2016-11-15T15:05:29-06:00 2016-03-31 113518842 MARKS PANETH LLP 685 THIRD AVENUE NEW YORK NY 10017 990 2015-04-01 132756320 LEGAL ACTION CENTER OF THE CITY OF NEW YORK INC LEGA 2122431313 225 VARICK STREET NO 402 NEW YORK NY 10014 PAUL N SAMUELS PRESIDENT/CEO 2122431313 2016-11-15 1 ROBERT R LYONS CPA P00227472 2125038800 2016-11-15 2015 2017-02-10 21:41:12Z PAUL N SAMUELS 225 VARICK STREET NO 402 NEW YORK NY 10014 5000577 0 X WWW.LAC.ORG X 1973 NY LEGAL SERVICES - THE LEGAL ACTION CENTER ("LAC") IS A NOT-FOR-PROFIT LAW AND POLICY ORGANIZATION WITH OFFICES IN NEW YORK CITY AND WASHINGTON, D.C.. LAC IS THE ONLY ORGANIZATION IN THE COUNTRY WHOSE SOLE MISSION IS TO FIGHT DISCRIMINATION AGAINST AND PROTECT THE PRIVACY OF PEOPLE LIVING WITH CRIMINAL RECORDS, DRUG OR ALCOHOL HISTORIES AND/OR HIV/AIDS. WE HAVE A MULTI-FACETED APPROACH THAT INVOLVES DIRECT CLIENT LEGAL SERVICES AND IMPACT LITIGATION, TECHNICAL ASSISTANCE AND TRAINING TO AGENCIES THAT SERVE OUR CLIENTELE, AND POLICY ADVOCACY TO CREATE SYSTEMIC CHANGES THAT WILL BENEFIT OUR CLIENTS. WE PROVIDE FREE LEGAL ASSISTANCE TO INDIVIDALS THROUGHOUT NEW YORK STATE; MANY OF OUR CLIENTS HAVE ISSUES CROSSING ALL THREE OF OUR SUBJECT AREAS. 24 24 36 24 0 0 5133917 4667966 144569 145124 984 180 153075 126767 5432545 4940037 0 0 0 0 2807804 2984531 0 0 509763 1413106 2060581 4220910 5045112 1211635 -105075 2300927 2466741 635808 906697 1665119 1560044 X THE LEGAL ACTION CENTER IS THE ONLY NON-PROFIT LAW AND POLICY ORGANIZATION IN THE U.S. WHOSE SOLE MISSION IS TO FIGHT DISCRIMINATION AGAINST PEOPLE WITH HISTORIES OF ADDICTION, HIV/AIDS, OR CRIMINAL RECORDS, AND TO ADVOCATE FOR SOUND PUBLIC POLICIES IN THESE AREAS. 0 0 3802919 145124 LEGAL SERVICES - THE LEGAL ACTION CENTER (LAC) IS A NOT-FOR-PROFIT LAW AND POLICY ORGANIZATION WITH OFFICES IN NEW YORK CITY AND WASHINGTON, D.C.. LAC IS THE ONLY ORGANIZATION IN THE COUNTRY WHOSE SOLE MISSION IS TO FIGHT DISCRIMINATION AGAINST AND PROTECT THE PRIVACY OF PEOPLE LIVING WITH CRIMINAL RECORDS, DRUG OR ALCOHOL HISTORIES AND/OR HIV/AIDS. WE HAVE A MULTI-FACETED APPROACH THAT INVOLVES DIRECT CLIENT LEGAL SERVICES AND IMPACT LITIGATION, TECHNICAL ASSISTANCE AND TRAINING TO AGENCIES THAT SERVE OUR CLIENTELE, AND POLICY ADVOCACY TO CREATE SYSTEMIC CHANGES THAT WILL BENEFIT OUR CLIENTS. WE PROVIDE FREE LEGAL ASSISTANCE TO INDIVIDUALS THROUGHOUT NEW YORK STATE; MANY OF OUR CLIENTS HAVE ISSUES CROSSING ALL THREE OF OUR SUBJECT AREAS. FOR EXAMPLE, SOME ARE IN RECOVERY FROM DRUG ADDICTION THAT EARLIER LED THEM TO COMMIT CRIMES AND RESULTED IN THEIR CONTRACTING HIV. SINCE OUR FOUNDING IN 1972, WE HAVE HELPED TENS OF THOUSANDS OF NEW YORKERS OVERCOME LEGAL BARRIERS TO ACCESSING JOBS, HOUSING, HEALTHCARE, GOVERNMENT BENEFITS, AND OTHER SERVICES CRITICAL TO THEIR BECOMING PRODUCTIVE MEMBERS OF SOCIETY, MAINTAINING THEIR DIGNITY, AND GETTING AND STAYING HEALTHY. IN 2015-2016 FISCAL YEAR ALONE, LAC HELPED 1826 INDIVIDUALS RESOLVE CIVIL LEGAL PROBLEMS: 1347 RELATED TO A CRIMINAL RECORD, 297 RELATED TO AN ALCOHOL/DRUG PROBLEM (THAT USUALLY LED TO A CRIMINAL RECORD), AND 182 RELATED TO HIV. AMONG OTHER VALUABLE SERVICES, WE HELP INDIVIDUALS OBTAIN EMPLOYMENT, HOUSING AND BENEFITS DESPITE PAST CRIMINAL CONVICTIONS OR ALCOHOL/DRUG HISTORIES THROUGH A COMPREHENSIVE RANGE OF CIVIL LEGAL SERVICES, INCLUDING ASSISTING OUR CLIENTS TO OBTAIN AND CLEAN UP THEIR NEW YORK STATE RAP SHEETS, SEEK AND OBTAIN CERTIFICATES OF GOOD CONDUCT OR RELIEF FROM DISABILITIES THAT ARE OFTEN ESSENTIAL TO FINDING JOBS OR ACQUIRING PROFESSIONAL LICENSES, PREPARE AND FILE EMPLOYMENT DISCRIMINATION COMPLAINTS WITH THE NEW YORK STATE HUMAN RIGHTS DIVISION, AND GATHER LETTERS OF REFERENCE AND OTHER EVIDENCE OF REHABILITATION. TO BROADEN OUT IMPACT AND EMPOWER OUR CLIENTS, WE ALSO AUTHOR AND DISSEMINATE A WIDE VARIETY OF FREE PUBLICATIONS THAT HELP PRO SE INDIVIDUALS (INCLUDING PRISON INMATES) AND OTHER ADVOCATES UNDERSTAND AND ENFORCE THEIR CIVIL AND PRIVACY RIGHTS.SINCE 2007 WE ALSO HAVE OPERATED A PROGRAM THAT PROVIDES LEGAL ASSISTANCE TO INDIVIDUALS INCARCERATED AT RIKERS ISLAND CORRECTIONAL FACILITIES, HELPING THESE INDIVIDUALS OBTAIN, UNDERSTAND AND CORRECT ERRORS ON THEIR RAP SHEETS SO THAT THEY ARE WELL PREPARED TO SEEK EMPLOYMENT, HOUSING AND HIGHER EDUCATION.IN ADDITION TO OUR HIGH VOLUME LEGAL SERVICES PROJECT, LAC CONDUCTS IMPACT LITIGATION THROUGHOUT NEW YORK STATE. WE LITIGATE EMPLOYMENT DISCRIMINATION, PRIVACY AND CIVIL RIGHTS MATTERS IN STATE AND FEDERAL COURTS AND BEFORE ADMINISTRATIVE AGENCIES SUCH AS THE NEW YORK STATE DIVISION AND NEW YORK CITY COMMISSION ON HUMAN RIGHTS, AND FEDERAL AGENCIES CHARGED WITH ENFORCING FEDERAL ANTI-DISCRIMINATION AND HEALTH PRIVACY LAWS. OUR LITIGATION GENERALLY INVOLVES NOVEL ISSUES OF LAW AND IS DESIGNED TO IMPACT GROUPS OF PEOPLE. WE LEVERAGE OUR RESOURCES TO PRO BONO PARTNERSHIPS WITH LAW FIRMS WHOSE ATTORNEY'S EITHER CO-COUNSEL MATTERS WITH LAC STAFF OR HANDLE THEM UNDER OUR SUPERVISION. LAC PROVIDED TRAINING AND TECHNICAL ASSISTANCE ON LEGAL ISSUES TO LEGAL SERVICES PROVIDERS AND SOCIAL SERVICES AND HEALTHCARE AGENCIES SERVICING PEOPLE LIVING WITH CRIMINAL RECORDS, DRUG OR ALCOHOL HISTORIES AND/OR HIV/AIDS. IN FY 2015-2016, OUR LEGAL AND POLICY STAFF PROVIDED ON-SITE TRAINING TO STAFF AND/OR CLIENTS OF 19 AGENCIES THROUGHOUT NEW YORK STATE, INCLUDING DRUG AND ALCOHOL TREATMENT PROGRAMS, GROUPS THAT ASSIST FORMERLY INCARCERATED PEOPLE, AGENCIES PROVIDING HIV PREVENTION AND CARE, AND HOSPITALS. TOPICS WE HAVE A TRAINED ON INCLUDE EMPLOYMENT DISCRIMINATION (FACED BY PEOPLE WITH CRIMINAL RECORDS, HISTORIES OF DRUG/ALCOHOL ADDICTION, AND HIV/AIDS) CONFIDENTIALITY OF DRUG AND ALCOHOL TREATMENT AND HIV RECORDS, AND RIGHTS OF ADOLESCENTS IN THE AGE OF AIDS. OUR TRAINING COMPLEMENT OUR LEGAL SERVICES WORK: WE KEEP TRAINEES ABREAST OF LEGAL DEVELOPMENTS, SOME OF WHICH WE HAVE ACHIEVED THROUGH LITIGATION AND POLICY ADVOCACY, AND WE LEARN ABOUT ISSUES PEOPLE IN THE COMMUNITY (AND THEIR ADVOCATES) FACE AND TRY TO DEVISE LITIGATION AND POLICIES SOLUTIONS. THROUGH OUR HOTLINE IN FY 2015-2016, LAC ATTORNEYS GAVE TECHNICAL ASSISTANCE TO 145 AGENCIES THROUGHOUT NEW YORK ON AN ARRAY OF LEGAL ISSUES CONCERNING INDIVIDUALS WITH CRIMINAL RECORDS, ALCOHOL/DRUG PROBLEMS, AND HIV. MANY OF THESE AGENCIES AVAIL THEMSELVES OF OUR PUBLICATIONS ON RELEVANT TOPICS THAT WE BOTH DISTRIBUTE AT TRAINING AND PROVIDE FOR FREE DOWNLOAD FROM OUR WEBSITE. LAC IS ALSO A STATE AND NATIONAL LEADER IN POLICY AND LEGISLATIVE REFORM. FOR YEARS LAC PLAYED A LEADING ROLE IN ADVOCATING FOR ROCKEFELLER DRUG LAW REFORM, WHICH CULMINATED IN A COMPREHENSIVE REFORM LAW, ENACTED IN 2009. TWO OTHER PIECES OF LEGISLATION THAT LAC WORKED TO ACHIEVE ALSO PASSED AS PART OF THE DRUG LAW REFORM LEGISLATION: THE CONDITIONAL SEALING OF SOME CONVICTIONS AND A PROVISION IN THE EXECUTIVE LAW WHICH MAKES CLEAR THAT, WHEN INDIVIDUALS APPLY FOR EMPLOYMENT OR OCCUPATIONAL LICENSES THEY DO NOT HAVE TO DIVULGE INFORMATION ABOUT ARRESTS THAT DID NOT LEAD TO CONVICTION, YOUTHFUL ADJUDICATIONS, SEALED VIOLATIONS, AND CONDITIONALLY SEALED CONVICTIONS. A NUMBER OF BILLS PROPOSED BY LAC THAT WOULD HELP QUALIFIED NEW YORKERS WITH CRIMINAL RECORDS OVERCOME BARRIERS TO EMPLOYMENT AND OTHER NECESSITIES HAVE BEEN INTRODUCED IN THE LEGISLATURE DURING THE LAST YEAR. IN ONE SIGNIFICANT VICTORY, A REPUBLICAN STATE SENATOR INTRODUCED LEGISLATION TO SEAL CERTAIN CRIMINAL RECORD INFORMATION. UNFORTUNATELY, NONE OF THESE BILLS ENDED UP BEING ENACTED.ON A NATIONAL LEVEL, LAC, LEADING A COALITION OF MENTAL HEALTH AND SUBSTANCE ABUSE SERVICES PROVIDERS, HAS SUCCEEDED IN ENSURING THAT EXPANDED ACCESS TO ALCOHOL AND DRUG TREATMENT IS A PART OF THE HEALTH CARE REFORM BILLS THAT PASS BOTH THE HOUSE AND SENATE. IN ADDITION, LAC HAS TWO UNIQUE PROJECTS THAT PROVIDE LEGAL SUPPORT HUNDREDS OF COMMUNITY-BASED AGENCIES SERVING INDIVIDUALS WITH CRIMINAL RECORDS, HISTORIES OF ADDICTION AND HIV/AIDS. LAC'S NATIONAL H.I.R.E (HELPING INDIVIDUALS WITH CRIMINAL RECORDS REENTER THROUGH EMPLOYMENT) NETWORK IS BOTH A NATIONAL CLEARINGHOUSE FOR INFORMATION AND AN ADVOCATE FOR POLICY CHANGE. IT IS ONE OF SEVERAL SPECIAL PROJECTS AT THE LEGAL ACTION CENTER. THE GOAL OF THE NATIONAL H.I.R.E. NETWORK IS TO INCREASE THE NUMBER AND QUALITY OF JOB OPPORTUNITIES AVAILABLE TO PEOPLE WITH CRIMINAL RECORDS BY CHANGING PUBLIC POLICIES, EMPLOYMENT PRACTICES AND PUBLIC OPINION. LAC/H.I.R.E ACCOMPLISHES THESE GOALS BY PROVIDING LEADERSHIP AND PUBLIC POLICY ADVOCACY, PROVIDING TECHNICAL ASSISTANCE AND TRAINING ON OVERCOMING LABOR MARKET BARRIERS BASED ON A CRIMINAL RECORD, AND PROMOTING COLLABORATION BETWEEN INDIVIDUALS DIRECTLY AFFECTED BY THE CRIMINAL JUSTICE SYSTEM, ADVOCATES, PRACTITIONERS, RESEARCHERS AND POLICYMAKERS WORKING TO IMPROVE THE EMPLOYABILITY OF PEOPLE WITH CRIMINAL RECORDS. FURTHER, LAC/H.I.R.E. HAS CONDUCTED A NATIONAL EDUCATION CAMPAIGN TO IMPROVE EMPLOYMENT PRACTICES BY PROMOTING FAIR HIRING STANDARDS AND BEST PRACTICES THAT EMPLOYERS AND HUMAN RESOURCE PROFESSIONALS COULD INCORPORATE IN THEIR HIRING PRACTICES TO ENSURE QUALIFIED WORKERS WITH CRIMINAL RECORDS GET A FAIR OPPORTUNITY TO COMPETE FOR JOBS. LAC/HIRE CO-AUTHORED A GUIDEBOOK FOR EMPLOYERS AND BACKGROUND SCREENING COMPANIES THAT IT IS PROMOTING ACROSS THE COUNTRY AT REGIONAL SUMMITS. IT HAS ALSO INCREASED ITS EDUCATION AND TECHNICAL ASSISTANCE SUPPORT FOR WORKFORCE DEVELOPMENT PROVIDERS SERVING YOUNG PEOPLE AND ADULTS WITH CRIMINAL RECORDS AND TREATMENT AND RECOVERY SUPPORT PROFESSIONALS WHO ASSIST INDIVIDUALS WITH CRIMINAL RECORDS WITH REENTRY. LAC/HIRE HAS COMPLETED LABOR MARKET RESEARCH AND ISSUED A REPORT THAT IDENTIFIED HIGH GROWTH INDUSTRIES AND OCCUPATIONS IN NEW YORK CITY ALONG WITH CRIMINAL RECORD BARRIERS THAT MAY LIMIT OPPORTUNITIES IN THESE FIELDS. THE REPORT WILL HELP IMPROVE WORKFORCE SUPPORT FOR JOB SEEKERS WITH CRIMINAL RECORDS AND INFLUENCE RESPONSIBLE INVESTMENT IN JOBS INITIATIVES THAT TARGET THIS POPULATION. FINALLY, LAC/HIRE CONDUCTED A SPECIALIZED EDUCATION PROJECT THAT FOCUSES ON INCREASING HOUSING OPPORTUNITIES FOR JUSTICE-INVOLVED INDIVIDUALS AND WILL ISSUE A NATIONAL REPORT TO HIGHLIGHT PRIVATE AND PUBLIC HOUSING RESTRICTIONS THAT KEEP HINDER SUCCESSFUL REENTRY AND KEEPS FAMILY APART. 3802919 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 23 0 36 1 0 0 0 0 0 1 1 0 0 0 0 X 24 24 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X JOSEPH THOMPSON 2122431313 225 VARICK STREET NEW YORK NY 10014 DANIEL K MAYERS CHAIRMAN 0.40 X 0 0 0 ELIZABETH BARTHOLET DIRECTOR 0.10 X 0 0 0 JOHN J SUYDAM DIRECTOR 0.10 X 0 0 0 ERIC D BALBER DIRECTOR 0.10 X 0 0 0 SUZANNE B CUSACK DIRECTOR 0.20 X 0 0 0 EDWARD J DAVIS DIRECTOR 0.20 X 0 0 0 STEPHEN CUTLER DIRECTOR 0.30 X 0 0 0 JASON FLOM DIRECTOR 0.10 X 0 0 0 ELAINE H MANDELBAUM DIRECTOR 0.20 X 0 0 0 BRAD S KARP DIRECTOR 0.30 X 0 0 0 DOUG LIMAN DIRECTOR 0.10 X 0 0 0 MICHAEL MELTSNER DIRECTOR 0.10 X 0 0 0 MARK C MORRIL DIRECTOR 0.20 X 0 0 0 CHRISTOPHER WHITE DIRECTOR 0.20 X 0 0 0 WILLIAM C PALEY DIRECTOR 0.10 X 0 0 0 B DIANE WILLIAMS DIRECTOR 0.10 X 0 0 0 ED SHAW DIRECTOR 0.10 X 0 0 0 MARC L MILLER TREASURER 0.20 X X 0 0 0 MARY BETH FORSHAW VICE CHAIRMAN 0.20 X X 0 0 0 MARY MULLIGAN DIRECTOR 0.10 X 0 0 0 TINO HERNANDEZ DIRECTOR 0.30 X 0 0 0 ELIZABETH SACKSTEDER DIRECTOR 0.20 X 0 0 0 RAUL RUSSI DIRECTOR 0.10 X 0 0 0 KAMRAN MASOOD DIRECTOR 0.10 X 0 0 0 PAUL SAMUELS PRESIDENT 40.00 X 207336 0 27435 JOSEPH THOMPSON CFO 40.00 X 122845 0 12471 ANITA MARTON VICE PRESIDENT 40.00 X 125573 0 14720 SALLY FRIEDMAN LEGAL DIRECTOR 40.00 X 119179 0 5659 574933 0 60285 6 0 1 0 TRUVEN HEALTH ANALYTICS INC PO BOX 71716 CHICAGO IL 606941716 CONSULTANT 187576 TREATMENT RESEARCH INSTITUTE 150 SOUTH INDEPENDENCE MALLWEST PHILADELPHIA PA 191063414 CONSULTANT 119860 COMPA 911 CENTRAL AVENUE ALBANY NY 12206 CONSULTANT 117819 3 917149 1814944 1935873 4667966 PUBLICATIONS & CONSUL. 541100 103060 103060 TRAINING FEES & MISC. 541900 42064 42064 145124 180 180 114921 0 114921 114921 114921 60540 917149 60540 0 MISCELLANEOUS 900099 11846 11846 11846 4940037 145124 0 126947 851898 490865 169541 191492 1643626 1297882 222729 123015 44631 35323 5918 3390 222653 176142 33585 12926 221723 160438 34748 26537 5721 5721 1043031 939674 76696 26661 31022 22459 4848 3715 548100 396812 85657 65631 87591 65411 21531 649 17158 14334 2244 580 5481 5481 49632 35932 7757 5943 16684 12079 2607 1998 MISCELLANEOUS 89226 43761 13518 31947 TELEPHONE 36036 26089 5632 4315 LIBRARY MAINTENANCE 26921 26921 PRINTING & PUBLICATIONS 26554 22541 1898 2115 77424 36256 32319 8849 5045112 3802919 732430 509763 X 89582 97482 781199 1360831 726663 440651 550682 412887 2728 815 20540 49847 673769 649815 73586 23954 55947 80274 2300927 2466741 355925 461325 113063 160156 166820 285216 635808 906697 X 215844 358368 1449275 1201676 1665119 1560044 2300927 2466741 -105075 0 X X 0 1 X 1 0 X 3487197 2804822 4024361 5133917 4684966 20135263 3487197 2804822 4024361 5133917 4684966 20135263 20135263 752 211 685 189 115101 116938 2964 12641 16161 12622 11846 56234 20308435 1104459 0.99150 0.99700 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 5721 5721 5020391 5026112 401306 100327 0 0 349008 341675 370674 401306 1462663 2193995 5333 2987 543 5721 14584 87252 85419 92669 100327 365667 548501 230 230 495300 472255 23045 178469 177560 909 23954 DEFERRED RENT 285216 285216 X 5034874 94837 94837 4940037 0 4940037 5139949 94837 94837 5045112 0 5045112 PART X, LINE 2: THE AGENCY BELIEVES IT HAS NO UNCERTAIN TAX POSITIONS AS OF MARCH 31, 2016 AND 2015, IN ACCORDANCE WITH ACCOUNTING STANDARDS CODIFICATION ("ASC") TOPIC 740, WHICH PROVIDES STANDARDS FOR ESTABLISHING AND CLASSIFYING ANY TAX PROVISIONS FOR UNCERTAIN TAX POSITIONS. ARTHUR LIMAN BENEFIT 977689 917149 60540 46440 8350 5750 977689 917149 60540 46440 8350 5750 60540 0 X X 0 0 0 0 0 0 0 0 0 PAUL SAMUELS PRESIDENT 207336 0 0 0 0 0 6525 0 20910 0 234771 0 0 0 FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS REVIEWED IN DETAIL BY THE CONTROLLER AND THE VICE PRESIDENT/CHIEF FINANCE OFFICER. THE FORM 990 IS THEN FORWARDED TO THE DIRECTOR/PRESIDENT FOR REVIEW AND THEN TO THE FINANCE COMMITTEE FOR REVIEW. AFTER THE FORM 990 IS REVIEWED BY THE FINANCE COMMITTEE, THE FORM 990 IS FORWARDED TO THE BOARD OF DIRECTORS FOR COMMENTS. FORM 990, PART VI, SECTION B, LINE 12C LEGAL ACTION CENTER MADE IT MANDATORY FOR ALL BOARD OF DIRECTORS' MEMBERS TO FILL-OUT ANNUALLY THE "CONFLICT OF INTEREST FORM." FORM 990, PART VI, SECTION B, LINE 15 THE ORGANIZATION USES THE FOLLOWING TO DETERMINE THE COMPENSATION OF ITS CEO, EXECUTIVE DIRECTOR, OR TOP MANAGEMENT OFFICIAL: 1)COMPENSATION SURVEY OR STUDY; 2)APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 2C: HAS NOT BEEN CHANGED FROM PRIOR YEAR.