM to 5PM. The Rockefeller University Hospital and Center for Clinical and Translational Science is particularly suitable to conducting studies involving moderate and low acuity patients, as well as high intensity, high-complexity protocols such as pharmacokinetics and metabolic studies. The Hospital's strengths include a specialized Research Bionutrition Department, an on-site Research Pharmacy, and facilities to support long-stay inpatient studies, including a recreation area which offers participants video and computer activities. Full clinical laboratory services are provided via contract with Memorial-Sloan Kettering Cancer Center; Radiology and EKG interpretations are provided by arrangement with New York-Presbyterian Hospital; on-site apheresis services are provided by contract with New York Blood Center. The Hospital is licensed by the State of New York.

The Rockefeller University Hospital
Part V, Section B, Line 6a: Maimonides Medical Center and New York Community HospitalMemorial Sloan Kettering Cancer CenterNew York-Presbyterian HospitalNiagara Falls Memorial Medical CenterSt. John's Riverside Hospital

The Rockefeller University Hospital
Part V, Section B, Line 6b: MediSysHealth NetworkMontefiore Health SystemNorthwell HealthNuvanceOne Brooklyn Health SystemSBH Health SystemWMC HealthNetwork

The Rockefeller University Hospital
Part V, Section B, Line 7d: Publicized annually in The Rockefeller University's eNewsletter.

The Rockefeller University Hospital
Part V, Section B, Line 11: Part V, Section B, lines 5 and 11See Part VI for Community Building Activities

Schedule H Part V, Line 22 - 24
"The section ""charges to individuals eligible for assistance under the financial assistance policy"" is not applicable since the Hospital neither collects insurance information from its reseach participants (patients), nor bills for services, neither a collection policy nor an amounts generally billed calculation are necessary."

Supplemental Information

Schedule H (Form 990) Part VI

Schedule H Part VI, Narratives
Part I, Lines 3c, 6a and 7 - Not applicable.Part III, Lines 2,3,4 and 8 - Not applicable.Part VI, Line 7 - The Rockefeller University Hospital is not required to file a community benefit report with the State of New York.

Part II, Community Building Activities:
The Rockefeller University Hospital is located on the Upper East Side of Manhattan in Community District 8. The Rockefeller University Hospital is a unique institution. As an institution solely committed to conducting clinical research our community/service area is defined as the New York Metropolitan Area. The Rockefeller University Hospital has provided an array of clinical research and patient care services since its founding in 1910. The Rockefeller University Hospital community served/service area is determined based on research being conducted. Principal Investigators identify an area of interest and submit a protocol for review and approval by our institutional review board. When the protocol is approved, our recruitment office works with the investigator to develop and submit advertisements in local newspapers, magazines and online. Identification of lucrative places to advertise is determined by current trends in readership among local newspapers, magazines and visits to particular websites such as Craigslist and Facebook. Research participants are culled from all over New York City as well as through collaborations with neighboring hospitals, Universities, and clinics. As a result, our enrolled research participant demographics are similar to those of New York City overall. In calendar year 2021 7% of research participants identified as Hispanic, 19% identified as Black or African-American and 42% identified as white (RUH subject race and ethnicity report 2021), which is similar to the geographic makeup of New York City (42.7% white, 23.8% Black or African-American, and 28.9% Hispanic). Source: https://www.census.gov/quickfacts/newyorkcitynewyork?

Part III, Line 9b:
The Rockefeller University Hospital does not have any net patient service revenue as it does not charge its patients. The patients, referred to as participants, are subject volunteers who receive participant compensation for certain clinical trials and research studies that are preformed on a routine basis.

Part VI, Line 2:
Volunteers/participants (patients) who consent to participate in research studies (protocols) participate (treated) without charge. Unlike most hospitals, the Rockefeller University Hospital does not routinely provide standard diagnostic and treatment services. Admission is selective; research participants (patients) are enrolled in studies by hospital Licensed Independent Practitioners (LIP's) solely because they meet the inclusion criteria of the illness or condition being studied, or because they are healthy volunteers and are also needed for study. Thus, all research participants are volunteers, and as such are important partners in the research process. Without volunteers, significant advances in biomedical knowledge could not otherwise be achieved.

Part VI, Line 3:
The Rockefeller University Hospital conducts research funded primarily by a subsidy from The Rockefeller University. All research participants (patients) are voluntary research subjects who are not charged for participation in clinical research studies at the Rockefeller University Hospital. In the process of performing patient-oriented research, the need for medically indicated and thus potentially reimbursable care could arise; however, the hospital does not bill patients or their insurance companies for such service. The Rockefeller University Hospital does not collect insurance information from research participants outside of the requesting the type of insurance they have. We only ask that they self-report if they are insured or uninsured. If a research participant (patient) needs access to social services, and any additional ancillary services not part of the research protocol, the Rockefeller University Hospital provides access to social services to help research participants access care externally should the need arise. All research participants (patients) are aware and are told during the consent process when they agree to participate in a research protocol that there are no fees for services rendered.

Part VI, Line 6:
The Rockefeller University Hospital is not part of an affiliated health care system.

Part VI, Line 4:
The Rockefeller University Hospital is located on the Upper East Side of Manhattan in Community District 8. The Rockefeller University Hospital is a unique institution. As an institution committed to conducting clinical research, our community/service area is defined as the New York Metropolitan Area. The Rockefeller University Hospital has provided an array of clinical research and patient care services since its founding in 1910. Research participants are culled from all over New York City through collaborations with neighboring hospitals, Universities, and clinics. Patients with rare disease that are being studied at Rockefeller come from all over the world. As an institution that provides services to volunteers who have agreed to participate in a research study our participant demographics generally follow those of New York City, which is 41.3% white, 23.8% Black or African American, and 28.9% Hispanic (https://www.census.gov/). In calendar year 2021 7% of research participants identified as Hispanic, 19% identified as Black or African American and 42% identified as white (RUH subject race and ethnicity report 2021). The Rockefeller University Hospital is owned by the University and is licensed for 40 inpatient beds for clinical research. The Hospital provides researchers with an opportunity to conduct clinical studies and offers both normal volunteers and people with diseases under study the opportunity to stay in the hospital and help to contribute to important advances in science. The Hospital has an inpatient unit as well as an outpatient center where prospective patients are screened, and many outpatient studies are conducted. Medical services, surgical services, emergency care, specialized care, rediology and ambulatory care is provided by New York Presbyterian Hospital. In addition, cancer care, education and research are provided by Memorial Sloan-Kettering Cancer Center. Both institutions are located adjacent to Rockefeller University Hospital. The Rockefeller University Hospital does not generally provide medical care for research participants beyond that needed for participation in the research study. Should a research participant become acutely and severely ill, they are immediately transferred to New York Presbyterian Hospital since they are equipped to respond to the health needs of the community. The hospital inpatient unit is staffed 5 days a week, 24 hours a day with professional nurses and has nutritional research services, social work, as well as its own research pharmacy. Our staff Hospitalist and on-call physicians provide additional medical support to the clinical research teams. Social service needs, primary and chronic disease needs, health issues of uninsured persons, low-income persons, and minority groups are assessed by our on-site social worker. The social worker then refers research participants based on needs to local institutions that can provide resurces. In 2020 the coronavirus pandemic had a significant impact on how health care is accessed and provided in New York City. The pandemic shed additional light on the many inequities in health care including access to care and the many racial disparities that exist based on socioeconomic status and race. The global pandemic made clear that everyone can be affected and that isolation, mental and emotional health as well as the economic impact will continue to shape how health care is provided in this country and will be analyzed and assessed for years to come. The impact on our research during the global pandemic immediately affected participation in research. In 2021 The Rockefeller University Hospital had 163 inpatient days(41 admissions) and over 1,900 outpatient visits more than a 40 percent decrease in prior years.

Part VI, Line 5:
The Rockefeller University Hospital conducted community health needs assessment in the summer of 2022 in collaboration with The Greater New York Hospital Association Community Health Needs Assessment (CHNA) survey collaborative to determine health concerns of New York City residents. A diverse group of GNYHA hospitals participated in the 2022 collaborative including community and safety net hospitals, small health systems, and large academic medical centers. The survey was developed by GNHYA with member input and was made available across NYC in 11 languages online and in paper form. GNHYA collected the data, analyzed the results, and created custom reports for each participating institution. More than 17,000 community members submitted the survey with approximately 70 percent of respondents completing the entire survey (CHNASurveyCollab-ES). We reviewed and analyzed data provided by CHNA survey collaborative results, DOH 2021 Health Equity Reports, the New York State Department of Health and The New York City Department of Health and Mental Hygiene neighborhood health atlas, and snapshots with an in-depth look at health needs of the community in District 8 where Rockefeller University Hospital is located as well as New York City as a whole. This allowed us to review key health trends among New York City residents, as well as residents located near our research hospital. New York City residents identified the following health concerns: - Violence (including gun violence)- Mental health/depression- Falls among the elderly- Dental Care- COVID-19- Cancer - Heart Disease- Access to healthy/nutritious food- Cardiovascular disease- Chronic Disease Care - Clinic/hospital access programs- Support services The New York Metropolitan area has an array of health needs based on geographic location and socioeconomic status. According to the New York City Department of Health and Mental Hygiene 78% of New York City adults considered themselves to be in very good or good health (Community Health Profiles 2018). Chronic diseases such as diabetes, hypertension and obesity continue to severely affect the communities we serve. Nearly 2.4 million adult New Yorkers reported having hypertension, an increase of approximately 33% of the total population since 2016, and more than 24 percent of New York City residents are identified as overweight or obese (Community Health Profiles 2018). The number of New Yorkers who are uninsured has decreased since the initiation of the Affordable Care Act (ACA) from 20 precent to 12 however access and health equity in health care continue to be concern for many residents and research participants. While many research participants tend to seek care with a primary care physician in lieu of high utilization of the emergency room where there was no follow-up care to track disease progression, we know that environment, including housing, safety, and access to care continue to plague communities in New York City. Although The Rockefeller University Hospital does not provide direct care to research participants outside of the research protocol, the health of our participants is our highest priority and so, in addition to providing care as per the protocols free of charge, we identify resources and services to ensure access to support services and medical facilities outside of our hospital to meet the health needs of our participant community. To that end, The Rockefeller University Hospital has a social worker on staff to conduct one-on-one consultations with, and assessments of, research participants to determine their needs and identify outside resources that can further assist them in receiving the care they require. As part of this service, The Rockefeller University Hospital maintains strong relationship with organizations in the New York Metropolitan area that can provide these services to expedite referrals. The Rockefeller University Hospital community served/service area is determined based on research being conducted. Principal Investigators identify an area of interest and submit a protocol for review and approval by our institutional review board. When the protocol is approved, our recruitment office works with the investigator to develop and submit advertisements in local newspapers, magazines and online. Identification of lucrative places to advertise is determined by current trends in readership among local newspapers, magazines, and visits to websites such as Craigslist's and Facebook. Demographics of research participants recruited is similar to that of the demographic of New York City, 16% identified as Hispanic, 41% Black/African American and 31% identified as White (RUH recruitment repository data 2018). To assist the hospital in identifying health concerns to address as part of our community service plan, The Rockefeller University Hospital reviewed statistics from the New York State Department of Health Prevention Agenda towards a health state Prevention Agenda 2019-2024), and New York State Health Assessment 2018.

Operating expenses	$ 596,078,177
Total amount spent on community benefits as % of operating expenses	$ 13,210,838 2.22 %