2013-03-22T17:51:47-05:00 2012-06-30 420714325 MCGLADREY LLP 1 S WACKER DRIVE STE 800 CHICAGO IL 60606 990 2011-07-01 361877640 Heartland Alliance for Human Needs and Rights HEAR 3126601300 208 South LaSalle Street No 1818 Chicago IL 60604 Brian Registe 3126601300 2013-03-22 1 Wayne Harder P00294296 3126343400 2011 2016-02-25 16:41:14Z Brian Registe 208 South LaSalle Street No 1818 Chicago IL 60604 25626490 0 X www.HeartlandAlliance.org X 1888 IL See Schedule O 35 35 249 505 0 0 19612195 18503077 0 610997 315799 204206 791971 6132595 20719965 25450875 2345764 3248882 0 0 13194192 14352546 0 0 788181 2416872 6584447 17956828 24185875 2763137 1265000 21519036 22852568 4201195 4417502 17317841 18435066 X Heartland Alliance advances the human rights and responds to the human needs of endangered populations - particularly the poor, the isolated, and the displaced - through the provision of comprehensive and respectful services and the promotion of permanent solutions leading to a more just global society. 0 0 11627013 3248882 14561 International Programs: For more than 125 years, Heartland Alliance has been working with globally displaced persons, including refugees, asylum seekers, migrants, and victims of trafficking. Through our efforts working with displaced persons domestically, we have connected with people from their countries of origin and have worked on improving the lives of those living in poverty and danger abroad. Heartland Alliance's international programs focus on vulnerable populations in situations of past or ongoing conflict or disaster, and to work to build the capacity of local organizational partners to provide quality and sustainable systems of care and protection. 2903033 205055 National Immigrant Justice Center: The Heartland Alliance National Immigrant Justice Center (NIJC) is dedicated to ensuring human rights protections and access to justice for all immigrants, refugees and asylum seekers. NIJC provides direct legal services to and advocates for these populations through policy reform, impact legislation, and public education. With the support of hundreds of pro bono attorneys, NIJC provides legal services to more than 8,000 individuals each year and maintains a success rate of 90 percent in obtaining asylum for those fleeing persecution in their home countries. Since its founding twenty five years ago, NIJC has been unique in blending individual client advocacy with broad-based systemic change. 1574420 391381 Public Policy and Advocacy: Through our advocacy and research efforts, Heartland Alliance works to change public policies to improve the lives of people living in poverty and danger. Through our advocacy efforts, Heartland Alliance strives to achieve systemic social change that improves the quality of life for people in poverty and danger. Our 120 years of expertise in the trenches providing direct services gives us a unique understanding of the administrative and policy barriers that plague public systems. We work to advance proven solutions and improve government policies at the local, state, and federal levels by developing policy proposals, building strategic alliances, and pursuing legislative action. 16104466 1 1 0 1 0 0 0 0 0 0 1 1 0 1 1 1 0 1 0 1 1 1 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 1 0 0 1 X 78 0 1 249 1 0 1 CO IV HA IZ BY NI MX LE 0 0 0 1 1 0 0 0 0 X 35 35 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 IL X X Brian Registe 3126601300 208 South LaSalle Street Suite 1818 Chicago IL 60604 Scott Goodman 1.00 X X 0 0 0 Lynn C Todman 1.00 X X 0 0 0 Glenn D Newman 1.00 X X 0 0 0 Karen E Otto 1.00 X X 0 0 0 Shubhada Ahya MD 1.00 X 0 0 0 Mary Ahern 1.00 X 0 0 0 Dan Lezotte 1.00 X 0 0 0 Robert Requejo 1.00 X 0 0 0 Mary Wilson 1.00 X 0 0 0 Alan R Braxton 1.00 X 0 0 0 Martha E Casazza EdD 1.00 X 0 0 0 Linda T Coberly 1.00 X 0 0 0 Araceli Esquivel 1.00 X 0 0 0 Julia E Getzels 1.00 X 0 0 0 Elaine H Klemen 1.00 X 0 0 0 Ray J Koenig III 1.00 X 0 0 0 Christopher D Lueking 1.00 X 0 0 0 Wendy A Manning 1.00 X 0 0 0 Barry McInerney 1.00 X 0 0 0 Theodore W Michalke 1.00 X 0 0 0 Arthur Moore 1.00 X 0 0 0 Kathe A Pate 1.00 X 0 0 0 Frank F Quinn 1.00 X 0 0 0 Sandy J Rebitzer 1.00 X 0 0 0 Marita Rhea 1.00 X 0 0 0 Susan Rider 1.00 X 0 0 0 Ryan S Ruskin 1.00 X 0 0 0 Jeanne M Sullivan 1.00 X 0 0 0 Guy F Summers 1.00 X 0 0 0 Robert H Tucker 1.00 X 0 0 0 Lori S Tuffield 1.00 X 0 0 0 Andrew T Ward CFA 1.00 X 0 0 0 Thomas O Weeks 1.00 X 0 0 0 Barclay C Welch 1.00 X 0 0 0 Paul A Zucker 1.00 X 0 0 0 Sid L Mohn 10.00 X 295911 0 16315 Brian Registe 10.00 X 135554 0 5193 Lizabeth G Sode 10.00 X 162470 0 13332 Mary M McCarthy 40.00 X 120660 0 16594 Paul W Prickett 40.00 X 108492 0 12767 Lorraine Lynch 40.00 X 100151 0 16441 923238 0 80642 6 0 1 0 Clifton Gunderson LLP 1301 W 22nd St Oak Brook IL 60523 Accounting 144059 Software Hardware Integration (SHI) PO Box 952121 Dallas TX 75395 Computer services 137196 2 92105 11844707 6566265 1042594 18503077 Public Policy and Advo 900099 391381 391381 Legal Services Provide 900099 205055 205055 International Programs 900099 14561 14561 610997 204206 204206 904749 92105 175615 729134 729134 Intr-comp. Reimbrsmnts 900099 5278732 5278732 Intercompany revenue 900099 69190 69190 55539 55539 5403461 25450875 610997 0 6336801 3248882 3248882 513311 444745 63515 5051 12075169 5807848 5641045 626276 245715 118182 114789 12744 731730 351943 341834 37953 786621 378345 367477 40799 29040 29040 54410 54410 34913 34913 1375633 1344037 16331 15265 21954 19021 2717 216 345666 299493 42771 3402 311095 269540 38494 3061 1262813 1094130 156256 12427 743702 644361 92023 7318 523852 453877 64819 5156 9269 8031 1147 91 346954 300609 42931 3414 93590 81089 11580 921 Repairs & maintenance 321617 278656 39796 3165 Communication expense 318611 276052 39424 3135 Training 241795 209496 29919 2380 Bad debt expense 163067 141285 20177 1605 386466 334844 47820 3802 24185875 16104466 7293228 788181 646417 2312708 3210295 2366607 4310502 4163406 527486 81343 2028537 1176875 967253 509104 1812685 964465 1154684 848220 3095697 4142840 1753486 1753485 3824679 5497980 21519036 22852568 2402696 1680368 140464 124335 500000 500000 1158035 2112799 4201195 4417502 X 8957720 8883693 8172086 9363338 188035 188035 17317841 18435066 21519036 22852568 X 1265000 -147775 X 0 1 1 X 1 1 X 4383769 9557651 13372772 20300560 18503077 66117829 4383769 9557651 13372772 20300560 18503077 66117829 66117829 118196 79785 135194 315799 204206 853180 28092 29222 513506 55539 626359 67597368 2157184 0.97810 0.94710 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 99801 0 0 99801 0 67580 11156 56424 1745105 953309 791796 848220 Investments in Subsidiaries 1753485 C 1753485 Intercompany Receivable 3594190 Restricted Cash 1650034 Deferred Compensation Plan Assets 253756 5497980 Deferred Rent Liability 226668 Liability for Self Insurance Claims 1125000 Deferred Compensation Plan Liability 253756 Line of Credit 507375 2112799 Description of Uncertain Tax Positions Under FIN 48: Part X: The Agency and its affiliated organizations are exempt from income taxes under Section 501 (c)(3) of the Internal Revenue Code. The Agency and its affiliated organizations qualify for the charitable contribution deduction under Section 170(b)(1)(A) and have been classified as organizations that are not private foundations. The accounting standard on accounting for uncertainty in income taxes addresses the determination of whether tax benefits claimed or expected to be claimed on a tax return should be recorded in the financial statements. Under this guidance, the Agency may recognize the tax benefit from an uncertain tax position only if it is more likely than not that the tax position will be sustained on examination by taxing authorities, based on the technical merits of the position. Examples of tax positions include the tax-exempt status of the Agency, and various positions related to the potential sources of unrelated business taxable income. The tax benefits recognized in the financial statements from such a position are measured based on the largest benefit that has a greater than 50 percent likelihood of being realized upon ultimate settlement. Management has determined that there are no uncertain tax positions during the reporting periods covered by these financial statements. The Agency is generally no longer subject to examination by the Internal Revenue Service for tax years before 2008. 1 Central America and the Caribbean 7 111 Program Services Child Protection, Womens Leadership, HIV/AIDS Prevention 2740194 Middle East and North Africa 6 87 Program Services Youth Leadership, Legal Protection, Anti-trafficking 2785432 Middle East and North Africa 1 9 Program Services Health Programs 162815 South Asia 0 0 Program Services Child and Refugee Protections 190053 Sub-Saharan Africa 11 135 Program Services HIV/AIDS Prevention, Child Protection, Labor Rights 4195636 South America 3 13 Program Services Treatment for Torture Victims 678967 Central America and the Caribbean 0 0 Program Services LGBT Rights 70151 Sub-Saharan Africa 0 0 Program Services LGBT Rights 614336 Central America and the Caribbean 0 0 Grants to Organizations Located in the Region 383175 East Asia and the Pacific 0 0 Grants to Organizations Located in the Region 14432 Europe (Including Iceland & Greenland) 0 0 Grants to Organizations Located in the Region 52900 Middle East and North Africa 0 0 Grants to Organizations Located in the Region 232390 North America 0 0 Grants to Organizations Located in the Region 11972 South America 0 0 Grants to Organizations Located in the Region 506626 South Asia 0 0 Grants to Organizations Located in the Region 162013 Sub-Saharan Africa 0 0 Grants to Organizations Located in the Region 980348 Sub-Saharan Africa 0 0 Grants to Individuals Located in the Region 325419 Central America and the Caribbean 0 0 Grants to Individuals Located in the Region 216467 Middle East and North Africa 0 0 Grants to Individuals Located in the Region 21659 South America 0 0 Grants to Individuals Located in the Region 2750 North America 0 0 Grants to Individuals Located in the Region 11185 South Asia 0 0 Grants to Individuals Located in the Region 2681 Europe (Including Iceland & Greenland) 0 0 Grants to Individuals Located in the Region 1571 Central America and the Caribbean 0 0 Investments 24652 Sub-Saharan Africa 0 0 Investments 525720 28 355 0 0 28 355 11437584 3475960 14913544 Central America and the Caribbean Child protection 29094 Cash Central America and the Caribbean HIV/AIDS 235043 Cash Central America and the Caribbean Human trafficking 42280 Cash Central America and the Caribbean LGBT rights and protections 76757 Wire East Asia and the Pacific LGBT rights and protections 14432 Wire Europe (Including Iceland & Greenland) LGBT rights and protections 52900 Wire Middle East and North Africa Child protection 221040 Cash Middle East and North Africa LGBT rights and protections 11350 Wire North America LGBT rights and protections 11972 Wire South America Mental health 506626 Wire South Asia Child protection 162013 Wire Sub-Saharan Africa Empowerment of women 57260 Wire Sub-Saharan Africa HIV/AIDS 784565 Wire Sub-Saharan Africa Human trafficking 49678 Cash Sub-Saharan Africa Labor rights 41660 Cash Sub-Saharan Africa LGBT rights and protections 47185 Cash 32 5 Livelihoods programs Sub-Saharan Africa 278 40100 In-kind contributions. Kits of equipment, including but not limited to soap making equipment, goats, merchandise for resale etc. FMV HIV/AIDS Prevention Programs Sub-Saharan Africa 126 111888 Disbursed from HA Nigeria office FMV HIV/AIDS Prevention Programs Sub-Saharan Africa 12000 40000 Approximately 80,000 condoms were distributed to most-at-risk populations FMV Health programs (gel, Condoms male & female, Kit IST) Sub-Saharan Africa 45450 55030 Condom male et females, lubricant and Kit IST distribution FMV Livelihoods programs Central America and the Caribbean 2 1940 Check ($88 monthly) FMV Protection programs Central America and the Caribbean 6115 32595 Food items for family support kits FMV Protection programs Central America and the Caribbean 400 3976 Clothing items for family support kits FMV Protection programs Central America and the Caribbean 339 150517 Check FMV Protection programs Central America and the Caribbean 400 9626 Educational materials for family support kits FMV Protection programs Central America and the Caribbean 400 432 Kitchen supplies for family support kits FMV Protection programs Central America and the Caribbean 400 11670 Miscellaneous supplies for family support kits (toiletries, plastic bags, etc.) FMV Protection programs Central America and the Caribbean 200 711 Soccer balls and trophies for recreational programs FMV Legal Services Middle East and North Africa 50 225 Cash FMV Torture treatment South America 21 2750 Cash FMV Education and Scholarships North America 6 900 Cash FMV Medical Services North America 800 5000 Medicine FMV Women's leadership projects North America 1 5000 Wire FMV Women's leadership projects Sub-Saharan Africa 1 5000 Wire FMV Women's leadership projects Sub-Saharan Africa 1 5000 Wire FMV Women's leadership projects Middle East and North Africa 1 5000 Wire FMV Women's leadership projects Central America and the Caribbean 1 5000 Wire FMV Emergency Services South Asia 1 2681 Cash FMV Emergency Services Europe (Including Iceland & Greenland) 1 1571 Wire FMV Emergency Services North America 1 285 Wire FMV Emergency Services Sub-Saharan Africa 2 3283 Wire FMV Emergency Services Sub-Saharan Africa 29 65118 Cash FMV Emergency Services Middle East and North Africa 1 534 Wire FMV Emergency Services Middle East and North Africa 4 15900 Cash FMV 0 0 0 0 0 1 Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: Program Directors monitor grant recipients and compile supporting documentation for use of funds, and periodic financial and programmatic reports. Financial and program reports are reviewed by management monthly and program reports are filed with funders as required for each grant. Explanation for Estimated Number of Recipients: Schedule F, Part III, Col (c): Recipient estimates are based on the number of individuals or families where support was given. Midwest Light 523420 55275 468145 36767 Candlelight Ball 219536 24087 195449 1000 67705 2 253898 12743 241155 2000 4500 63643 996854 92105 904749 1000 2000 4500 168115 175615 729134 X X X X 0 0 0 0 0 0 0 0 0 Sid L Mohn 276177 0 11000 0 8734 0 7201 0 9114 0 312226 0 0 0 Lizabeth G Sode 150198 0 4000 0 8272 0 4316 0 9016 0 175802 0 0 0 X 14 1042594 Fair Market Value 0 0 0 0 Method for Determining Number of Contributors: Part I, Column (b): The amount represents the number of contributions. Activities: Form 990, Part I, Line 1, Description of Organization's Significant Heartland Alliance - the leading anti-poverty organization in the Midwest- believes that all of us deserve the opportunity to improve our lives. Each year, we help ensure this opportunity for more than one million people around the world who are homeless, living in poverty, or seeking safety. Our policy efforts strengthen communities; our comprehensive services empower those we serve to rebuild and transform their lives. Because of this 125-year commitment, Heartland Alliance has evolved into an organization that is uniquely: Far-reaching: Each year, in Chicago, the Midwest, and around the world, our services help nearly one million struggling people secure the most basic of human needs - housing and health care, jobs and justice. Holistic: Because the causes of poverty, injustice, and lack of opportunity are interrelated and interlocking, our programs are similarly comprehensive and integrated, allowing us to achieve an unusual synergy in meeting our clients' needs. Change-driven: In addition to direct service, we partner with lawmakers and organizations to shape public policies that fit the needs of everyone, ensuring that even the most vulnerable can realize a brighter future. Form 990, Part VI, Section B, line 11 The organization's Management & Coordination Committee (MCC) serves as the Finance and Audit Committee of the Heartland Alliance Board of Directors. The Committee includes representation from board members of Heartland Alliance, as well as its three subsidiares. The Committee reviews and approves the Form 990. Every Heartland Alliance board member receives the Form 990 for review and has the opportunity to ask the committee any questions prior to approval. Form 990, Part VI, Section B, line 12c All members of the Heartland Alliance Board of Directors, as well as members of the organization's subsidiary Boards of Directors, annually sign a conflict of interest policy, copies of which are retained in the President's office. In addition, all Heartland Alliance senior management (included in the Heartland Alliance cabinet, approximately 60+ of the top directors of the organization) annually sign the conflict of interest policy. A copy of the Board of Directors policy is posted on a password protected portion of the organization's website, designated for board members. A copy of the policy for management is posted on the organization's intranet. Policy requires disclosure of any situation in which there may be even an appearance of potential conflict of interest. When appropriate, members of the Board of Directors, or senior management, excuse themselves from decision-making if there is any conflict of interest. Relative to board of committee actions, this is reflected in the meeting minutes. The policy is reviewed regularly by the Chief Corporate Compliance Officer of the organization. Additional monitoring is performed by the organization's executive team and the Risk Policy Committee of the Board of Directors. Form 990, Part VI, Section B, line 15 The Compensation Committee of the Heartland Alliance Board of Directors is an independent entity, consisting of the chair and immediate past chair of the Board of Directors. This body conducts the annual performance evaluation of, and determines the compensation for the organization's President. This body may consult with legal counsel or additional resources in determining fair and competitive compensation for the President of Heartland Alliance. The Executive Compensation Committee also conducts periodic market surveys to assist in establishing the compensation for the President. In addition, the President annually reviews with the Compensation Committee the performance and recommended compensation for the organization's senior executives, including executive directors of the subsidiary entities, and other key members of the executive team. All deliberations and decisions are contemporaneously documented in the minutes. 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. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 5: Net unrealized losses on investments: -147,775. Heartland Alliance International LLC 208 S LaSalle Street Suite 1818 Chicago IL 60604 300739799 Social Services IL 0 0 Heartland Alliance for Human Needs and Rights Heartland Human Care Services Inc 208 S LaSalle Street Suite 1818 Chicago IL 60604 364053244 Social Services Programs IL 501(c)(3) Line 7 Heartland Alliance for Human Needs and Rights 1 Heartland Heath Outreach Inc 208 S LaSalle Street Suite 1818 Chicago IL 60604 363775696 Health Care Programs IL 501(c)(3) Line 7 Heartland Alliance for Human Needs and Rights 1 Heartland Housing Inc 208 S LaSalle Street Suite 1818 Chicago IL 60604 363642952 Low-income Housing IL 501(c)(3) Line 9 Heartland Alliance for Human Needs and Rights 1 Argyle Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 363827013 Low-income Housing IL 501(c)(3) Line 11a, I N/A 0 Ellis Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 363993195 Low-income Housing IL 501(c)(3) Line 11a, I N/A 0 Diversey Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 363945503 Low-income Housing IL 501(c)(3) Line 11a, I N/A 0 Sutherland Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 363642496 Low-income Housing IL 501(c)(3) Line 11a, I N/A 0 Mayfield Limited Partnership 208 S LaSalle Street Suite 1818 Chicago IL 60604 364111300 Low-income Housing IL N/A N/A 0 0 North Avenue Limited Partnership 208 S LaSalle Street Suite 1818 Chicago IL 60604 364407589 Low-income Housing IL N/A N/A 0 0 Leland Limited Partnership 208 S LaSalle Street Suite 1818 Chicago IL 60604 364440042 Low-income Housing IL N/A N/A 0 0 Drexel Jazz Limited Partnership 208 S LaSalle Street Suite 1818 Chicago IL 60604 320062800 Low-income Housing IL N/A N/A 0 0 1218 W Highland Avenue LLC 208 S LaSalle Street Suite 1818 Chicago IL 60604 261456751 Low-income Housing IL N/A N/A 0 0 Fond Du Lac Apartments LLC 208 S LaSalle Street Suite 1818 Chicago IL 60604 271343085 Low-income Housing IL N/A N/A 0 0 Hollywood House Limited Partnership 208 S LaSalle Street Suite 1818 Chicago IL 60604 262124251 Low-income Housing IL N/A N/A 0 0 Highland MM LLC 208 S LaSalle Street Suite 1818 Chicago IL 60604 261707959 Low-income Housing IL N/A N/A 0 0 Viceroy Hotel Limited Partnership 208 S LaSalle Street Suite 1818 Chicago IL 60604 264589189 Low-income Housing IL N/A N/A 0 0 Leland Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 364363803 Low-income Housing IL N/A C Mayfield Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 364111299 Low-income Housing IL N/A C South Shore Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 363723682 Low-income Housing IL N/A C Drexel Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 364111299 Low-income Housing IL N/A C North Avenue Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 364407591 Low-income Housing IL N/A C Heartland ABLA Rental 208 S LaSalle Street Suite 1818 Chicago IL 60604 300209111 Low-income Housing IL N/A C Heartland ABLA Rental II 208 S LaSalle Street Suite 1818 Chicago IL 60604 320154610 Low-income Housing IL N/A C Hollywood Sheridan Neighborhood Development Corporation 208 S LaSalle Street Suite 1818 Chicago IL 60604 262124171 Low-income Housing IL N/A C Viceroy GP LLC 208 S LaSalle Street Suite 1818 Chicago IL 60604 264588742 Low-income Housing IL N/A C 0 1 0 1 0 0 0 0 0 0 0 0 1 1 0 1 1 1 Heartland Human Care Services Inc Q 55900 Cash provided Heartland Human Care Services Inc R 5008501 Cash provided Heartland Human Care Services Inc P 4547703 Cash provided Heartland Housing Inc P 426879 Cash provided Heartland Housing Inc D 217694 Cash provided Heartland Housing Inc D 599375 Cash provided Heartland Health Outreach Inc P 4221401 Cash provided Heartland Health Outreach Inc Q 173058 Cash provided Heartland Health Outreach Inc R 3719340 Cash provided