2014-11-14T20:01:50-06:00 2014-03-31 113518842 MARKS PANETH LLP 685 THIRD AVENUE NEW YORK NY 10017 990 2013-04-01 132756320 LEGAL ACTION CENTER OF THE CITY OF NEW YORK INC LEGA 2122431313 225 VARICK STREET NEW YORK NY 10014 PAUL N SAMUELS PRESIDENT/CEO 2122431313 2014-11-14 1 ROBERT R LYONS CPA P00227472 2125038800 2013 2015-11-30 17:44:51Z PAUL N SAMUELS 225 VARICK STREET NEW YORK NY 10014 4391016 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. 25 25 30 0 0 0 2804822 4024361 258345 156019 211 1454 126269 136235 3189647 4318069 0 0 0 0 2754764 2595513 0 0 359051 1225386 1165044 3980150 3760557 -790503 557512 883825 1245707 873103 677473 10722 568234 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 2699322 156019 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, HEALTH CARE, GOVERNMENT BENEFITS, AND OTHER SERVICES CRITICAL TO THEIR BECOMING PRODUCTIVE MEMBERS OF SOCIETY, MAINTAINING THEIR DIGNITY, AND GETTING AND STAYING HEALTHY. IN 2013-2014 FISCAL YEAR ALONE, LAC HELPED 2132 INDIVIDUALS RESOLVE CIVIL LEGAL PROBLEMS: 1595 RELATED TO A CRIMINAL RECORD, 283 RELATED TO AN ALCOHOL/DRUG PROBLEM (THAT USUALLY LED TO A CRIMINAL RECORD), AND 254 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 HUNAN RIGHTS DIVISION, AND GATHER LETTERS OF REFERENCE AND OTHER EVIDENCE OF REHABILITATION. TO BROADEN OUR 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 THE 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 THROUGH PRO BONO PARTNERSHIPS WITH LAW FIRMS WHOSE ATTORNEY'S EITHER CO-COUNSEL MATTERS WITH LAC STAFF OF HANDLE THEM UNDER OUR SUPERVISION.LAC PROVIDED TRAINING AND TECHNICAL ASSISTANCE ON LEGAL ISSUES TO LEGAL SERVICES PROVIDERS AND SOCIAL SERVICES AND HEALTH CARE AGENCIES SERVICING PEOPLE LIVING WITH CRIMINAL RECORDS, DRUG OR ALCOHOL HISTORIES AND/OR HIV/AIDS. IN FY 2013-2014, OUR LEGAL AND POLICY STAFF PROVIDED ON-SITE TRAINING TO STAFF AND/OR CLIENTS OF 20 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 TRAINED ON INCLUDE EMPLOYMENT DISCRIMINATION (FACE 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 POLICY SOLUTIONS. THROUGH OUR HOTLINE, IN FY 2013-2014, LAC ATTORNEYS GAVE TECHNICAL ASSISTANCE TO 264 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 FROM 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 WERE PASSED BY THE ASSEMBLY AND ON THIRD READING IN SENATE, WHICH SESSION ABRUPTLY ENDED. WHILE THEY WERE NOT ENACTED THIS YEAR, WE MADE SOLID PROGRESS AND ARE HOPEFUL THAT WILL PASS NEXT YEAR.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 PASSED BOTH THE HOUSE AND SENATE. IN ADDITION, LAC HAS TWO UNIQUE PROJECTS THAT PROVIDE LEGAL SUPPORT TO 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/HIRE ACCOMPLISHES THESE GOALS BY PROVIDING LEADERSHIP ON 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. THIS PAST YEAR, LAC/HIRE'S EDUCATION AND TECHNICAL SUPPORT ACTIVITIES HAVE CONTRIBUTED TO SUCCESSFUL ADVOCACY VICTORIES IN ELEVEN STATES AS WE ALSO WORKED TO BUILD REGIONAL ADVOCACY NETWORKS TO ELIMINATE COLLATERAL CONSEQUENCES, PARTICULARLY IN THE SOUTH. FURTHER, LAC/HIRE HAS CONTINUED TO PROMOTE ITS ONE-PAGE ISSUE BRIEFS ON BARRIERS CREATED BY FEDERAL LAWS AND REGULATIONS THAT MAKE IT MORE DIFFICULT FOR PEOPLE WITH CRIMINAL RECORDS OR ADDICTIONS TO OBTAIN EMPLOYMENT AND OTHER ESSENTIALS. THESE ISSUE BRIEFS ULTIMATELY SERVED AS A LEADING GUIDE TO REENTRY REFORM ACTIVITIES FOR THE OBAMA ADMINISTRATION THROUGH THE ATTORNEY GENERAL'S FEDERAL INTERAGENCY REENTRY COUNCIL. OUR EDUCATION AND ADVOCACY WITH KEY FEDERAL OFFICIALS IN DEPARTMENTS OF JUSTICE, HOUSING AND URBAN DEVELOPMENT, EDUCATION, HEALTH & HUMAN SERVICES, AND OTHER FEDERAL AGENCIES HAS LED TO SIGNIFICANT PROGRESS TOWARD INCREASING OPPORTUNITIES FOR PEOPLE WITH CRIMINAL RECORDS TO INCREASE THEIR EDUCATION, GET EMPLOYMENT, HOUSING, AND OTHER OPPORTUNITIES. LAC/HIRE HAS PRESENTED ALL ACROSS THE COUNTRY ABOUT FEDERAL, STATE, AND LOCAL EFFORTS TO ADDRESS COLLATERAL CONSEQUENCES AND WAS CALLED TO TESTIFY BEFORE A SPECIAL TASK FORCE OF THE NATIONAL ASSOCIATION OF CRIMINAL DEFENSE LAWYERS, WHICH ULTIMATELY INFORMED SEVERAL RECOMMENDATIONS MADE BY THE ASSOCIATION IN THEIR 2699322 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 10 0 30 1 0 0 0 0 0 1 1 0 0 0 0 X 25 25 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 X 0 0 0 ELIZABETH BARTHOLET DIRECTOR 0.20 X 0 0 0 STEPHANIE AVAKIAN DIRECTOR 0.20 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 0.30 X 0 0 0 STEPHEN CUTLER DIRECTOR 0.30 X 0 0 0 JASON FLOM DIRECTOR 0.10 X 0 0 0 DALLAS PELL 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 DIRECTOR 0.10 X 0 0 0 MARY BETH FORSHAW DIRECTOR 0.20 X 0 0 0 MARY MULLIGAN DIRECTOR 0.10 X 0 0 0 TINO HERNANDEZ DIRECTOR 0.20 X 0 0 0 ELIZABETH SACKSTEDER DIRECTOR 0.10 X 0 0 0 RAUL RUSSI DIRECTOR 0.10 X 0 0 0 LAURENCE M WESTREICH DIRECTOR 0.10 X 0 0 0 PAUL SAMUELS PRESIDENT 40.00 X 192500 0 18092 CATHERINE O'NEILL SENIOR VICE PRESIDENT 30.00 X 115125 0 9518 JOSEPH THOMPSON CFO 40.00 X 115000 0 7407 ANITA MARTON VICE PRESIDENT 40.00 X 151698 0 9518 SALLY FRIEDMAN LEGAL DIRECTOR 40.00 X 107600 0 22500 ROBERT LEVY DIRECTOR OF DEVELOPMENT 40.00 X 130000 0 17684 811923 0 84719 6 0 1 0 0 725145 1306364 1992852 4024361 PUBLICATIONS & CONSUL. 541100 115821 115821 TRAINING FEES & MISC. 541900 40198 40198 156019 1454 1454 133166 0 133166 133166 133166 60624 725145 72947 -12323 -12323 MISCELLANEOUS 900099 15392 15392 15392 4318069 156019 0 137689 725892 562780 152582 10530 1459693 1078587 190180 190926 256738 193558 31870 31310 153190 117005 21152 15033 312397 264759 23246 24392 34500 34500 2987 2987 35642 27223 4921 3498 300958 229868 41556 29534 66011 47362 15827 2822 6137 3580 2427 130 13993 13993 47045 35933 6496 4616 17934 13698 2476 1760 BAD DEBT 116752 116752 MISCELLANEOUS 62931 31587 23873 7471 PRINTING & PUBLICATIONS 48416 28459 1101 18856 TELEPHONE 29407 22461 4060 2886 69934 42462 15172 12300 3760557 2699322 702184 359051 X 14094 102662 128737 131232 86878 500704 479427 386079 11967 5593 10064 11865 647769 552322 140792 95447 11866 12125 883825 1245707 368579 385392 168608 151871 335916 140210 873103 677473 X -41410 11351 52132 556883 10722 568234 883825 1245707 557512 0 X X 0 1 X 1 0 X 3654125 2322570 3487197 2804822 4024361 16293075 3654125 2322570 3487197 2804822 4024361 16293075 16293075 2373 695 752 211 685 4716 6836 2964 12641 16161 38602 16336393 1024761 0.99730 0.99820 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 2987 2987 3830517 3833504 341675 85419 0 0 330750 331189 349008 341675 1352622 2028933 19685 12152 5333 2987 40157 82688 82797 87252 85419 338156 507234 5664 230 5894 469300 375442 93858 178469 176880 1589 95447 DEFERRED RENT 15210 LOAN PAYABLE 125000 140210 X 4644835 326766 326766 4318069 0 4318069 4087323 326766 326766 3760557 0 3760557 PART X, LINE 2: FIN 48 DISCLOSURE - THE AGENCY HAS NO UNCERTAIN TAX POSITIONS AS OF MARCH 31, 2014 AND 2013 IN ACCORDANCE WITH ACCOUNTING STANDARDS CODIFICATION ("ASC") TOPIC 740, WHICH PROVIDES STANDARDS FOR ESTABLISHING AND CLASSIFYING ANY TAX PROVISIONS FOR UNCERTAIN TAX POSITIONS. THE AGENCY IS NO LONGER SUBJECT TO FEDERAL OR STATE AND LOCAL INCOME TAX EXAMINATIONS BY TAX AUTHORITIES FOR YEARS ENDED BEFORE 2011. DINNER 785769 725145 60624 61272 6575 5100 785769 725145 60624 61272 6575 5100 72947 -12323 X X 0 0 0 0 0 0 0 0 0 PAUL SAMUELS PRESIDENT 192500 0 0 0 0 0 1452 0 16640 0 210592 0 0 0 ANITA MARTON VICE PRESIDENT 151698 0 0 0 0 0 1452 0 8066 0 161216 0 0 0 PART I, LINE 4 MARTHA ACERO $20,635 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.