2014-12-01T07:54:45-06:00 2013-12-31 ERNST & YOUNG US LLP 111 MONUMENT CIRCLE STE 4000 INDIANAPOLIS IN 46204 990 2013-01-01 131624135 NEW YORK SOCIETY FOR THE RELIEF OF THE RUPTURED AND CRIPPLED MAINTAINING THE % MARC GOULD NEWY 2126061000 535 EAST 70TH ST STREET Suite NEW YORK NY 10021 STACEY MALAKOFF EXEC VP & CFO 2014-12-01 2013 2015-11-30 17:44:51Z X Hospital for Special Surgery LOUIS SHAPIRO 535 EAST 70TH STREET NEW YORK NY 10021 884064218 false X www.hss.edu X 1863 NY PROVIDE THE HIGHEST QUALITY PATIENT CARE, IMPROVE MOBILITY, & ENHANCE THE QUALITY OF LIFE FOR ALL, & ADVANCE THE SCIENCE OF ORTHOPEDIC SURG, RHEUMATOLOGY, & THEIR RELATED DISCIPLINES. 46 34 4653 374 39734 0 60008806 50714338 715576520 778275155 7204950 6831980 35189405 37821726 817979681 873643199 148550 163250 0 0 430638233 471299743 0 0 0 335775887 359190968 766562670 830653961 51417011 42989238 1034696576 1149176073 549659562 519323548 485037014 629852525 X THE MISSION OF HOSPITAL FOR SPECIAL SURGERY IS TO PROVIDE THE HIGHEST QUALITY PATIENT CARE, IMPROVE MOBILITY, AND ENHANCE THE QUALITY OF LIFE FOR ALL AND TO ADVANCE THE SCIENCE OF ORTHOPEDIC SURGERY, RHEUMATOLOGY, AND THEIR RELATED DISCIPLINES THROUGH RESEARCH AND EDUCATION. WE DO THIS REGARDLESS OF RACE, COLOR, CREED, SEXUAL ORIENTATION, OR ETHNIC ORIGIN. false false 668950845 163250 779311496 PATIENT CARE: HOSPITAL FOR SPECIAL SURGERY IS COMMITTED TO PROVIDING WORLD-CLASS CARE TO ITS PATIENTS AND HELPING THEM TO REGAIN THEIR MOBILITY, WHILE ALSO ADVANCING RESEARCH INITIATIVES TO EXPLORE AND IMPROVE TREATMENTS FOR ORTHOPEDIC AND RHEUMATOLOGIC CONDITIONS. HOSPITAL FOR SPECIAL SURGERY OPERATED 199 AND 205 STAFFED BEDS AS OF DECEMBER 31, 2013 AND DECEMBER 31, 2012, RESPECTIVELY; AND 35 OPERATING ROOMS AS OF DECEMBER 31, 2013 AND DECEMBER 31, 2012. WE PERFORMED 29,287 SURGERIES, AN INCREASE OF 1,840 OVER THE PRIOR YEAR, WHILE NON-SURGICAL OUTPATIENT VISITS NUMBERED 358,269, 14,140 MORE THAN 2012. HOSPITAL FOR SPECIAL SURGERY PROVIDED INPATIENT CARE TO 14,224 PATIENTS, 279 MORE THAN 2012. OF THOSE IN 2013, 13,905 WERE SURGICAL. TOTAL AMBULATORY SURGICAL CASES NUMBERED 15,382, AN INCREASE OF 1,655 FROM 2012. THE HOSPITAL HAS A DIVERSE PATIENT POPULATION SERVING THOSE WITH PUBLIC INSURANCE (MEDICARE AND MEDICAID), PRIVATE INSURANCE (VARIOUS PAYORS) AND THE UNINSURED. THE HOSPITAL MAINTAINS A FINANCIAL ASSISTANCE PROGRAM TO ASSIST THOSE THAT CAN NOT PAY FOR ITS SERVICES AND PROVIDES NUMEROUS OTHER COMMUNITY BENEFIT PROGRAMS. HOSPITAL FOR SPECIAL SURGERY IS ALSO RECOGNIZED AS A MAGNET HOSPITAL FOR EXCELLENCE IN NURSING CARE. THE HOSPITAL IS RECOGNIZED FOR ITS EXCELLENCE IN PATIENT CARE AND IS CONSISTENTLY RANKED BY U.S. NEWS AND WORLD REPORT IN ITS SPECIALTIES. 33917126 29103663 RESEARCH: The Research Division of Hospital for Special Surgery continued its activities in 2013 toward enhancing and expanding our research in musculoskeletal diseases. Research at Hospital for Special Surgery works to advance the understanding and treatment of musculoskeletal disorders through basic, translational and clinical research and education. The goals are to identify genetic, environmental, cellular, structural and molecular mechanisms underlying disorders important in orthopedics, rheumatology and related disciplines and to discover effective approaches for diagnosis prevention, and treatment of these disorders. The Research Division is funded by an operating budget of $33.7 million, supported in part by approximately $19.7 million in extramural funds, including $9.9 million from federal grants. This research resulted in 400 publications from 93 scientists in 2013. Highlights for 2013 include: Creation of the HSS Genomics Center, translating scientific discoveries into clinical practice, continuing a mentoring program for early career scientist and for clinician scientists, recruitment of two new scientists, publishing results of our extensive research portfolio in leading scientific journals, and expanding our clinical research utilizing data from 47 research registries containing information on more than 110,000 patients. 26546296 6358441 EDUCATION AND ACADEMIC AFFAIRS: The Hospital for Special Surgery Education & Academic Affairs Division continued to make strides towards the mission to be "The Most Trusted Educator" in the field of Musculoskeletal Medicine for patients, physicians, allied health professionals and the general public. In 2013 we strengthened strategic partnerships with our 22 education and academic affairs advisory committees and institutional partners, as well as furthering external community relations globally. The Hospital's Education & Academic Affairs Division trained 40 residents, 78 fellows, and 580 medical students and trainees who spend part of the year at HSS. In addition, we received accreditation with commendation, the highest level of accreditation, by the Accreditation Council for Continuing Medical Education (ACCME). In 2013, we reached nearly 48,000 participants through cutting edge education programs, including our HSS eAcademy (the Hospital's digital professional education platform), ACGME Programs, CME accredited activities, Bioskills Education Laboratory sessions, International Learning and Training Center initiatives, Kim Barrett Memorial Medical Library users, and Public and Patient Education programs. We continue to set the highest standard with our ACCME accredited and non-accredited professional education programs. More than 40 live programs, grand rounds and CME-approved HSS Journal articles were offered throughout the year. An additional 115 virtual professional education modules were provided via live streaming and on-demand formats. 729414267 true true false true false false false false false true true true false true true false true false false false true false false false false false true true true false true true false false false false false false false false false true true false false false false true true true false false true X 261 0 true 4653 true true true true EI VI false false false false false false false false X 46 34 true false false false true true true true true false false true true true true true true true true false AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X MARC GOULD 2126061323 535 EAST 70TH STREET NEW YORK NY 10021 Mary Crow Member/Physician-in-Chief 59.23 0.77 X 550571 1000 36959 Charles Cornell Member/Attending Physician 56.15 0.77 X 1262014 1000 64197 Jonathan Deland Member/Attending MD-Left FY13' 13.62 0.4 X 104818 0 38264 Steven Goldring Member/Chief Scientific Offic. 60.0 0.0 X 518740 0 46217 Gregory E Lutz MD Member/Attending Physician 5.83 0.4 X 9728 0 50779 Douglas Padgett Member/Attending Physician 11.7 0.4 X 142627 0 48555 Thomas Sculco Member/Surgeon-in-Chief 38.58 0.77 X X 1587587 1000 57877 Russell Warren Member/Attending Physician 10.1 0.4 X 76835 0 35985 Philip Wilson Jr Member/Attending Physician 0.62 5.53 X 0 88342 30396 James M Benson Member 0.37 0.06 X 0 0 0 Daniel C Benton Member 0.56 0.1 X 0 0 0 Herbert Black Member 0.29 0.06 X 0 0 0 Richard A Brand MD Member 0.59 0.11 X 0 0 0 Michael Brooks Member 1.15 0.21 X 0 0 0 Kathryne Chenault Member 0.89 0.16 X 0 0 0 Charles Coleman III Member 0.96 0.17 X 0 0 0 Leslie Cornfeld Member 1.51 0.27 X 0 0 0 Cynthia Foster Curry Member 3.46 0.61 X 0 0 0 Barrie M Damson Member 1.81 0.37 X 0 0 0 James G Dinan Member 2.1 0.37 X 0 0 0 Anne Ehrenkranz Member 0.98 0.18 X 0 0 0 Michael Esposito Member 3.92 0.69 X 0 0 0 Marina Kellen French Member 0.46 0.09 X 0 0 0 Craig Ivey Member 0.56 0.1 X 0 0 0 Winfield P Jones Member 0.37 0.06 X 0 0 0 Monica Keany Member 3.55 0.63 X 0 0 0 Thomas J Kelly Member 2.29 0.41 X 0 0 0 David H Koch Member 2.29 0.41 X 0 0 0 Lara Lerner Member 0.37 0.06 X 0 0 0 Marylin B Levitt Member 4.47 0.79 X 0 0 0 Thomas Lister Vice-Chair 3.94 0.69 X X 0 0 0 Alan S MacDonald Member 1.89 0.33 X 0 0 0 David M Madden Member 0.59 0.11 X 0 0 0 Richard L Menschel Chairman, Emeritus 5.89 1.04 X 0 0 0 Dean R O'Hare Co-Chair 13.75 3.75 X X 0 0 0 Aldo Papone Member 4.29 0.76 X 0 0 0 Gordon Pattee Member 0.37 0.06 X 0 0 0 Susan W Rose Member 0.79 0.14 X 0 0 0 Jonathan Sobel Member 2.8 0.5 X 0 0 0 Deirdre Stanley Member 2.05 0.36 X 0 0 0 Robert K Steel Member 4.01 0.71 X 0 0 0 Daniel G Tully Member - Left in FY2013 0.55 0.1 X 0 0 0 Mrs Douglas A Warner III Member 5.86 1.03 X 0 0 0 Sanford I Weill Member 0.37 0.06 X 0 0 0 Torsten N Wiesel MD Member 0.59 0.11 X 0 0 0 Kendrick R Wilson III Co-Chair 14.52 2.98 X X 0 0 0 Ellen M Wright Member 3.1 0.55 X 0 0 0 Louis A Shapiro President & Chief Exec Officer 46.73 13.27 X X 1868936 467234 70051 Lisa Goldstein Executive VP & COO 52.2 7.8 X 1016164 151841 53980 Stacey Malakoff Exec VP & Chief Fin Officer 49.73 10.27 X 1018391 179717 54906 Constance B Margolin EXEC VP & CHIEF LEGAL OFFICER 49.73 10.27 X 575376 101537 44399 Deborah Sale Exec VP Ext Affairs 21.0 39.0 X 198779 369159 77400 Ralph Bianco Vice President 54.0 6.0 X 313892 34877 57612 Stephanie Goldberg Vice President 60.0 0.0 X 394168 0 41885 Helen Pavlov - through 1213 RADIOLOGIST IN CHIEF 60.0 0.0 X 961447 0 62351 Hollis Potter - starting 1213 RADIOLOGIST IN CHIEF 60.0 0.0 X 858007 0 60268 Scott Rodeo Associate Attending Physician 51.37 0.0 X 1535973 0 50624 Ernest Sink Associate Attending Physician 39.79 0.0 X 1266160 0 52528 James Farmer Attending Physician 55.9 0.0 X 1099544 0 52417 Roger Widmann Associate Attending Physician 41.73 0.0 X 1052708 0 54423 Matthew Cunningham Associate Attending Physician 48.27 0.0 X 1034152 0 26871 17446617 1395707 1168944 893 false true false CONSTRUCTION CONTRACTORS 208 RUSSELL PLACE HACKENSACK NJ 07601 CONSTRUCTION 5861611 RXR CONSTRUCTION 625 RXR PLAZA UNIONDALE NY 11556 CONSTRUCTION 2905411 ALLSCRIPTS HEALTHCARE LLC 24630 NETWORK PLACE CHICAGO IL 60673 SOFTWARE DEV CONSULT 2751512 PROSKAUER ROSE LLP 11 TIME SQUARE NEW YORK NY 10036 LEGAL 2262570 MORGAN CONSTRUCTION ENTERPRISE 30 COOPER SQUARE 10TH FL NEW YORK NY 10003 CONSTRUCTION 1911583 134 1165004 10943208 38606126 1960395 50714338 NET INPATIENT REVENUE 622110 416804098 416804098 NET OUTPATIENT REVENUE 622110 279147990 279147990 PROFESSIONAL FEES 622110 82323067 82323067 778275155 3207575 3207575 0 899000 899000 0 0 0 14045424 10421019 3624405 3624405 3624405 0 0 0 RECOVERIES-EXPENSES 622110 17134754 17134754 RECOVERIES-MD RELATED EXP 622110 11402394 11402394 MISCELLANEOUS 622110 8385578 7961297 39734 384547 36922726 873643199 814773600 39734 8115527 163250 163250 0 0 0 12267657 7375508 4892149 0 342774082 308466035 34308047 33466427 30232532 3233895 60201424 53561578 6639846 22590153 20095972 2494181 4320600 1498053 2822547 3974743 3974743 433000 433000 74491 74491 0 200000 200000 8657995 7469707 1188288 9001459 9001459 30400634 26088172 4312462 8139091 8139091 0 38832403 34976300 3856103 1997432 1445636 551796 0 0 9970837 8916675 1054162 0 47800174 42940387 4859787 26063680 22141546 3922134 MEDICAL SUPPLIES & IMPLANT 126022535 126022535 RESEARCH (NET OF RECOVERIES) 15909020 15909020 BAD DEBT 5902429 5902429 MISCELLANEOUS 21490445 16208932 5281513 830653961 729414267 101239694 0 36482472 36925066 16456925 17755000 38276454 39104214 86740453 90009310 0 0 0 0 0 0 6776504 6674210 13764128 11317630 875064313 479665735 389722094 395398578 239505291 304617775 92725064 115056765 0 0 0 0 114247191 132317525 1034696576 1149176073 70110174 66042713 0 0 0 0 170185414 182165868 0 0 0 0 72308656 65261437 0 0 237055318 205853530 549659562 519323548 X 254128677 376478841 129235726 151028164 101672611 102345520 485037014 629852525 1034696576 1149176073 X 42989238 33592666 68233607 X false true X true true true X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 74491 224512 74491 224512 830579470 839160286 830653961 839384798 1000000 1000000 250000 250000 1000000 1000000 1000000 1000000 4000000 6000000 60006 48504 111703 74491 294704 250000 250000 250000 250000 1000000 1500000 0 0 0 0 0 230908337 56977831 21678691 56191175 253373684 204007061 67649347 16121055 56869126 230908337 185499953 73124871 -1859184 52758579 204007061 168118173 57163090 13957679 53738989 185499953 148902627 48780653 19262521 48827628 168118173 0.40000 0.60000 true false 223403 223403 510419178 246267412 264151766 358868848 233398323 125470525 5552884 5552884 395398578 ALTERNATIVE INVESTMENTS 115056765 F 115056765 INSURANCE CLAIMS RECEIVABLE 74588768 INT IN HSS FUND, INC.-FASB 136 27568753 DUE FROM AFFILIATES -MRKT SEC. 20627795 457B DEFERRED COMP PLAN ASSETS 5718111 DUE FROM AFFILIATES - NET 2713856 INVESTMENT IN SUTTON HOUSE 820000 GOODWILL 191000 GPA HOLDINGS, LLC 89242 132317525 0 DEFINED BENEFIT PENSION PLAN 69412688 INSURANCE CLAIM LIABILITY 74588768 DUE TO THIRD PARTY PAYORS 27885882 CAPITAL PROJECTS FUNDED BY DEB 8991091 457B DEFERRED COMP PLAN LIABIL 5718111 ACCRUED POST-RETIREMENT HEALTH 5124090 OTHER ACCRUED LIABILITIES 14132900 205853530 862163899 51007263 51007263 811156636 62486563 62486563 873643199 830653961 830653961 830653961 SCHEDULE D, PART V, LINE 4 - ENDOWMENT FUNDS THE HOSPITAL'S ENDOWMENTS INCLUDE RESTRICTED (RESEARCH OR SPECIFIC PURPOSE) AND UNRESTRICTED ENDOWMENTS. TEMPORARILY RESTRICTED FUNDS ARE USED FOR RESEARCH, EDUCATION, PATIENT NEEDS, OR RELATED ADMINISTRATIVE ACTIVITIES IN ACCORDANCE WITH DONOR RESTRICTIONS. SCHEDULE D, PART XI, LINE 2D REPRESENTS TRANSFERS FROM SPECIFIC PURPOSE FUNDS OF $17,291,739, NET ASSETS RELEASED FROM RESTRICTIONS FOR RESEARCH OPERATIONS OF $29,103,663 AND EQUITY EARNING OF ALTERNATIVE INVESTMENTS INCLUDED IN UNRESTRICTED PORTFOLIO NET CHANGE IN UNREALIZED GAINS ON SECURITIES INCLUDED IN ACCOUNTS MANAGED BY EXTERNAL PARTIES OF $4,611,861. SCHEDULE D, PART XI, LINE 4B REPRESENTS CONTRIBUTIONS TO SPECIFIC PURPOSE FUNDS OF $17,809,790, CONTRIBUTIONS TO ENDOWMENT FUNDS OF $672,909, CONTRIBUTIONS TO PLANT REPLACEMENT & REPLACEMENT FUNDS OF $9,224,282, FOUNDATION AND INSTITUTIONAL GRANTS (INCLUDES FUND, INC. CONTRIBUTIONS) OF $18,327,641, GOVERNMENT GRANTS OF $10,943,209, RESTRICTED INVESTMENT INCOME OF $1,964,766, AND RESTRICTED GAIN OF $3,543,966. Central America and the Caribbean Investments 62613557 Central America and the Caribbean MEDICAL INSURANCE PREMIUM 16608790 79222347 79222347 true false false true true false Schedule F, Part I, Line 3 - Health Education The Hospital reimburses its executives, physicians and scientists for attending conferences, some of which may be outside of the United States. true true X true X true X 500. true true false true true 6144677 1892968 4251709 0.00510 17572944 9012066 8560879 0.01030 23717621 10905034 12812588 0.01540 3268566 718314 2550251 0.00310 41275626 6184713 35090912 0.04220 40934844 28047537 12887307 0.01550 85479036 34950564 50528470 0.06080 109196657 45855598 63341058 0.07620 true 2562131 1352671 134111780 171771821 -37660041 X true true 1 1 HOSPITAL FOR SPECIAL SURGERY 535 EAST 70TH STREET NEW YORK NY 10021 www.hss.edu 7002012H X X X X HOSPITAL FOR SPECIAL SURGERY 1 true X X X X X X X X X 13 true false true X hss.edu/community.asp#.U7q42JRdU40 X X X X X X X X X X false false true true 100 true 500. true X X X X X true true X X X X true false X X X false X X false false PART V, LINE 3 (A)Survey Construction/Development Phase: Collaboration with the public, internal stakeholders, and community partners was crucial to the success of the CHNA survey. To this end, all groups were consulted in its development phase. Thirteen members of the community, including Public and Patient Education Department and Department of Social Work Programs participants and members of the Carter Burden and Mott Street Senior Centers, provided feedback on survey construction and length in late January and early February 2013, mainly through one-on-one interviews. In addition, the Hospital was careful to elicit public input about survey translations to ensure that they were culturally relevant; health literacy considerations were also taken into account. Internal stakeholders and community partners provided valuable feedback about survey construction, the use of validated measures, cultural relevance, health literacy and survey gaps via extensive phone conversations, emails and in- person discussions. All feedback was aggregated and used to adjust survey questions, construction and cultural relevance. Below outlines the community partners involved in survey construction: - Arthritis Foundation - New York Chapter - Sharon Jaycox-Daitz, MS, Regional Vice President, Northeast Programs; Kate Anastasia, MPA, Regional Director of Programs - Charles B. Wang Community Health Center - Loretta Au, MD,Section Chief of Pediatrics - Children's Aid Society - Lisa Aslan, Director of Reproductive Health; Sarah Binder, Health Educator, Family Planning Program - Clinical Translational Science Center, Community Engagement Core, Weill Cornell Medical College - Lula Mae Philips, Community Program Manager - East Side Council on the Aging (ESCOTA) - Reeva Mager, LMSW, Chair - General Human Outreach in the Community, Inc. - Henrietta Ho-Asjoe, MPS, Executive Director - Lenox Hill Neighborhood House - Dina Zempsky, MSW, Director of Case Management - Medicare Rights Center - Frederic Ricardi, LMSW, Director of Programs and Outreach - National Osteoporosis Foundation - Judy Chandler, MPH, CHES, Health Education Specialist - NYC DOHMH, Office of Minority Health - Nana Aboagye, Director - Silberman School of Social Work at Hunter College - Kam man (Kenneth) Kwong, PhD, Assistant Professor - S.L.E. Lupus Foundation - Diane Gross, MPH, National Director of Program Development - Translational Research Institute for Pain in Later Life (TRIPLL) (B) Identification of Community Health Needs and Services Phase: HSS facilitated systematic, scheduled input and feedback from its varied constituents - internal stakeholders, the general public, and community partners - to guide the selection of the health needs and services to address in its community programming. Relevant national, state and city health data and needs assessment results were also utilized to drive community programming. - Input from Internal Stakeholders: Internal meetings were held with various parties within the Hospital (HSS Departments of Public and Patient Education, Social Work Programs, Nursing, Nutrition, and Rehabilitation) to discuss identified health priorities and explore areas for implementing initiatives, using results from the CHNA and stakeholders' awareness of community needs to guide the discussion. The group discussed focusing on increasing access to high quality, culturally relevant chronic disease preventive care and management of musculoskeletal and rheumatologic conditions and reducing obesity in adults and children, which aligns with the New York State Department of Health's Community Service Plan priority areas. - Input from the General Public: A public forum was held in May 2013 to allow members of the community an opportunity to discuss how the Hospital could prioritize community health needs. The public expressed the need for programs that improve diet and physical activity and empower the community to prevent and manage their musculoskeletal and rheumatologic conditions. Furthermore, community members agreed that HSS should focus on developing strong programs and services aimed at reducing obesity and increasing access to high quality chronic disease preventive care and management in clinical and community settings. - Community Partner Feedback: Feedback from community partner organizations was critical to driving the selection of public health priorities for the Hospital. Using results of the CHNA as the basis for discussion, HSS and its partners exchanged valuable information regarding community needs, explored areas for future collaboration, and solidified a mutual commitment to advancing public health. Furthermore, community partner knowledge of their respective community helped to identify gaps in community programming - or more specifically, areas where HSS could use its areas of expertise to make a lasting public health impact. Overall, feedback from these meetings solidified the direction for programs that improve the community's diet and increase physical activity to combat obesity among children and adults, examine specific communities in need of chronic disease preventive care and management (including older adults, diverse communities and lower-income groups), and provide culturally-relevant education regarding musculoskeletal and rheumatologic issues. Additionally, the Hospital met with the Greater New York Hospital Association (GNYHA), a trade association, and regulatory agencies to inform the structure and process for selecting its public health priorities. The Hospital also attended executive briefings regarding plans and updates to the NYC DOHMH Take Care New York health policy on February 20th and July 19th, 2013, meetings which were facilitated by GNYHA, to ensure the Hospital's priority/focus areas are aligned with state and local health department goals. PART V, LINE 5D THE HOSPITAL SUMMARIZED THE RESULTS OF ITS COMMUNITY HEALTH NEEDS ASSESSMENT (CHNA) IN ITS COMMUNITY BENEFIT REPORT. THE COMMUNITY BENEFIT REPORT AND CHNA ARE POSTED ON THE HOSPITALS WEBSITE, AT HTTP://WWW.HSS.EDU/COMMUNITY.ASP#.VBWVGZRDU40, AND BOOKLETS ARE ALSO DISTRIBUTED WITHIN THE HOSPITAL. PART V, LINE 7 GIVEN THE HOSPITAL'S FOCUS ON MUSCULOSKELETAL AND RHEUMATOLOGIC CONDITIONS, CHNA RESULTS SUGGESTING THE NEED FOR INCREASING PREVENTIVE CARE SUCH AS MAMMOGRAMS OR PAP SMEARS EXTENDS BEYOND THE SCOPE OF THE HOSPITAL. NEVERTHELESS, HSS IS COMMITTED TO PROVIDING COMMUNITY HEALTH EDUCATION TO VARIOUS AUDIENCES ON TOPICS THAT RELATE TO GENERAL PUBLIC HEALTH ISSUES THROUGH EFFORTS SUCH AS THE HSS NURSING COMMUNITY EDUCATION OUTREACH INITIATIVE, TO ADDRESS THE HEALTH EDUCATION NEEDS OF OLDER ADULT NYC RESIDENTS. MOREOVER, THE HOSPITAL PLANS TO CONTINUE DEVELOPING WELLNESS EDUCATION AND EXERCISE PROGRAMS TO PROVIDE THE HIGHEST QUALITY PATIENT CARE, IMPROVE MOBILITY, AND ENHANCE THE QUALITY OF LIFE FOR ALL. PART V, LINE 12B,H PER HOSPITAL POLICY, ASSETS FOR THOSE INDIVIDUALS WITH INCOME ABOVE 150% OF THE POVERTY GUIDELINES MAY BE CONSIDERED IN THE CALCULATION UTILIZED IN DETERMINING DISCOUNTS TO PATIENTS. HOWEVER, IN PRACTICE, ASSETS ARE NOT CONSIDERED IN ANY DETERMINATION. RESIDENTS OF THE UNITED STATES WHOSE GROSS ANNUAL INCOME DOES NOT EXCEED FIVE TIMES THE MOST CURRENT U.S. HEALTH AND HUMAN SERVICES (HHS) POVERTY GUIDELINES FOR THEIR FAMILY SIZE (TOTAL EXEMPTIONS CLAIMED ON THEIR FEDERAL TAX RETURN) ARE ELIGIBLE TO BE CONSIDERED FOR A PERCENTAGE DISCOUNT OF THEIR HOSPITAL BILL AS OUTLINED IN THIS POLICY, INCLUDING, WHERE APPLICABLE, A DISCOUNT OFF OF THEIR CO-PAYMENTS OR DEDUCTIBLES. NON-RESIDENTS OF THE UNITED STATES MAY BE CONSIDERED FOR A CHARITABLE DISCOUNT, BUT THIS POLICY DOES NOT APPLY TO THEM. ANY DISCOUNTS OR OTHER SUPPORT FOR A NON-RESIDENT OF THE U.S. MAY BE APPROVED ON A CASE BY CASE BASIS BY THE CHIEF EXECUTIVE OFFICER, IN HIS OR HER DISCRETION, ACTING IN CONSULTATION WITH THE CHIEF FINANCIAL OFFICER, SURGEON-IN-CHIEF AND PHYSICIAN-IN-CHIEF, WHEN UNIQUE AND SPECIAL CIRCUMSTANCES ARE PRESENTED AND THE CASE WILL NOT REQUIRE CARE OUTSIDE OF HSS. PART V, LINE 14G INFORMATION ABOUT THE AVAILABILITY OF THE FINANCIAL ASSISTANCE PROGRAM IS POSTED IN SIGNAGE IN ALL AREAS OF THE HOSPITAL AND ANCILLARY SERVICE LOCATIONS WHERE A PATIENT IS REGISTERED FOR SERVICES. IN ADDITION, THE SUMMARY OF THE HOSPITAL'S POLICY IS POSTED ON THE HOSPITAL'S WEBSITE. ANY HOSPITAL BILL RECEIVED BY THE PATIENT FOR SERVICE CONTAINS INFORMATION ON THE AVAILABILITY OF THE FINANCIAL ASSISTANCE PROGRAM. ADDITIONALLY, ANY BILL SENT TO A PATIENT BY THE HOSPITAL OR THE HOSPITAL'S COLLECTION SERVICE CONTAINS INFORMATION ON THE AVAILABILITY OF THE FINANCIAL ASSISTANCE PROGRAM. ALL REGISTRATION, CUSTOMER SERVICE, AND PATIENT ACCOUNTING STAFF ARE TRAINED ON THE AVAILABILITY OF THE PROGRAM AND INSTRUCTED ON HOW AND WHEN TO COMMUNICATE THIS INFORMATION. THE FINANCIAL ASSISTANCE COUNSELOR INFORMS PATIENTS IF THEY QUALIFY FOR FREE OR LOW-COST HEALTH INSURANCE SUCH AS MEDICAID, CHILD HEALTH PLUS, AND FAMILY HEALTH PLUS, AND MAKES THE ELIGIBILITY DETERMINATION FOR THE HSS FINANCIAL ASSISTANCE PROGRAM. THE COUNSELOR ASSISTS THE PATIENT IN FILLING OUT ALL THE FORMS. PART V, LINE 19D THE HOSPITAL FOR SPECIAL SURGERY IS A SPECIALTY ORTHOPEDIC HOSPITAL AND DOES NOT OPERATE AN EMERGENCY ROOM. THE HOSPITAL IS AFFILIATED WITH THE NEW YORK PRESBYTERIAN HEALTH SYSTEM, WHICH OPERATES A FULL SERVICE HOSPITAL MAINTAINING AN EMERGENCY ROOM LOCATED ADJACENT TO THE HOSPITAL FOR SPECIAL SURGERY. PART V, LINE 20D & 22 FOR THOSE UNINSURED PATIENTS ELIGIBLE FOR FINANCIAL ASSISTANCE, THE AMOUNTS BILLED TO INDIVIDUALS ARE BASED ON A SLIDING SCALE DISCOUNT FROM THE AMOUNT MEDICAID WOULD HAVE PAID FOR A SIMILAR SERVICE. 11 HOSPITAL FOR SPECIAL SURGERY 429 EAST 75TH STREET NEW YORK NY 10021 AFFILIATED DIAGNOSTIC CENTER HOSPITAL FOR SPECIAL SURGERY 525 EAST 71ST BELAIR BUILDING NEW YORK NY 10021 AFFILIATED REHABILITATION CENTER HOSPITAL FOR SPECIAL SURGERY 475 EAST 72TH STREET NEW YORK NY 10021 AFFILIATED OUTPATIENT CLINIC & DIAGNOSTIC HOSPITAL FOR SPECIAL SURGERY 635 MADISON AVENUE NEW YORK NY 10022 AFFILIATED PHYSICIAN OFFICE HOSPITAL FOR SPECIAL SURGERY 333 EARLE OVINGTON BLVD UNIONDALE NY 11553 AFFILIATED PHYSICIAN OFFICE HOSPITAL FOR SPECIAL SURGERY 523 EAST 72ND STREET NEW YORK NY 10021 AFFILIATED PHYSICIAN OFFICE & DIAGNOSTIC HOSPITAL FOR SPECIAL SURGERY 519 EAST 72ND STREET NEW YORK NY 10021 AFFILIATED DIAGNOSTIC CENTER HOSPITAL FOR SPECIAL SURGERY 176-60 UNION TURNPIKE QUEENS NY 11366 AFFILIATED DIAGNOSTIC CENTER HOSPITAL FOR SPECIAL SURGERY 510 EAST 73RD STREET NEW YORK NY 10021 AFFILIATED REHABILITATION CENTER HOSPITAL FOR SPECIAL SURGERY 600 HERITAGE DRIVE JUPITER FL 33458 AFFILIATED REHABILITATION CENTER HOSPITAL FOR SPECIAL SURGERY 143 SOUND BEACH AVE GREENWICH CT 06870 AFFILIATED PHYSICIAN OFFICE PART I, LINE 3 FREE CARE IS PROVIDED TO PEDIATRIC PATIENTS FOR CLINIC AND DIAGNOSTIC SERVICES WHOSE FAMILY INCOME IS 100% OR BELOW THE FEDERAL POVERTY GUIDELINES. ADULT PATIENTS WITH FAMILY INCOME 100% OR BELOW THE FEDERAL POVERTY GUIDELINES ARE CHARGED A NOMINAL FEE. DISCOUNTED CARE IS PROVIDED TO ALL OTHER PATIENTS ON A SLIDING SCALE BASIS WHOSE FAMILY INCOME IS AT OR BELOW 500% OF THE FEDERAL POVERTY GUIDELINES. PART I, LINE 7, COLUMN F 2013 BAD DEBT EXPENSE PRESENTED ON THE 2013 AUDITED FINANCIAL STATEMENTS WAS $5,902,429. IN ADDITION, TOTAL OPERATING EXPENSE WAS ADJUSTED ACCORDINGLY TO REFLECT THE .35% ($2,461,991) AND 1% ($3,741,722) TAX ASSESSMENTS IMPOSED BY NEW YORK STATE. AS SUCH, THESE FEES WERE ADJUSTED ACCORDINGLY IN LINE 7 AS WELL AS THE TOTAL OPERATING EXPENSE. PART I, LINE 7 The Hospital used the following methodologies to calculate the amounts reported for each line on Schedule H, Line 7: (1)Line 7a "financial assistance at cost" - utilized gross charges written off reflected in the 2013 Medicare Cost Report and reduced to cost by applying the ratio of patient care cost-to-charges. The patient cost to charge ratio is calculated in worksheet 2 with information from the 2013 Medicare Cost Report and HSS's 2013 general ledger trial balance. This cost was offset by the New York State uncompensated care pool revenue. (2)Line 7b "unreimbursed Medicaid" - utilized charges from the decision support accounting system and reduced to cost by applying the ratio of patient care cost-to charges. (3)Line 7e "community health improvement services" - the Hospital applied actual expenses to derive the cost. (4)Line 7f "health profession education" - the medical education cost was obtained from the 2013 Medicare Cost Report for direct and indirect expense. The cost was offset by Medicare and Medicaid Revenue related to Direct GME as well as other direct offsetting revenue related to "Health Profession Education". (5)Line 7h "research" - the 2013 Medicare Cost Report was utilized. PART III, LINES 2, 3, 4 A COST TO CHARGE RATIO OF 43.41% AS CALCULATED PER THE APPLICABLE FORM 990 INSTRUCTIONS WAS APPLIED TO THE BAD DEBT EXPENSE (AT CHARGES) OF $5,902,429 TO CALCULATE THE BAD DEBT EXPENSE OF $2,562,131 AT COST. THE METHODOLOGY UTILIZED TO ESTIMATE THE PORTION OF BAD DEBT AS COMMUNITY BENEFIT WAS BASED ON ONE MONTH'S SAMPLE OF INPATIENT AND OUTPATIENT ACCOUNTS THAT HAD BEEN PLACED INTO EXTERNAL COLLECTIONS. ADDITIONALLY, AN OUTSIDE PARTY'S ELIGIBILITY SYSTEM WAS UTILIZED TO ESTIMATE PATIENT'S INCOME. THE PATIENT'S INCOME WAS COMPARED TO HSS FINANCIAL ASSISTANCE'S "SLIDING SCALE" TO DETERMINE IF THE PATIENT WOULD HAVE BEEN QUALIFIED FOR A DISCOUNT HAD THEY APPLIED FOR FINANCIAL ASSISTANCE. FAMILY SIZE WAS ASSUMED USING THE PATIENT'S MARITAL STATUS AND AGE. 81% OF INPATIENTS ACCOUNTS AND 75% OF OUTPATIENT ACCOUNTS WOULD HAVE QUALIFIED FOR DISCOUNTS. THUS BASED ON THE METHODOLOGY IT IS REASONABLE TO ASSERT THAT THIS PORTION OF BAD DEBT BE CONSIDERED A COMMUNITY BENEFIT. THE UNCOMPENSATED CARE TEXT OF THE FOOTNOTE TO THE ORGANIZATION'S FINANCIAL STATEMENT STATES, "AS A MATTER OF POLICY, THE HOSPITAL PROVIDES SIGNIFICANT AMOUNTS OF PARTIALLY OR TOTALLY UNCOMPENSATED PATIENT CARE. FOR ACCOUNTING PURPOSES, SUCH UNCOMPENSATED CARE IS TREATED EITHER AS CHARITY CARE UNDER THE HOSPITAL'S FINANCIAL ASSISTANCE POLICY OR AS BAD DEBT EXPENSE. THE HOSPITAL'S FINANCIAL ASSISTANCE POLICY ENSURES THE PROVISION OF QUALITY HEALTH CARE TO THE COMMUNITY SERVED WHILE CAREFULLY CONSIDERING AND TAKING INTO ACCOUNT THE ABILITY OF THE PATIENT TO PAY. THE HOSPITAL'S FINANCIAL ASSISTANCE PROGRAM'S ELIGIBILITY THRESHOLD IS 500% OF THE FEDERAL POVERTY GUIDELINES, WHICH IS IN EXCESS OF THE NEW YORK STATE MINIMUM REQUIREMENTS OF 300%. THE HOSPITAL HAS DEFINED CHARITY CARE FOR ACCOUNTING AND DISCLOSURE PURPOSES AS THE DIFFERENCE BETWEEN ITS CUSTOMARY CHARGES AND THE DISCOUNTED RATES GIVEN TO PATIENTS IN NEED OF FINANCIAL ASSISTANCE. AS THE COLLECTION OF AMOUNTS DETERMINED TO QUALIFY AS CHARITY IS NOT PURSUED, SUCH AMOUNTS ARE NOT REPORTED AS REVENUE. PATIENTS WHO DO NOT QUALIFY FOR DISCOUNTED FEES ARE BILLED AT THE HOSPITAL'S ESTABLISHED CHARGES. UNCOLLECTED BALANCES FOR THESE PATIENTS ARE CATEGORIZED AS BAD DEBTS. TOTAL UNCOMPENSATED CARE IN 2013 AND 2012 FOR ALL PATIENT SERVICES AGGREGATED APPROXIMATELY $11.5 MILLION AND $9.7 MILLION RESPECTIVELY. IN ADDITION, THE HOSPITAL OPERATES ITS CLINICS AT A LOSS, TO HELP MEET THE NEEDS OF LOW INCOME AND UNINSURED INDIVIDUALS, AND ALSO OPERATES NUMEROUS OUTREACH AND EDUCATION PROGRAMS WHICH BENEFIT THE COMMUNITIES IT SERVES." PART III, LINE 8 OVER 40% OF THE HOSPITAL'S INPATIENT POPULATION IS REPRESENTED BY MEDICARE. THE MEDICARE SHORTFALL OF $37,660,041 AS REPORTED IN PART III, LINE 7 WAS CALCULATED USING MEDICARE COST REPORTING PRINCIPLES AND A COST TO CHARGE RATIO METHODOLOGY. THE MEDICARE SHORTFALL SHOULD BE CONSIDERED AS A COMMUNITY BENEFIT BECAUSE THE HOSPITAL IS PROVIDING CARE TO THESE PATIENTS WITH FULL KNOWLEDGE THAT THE MEDICARE REIMBURSEMENT WILL NOT COVER THE COST OF PROVIDING CARE TO THESE RESIDENTS OF OUR COMMUNITY. PART III, LINE 9B SELF PAY BALANCES, INCLUDING THOSE BALANCES DUE AFTER PAYMENT FROM AN INSURANCE CARRIER AND THE PATIENT RESPONSIBILITY PORTION RELATED TO FINANCIAL ASSISTANCE AFTER THE DISCOUNT HAS BEEN APPLIED, ARE HANDLED ACCORDING TO THE FOLLOWING POLICY: ALL PATIENTS ARE BILLED USING STANDARD CYCLES INCLUDING THE ISSUANCE OF A DETAILED BILL, COLLECTION LETTERS AND/OR TELEPHONE CALLS, AND THEN TRANSFER TO A "PRE-COLLECTION STATUS." THESE COLLECTION EFFORTS ARE DOCUMENTED ELECTRONICALLY IN THE PATIENT'S FILE. DURING THE PRE-COLLECTION PHASE, ADDITIONAL TELEPHONE CALLS AND/OR LETTERS ARE MADE TO ATTEMPT TO COLLECT PAYMENT IN FULL. IF UNSUCCESSFUL, THE ACCOUNT IS TRANSFERRED TO A PROFESSIONAL COLLECTION AGENCY, NO LESS THAN 120 DAYS AFTER THE ORIGINAL SELF PAY BILLING DATE. THESE REASONABLE COLLECTION EFFORTS INCLUDE ALL PATIENT ACCOUNTS, FOR BOTH MEDICARE AND NON-MEDICARE PATIENTS. MEDICARE AND NON-MEDICARE ACCOUNTS ARE RECORDED SEPARATELY. ANY PATIENTS EXPRESSING INTEREST IN APPLYING FOR FINANCIAL ASSISTANCE WILL HAVE THEIR BILLS HELD PENDING ELIGIBILITY DETERMINATION. IF PATIENT IS ELIGIBLE, THE ACCOUNT WILL BE REDUCED BASED ON THE APPROPRIATE SLIDING SCALE DISCOUNT AND THE RESULTING BALANCE WILL BE RE-BILLED ACCORDINGLY. PAYMENTS RECEIVED BY THE COLLECTION AGENCY REDUCE THE AMOUNT RECORDED AS BAD DEBT. IT IS THE HOSPITAL'S PRACTICE NOT TO FILE SUIT, ATTACH ASSETS, OR PURSUE LIENS FOR ALL PATIENTS INCLUSIVE OF FAP ELIGIBLE PATIENTS. IN CERTAIN INSTANCES, IN COORDINATION WITH THE HOSPITAL'S INTERNAL LEGAL COUNSEL, THE HOSPITAL MAY TAKE SUCH MEASURES IF DEEMED WARRANTED. PAYMENT ARRANGEMENTS: IF PATIENTS ARE UNABLE TO PAY THE ENTIRE BALANCE IN FULL, PAYMENT ARRANGEMENTS OF MONTHLY PAYMENT WILL BE OFFERED. UNDER SUCH ARRANGEMENTS, ACCOUNTS ARE TYPICALLY PAID IN FULL WITHIN SIX TO TWELVE MONTHS UNLESS OTHERWISE EXTENDED AS PART OF THE FINANCIAL ASSISTANCE PROGRAM. A CONFIRMATION LETTER WILL BE SENT WITHIN 5 DAYS, EXPLAINING THE TERMS OF THE AGREEMENT. IF MONTHLY PAYMENT IS MISSED, THE ACCOUNT WILL PROGRESS TO THE NEXT STAGE IN THE CYCLE. NEEDS ASSESSMENT HOSPITAL FOR SPECIAL SURGERY'S NEEDS ASSESSMENT PROCESS INCORPORATES RELEVANT NATIONAL, STATE, AND CITY HEALTH DATA, GOALS, AND PRIORITIES. THE HOSPITAL UTILIZES THE US GOVERNMENT REPORT, HEALTHY PEOPLE 2020, WHICH SETS BROAD-BASED GOALS AND OBJECTIVES TO EXPAND AMERICANS ACCESS TO CARE, AND TO ELIMINATE HEALTH DISPARITIES BY AGE, GENDER, RACE, OR DISABILITIES, AND PAYS SPECIAL ATTENTION TO INFORMATION REGARDING THE NEEDS OF ALL NEW YORKERS. THE HOSPITAL ROUTINELY CONDUCTS NEEDS ASSESSMENTS AMONG KEY GROUPS IN ITS COMMUNITY, ON WHICH TO BASE MULTI-YEAR PROGRAMS. OTHER NEEDS ASSESSMENT DATA IS GATHERED THROUGH A RIGOROUS EVALUATION PROCESS OF PUBLIC PROGRAMS. ALL HOSPITAL PUBLIC AND PATIENT EDUCATION PROGRAMS, AND DIAGNOSIS-BASED SUPPORT AND EDUCATION GROUPS INCLUDE PARTICIPANT QUESTIONNAIRES, AND THE FEEDBACK FROM THESE ARE TABULATED, EVALUATED, AND USED IN FORMULATING NEW OR REFINED OFFERINGS FOR THE PUBLIC HEALTH. FURTHER, THE HOSPITAL'S SERVICE EXCELLENCE COUNCIL REVIEWS PRESS GANEY MONTHLY PATIENT COMMENTS AND QUARTERLY REPORTS, AND ALONG WITH DEPARTMENTAL MANAGERS AND MULTIDISCIPLINARY TEAMS DEVELOPS IMPROVEMENTS IN SERVICES BASED ON THIS FEEDBACK OF PATIENTS' NEEDS. FINALLY, TO ENSURE THE RANGE OF NEEDS IS INTERPRETED AT THE HIGHEST LEVEL OF MANAGEMENT, THE BOARD OF TRUSTEES RECEIVES AND REVIEWS ONGOING REPORTS THAT INCLUDE RESULTS OF PATIENTS' SATISFACTION SURVEYS AND A SUMMARY OF THE HOSPITAL-WIDE QUALITY ASSESSMENT AND PERFORMANCE IMPROVEMENT PROGRAM. PATIENT EDUCATION OF ELIGIBILITY FOR ASSISTANCE INFORMATION ABOUT THE AVAILABILITY OF THE FINANCIAL ASSISTANCE PROGRAM IS POSTED IN SIGNAGE IN ALL AREAS OF THE HOSPITAL AND ANCILLARY SERVICE LOCATIONS WHERE A PATIENT IS REGISTERED FOR SERVICES. ANY HOSPITAL BILL RECEIVED BY THE PATIENT FOR SERVICE CONTAINS INFORMATION ON THE AVAILABILITY OF THE FINANCIAL ASSISTANCE PROGRAM. ADDITIONALLY, ANY BILL SENT TO A PATIENT BY THE HOSPITAL OR THE HOSPITAL'S COLLECTION SERVICE CONTAINS INFORMATION ON THE AVAILABILITY OF THE FINANCIAL ASSISTANCE PROGRAM. ALL REGISTRATION, CUSTOMER SERVICE, AND PATIENT ACCOUNTING STAFF ARE TRAINED ON THE AVAILABILITY OF THE PROGRAM AND INSTRUCTED ON HOW AND WHEN TO COMMUNICATE THIS INFORMATION. THE FINANCIAL ASSISTANCE COUNSELOR INFORMS PATIENTS IF THEY QUALIFY FOR FREE OR LOW-COST HEALTH INSURANCE SUCH AS MEDICAID, CHILD HEALTH PLUS, AND FAMILY HEALTH PLUS, AND MAKES THE ELIGIBILITY DETERMINATION FOR THE HSS FINANCIAL ASSISTANCE PROGRAM. THE COUNSELOR ASSISTS THE PATIENT IN FILLING OUT ALL THE FORMS. COMMUNITY INFORMATION THE HOSPITAL FOR SPECIAL SURGERY'S COMMUNITY IS DEFINED BY THE FIVE BOROUGHS. THE SUBURBAN COUNTIES IN NEW YORK, NEW JERSEY AND CONNECTICUT ALSO COMPRISE OUR SECONDARY SERVICE AREA. THE IMMEDIATE COMMUNITY IS DEFINED BY NEW YORK CITY'S COMMUNITY BOARD #8, WHICH EXTENDS FROM 59TH STREET TO 96TH STREET AND EAST FROM FIFTH AVENUE TO THE EAST RIVER. HSS PATIENTS COME FROM MANY COMMUNITIES LOCALLY, REGIONALLY, NATIONALLY, AS WELL AS INTERNATIONALLY. PROMOTION OF COMMUNITY HEALTH HOSPITAL FOR SPECIAL SURGERY'S COMMUNITY AND PROFESSIONAL OUTREACH BRINGS INFORMATION TO THE COMMUNITY THROUGH COLLABORATION WITH EDUCATIONAL, MULTI-SERVICE SOCIAL SERVICE AGENCIES, FAITH-BASED ORGANIZATIONS, SUPPORT AND EDUCATION GROUPS AND PROGRAMS, COMMUNITY-BASED ORGANIZATIONS, AND ACADEMIC INSTITUTIONS. IN ADDITION, IT PROVIDES EDUCATIONAL OPPORTUNITIES TO THE COMMUNITY THROUGH HEALTH FAIRS, AND PUBLIC EVENTS, AS WELL AS PUBLIC SCHOOLS, HEALTH CLINICS, SENIOR CENTERS, AND COMMUNITY HOSPITAL FORUMS. WE REACH OUT TO UNDERSERVED AND ETHNICALLY DIVERSE POPULATIONS AND SEEK TO SERVE AND COLLABORATE WITH THE ABOVE MENTIONED ORGANIZATIONS TO ENGAGE COMMUNITIES AROUND MAJOR HEALTH ISSUES. IN 2013, THE HOSPITAL SPONSORED VARIOUS COMMUNITY EDUCATION, SUPPORT AND OUTREACH PROGRAMS INCLUDING THE OSTEOARTHRITIS WELLNESS INITIATIVE, OSTEOPOROSIS WELLNESS INITIATIVE, LEON ROOT, MD PEDIATRIC OUTREACH PROGRAM, HSS ASIAN COMMUNITY BONE HEALTH INITIATIVE, GREENBERG ACADEMY FOR SUCCESSFUL AGING, SNEAKER (SUPER NUTRITION FOR ALL KIDS TO EAT RIGHT), LUPUSLINE, LANTERN (LUPUS ASIAN NETWORK) THE SLE WORKSHOP, EARLY RHEUMATOID ARTHRITIS AND LIVING WITH RHEUMATOID ARTHRITIS SUPPORT AND EDUCATION GROUPS, VOICES 60+ SENIOR ADVOCACY PROGRAM, THE MYOSITIS SUPPORT AND EDUCATION GROUP, CHARLA DE LUPUS/LUPUS CHAT, VOICES MEDICAID MANAGED CARE EDUCATION PROGRAM AND THE NURSING OUTREACH EDUCATION INITIATIVE. A COMMITTEE OF THE BOARD FOCUSING ON THE HOSPITAL'S COMMUNITY BENEFIT ACTIVITIES AND COMMUNITY SERVICES WAS FORMULATED IN 2013. IN ADDITION, THE HOSPITAL CONDUCTED A COMPREHENSIVE COMMUNITY HEALTH NEEDS ASSESSMENT TO EVALUATE THE HSS COMMUNITY'S MUSCULOSKELETAL AND RHEUMATOLOGIC HEALTH NEEDS. NEARLY 1100 PEOPLE RESPONDED TO THE SURVEY WHICH WAS ADMINISTERED IN ENGLISH, SPANISH AND CHINESE. THE HSS ASIAN COMMUNITY BONE HEALTH INITIATVE STAFF DELIVERED AN ORAL PRESENTATION HIGHLIGHTING THE PROGRAM'S IMPACT ON THE COMMUNITY AT THE ANNUAL AMERICAN PUBLIC HEALTH ASSOCIATION'S NATIONAL CONFERENCE. TWO PRESENTATIONS WERE GIVEN AT THE AMERICAN COLLEGE OF RHEUMATOLOGY'S NATIONAL SCIENTIFIC MEETING BY THE CHARLA DE LUPUS (LUPUS CHAT PROGRAM) AND LANTERN (LUPUS ASIAN NETWORK), ENTITLED "LUPUS AND REPRODUCTIVE HEALTH CONSIDERATIONS: A PILOT TRAINING FOR MULTIPLE HEALTH CARE PROVIDERS SERVINGS TEENS AND YOUNG ADULTS AND "LUPUS EDUCATION FOR PROVIDERS SERVICING THE ASIAN AMERICAN COMMUNITY", AS PART OF THE DISSEMINATION OF THE ACTIVITIES AND IMPACT OF HSS' COMMUNITY SERVICE PLAN. THE HOSPITAL ALSO PARTICIPATED AND CO-SPONSORED NUMEROUS COMMUNITY-BASED EVENTS, INCLUDING THOSE WITH THE ARTHRITIS FOUNDATION NORTH EAST REGION AND THE NEW YORK CHAPTER, TRIPLL (TRANSLATIONAL RESEARCH INSTITUTE FOR PAIN IN LATER LIFE), THE SLE LUPUS FOUNDATION, AND THE ALLIANCE FOR LUPUS RESEARCH'S NYC LUPUS WALK. IN 2013 WE COLLABORATED WITH OVER THIRTY COMMUNITY ORGANIZATIONS TO MEET EDUCATIONAL NEEDS FOR UNDERSERVED COMMUNITIES IN AREAS SUCH AS MUSCULOSKELETAL HEALTH, NUTRITION AND PHYSICAL ACTIVITY, NUTRITION AND REPRODUCTIVE HEALTH, HEALTH RISKS OF OLDER ADULTS (FOR EXAMPLE, FALLS PREVENTION), AND INCREASING AWARENESS OF LUPUS IN CULTURALLY DIVERSE COMMUNITIES. THE HOSPITAL HAD OVER 28,000 CONTACTS WITH PATIENTS/PROGRAM PARTICIPANTS THROUGH NEARLY 275 PROGRAMS AND DISTRIBUTED HEALTH EDUCATION MATERIALS TO NEARLY 185,000 INDIVIDUALS (WHICH INCLUDES OVER 159,000 WEB PAGE VIEWS). THE HOSPITAL IS ALSO PART OF A NATIONAL CLINICAL RESEARCH TRANSLATIONAL CONSORTIUM WHOSE GOAL IS TO ASSESS AND IMPLEMENT THE NEEDS OF UNDERSERVED POPULATIONS IN ORDER TO DEVELOP HEALTH PROGRAMS TO DIVERSE CULTURAL COMMUNITIES IN THE NEW YORK CITY FIVE BOROUGHS. WE ARE ALSO MEMBERS OF NIAMS' NATIONAL MULTICULTURAL OUTREACH INITIATIVE TO REDUCE HEALTH DISPARITIES, THROUGH RELEVANT PUBLIC HEALTH EDUCATIONAL INITIATIVES. AS THE NATION'S LEADING HOSPITAL FOR ORTHOPEDICS AND MUSCULOSKELETAL CARE, THE HSS COMMUNITY IS NATIONAL IN THAT HSS PLAYS A LEADING ROLE IN PROVIDING RESEARCH AND EDUCATION IN THE TREATMENT OF ORTHOPEDIC AND MUSCULOSKELETAL ILLNESS AND CONDITIONS. true FOUNDATION OF ORTHOPEDICS & COMPLEX SPINE INC 600 OLD COUNTRY ROAD GARDEN CITY NY 11530 134047356 501 (C)(3) 25000 GENERAL SUPPORT WOMEN IN HEALTH MANAGEMENT INC 152 MADISON AVE STE 801 NEW YORK NY 10016 133588691 501 (C)(3) 15000 GENERAL SUPPORT ALLIANCE FOR LUPUS RESEARCH INC 28 WEST 44TH ST NO 501 NEW YORK NY 10036 582492929 501 (C)(3) 10000 GENERAL SUPPORT NEW YORK ACADEMY OF SCIENCES 7 WTC 250 GREENWICH ST NEW YORK NY 10007 131773640 501 (C)(3) 10000 GENERAL SUPPORT USA SWIMMING FOUNDATION INC 1 OLYMPIC PLAZA COLORADO SPRINGS CO 80909 721581977 501 (C)(3) 10000 GENERAL SUPPORT FDNY 343 RIDE INC 87 DUNTHORNE ROAD BLOOMINGBURG NY 12721 450824443 501 (C)(3) 10000 GENERAL SUPPORT ST LUKES CHAMBER ENSEMBLE INC 450 W 37TH ST STE 502 NEW YORK NY 10018 510201839 501 (C)(3) 10000 GENERAL SUPPORT The William Woodward Jr Nursery School 435 E 70th ST 2FL NEW YORK NY 10021 131963640 501 (C)(3) 10000 GENERAL SUPPORT Healthcare Chaplaincy 307 East 60th St NEW YORK NY 10022 132634080 501 (C)(3) 10000 GENERAL SUPPORT BOHEMIAN BENEVOLENT & LITERARY ASSOCIATION INC 321 EAST 73RD ST 3RD FL NEW YORK NY 10021 130508050 501 (C)(3) 7000 GENERAL SUPPORT The ALS Association 1275 K St NW No 250 Washington DC 20005 133271855 501 (C)(3) 6250 GENERAL SUPPORT MEDICARE RIGHTS CENTER INC 520 8TH AVE N WING3FL NEW YORK NY 10018 133505372 501 (C)(3) 6000 GENERAL SUPPORT Dominican Friars Healthcare Ministry of NY 411 East 68th Street NEW YORK NY 10065 131624164 501 (C)(3) 5650 GENERAL SUPPORT 13 SCHEDULE I, PART I, LINE 2 THE HOSPITAL FOR SPECIAL SURGERY RAISED FUNDS TO SUPPORT THE CHARITABLE, EDUCATIONAL, AND SCIENTIFIC PURPOSE OF ITS TAX EXEMPTION. THE CONTRIBUTIONS GIVEN TO THE OUTSIDE ORGANIZATIONS ARE FOR GENERAL PURPOSES. X true true X X X X false false false true false true false false false Mary Crow Member/Physician-in-Chief 546867 0 0 0 3704 1000 22950 0 14009 0 587530 1000 0 0 Charles Cornell Member/Attending Physician 635539 0 0 0 626475 1000 22950 0 41247 0 1326211 1000 0 0 Steven Goldring Member/Chief Scientific Offic. 502230 0 0 0 16510 0 19125 0 27092 0 564957 0 0 0 Douglas Padgett Member/Attending Physician 142214 0 0 0 413 0 13898 0 34657 0 191182 0 0 0 Thomas Sculco Member/Surgeon-in-Chief 990728 0 591750 0 5109 1000 22950 0 34927 0 1645464 1000 0 0 Louis A Shapiro President & Chief Exec Officer 875131 218783 970328 242582 23477 5869 15300 3825 40741 10185 1924977 481244 0 0 Lisa Goldstein Executive VP & COO 631961 94431 358412 53556 25791 3854 19967 2984 26995 4034 1063126 158859 0 0 Stacey Malakoff Exec VP & Chief Fin Officer 640329 112999 351672 62060 26390 4658 19508 3443 27162 4793 1065061 187953 0 0 Constance B Margolin EXEC VP & CHIEF LEGAL OFFICER 407806 71966 154706 27301 12864 2270 19508 3443 18231 3217 613115 108197 0 0 Deborah Sale Exec VP Ext Affairs 140711 261320 56122 104226 1946 3613 8033 14918 19056 35393 225868 419470 0 0 Ralph Bianco Vice President 311610 34623 0 0 2282 254 20655 2295 31196 3466 365743 40638 0 0 Stephanie Goldberg Vice President 393122 0 0 0 1046 0 19125 0 22760 0 436053 0 0 0 Helen Pavlov - through 1213 RADIOLOGIST IN CHIEF 950226 0 0 0 11221 0 22950 0 39401 0 1023798 0 0 0 Hollis Potter - starting 1213 RADIOLOGIST IN CHIEF 838728 0 0 0 19279 0 22950 0 37318 0 918275 0 0 0 Scott Rodeo Associate Attending Physician 385213 0 0 0 1150760 0 22950 0 27674 0 1586597 0 0 0 Ernest Sink Associate Attending Physician 321413 0 0 0 944747 0 19125 0 33403 0 1318688 0 0 0 James Farmer Attending Physician 426579 0 0 0 672965 0 22950 0 29467 0 1151961 0 0 0 Roger Widmann Associate Attending Physician 321186 0 0 0 731522 0 22950 0 31473 0 1107131 0 0 0 Matthew Cunningham Associate Attending Physician 415129 0 0 0 619023 0 22950 0 3921 0 1061023 0 0 0 Schedule J, Part I, Line 1A First Class Travel - THE HSS TRAVEL POLICY STATES FOR BUSINESS CLASS TRAVEL PRIOR APPROVAL FROM THE CEO IS REQUIRED AND USUALLY ONLY APPROVED IF THE LENGTH OF THE FLIGHT IS GREATER THAN 5 HOURS. UPGRADE TO FIRST CLASS OCCURS ONLY IF BUSINESS CLASS DOES NOT EXIST. WITH REGARDS TO THE CEO AND SURGEON-IN-CHIEF TRAVEL, THE CEO AND SURGEON-IN-CHIEF HAVE APPROVAL FROM THE COMPENSATION COMMITTEE OF THE BOARD TO FLY BUSINESS CLASS IF THE FLIGHT IS GREATER THAN 5 HOURS, OR FIRST CLASS IF THE FLIGHT IS GREATER THAN 10 HOURS. THE AUDIT AND CORPORATE COMPLIANCE COMMITTEE OF THE BOARD OF TRUSTEES REVIEWS THE CEO'S AND SURGEON-IN-CHIEF' EXPENSES ON A QUARTERLY BASIS. BUSINESS CLASS OR FIRST CLASS TRAVEL ARE NOT TREATED AS TAXABLE COMPENSATION. Schedule J, Part I, Line 5A Certain employed physcians listed on Part VII, Section A, Line 1A receive compensation in part, based on professional service revenue generated from services they personally performed in their individual practices. In 2013, no physician was paid compensation contingent upon the organization's overall revenue or net earnings. Schedule J, Part I, Line 6A Performance based incentive awards are paid to officers and key employees based on a number of important quality, satisfaction, efficiency, and financial measures, of which achieving budget is a factor. Schedule J, Part II The Surgeon-in-Chief, Physician-in-Chief, and an Attending Physician received a payment of $1,000 from MIAC, a related organization, to attend MIACs semi-annual board of directors meeting. SCHEDULE J, PART II - COLUMN B(II) BONUS AND INCENTIVE COMPENSATION IN 2013, CERTAIN EXECUTIVES RECEIVED A LONG TERM INCENTIVE PAYMENT BASED ON THEIR PERFORMANCE IN ACHIEVING HOSPITAL OBJECTIVES EARNED OVER A THREE YEAR PERIOD, THUS DISTORTING THE YEAR TO YEAR COMPARISON OF COMPENSATION INFORMATION. A DORMITORY AUTHORITY OF THE STATE OF NY 146000293 64983QPX1 2005-10-20 63089225 HOSPITAL EXPANSION & EQUIPMENT false false false B DORMITORY AUTHORITY OF THE STATE OF NY 146000293 649905UG9 2009-12-03 86880597 HOSPITAL EXPANSION & EQUIPMENT false false false C DORMITORY AUTHORITY OF THE STATE OF NY 146000293 000000000 2008-11-25 4982850 TAX EXEMPT EQUIPMENT LEASING false false false D DORMITORY AUTHORITY OF THE STATE OF NY 146000293 000000000 2009-10-15 5980000 TAX EXEMPT EQUIPMENT LEASING false false false A 10340000 0 64668483 4480000 2501910 0 1164214 969865 0 53996553 1555941 0 2006 false false true true B 2425000 0 86914574 6670000 6110242 0 1440615 1031004 0 71634372 28341 0 2012 false false false true C 4168836 0 4982850 0 0 0 42850 0 0 4940000 0 0 2008 false false true true D 4011068 0 5980000 0 0 0 50000 0 0 5930000 0 0 2009 false false true true A false false true true true true 0.00560 0.00560 false false false true B false false true true true true 0.00800 0.00800 false false false true C false false false true true 0.00190 0.00190 false false false true D false false false true true 0.00190 0.00190 false false false true A false false false true false false 0 true MBIA INC 28. true false true B false true false false false false 0 false 0 false true C false false false true false false 0 false 0 false true D false false false true false false 0 false 0 false true A true B true C true D true Supplemental information for schedule K Parts I & II For 2005 and 2009 Hospital Expansion & Equipment Issues, total proceeds (Part II, Line 3) exceeds the issue price (Part 1, Column e) due to investment earnings on gross proceeds held in reserve funds included in total proceeds. Part III, Line 9 and Part V The policy was updated to include required language following the tax period. Part IV, Line 2c For the Tax Exempt Equipment Leasing Issues, the financing did not generate any investment income, therefore no calculation was conducted and no rebate is due. A DORMITORY AUTHORITY OF THE STATE OF NY 146000293 000000000 2010-10-06 6700000 TAX EXEMPT EQUIPMENT LEASING false false false B DORMITORY AUTHORITY OF THE STATE OF NY 146000293 000000000 2011-07-31 16000000 TAX EXEMPT EQUIPMENT LEASING false false false C Dormitory Authority of the State of NY 146000293 000000000 2012-10-10 21981569 TAX EXEMPT EQUIPMENT LEASING false false false D Dormitory Authority of the State of NY 146000293 000000000 2013-07-17 25997726 TAX EXEMPT EQUIPMENT LEASING false false false A 3427911 0 6700000 0 0 0 50000 0 0 6650000 0 0 2010 false false true true B 6239830 0 16000000 0 0 0 120400 0 0 15879600 0 0 2012 false false true true C 4155288 0 21981569 0 0 0 131569 0 0 21850000 0 0 2013 false false true true D 1739505 0 25997726 0 0 0 147726 0 0 8094569 0 17755431 2014 false false false true A false false false true true 0.00190 0.00190 false false false true B false false false true true 0.00190 0.00190 false false false true C false false false true true 0.00190 0.00190 false false false true D false false false true true 0.00190 0.00190 false false false true A false true false false false false 0 false 0 false true B false true false false false false 0 false 0 false true C false true false false false false 0 false 0 false true D false true false false false false 0 false 0 false true A true B true C true D true 143 Sound Beach Avenue Associates SEE PART V 338406 SEE PART V false American Express SEE PART V 44658061 SEE PART V false Consolidated Edison Company of New SEE PART V 2961272 SEE PART V false General Electric Company SEE PART V 5647366 SEE PART V false Goldman Sachs SEE PART V SEE PART V false IMG WORLDWIDE IMG SEE PART V SEE PART V false INTRALIGN SEE PART V SEE PART V false Mercer SEE PART V 695075 SEE PART V false Steris Corporation SEE PART V 754881 SEE PART V false Thomson Reuters Healthcare SEE PART V 5552 SEE PART V false Tornier Inc SEE PART V 128806 SEE PART V false SCHEDULE L, PART IV, (1) - 143 Sound Beach Avenue Associates, L.P. HSS subleases physician office space from HSS Properties Corporation, an affiliate, which, in turn, leases physician office space from 143 Sound Beach Avenue Associates, L.P., the lessor. A son of Russell F. Warren, M.D. is a part owner of the lessor. Dr. Warren is a former Surgeon-in-Chief of HSS and an elected member of HSS' Board of Trustees. HSS Properties Corporation entered into the original lease in October 2000, following a lengthy search for suitable office space in the area, and after an independent valuation of the terms of the lease by a professional, commercial real estate firm confirmed the fair market value of the terms. At that time, Dr. Warren was the Surgeon-in-Chief of HSS and an ex officio member of HSS' Board of Trustees. The potential conflict of interest was disclosed to the HSS' Board of Trustees and to the Board of Trustees of HSS Properties Corporation. Dr. Warren recused himself from the review, deliberation and vote on the transaction. In 2010, HSS Properties renewed the lease through 2021, at a reduced rental rate that reflected a change in the real estate market from the time of the original lease, as confirmed by an independent professional real estate firm. The same due diligence, disclosure and review process (including recusal of Dr. Warren) was followed when the lease was renewed in June 2010. The approvals of the original lease and of the renewal were made by the vote of the disinterested members of the respective Boards of HSS and HSS Properties Corporation. AMOUNT OF TRANSACTION: $338,406 DESCRIPTION OF TRANSACTION: HSS Properties Corporation (an affiliate of HSS) made lease payments in 2013 of $338,406 for physician office space it leases that is owned by 143 Sound Beach Avenue Associates, L.P. HSS Properties subleases the space to HSS. SCHEDULE L, PART IV, (2) - American Express a. Aldo Papone, former Co-Chairman and current member of HSS' Board of Trustees, is a senior advisor at American Express. The decision to select American Express for the Buyer Initiated Payment Program (BIPP) was made through a competitive bid process and independent of Mr. Papone. Mr. Papone does not have any role in the consideration or acquisition of American Express services. b. Kathryn Chenault, a member of the HSS' Board of Trustees, is the spouse of Kenneth Chenault, the CEO of American Express. The decision to select American Express for the Buyer Initiated Payment Program (BIPP) was made through a competitive bid process and independent of Mrs. Chenault. Mrs. Chenault does not have any role in the consideration or acquisition of American Express services. AMOUNT OF TRANSACTION: $44,658,061 DESCRIPTION OF TRANSACTION: In 2013, HSS paid its participating vendors $44,658,061 through the American Express Buyer Initiated Payment Program (BIPP). The BIPP is a program negotiated through the Greater New York Hospital Association (GNYHA). Participating vendors have the benefit of getting paid quicker via use of BIPP and in return the participating vendors pay a fee to American Express. HSS receives a rebate based on its percentage of the total amount spent through the GNYHA program. Separately from the BIPP program, HSS incurred business related charges of $295,588 using HSS' American Express corporate cards. SCHEDULE L, PART IV, (3) - Consolidated Edison Company of New York Craig Ivey, a member of HSS' Board of Trustees, is the President of Consolidated Edison Company of New York, Inc., which provides electricity to HSS. HSS has had a long-standing business relationship with Consolidated Edison Company of New York, Inc. that preceded the date that Mr. Ivey joined HSS' Board of Trustees. Mr. Ivey does not have any role in the consideration or acquisition of Consolidated Edison services. AMOUNT OF TRANSACTION: $2,961,272 DESCRIPTION OF TRANSACTION: In 2013, HSS paid Consolidated Edison Company of New York, Inc., $2,961,272 for electrical utility charges. SCHEDULE L, PART IV, (4) - General Electric Company Mrs. Douglas A. Warner III, a member of HSS' Board of Trustees, is the spouse of a member of the Board of Directors of General Electric Company ("GE"). HSS has had a long-standing business relationship with GE that preceded the date that Mrs. Warner joined HSS Board of Trustees, and Mrs. Warner does not have any role in the consideration or acquisition of GE products. AMOUNT OF TRANSACTION: $5,647,366 DESCRIPTION OF TRANSACTION: In 2013, HSS paid $5,647,366 for radiology and biomedical equipment from GE. SCHEDULE L, PART IV, (5) - Goldman Sachs (a) Richard Menschel, Chairman Emeritus and member of HSS' Board of Trustees, is a Senior Director at Goldman Sachs. (b) Michael Esposito, a member of HSS' Board of Trustees and co-chair of the Finance Committee, is co-head of Global Financial Institutions at Goldman Sachs. In 2008, Goldman Sachs engaged HSS to arrange for two physicians on the HSS Medical Staff to see Goldman employees at the firms New York and New Jersey health centers. In November 2009, Goldman Sachs engaged HSS to also provide physical therapy services to Goldman Sachs personnel on the premises of Goldman Sachs' facilities in New York and New Jersey. HSS' decision to provide healthcare and physical therapy services was made with independent input and processes in place at HSS. AMOUNT OF TRANSACTION: N/A DESCRIPTION OF TRANSACTION: Reimbursement to HSS is obtained through the customary process of billing the insurance company or the individual receiving physical therapy or other professional services; the physicians bill individually for their services. SCHEDULE L, PART IV, (6) - IMG Worldwide ("IMG") In 2013, until the sale of IMG in December 2013, Thomas Lister, a member of HSS' Board of Trustees, had a 19.5% interest in the General Partner of the partnerships that owned IMG. From 2004-2005, Thomas Lister served as an officer of IMG and a member of its Board of Directors and Chairman of its Audit Committee. In December 2013, HSS entered into a contract with IMG to operate a sports therapy facility at IMG Academy in Bradenton, Florida. HSS' decision to provide services onsite at IMG was made with independent input and processes in place at HSS. Thomas Lister did not have any role in the negotiation with IMG, decision to contract with IMG or the contract negotiations between HSS and IMG. Amount of Transaction: N/A Description of Transaction: Reimbursement to HSS is obtained through the customary process of billing the insurance company or the individual receiving physical therapy or other professional services. SCHEDULE L, PART IV, (7) - Intralign Daniel Tully was a member of the HSS' Board of Trustees until his resignation in April 2013. Mr. Tully is a Managing Director of Altaris Capital Partners, LLC, an investment firm focused on the healthcare industry. One of the companies in the Altaris portfolio is Intralign. During 2013, HSS and Intralign entered into discussions about a potential collaboration, which concluded with a Collaboration Agreement that was signed in January 2014. Under the Agreement, HSS assists Intralign in enhancing its advisory services and in creating an education and training program in orthopedics for surgical first assistants. HSS also acquired an equity ownership interest in Intralign as a result of the negotiations. Mr. Tully did not have any role in HSS decision to pursue the opportunity with Intralign, nor did he have any role in the contract negotiations or the final decision to enter into a Collaboration Agreement, which did not occur until January 2014, after extensive representation of HSS by independent legal counsel. Amount of Transaction: N/A Description of Transaction: HSS acquired an equity interest in Intralign. SCHEDULE L, PART IV, (8) - Mercer The son of Mary K. Crow, MD, Physician-in-Chief at HSS and ex-officio member of HSS' Board of Trustees, is employed as Principal Consultant for Strategy and Corporate Development by Mercer, an American global human resource and related financial services consulting firm. HSS has had a long standing business relationship with Mercer that preceded the date that Dr. Crow's son was employed by Mercer. Dr. Crow does not have any role in the consideration or acquisition of Mercer services. Amount of Transaction: $695,075 Description of Transaction: In 2013, HSS paid $695,075 to Mercer for consulting and actuarial services related to HSS' Pension Plan. SCHEDULE L, PART IV, (9) - Steris Corporation The daughter of Stephanie Goldberg, Senior Vice President of Nursing at HSS, works for Steris Corporation (as of 2012) as a sales associate. Steris is a company that specializes in sterilization products. The Hospital purchases products from Steris and did so for a number of years preceding the employment of the Senior Vice President of Nursing's daughter by the company. While the Senior Vice President of Nursing has signatory authority for the types of purchases made from Steris, she plays no role in the selection process of Steris products. Amount of Transaction: $754,881 Description of Transaction: In 2013, HSS paid $754,881 to Steris Corporation for sterilization products. SCHEDULE L, PART IV, (10) - Thomson Reuters Healthcare Deirdre Stanley, a member of HSS' Board of Trustees, is the General Counsel of Thomson Reuters, the parent company of the Thomson Reuters Healthcare business unit. Long before Ms. Stanley joined the HSS' Board of Trustees, HSS determined to purchase (and continued in 2013 to purchase) the Westlaw online legal research tools offered by Thompson Reuters. Ms. Stanley did not have any role in the consideration or acquisition of Thomson Reuters products. Amount of Transaction: $5,552 Description of Transaction: In 2013, HSS paid $5,552 for online legal research tools from Westlaw, a Thomson Reuters web based resource company. SCHEDULE L, PART IV, (11) - Tornier Inc Jonathan Deland, MD, was one of two HSS physicians in the 2-year Class of Physician members of the HSS Board of Trustees. His term as a Physician Board member ended in April 2013, at which time he stepped down as a Board member. In 2013, Dr. Deland was a Consultant and a Scientific Advisory Board member for Tornier, Inc. In addition, Dr. Deland received royalties in 2013 from Tornier, Inc. for the development of an orthopedic device, however, as a member of the HSS Medical Staff, Dr. Deland was not, by HSS policy, allowed to receive royalty payments for the use of Tornier products on patients at HSS. In addition, HSS' purchase of products from Tornier, Inc. was made with input and processes in place at HSS, independent of Dr. Deland; and the purchase of Tornier products preceded 2011 when Dr. Deland had joined the 2-year Class of Physician members of the HSS Board. Amount of Transaction: $128,806 Description of Transaction: In 2013, HSS paid $128,806 for orthopedic implants and other medical devices and supplies from Tornier, Inc. X 13 1960395 FMV false true true SCHEDULE M, PART I, LINE 32B All publicly traded securities are administered and sold through JP Morgan Chase, 1111 Polaris Parkway, Suite 3J, OH1-0634, Columbus, OH 43240. Form 990, Box-B - Amended Return Base compensation of $640,329 on line 8 of Schedule J, Part II, Row (i), Column B (i) was inadvertently omitted from the originally filed return and has been added back. Consequently, line 50 of Form 990 Part VII, Column D has also been corrected from $378,062 to $1,018,391. FAMILY OR BUSINESS RELATIONSHIPS FORM 990, PART VI, SECTION A - LINE 2 - "FAMILY OR BUSINESS RELATIONSHIPS" - DANIEL BENTON, TRUSTEE, AND ANNE EHRENKRANZ, TRUSTEE, HAVE A BUSINESS RELATIONSHIP FORM 990, PART VI, SECTION A - LINE 6 & 7A - "MEMBERSHIP" THE HOSPITAL FOR SPECIAL SURGERY IS A MEMBERSHIP CORPORATION. THERE ARE FIVE MEMBERS OF THE CORPORATION. THREE OF THE FIVE HOSPITAL'S MEMBERS COME FROM THE HOSPITAL'S BOARD OF TRUSTEES (WITH ONE OF THREE ALSO DESIGNATED BY THE HOSPITAL TO SERVE ON THE BOARD OF AN AFFILIATE OF NEW YORK-PRESBYTERIAN HOSPITAL), A FOURTH MEMBER SERVES ON THE BOARD OF THE AFFILIATE OF THE NEW YORK-PRESBYTERIAN HOSPITAL, AND THE FIFTH MEMBER SERVES ON THE BOARD OF TRUSTEES OF WEILL CORNELL MEDICAL COLLEGE. THE FIVE HOSPITAL MEMBERS ELECT THE BOARD OF TRUSTEES OF THE HOSPITAL, UPON THE RECOMMENDATION OF CANDIDATES EITHER BY A MEMBER OR BY THE HOSPITAL BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B - LINE 11B, "REVIEW PROCESS" PRIOR TO SUBMITTING THE FORM 990 TO THE INTERNAL REVENUE SERVICE (IRS), THERE IS AN ESTABLISHED PROCESS FOR REVIEW OF THE DOCUMENT IN ITS ENTIRETY BY THE GOVERNING BODY WHOSE EVALUATIONS ARE MADE IN THE BEST INTEREST OF HSS. THE FORM 990 IS FIRST REVIEWED WITH THE EXECUTIVE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES. THE REVIEWED FORM 990 IS THEN SUBMITTED TO THE FULL BOARD OF TRUSTEES. THE TRUSTEES ARE PROVIDED A COPY OF THE FORM 990 VIA COMPACT DISK PRIOR TO SUBMISSION OF THE FORM. IN ADDITION, SIGNIFICANT AREAS OF FORM 990 ARE DISCUSSED AT A BOARD OF TRUSTEES MEETING. FORM 990, PART VI, SECTION B - LINE 12C, "CONFLICT OF INTEREST POLICY" ON AN ANNUAL BASIS, FINANCIAL INTEREST DISCLOSURE STATEMENTS ARE SENT TO ALL BOARD MEMBERS, OFFICERS, MEDICAL STAFF, MANAGEMENT, FELLOWS, RESIDENTS, RESEARCH PROFESSIONAL STAFF, IRB MEMBERS, AND OTHER DESIGNATED GROUPS. OUR CONFLICT OF INTEREST POLICY ALSO REQUIRES THAT ANY CHANGES BE COMMUNICATED TO THE OFFICE OF CORPORATE COMPLIANCE WITHIN 30 DAYS. THE INFORMATION RECEIVED IS ENTERED INTO A DATABASE AND REVIEWED FOR POTENTIAL CONFLICT OF INTEREST. THE DATABASE INFORMATION IS ALSO REVIEWED BY THE EXECUTIVE VICE PRESIDENT FOR LEGAL AFFAIRS, THE CHIEF EXECUTIVE OFFICER, AND THE AUDIT AND CORPORATE COMPLIANCE COMMITTEE OF THE BOARD OF TRUSTEES. SUMMARY INFORMATION IS PROVIDED TO SERVICE CHIEFS SO THAT THEY ARE AWARE OF THE FINANCIAL INTERESTS OF THE MEDICAL STAFF WITHIN THEIR SPECIALTY. IN ADDITION TO SENDING DISCLOSURE STATEMENTS DIRECTLY TO THE GROUP NOTED ABOVE, INDUSTRY WEBSITES ARE MONITORED FOR DISCLOSURES RELATED TO EMPLOYEES OF HSS. THIS INFORMATION IS ENTERED INTO THE DATABASE AS WELL. HSS HAS A CONFLICT OF INTEREST TASK FORCE THAT MEETS THREE TIMES A YEAR, OR AS NECESSARY, TO REVIEW AND UPDATE THE CONFLICT OF INTEREST POLICIES AND PROCEDURES. HSS' POLICY ON CONFLICT OF INTEREST IN DAY-TO-DAY OPERATIONS STATES THAT IF HSS IS CONTEMPLATING A TRANSACTION WHICH MIGHT POSSIBLY BENEFIT (OR APPEAR TO BENEFIT) A COVERED PERSON OR ANY MEMBER OF HIS/HER IMMEDIATE FAMILY THEN THE POTENTIAL BENEFIT OR CONFLICT MUST BE DISCLOSED TO, AND APPROVED BY, A DISINTERESTED OFFICER OF HSS BEFORE THE TRANSACTION MAY PROCEED. ACCORDINGLY, A COVERED PERSON MAY NOT PLACE BUSINESS WITH ANY THIRD PARTY (E.G., A VENDOR, COMPETITOR, OR OTHER ORGANIZATION) IN WHICH THAT PERSON OR ANY MEMBER OF HIS/HER IMMEDIATE FAMILY HAS AN INTEREST UNLESS THAT INTEREST IS DISCLOSED TO, AND THE TRANSACTION IS APPROVED BY, THE VICE PRESIDENT FOR CORPORATE COMPLIANCE ("CORPORATE COMPLIANCE OFFICER"). FORM 990, PART VI, SECT B - LINE 15A & 15B, "PROCESS FOR DETERMINING COMP" THE HOSPITAL FOR SPECIAL SURGERY(HSS) IS COMMITTED TO ENSURING THAT ITS EXECUTIVE COMPENSATION PROGRAM ADHERES TO THE HIGHEST STANDARDS OF REGULATORY COMPLIANCE AND BEST CORPORATE GOVERNANCE. THE HSS BOARD HAS CHARGED THE COMPENSATION COMMITTEE (WHICH IS COMPOSED OF INDEPENDENT BOARD MEMBERS WITH NO CONFLICTS OF INTEREST IN REGARD TO EXECUTIVE COMPENSATION) WITH MAKING ALL DECISIONS RELATED TO COMPENSATION FOR OFFICERS AND KEY EMPLOYEES. THE COMMITTEE RETAINS AN INDEPENDENT COMPENSATION CONSULTANT TO ASSIST IT IN THIS PROCESS. COMPENSATION LEVELS ARE ESTABLISHED CONSIDERING DATA FOR FUNCTIONALLY COMPARABLE ROLES IN COMPARABLE ORGANIZATIONS, AN ASSESSMENT OF PERFORMANCE, AND OTHER BUSINESS JUDGMENT FACTORS, CONSISTENT WITH HSS'S EXECUTIVE COMPENSATION PHILOSOPHY. THE COMMITTEE'S DECISIONS ARE MADE IN THE BEST INTERESTS OF HSS, AND ARE INTENDED TO ENSURE THE RECRUITMENT AND RETENTION OF KEY EXECUTIVE TALENT, CONSISTENT WITH THE MARKET PRACTICES OF OTHER NOT-FOR-PROFIT HEALTH CARE ORGANIZATIONS OF COMPARABLE MISSION AND COMPLEXITY. ON AN ANNUAL BASIS (INCLUDING 2013), THE COMMITTEE PROVIDES THE FULL BOARD WITH AN OVERVIEW OF ITS DETERMINATIONS AND PROCESS. HSS ESTABLISHED THIS PROCESS IN AN EFFORT TO COMPLY WITH THE INTERMEDIATE SANCTIONS GUIDELINES FOR QUALIFYING FOR THE REBUTTABLE PRESUMPTION OF REASONABLENESS. FORM 990, PART VI, SECTION B - LINE 19, "DISCLOSURE GOVERNING DOCUMENTS" HOSPITAL FOR SPECIAL SURGERY MAKES GOVERNING DOCUMENTS AVAILABLE TO THE GENERAL PUBLIC UPON REQUEST FROM THE DEVELOPMENT OFFICE. CONFLICT OF INTEREST POLICY - HOSPITAL FOR SPECIAL SURGERY MAKES ITS CONFLICT OF INTEREST POLICY AVAILABLE TO THE GENERAL PUBLIC UPON REQUEST FROM THE DEVELOPMENT OFFICE. FINANCIAL STATEMENTS - HOSPITAL FOR SPECIAL SURGERY MAKES ITS AUDITED FINANCIAL STATEMENTS AVAILABLE TO THE GENERAL PUBLIC UPON REQUEST FROM THE DEVELOPMENT OFFICE. HSS ALSO PROVIDES SUMMARIZED FINANCIAL INFORMATION IN ITS ANNUAL REPORT AND WEBSITE. THE ANNUAL REPORT IS DISTRIBUTED THROUGHOUT THE HOSPITAL AND PATIENT WAITING ROOMS, AND ADMINISTRATION OFFICES, AND IS ACCESSIBLE AS A DOWNLOADABLE FILE FROM THE HSS WEBSITE. FOR CALENDAR YEAR 2013, THE ANNUAL REPORT WAS MAILED TO 4,955 DONORS, PUBLIC OFFICIALS, AND OTHER HEALTHCARE PROFESSIONALS AND ORGANIZATIONS. FORM 990, PART XI, LINE 9 - "OTHER CHANGES IN NET ASSETS OR FUND BALANCES" INCLUDES INCREASE IN INTEREST OF HSS FUND, INC. $9,200,902 AND DECREASE IN DEFINED PENSION AND POST RETIREMENT PLAN LIABILITIES $59,032,705. Schedule B - Special Rule The Hospital has separately performed the support test Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi) and meets requirements of the Special Rule. 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