2017-11-15T06:52:05-06:00 2016-12-31 132060851 Owen J Flanagan & Co 60 East 42nd Street New York NY 10165 990 2016-01-01 010939141 RESTAURANT OPPORTUNITIES CENTERS (ROC) UNITED INC REST 2122436900 275 SEVENTH AVENUE No 1703 NEW YORK NY 10001 SEKOU SIBY EXECUTIVE DIRECTOR 2122436900 2017-11-14 1 Kevin Sunkel P00706145 2126822783 160.79.169.52 2017-11-14 07:32:02 ES P 56A1E5DB2B2406B7F1F61C71D70C64297AB9D5FC 56A1E5DB2B2406B7F1F61C71D70C64297AB9D5FC 2016 2021-01-29 14:40:06Z FEKKAK MAMDOUH 275 SEVENTH AVENUE No 1703 NEW YORK NY 10001 9892011 0 X ROCUNITED.ORG X 2008 NY TO SERVE AS A RESOURCE AND ADVOCACY ORGANIZATION FOR LOW INCOME AND OTHERWISE DISADVANTAGED RESTAURANT WORKERS ACROSS THE COUNTRY, PROVIDING JOB TRAINING, SUPPORT SERVICES, RESEARCH AND ADVOCACY FOR NEEDY RESTAURANT WORKERS AND THE GENERAL PUBLIC 12 12 94 300 0 0 3461057 9651078 0 220390 77 70 260100 0 3721234 9871538 0 0 0 0 3297567 2788285 0 0 332191 1865856 2148632 5163423 4936917 -1442189 4934621 2589350 9129736 196982 1802747 2392368 7326989 X TO SERVE AS A RESOURCE AND ADVOCACY ORGANIZATION FOR LOW INCOME AND OTHERWISE DISADVANTAGED RESTAURANT WORKERS ACROSS THE COUNTRY, PROVIDING JOB TRAINING, SUPPORT SERVICES, RESEARCH AND ADVOCACY FOR NEEDY RESTAURANT WORKERS AND THE GENERAL PUBLIC 0 0 1618079 49089 ONE FAIR WAGE FOR RESTAURANT WORKERS - SEE SCHEDULE O 1606907 171301 WORKER EDUCATION AND ENGAGEMENT - SEE SCHEDULE O 198554 RESEARCH AND POLICY - SEE SCHEDULE O 151385 EMPLOYER & CONSUMER EDUCATION AND ENGAGEMENT - SEE SCHEDULE O 151385 3574925 1 1 0 1 0 0 0 0 0 0 1 0 0 1 1 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 31 0 94 1 0 0 0 0 0 0 0 0 0 0 X 12 12 0 0 1 0 0 0 0 1 1 0 1 1 0 1 1 1 1 1 1 0 0 CA NY X The Organization 2122436900 275 SEVENTH AVENUE No 1703 NEW YORK NY 10001 PAUL BOOTH DIRECTOR 1.00 X 0 0 0 VICTORIA BRUTON DIRECTOR 1.00 X 0 0 0 WOONG CHANG DIRECTOR 1.00 X 0 0 0 DAYNA CUNNINGHAM DIRECTOR 1.00 X 0 0 0 KELLY DITSON DIRECTOR 1.00 X 0 0 0 SARITA GUPTA DIRECTOR 1.00 X 0 0 0 JENNIFER HERMAN TREASURER & DIRECTOR 1.00 X X 0 0 0 IMAR HUTCHINS SECRETARY & DIRECTOR 1.00 X X 0 0 0 JESSICA HOWARD WYNTER MARTIN DIRECTOR 1.00 X 0 0 0 JORGE ALBERTO JIMENEZ RAMIREZ DIRECTOR 1.00 X 0 0 0 MORGAN SIMON CO-CHAIR & DIRECTOR 1.00 X X 0 0 0 ABEL VALENZUALA CO-CHAIR & DIRECTOR 1.00 X X 0 0 0 FEKKAK MAMDOUH CO-DIRECTOR 60.00 X 78448 0 5994 SARU JAYARAMAN CO-DIRECTOR 60.00 X 89599 0 26 168047 0 6020 0 0 0 0 0 5070 83352 6279 9556377 6287 9651078 PROGRAM REVENUE 900099 170786 170786 RESTAURANT & OTHER 900099 49604 49604 220390 70 70 20473 83352 20473 0 9871538 220390 0 70 X 192863 22758 162391 7714 2199384 1733524 242710 223150 164266 125086 23097 16083 231772 171089 38452 22231 20290 16820 3470 16636 3963 12673 165848 165343 505 559387 487329 47367 24691 53437 34937 7633 10867 207156 82912 117097 7147 12874 10400 2474 595436 423482 171954 276312 198446 62835 15031 61531 61261 270 7745 7745 37554 16483 21071 BANK CHARGES AND PR PRO 80695 14587 63884 2224 BAD DEBTS 31485 31485 OTHER EXPENSES 18525 5313 12087 1125 BUSINESS MEALS 3721 1192 1106 1423 4936917 3574925 1029801 332191 417494 1372844 1019531 6076844 14770 40063 33018 14790 7045 7764 157764 1129771 1500469 2589350 9129736 107242 168853 89740 1633894 196982 1802747 X -443838 734258 2836206 6592731 2392368 7326989 2589350 9129736 4934621 0 X 0 1 X 1 0 X 3406995 2881711 7067201 3532292 9651078 26539277 3406995 2881711 7067201 3532292 9651078 26539277 10166572 16372705 177 137 91 77 70 552 73773 42221 56063 172057 26711886 409255 0.61290 0.98090 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 35718 284259 319977 3254948 3574925 328746 82187 0 0 295264 340698 364403 328746 1329111 1993667 75709 115440 214138 319977 725264 73816 85175 91101 82187 332279 498419 56041 43631 101893 35718 237283 40063 33018 7045 7045 DUE FROM AFFILIATES 1410308 OTHER RECEIVABLES 8363 SECURITY DEPOSITS 81798 1500469 DUE TO OTHERS 39796 CAPITAL LEASE LIABILITY 7319 DUE TO RELATED ORGANIZATIONS 1586779 1633894 9892011 20473 20473 9871538 0 9871538 4957390 20473 20473 4936917 0 4936917 Part XI, Line 2d - Other Adjustments: SPECIAL EVENT FUNDRAISING COSTS 20,473. Part XII, Line 2d - Other Adjustments: SPECIAL EVENT FUNDRAISING COSTS 20,473. DINNERS/COCKTAIL PARTIES 103825 83352 20473 18171 2302 103825 83352 20473 18171 2302 20473 0 PART III LINE 4 Line 4a One Fair Wage for Restaurant Workers ROC United had tremendous success raising the tipped minimum wage as a key economic and gender justice issue in the national conversation in 2016. Building on the Women's Economic Summit that we hosted in New Hampshire during January, we saw three federal bills introduced with One Fair Wage components, including one by Presidential-hopeful Bernie Sanders. Subsequently, the Democratic National Platform Committee voted to make One Fair Wage a key item on the platform, with Vice Presidential-candidate Tim Kaine speaking about the issue at the Democratic National Convention. In fact, after ROC Co-Founder Saru Jayaraman's presentation on One Fair Wage educating the New England Caucus of the Democratic National Convention, Vermont introduced One Fair Wage legislation. We balanced this work with education about tipped wages to decision makers supporting minimum wage increases. In areas where we focused our campaign, we were successful in reaching out to local decision makers and creating coalitions committed to working on the issue. In New York, we hosted a summit focused on Ending Sexual Violence in the Workplace in November. This New York City Summit obtained significant media coverage and resulted in Speaker of the New York Assembly reaching out to ROC about One Fair Wage legislation in the state, which was subsequently filed by Democratic leadership in the NY Senate and leadership of the Women's Caucus in the NY Assembly. In Massachusetts, ROC was able to convince the Raise Up MA coalition to incorporate One Fair Wage legislation into their platform during November 2016. In part this was as a result of a ROC-Boston report published in October 2016 that provided the most comprehensive information to date on the Massachusetts restaurant industry; our findings connecting the subminimum wage to sexual harassment were featured in the Boston Globe. In Chicago, we were able to convince Action Now and the SEIU to prioritize a campaign to move One Fair Wage legislation in the Chicago City Council, to correct the exclusion of tipped workers in Rahm Emmanuel's $13.50 minimum wage bill last year. In addition, One Fair Wage had important One Fair Wage ballot measure victories in Maine and Flagstaff, AZ during November 2016. In Maine, ROC United worked closely with the Maine People's Alliance and the Maine State Federation of Labor to conduct a speaking tour in the state as well as producing a Maine research report on tipped workers together with the National Employment Law Project. One Fair Wage also had an important victory in Flagstaff, AZ, where we worked with the Flagstaff Living Wage Coalition. Line 4b Worker Education & Engagement ROC United continued to provide critical job advancement opportunities through our CHOW program, providing front- and back-of-house training focused on the fine-dining industry. ROC United began using a nationally standardized curriculum for our restaurant workforce development course, which sets CHOW courses at 45 hours as well as general guidelines for topics to cover (local affiliates can still customize course plans to best meet the needs in their cities). Over the course of 2016, we had more than 750 students enroll in our CHOW programs across the country, with a total of 502 graduates, close to 70% of whom secured or retained jobs. In addition, approximately 300 additional workers received additional more focused short-term training, especially as a number of our affiliates have set up condensed CHOW courses focusing on topics like sommelier service and bartending, which can help experienced restaurant workers gain promotion in the industry. During 2016, and especially after November, many newly inspired people have wanted to engage with ROC and our programs, expanding opportunities to engage and mobilize our online worker membership base to 9,000 individuals (meaning outside workers located away from ROC affiliate locations) and bringing our total worker membership to nearly 25,000. Line 4c Research & Policy The impact of ROC's research has exceeded expectations in the last year. ROC produced Bay Area and Boston "Behind the Kitchen Door" local restaurant sector reports on industry working conditions in June and October, respectively; a report in May on the hidden costs of Darden's payroll cards cutting into their workforce's wages; a report in June on NY employer liability around tipped-wage workers; a report on non-traditional hours childcare in September; and a report analyzing the impact of maintaining a lower minimum wage for tipped workers and drawing from the experience of "One Fair Wage" states and cities that have abolished the subminimum tipped wage and demonstrated its economic feasibility without harming restaurant jobs or sales, instead projecting 10.7 percent growth in the next decade. The Massachusetts and New York reports had significant impacts on public awareness and coalition building in these areas, as did our report on the Darden Corporation's use of payroll cards, which was picked up by Senators Warren and Sanders. These reports have been both key to our campaign planning and in generating significant publicity for ROC and our affiliates, facilitating our work. PART III LINE 4 Line 4d All Other Programs: Employer Education & Engagement, Consumer Education & Engagement In terms of consumer education and engagement, we continued to grow our Diners United group, and after the successful launch in February 2016 of our new book Forked: A New Standard in American Dining, author Saru Jayaraman promoted Forked across the US, including in Cincinnati, Atlanta, Philadelphia, Pittsburgh, Seattle, and numerous other cities. In total, this book tour and ongoing work promoting the tipped wage as a gender justice issue received over 200 media hits, including coverage in the New York Times, Washington Post, Time Magazine, Wall Street Journal, and more. Due to Forked and a One Fair Wage video starring Thandie Newton that we released in October 2016, and numerous other actions, op-eds, and public events, ROC United made significant advances in lifting up the stories of tipped workers, particularly as it affects women who make up the majority of servers, and bringing the tipped minimum wage to mainstream attention across the country. In terms of employer education and engagement... ROC continued an occupational desegregation project on the West Coast in close partnership with celebrity chef Daniel Patterson and several high-profile restaurateurs in Oakland and Seattle to engage in an intensive desegregation process over a six-month period. With the Center for Social Inclusion, we conducted on site racial equity assessments for each participating restaurant, involving qualitative and quantitative demographic analysis, as well as staff and manager interviews. After reviewing this material, we provided recommendations for desegregating their restaurants. In addition, with Race Forward, we developed training materials on implicit bias that have begun to utilize in Bay Area workshops. We held our first employer workshops during October and November 2016. We hosted a RAISE (Restaurants Advancing Industry Standards in Employment) summit in Washington DC, during April 2016 attended by staff from approximately 30 restaurants as well as allied organizations. At this convening, employers discussed the gender and racial segregation endemic in the industry, the role of the National Restaurant Association in keeping labor standards low, best and less-than-best practices for businesses converting to One Fair Wage for tipped and non-tipped employees alike, and other areas in which RAISE-specific technical assistance could enhance their business practices and support their journey on the high road. Employers were joined by our Diners United base of restaurant consumer leaders as ROC United continued to integrate our employer and consumer engagement efforts in promoting the 'high road'. In addition, the efforts with RAISE and our continued public education efforts on One Fair Wage have naturally reinforced one another, as we continued to cultivate, develop, and strengthen close partnerships with key national and regional industry leaders to promote improved conditions for the restaurant industry. As a clear example of how our RAISE employers were critical to these efforts, our partner Honey Butter Fried Chicken in Chicago was part of the Mayor's Working Families Task Force that produced a report in April 2016 that recommended the paid sick days ordinance for the city, which was passed by the Chicago City Council during June 2016. In addition, we have been cultivating a relationship with the Golden Gate Restaurant Association (GGRA), and since California has long been a One Fair Wage state, the GGRA has been sharing how its model has been successful, with GGRA Executive Director Gwenyth Borden traveling to Albany, NY to educate leaders and provide San Francisco restaurateurs' perspectives. After November, ROC United's RAISE network of restaurants took the initiative to draft an open letter to the incoming administration opposing identity-based discrimination, harassment and anti-immigrant policies, especially given the current labor shortage in the industry. These RAISE leaders created the name 'Sanctuary Restaurants: A Place at the Table for Everyone', and together we created placards and stickers for restaurants to promote this movement, further expanding our networks of restaurants engaged. Form 990, Part VI, Section A, line 4 THE BYLAWS' ADDRESS OF CONFLICT OF INTEREST VIA ARTICLE V WAS DELETED IN FEBRUARY 2016 (ADDRESS OF THE TOPIC WAS MOVED TO A STAND ALONE CONFLICT OF INTEREST POLICY THAT WAS ADOPTED AT THE SAME MEETING) THE REQUIREMENTS FOR COMPOSITION OF THE BOARD OF DIRECTORS WAS ALTERED IN DECEMBER 2016 BY ADDING IN ARTICLE IIA PROVISION REQUIRING THAT OF THE (MAXIMUM) FIFTEEN DIRECTORS, FIVE BE RESTAURANT WORKERS ELECTED BY RESTAURANT WORKERS. Form 990, Part VI, Section B, line 11b THE DRAFT OF THE FORM 990 IS REVIEWED BY MANAGEMENT AND EXEMPT ORGANIZATION TAX COUNSEL FOR ACCURACY AND COMPLETENESS. UPON COMPLETION OF THIS REVIEW, THE RETURN IS FINALIZED AND FILED. AT THE FIRST BOARD MEETING SUBSEQUENT TO FILING, THE RETURN IS PRESENTED TO THE BOARD FOR DISCUSSION AND QUESTIONS. Form 990, Part VI, Section B, line 12c ROC U'S CONFLICT OF INTEREST POLICY APPLIES TO BOARD MEMBERS, OFFICERS AND KEY EMPLOYEES (THE LAST IS A DEFINED TERM THAT REACH AN INDIVIDUAL WHO "IS, OR HAS WITHIN THE LAST FIVE YEARS, BEEN IN A POSITION TO EXERCISE SUBSTANTIAL INFLUENCE OVER THE AFFAIRS OF THE ORGANIZATION, AND INCLUDES BOARD MEMBERS AND CERTAIN OFFICERS WHO ARE AUTOMATICALLY IRC SECTION 4958 DISQUALIFIED PERSONS, AS WELL AS EMPLOYEES OR OTHERS WHO HAD OR HAVE SUBSTANTIAL INFLUENCE WITHIN THE LAST FIVE YEARS). TRANSACTIONS WITH ANY OF SUCH PERSONS OR ANYONE WHO IS A "RELATED PARTY" (A DEFINED TERM WHICH INCLUDES RELATIVES AND CERTAIN ENTITIES CONNECTED TO THEM) MAY ONLY BE EFFECTED IF THE FULL BOARD OR AN AUTHORIZED BOARD COMMITTEE, NOT INCLUDING THE PARTICIPATION OF THE PERSONS WHOSE INTERESTS ARE DIRECTLY OR INDIRECTLY INVOLVED, DETERMINES THE TRANSACTION TO BE "FAIR, REASONABLE, AND IN THE BEST INTERESTS OF THE CORPORATION." IF THE CONTEMPLATED TRANSACTION PERTAINS TO COMPENSATION FOR SERVICES OR THE TRANSFER OF PROPERTY OR OTHER ECONOMIC BENEFITS, THE DETERMINATION REQUIRES ASCERTAINING THAT THE VALUE OF THE ECONOMIC BENEFITS PROVIDED BY THE CORPORATION DOES NOT EXCEED THE VALUE OF THE CONSIDERATION RECEIVED BY THE CORPORATION IN EXCHANGE, AND THIS DETERMINATION REQUIRES OBTAINING, AND REVIEW OF, APPROPRIATE COMPARABILITY DATA PRIOR TO ENTERING INTO THE TRANSACTION. WHEN A CONTEMPLATED TRANSACTION DOES NOT INVOLVE COMPENSATION OR TRANSFER OF PROPERTY OR BENEFITS, THE DETERMINATION IS TO BE MADE AFTER CONSIDERATION OF ALTERNATIVE TRANSACTIONS, TO THE EXTENT POSSIBLE, PRIOR TO ENTERING INTO THE TRANSACTION. IN ADDITION, NOTICE IS TO BE PROVIDED BY AN INDIVIDUAL SUBJECT TO THE POLICY WHEN THEY OR A "RELATED PARTY" OF THEIRS ACQUIRES A "FINANCIAL INTEREST" IN, OR WHEN ANY MATTER FOR DECISION OR APPROVAL COMES BEFORE THE BOARD RELATED TO A "FINANCIAL INTEREST" OF THEIRS DIRECTLY OR ONE RELATED TO THEIR "RELATED PARTY." SUCH NOTICE IS TO BE PROMPTLY MADE, IN WRITING, TO EACH MEMBER OF THE BOARD, THE PRESIDENT,** AND TO THE CHAIR OF AN AUTHORIZED BOARD COMMITTEE, TOGETHER WITH ALL MATERIAL FACTS. THEREAFTER, THE PROCEDURES SET OUT ABOVE ARE TO BE FOLLOWED. FAILURE BY AN INDIVIDUAL TO DISCLOSE TO THE BOARD A KNOWN "FINANCIAL INTEREST OR A KNOWN POTENTIAL "RELATED PARTY" TRANSACTION MAY BE GROUNDS FOR REMOVAL FROM THE BOARD OR TERMINATION FROM EMPLOYMENT. Form 990, Part VI, Section B, line 15a THE BOARD REVIEWS THE COMPENSATION OF CO-DIRECTORS TO INSURE THAT AMOUNTS PAID ARE REASONABLE AND COMPARABLE TO SIMILAR NOT-FOR-PROFIT ORGANIZATIONS. THE LAST TIME A REVIEW OF COMPENSATION AMOUNTS PROVIDED TO THE TWO CO-DIRECTORS SERVING THE ORGANIZATION WAS UNDERTAKEN WAS 2014. Form 990, Part VI, Section C, line 18 DOCUMENTS ARE AVAILABLE UPON REQUEST. Form 990, Part VI, Section C, line 19 DOCUMENTS WERE AVAILABLE UPON REQUEST. Form 990, Part IX, line 11g PROGRAM MANAGEMENT: Program service expenses 145,047. Management and general expenses 19,526. Fundraising expenses 216. Total expenses 164,789. PRESS REPRESENTATION: Program service expenses 94,709. Management and general expenses 5,000. Fundraising expenses 0. Total expenses 99,709. CHOW INSTRUCTORS: Program service expenses 33,070. Management and general expenses 0. Fundraising expenses 0. Total expenses 33,070. OTHER CONSULTANTS: Program service expenses 214,503. Management and general expenses 22,841. Fundraising expenses 24,475. Total expenses 261,819. COLORS NY RESTAURANT LLC 275 SEVENTH AVENUE NEW YORK NY 10001 815088121 2017 SITE FOR CHOWCOLORS NY RESTAURANT OPPORTUNITIES CENTER (ROC) UNITED INC ROCACTION INC 275 SEVENTH AVENUE 1703 NEW YORK NY 10001 465249734 LOBBYING NY 501(c)(4) RESTAURANT OPPORTUNITIES CENTER (ROC) UNITED INC 1 RESTORE OAKLAND LLC 1970 BROADWAY SUITE 1125 OAKLAND CA 94612 811808148 BUILDING OWNERSHIP DE 512(B)(5) RENTS -1177 148823 0 0 0.50000 417 LAFAYETTE LLC 275 SEVENTH AVENUE NEW YORK NY 10001 342031866 WORKER EDUCATION NY RESTAURANT OPPORTUNITIES CENTER (ROC) UNITED INC C -1294775 1.00000 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 417 LAFAYETTE LLC D 1270856 ACTUAL AMOUNTS ADVANCED RESTORE OAKLAND LLC D 2520000 GUARANTY - SEE ATTACHED PART V LINE 1D AGGREGATE AMOUNTS ADVANCED TO 417 LAFAYETTE LLC THROUGH DECEMBER 31, 2016 TO COVER ENTITY'S CASH FLOW TO CONDUCT FILERS' CHOW PROGRAMMING (THE ENTITY'S SOLE OPERATION) PART V LINE 1D ON DECEMBER 2, 2016 THE FILER EXECUTED A LOAN REPAYMENT GUARANTY ON BEHALF OF RESTORE OAKLAND LLC FOR THE BENEFIT OF NORTHERN CALIFORNIA COMMUNITY LOAN FUND.