2013-02-15T16:06:14-06:00 2012-06-30 GRANT THORNTON LLP 666 THIRD AVENUE NEW YORK NY 100174057 990 2011-07-01 131632524 American Lung Association % ADRIENNE GLASGOW AMER 2123158700 14 Wall Street New York NY 10005 Adrienne Glasgow 2013-02-15 Laura Kielczewski 2125990100 2011 2016-03-07 17:11:31Z Charles D Connor 14 Wall Street No 8C New York NY 10005 58277902 false X www.lungusa.org X 1918 ME The mission of the American Lung Association is to save lives by improving lung health and preventing lung disease. 27 27 166 200589 0 11915758 10546204 33841279 36852621 1057248 541690 1750772 1716269 48565057 49656784 6101403 6439114 0 0 9706509 9444069 0 0 2622866 32755570 33960346 48563482 49843529 1575 -186745 29342436 31049040 19026863 20712298 10315573 10336742 X The American Lung Association's mission is to save lives by improving lung health and preventing lung disease, with the ultimate vision of a world free of lung disease. The National Headquarters of the American Lung Association fights lung disease through its own activities and by servicing, supporting, and leading its local Lung Associations. Among its varied responsibilities, the National Headquarters: - Funds research into the causes, prevention, and cures of lung disease. - Advocates for policies that protect lung health, including fighting for healthy air. - Provides a broad array of health educational programs and services to support smoking cessation, help prevent lung disease and to assist people with lung disease in better managing their condition. - Supports local Lung Associations' implementation of health educational programs and dissemination of educational material. - Provides an array of learning opportunities and tools to develop nationwide volunteer and staff leaders. false false 12699518 243362 24409870 Health Education Every year, the American Lung Association helps people manage their lung disease, overcome their nicotine addiction, and live healthier lives. The two key components of the National Headquarters' work are supporting our network of local Lung Associations and developing lung health education materials for the public. Local Lung Associations rely on us to develop health programs and provide expert training, guidance and materials to support their mission outreach. We are also a trusted resource where the public can find information on myriad lung diseases, make treatment decisions, and get support and tools to manage their conditions or care for a loved one. This past year we provided a wide array of services to help prevent and treat lung disease. In 2011-12 we substantially advanced this mission, touching lives from coast to coast. Lung Disease For Over 40 Years, the Choice of People with Chronic Lung Disease - In the U.S. alone, over 33 million adults have a chronic lung disease, such as COPD and asthma. Because these chronic conditions do not have a cure, people need to learn how to manage living with their lung disease. In 2011-2012 we created new web-based training courses that allow us to reach more healthcare providers and other community partners who are interested in becoming certified facilitators for our Better Breathers Clubs. American Lung Association Better Breathers Clubs help by providing patient-focused, community-based educational opportunities and support. Together, members learn the skills that help them manage their condition and improve their quality of life. Hundreds of clubs are serving many thousands of people across the U.S. living with chronic lung disease. Connecting Patient and Families with Expert Advice - In all of our programs and health education materials, people with questions about lung health are referred to the American Lung Association's Lung HelpLine at 1-800-LUNG-USA. In fiscal year 2011-12, the nurses and respiratory therapists who staff the Lung HelpLine answered more than 139,000 calls on topics ranging from clean air to helping a family member quit smoking. Matching Lung Cancer Patients with Help - The Lung Cancer Clinical Trials Matching Service is specifically designed for lung cancer patients and their families and is being conducted in collaboration with twelve lung cancer advocacy organizations. This service provides personalized education and helps to identify clinical trial options based on a person's specific diagnosis, stage and treatment history. Each person is also assigned a specially trained Clinic Trials Navigator who serves as a guide though the process. Supporting Asthma Management and Asthma-Friendly Learning Environments - Through the American Lung Association's Asthma-Friendly School's Initiative (AFSI), hundreds of schools nationwide worked toward creating safer school environments for students, faculty, and staff. In the 2011-12 school year, over 11,000 students were reached through the Open Airways For Schools program, a recommended component of AFSI that builds self-management skills for students with asthma. We created new web-based training courses that allow us to reach more healthcare providers, school personnel and other community partners who are interested in becoming certified facilitators for our Open Airways for Schools self-management programs for people living with chronic lung disease. We developed a number of new tools to help children and adults living with asthma better understand and manage their disease, including the Lungtropolis online asthma game, Asthma Basics, and how-to videos. We also performed an extensive revision of existing asthma education content on the American Lung Association website, www.lung.org so we can continue to provide the best support and most up-to-date support for people with asthma. New Tools for Lung Cancer and COPD Patients: In 2011-2012 we began to develop exciting new online tools to give new hope to patients with lung cancer and Chronic Obstructive Pulmonary Disease (COPD). These new resources will help patients and caregivers understand their disease, make informed treatment options and better manage their conditions. Both our Facing Lung Cancer: Support from Day One website (www.mylungcancersupport.org) and COPD Action Plan were released in November 2012. Highlighting Disparities in Lung Health - This year, we continued to spotlight the ways in which some groups are disproportionately affected by lung disease in our society in the ongoing Disparities in Lung Health Series. Our report "Luchando por el Aire: The Burden of Asthma on Hispanics," takes a look at the complex factors that increase asthma's burden on the Hispanic population. Tobacco Helping Thousands of Smokers to Quit - The American Lung Association's Freedom From Smoking and Not-On-Tobacco (N-O-T) have helped hundreds of thousands of teen and adult smokers quit. These community-based programs guide the smokers through the quitting process, helping them to determine their smoking pattern, create an individualized quit plan and navigate the first few weeks as a nonsmoker. Because not everyone quits smoking the same way, the Lung Association also offers Freedom From Smoking Online and one-on-one cessation counseling through the Lung HelpLine. Through our workplace wellness initiative, we worked with more than 40 major employers, helping their employees quit smoking. In fiscal year 2011-12, these programs helped tens of thousands of smokers end their addiction to nicotine and transition to a new, smokefree lifestyle. Supporting Smokefree Communities - In 2011-2012, we expanded smokefree communities around the country. We successfully completed a two-year Communities Putting Prevention to Work (CPPW) project in which Lung Association's Smokefree Communities team provided technical assistance to 13 communities to decrease smoking prevalence, teen smoking initiation, and exposure to secondhand smoke As a result of the initiative: 26 million people in 21 communities across America have been protected against deadly secondhand smoke; more the 4 million more Americans now live in communities with strengthened oversight on tobacco sales to youth; and more effective messages on the dangers of secondhand smoke and tobacco use have been delivered to more than 21 million people across the country. 9551567 9842735 Field Fundraising The American Lung Association's Planned Giving team focuses its work on assisting with field development by providing support to the ALA chartered regional associations. This support includes training local staff to be effective planned giving fundraisers; helping develop annual regional work plans; being informed on local follow up activities pertaining to requests from donors for planned giving information; reviewing quarterly reports on planned giving income and bequest notifications; preparing training materials and events to enhance the understanding of planned giving for people from fundraising staff to volunteer leadership. A variety of National staff provide Special Events support to the ALA chartered regional associations. This support is designed to assist in the development, marketing and implementation of events and promotions strategies. Among the assistance provided are planning (goal setting, strategic review, development of template material, feasibility studies); training (monthly conference calls, best practice staff training, listserv based materials, staff training webinars, etc.); implementation (sponsorship calls, recruitment, event attendance/participation); coaching (staff, leadership, volunteers); coordination of collateral; solicit national sponsors/teams; build, facilitate and integrate e-commerce platforms; and evaluation of new events. The primary focus is to increase the Chartered Associations net revenue and fully integrate best practice strategies into the overall work plan. The Major Gifts team works with the ALA chartered regional associations on joint funding prospects and provides one-on-one assistance when requested. Among the support activities are compilation of research lists and development of research profiles; evaluation of funding proposals; strategic advice regarding funding initiatives and prospects; providing training at staff meetings and conference calls. This year we provided a wealth screening overlay and a follow-on research tool; a donor centric assessment; and predictive donor modeling for the chartered association staff. The Direct Response team develops and implements campaign plans for all direct mail appeals, telemarketing campaigns and the residential program in conjunction with our direct response consulting agency. All funds generated are deposited directly into local association accounts on a regular (weekly or bi-weekly) basis with detailed reports by campaign for the current period and YTD. Local associations are billed monthly for direct response expenses and quarterly for a 30% share of the net income generated by the programs. Associations are provided with a budget for each program along with cash flow and billing schedules, as well as quarterly updates on actual performance. Billed expenses are reconciled to actual costs at the end of the fiscal year. Images of all rollout mailing packages are posted on LungNet for reference by local associations. Monthly direct response calls or meetings are conducted to which all local CEOs are invited to participate for updates on the program and any issues or questions that arise. 6930326 5801943 2600016 RESEARCH Funding research has been a cornerstone of the Lung Association's fight against lung disease for more than a century. In 2011-12, our donors again made it possible to fund high quality researchers seeking treatments and cures for an array of lung diseases from asthma to lung cancer. Our Nationwide Research Awards and Grants Program fosters laboratory and patient-centered and social behavior research to prevent, treat and hopefully find a cure for all lung diseases. In 2011-12, our program funded 68 grants to further promising, cutting-edge research. Additional support in funding this year's research program came from partnerships with AAAAI and the CHEST Foundation. The Lung Association's Asthma Clinical Research Centers Network (ACRC) continues to contribute major improvements to asthma treatments through a network of 18 clinical centers and a data coordinating center at Johns Hopkins. In 2011-12, research conducted by the ACRC found that treatment with proton pump inhibitors (e.g. prevacid) did not improve asthma control in those with asymptomatic GER, concluding that acid reflux without symptoms is not a likely cause of poorly controlled asthma. awards for highest achievement are given in specific categories. The American Lung Association Board of Directors provides strategic direction for the national headquarters and its chartered associations. Coordination and monitoring of national and chartered association strategic alignment is provided through a Board-approved metric-based performance management system. The American Lung Association Board of Directors is responsible for oversight of chartered association compliance to policies and performance standards. Assistance is provided by the national headquarters to those chartered associations that do not meet requirements and/or standards. 9803233 380600 Advocacy 3845390 Field program development 2188709 5050 Field Management Advisory 8159 8159 OTHER 15845491 393809 45026902 true true false true false false false false true true true false false true true true true false false false false false false false false false false true false true false false false false false false false false false false false false false false false false false false true 58 0 true 166 true false false false false false true true false false false false X 27 27 false false false false false false false true true false true true true true true true true true true true false AL AK AZ 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 VA WA WV WI X X ADRIENNE GLASGOW 2123158762 14 WALL STREET NO 8C New York NY 10005 DON AWERKAMP PHD JD 2.0 X SUSAN s GRIFFIN RPA CPM CCIM 2.0 X CHRISTINE BRYANT 2.0 X X TIMOTHY D BYRUM MSN CRNP 2.0 X ARTHUR CERULLO JD 2.0 X CAROLYN H CLIFT LLM 2.0 X JOHN F EMANUEL JD 2.0 X KATHRYN A FORBES CPA 2.0 X ERNEST V FREEMAN 2.0 X MICHAEL A GARDNER 2.0 X ADAM S GOLDBERG ESQ 2.0 X DARIUS A JOSEPH 2.0 X H JAMES GOODEN 2.0 X X PAULINE GRANT MS MBA FACHE 2.0 X VIRGINIA L HALL 2.0 X ELIZABETH BAKER KEFFER 2.0 X ROSS P LANZAFAME 2.0 X VENKATARMA r KOPPAKA MD PHD 2.0 X LESLIE M NEWMAN JD 2.0 X AUSTIN k PUGH 2.0 X GERI REINARDY MPA 2.0 X ALBERT A RIZZO MD 2.0 X E NEIL SCHACHTER MD 2.0 X ROBERT G TWEEL JD 2.0 X DEAN A ZERBE JD LLM 2.0 X JANE REARDON MSN APRN CS AE-C 2.0 X MARCIA d WILLIAMS EDD 2.0 X Frank Scott Rotruck 2.0 X 0 0 James L McDaniel 2.0 X CHARLES D CONNOR 40.0 X 319133 0 67363 ADRIENNE GlASGOW 40.0 X 203240 0 46091 B SUSAN DAVIS 40.0 X 211136 0 47404 JAMES THIE 40.0 X 165076 0 15149 SUSAN J RAPPAPORT 40.0 X 165612 0 51240 JANET WIDMER 40.0 X 168061 0 33703 PAUL BILLINGS 40.0 X 158577 0 31869 DELIA NAUGHTON 40.0 X 136134 0 33616 RUSSELL BURWELL 40.0 X 141614 0 36935 CARRIE MARTIN 40.0 X 148997 0 11771 1817580 0 375141 20 false true false Moore Wallace 375 Park Avenue NEW YORK NY 10152 Print/Digital/Stamps 5657245 INFOCISION MANAGEMENT CORP 325 SPRINGSIDE DRIVE AKRON OH 44333 TELEMARKETING 2043677 LABEL TECH 16 INTERSTATE DRIVE SOMERSWORTH NH 03878 PRINTING 1707197 ALANIZ Metrogroup 425 N IRIS STREET MT PLEASANT IA 52641 PRINTING 3754469 BRICKMILL MARKETING SERVICES 24 MILL BROOK ROAD WILTON NJ 03086 MARKETING 2462073 5 25474 1146213 9374517 10546204 CHARTERED ASSOCIATION ASSESSMENTS 900099 4609824 4609824 PROGRAM REIMBURSEMENTS CHARTERED ASSOC. 900099 23301773 23301773 PROGRAM SERVICE CONTRACTS 900099 8941024 8941024 36852621 415928 415928 0 1176315 1176315 8719674 10867 8604779 114895 10867 125762 125762 0 0 21162 16339 4823 4823 OTHER 900099 535131 535131 535131 49656784 36852621 2257959 6439114 6439114 0 0 0 1528987 703386 689467 136134 0 6107351 5281299 78538 747514 643787 504536 64765 74486 621844 510497 35972 75375 542100 424844 54535 62721 0 963086 823464 89358 50264 132326 84689 47637 1043418 1043418 0 57593 36860 20733 2323903 1888462 272882 162559 5658567 5658567 545848 396393 106960 42495 303307 215226 63924 24157 0 1080822 707844 270685 102293 629405 489794 76563 63048 0 321530 261819 41026 18685 0 0 167452 102684 47005 17763 113960 70486 31551 11923 PUBLIC AWARENESS CAMPAIGN 20505698 19498057 53556 954085 SERVICE CHARGES 4435 2634 1307 494 MISCELLANEOUS 108996 4378 94118 10500 49843529 45026902 2193761 2622866 X 1750225 911470 838755 499 467 7378085 6924978 0 0 2084891 5718016 0 0 0 0 0 0 21380 62566 623785 463313 3099938 2622095 388164 477843 14054898 14162982 0 0 0 0 0 0 4790734 3238875 29342436 31049040 2928476 2513801 3160233 3236853 3313304 4043224 0 0 2050636 0 0 0 2229182 2086108 0 0 5345032 8832312 19026863 20712298 X 7394100 5864453 1123830 832488 1797643 3639801 10315573 10336742 29342436 31049040 X -186745 207914 X false true true X true true X 13991885 14100696 18165400 11915758 10546204 68719943 13991885 14100696 18165400 11915758 10546204 68719943 68719943 1454604 584295 985737 1419418 1592243 6036297 121136 101141 165047 1024657 556293 1968274 76724514 193412178 0.89567 0.88116 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED true true true 737602 true 16535 true 33246 true 2750 true 228486 true 7080 true 17719 1043418 false Schedule C, Part II-B, Line 1(i) THE AMERICAN LUNG ASSOCIATION VOLUNTEERS AND STAFF ENGAGE IN A WIDE RANGE OF ADVOCACY ACTIVITIES TO FURTHER OUR MISSION TO SAVE LIVES BY IMPROVING LUNG HEALTH AND PREVENTING LUNG DISEASE. OUR WORK INCLUDES EFFORTS TO EDUCATE MEMBERS OF CONGRESS, THEIR STAFF AND THE PUBLIC ON LUNG HEALTH ISSUES AND ACCESS TO HEALTHCARE. WE ADVOCATE FOR CLEAN, HEALTHY AIR TO REDUCE THE HEALTH IMPACTS OF AIR POLLUTION. WE FOCUS ON SUPPORTING THE IMPLEMENTATION AND STRENGTHENING OF THE NATION'S CLEAN AIR LAWS. WE STRONGLY SUPPORT THE PUBLIC HEALTH INFRASTRUCTURE AND LUNG HEALTH RESEARCH FUNDING INCLUDING FUNDING FOR LUNG CANCER, CHRONIC OBSTRUCTIVE PULMONARY DISEASE (COPD), ASTHMA, TUBERCULOSIS AND OTHER LUNG DISEASES. FURTHERMORE, THE AMERICAN LUNG ASSOCIATION VOLUNTEERS AND STAFF ACTIVELY ADVOCATE IN WASHINGTON, D.C. AND IN THE STATES FOR TOBACCO CONTROL LAWS, INCLUDING EFFORTS TO REGULATE TOBACCO PRODUCTS, PROMOTE TOBACCO CESSATION AND ELIMINATE EXPOSURE TO SECOND HAND SMOKE. false true 1099684 -23972 34318 10585 1030809 980525 201713 72000 10554 1099684 950135 97595 56728 10477 980525 636664 387717 65612 8634 950135 0.48500 0.51500 false false 210700 134897 75803 1940688 1686525 254163 948550 800673 147877 477843 DUE FROM CHARTERED ASSOC. 3238875 3238875 0 PENSION AND LIFE INSURANCE BEN 4320828 DUE FROM CHARTERED ASSOC. 2133216 AMOUNTS HELD ON BEHALF OF OTHERS 1786840 OTHER LIABILITIES 591428 8832312 49656784 49843529 -186745 207914 207914 21169 63310043 -4533 13429006 212447 13636920 49673123 -16339 -16339 49656784 63288874 13429006 16339 13445345 49843529 49843529 Schedule D, Part V, LIne 4 Use of endowment funds PERMANENTLY RESTRICTED NET ASSETS ARE PRIMARILY DEDICATED TO SUPPORTING RESEARCH SCHOLARS IN INTERSTITIAL RELATED LUNG DISEASES. DALSEMER ENDOWMENT: IN 1983, LEONARD DALSEMER. THE JOHN A. HARTFORD FOUNDATION AND THE WHEELABRATOR FOUNDATION ENDOWED THE NATIONAL OFFICE WITH $500,000 (THE CORPUS) TO FUND RESEARCH TO FIND A CURE FOR INTERSTITIAL LUNG DISEASE. THE EARNINGS FROM THE CORPUS ARE TO FUND AN ANNUAL RESEARCH AWARD IN A MINIMAL AMOUNT OF $30,000. THE TERM OF EACH AWARD IS THREE YEARS. ANNUAL EXPENDITURES ARE LIMITED TO 6% OF THE FAIR MARKET VALUE OF THE ENDOWMENT. THE AMERICAN LUNG ASSOCIATION IS TO STRIVE TO GROW THE ENDOWMENT BY SOLICITING ADDITIONAL DONOR CONTRIBUTIONS. THE AWARD IS ONLY TO BE CONFERRED WHEN THE REVIEW COMMITTEE DEEMS THE PROPOSED RESEARCH MERITORIOUS. MARY FULLER RUSSELL RESEARCH FUND: IN A SETTLEMENT ENTERED BY AMERICAN LUNG ASSOCIATION OF NEW HAMPSHIRE ("ALANH") AND NATIONAL OFFICE ("ALA") ON JULY 9, 2003, ALANH AGREED TO SET ASIDE, AS A SEGREGATED FUND, WITHIN ITS ENDOWMENT FUND, THE SUM OF $1,297,643 REPRESENTING ALA'S 10% SHARE, AND TO MAINTAIN SUCH SEGREGATED FUND INTACT FOR THE PURPOSE OF PAYING TO AND ALLOWING ALA TO USE ALL THE INCOME AND THE ANNUAL NET APPRECIATION, IF ANY, IN THE FAIR VALUE OF THE SEGREGATED FUND FOR RESEARCH PURPOSES DETERMINED BY ALA. UNDER THE SETTLEMENT, SUCH SEGREGATED FUND IS TO BE HELD FOR ALA'S BENEFIT IN PERPETUITY. ALANH AND ALA AGREED THAT DISTRIBUTIONS FROM THE MARY FULLER RUSSELL RESEARCH FUND SHALL BE USED TO SUPPORT RESEARCH INTO LUNG HEALTH ISSUES, AND THAT RESEARCH GRANTS TO RECIPIENTS SHALL BE MADE UNDER THE NAME MARY FULLER RUSSELL RESEARCH FUND. Schedule D, pART x, lINE 2 FIN48 FOOTNOTE IN JULY 2006, THE FASB ISSUED GUIDANCE IN THE AREA OF "ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES." THE STANDARD CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN, INCLUDING ISSUES RELATING TO FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT. THIS STANDARD PROVIDES THAT THE TAX EFFECTS FROM AN UNCERTAIN TAX POSITION CAN BE RECOGNIZED IN THE FINANCIAL STATEMENTS ONLY IF THE POSITION IS "MORE-LIKELY-THAN-NOT" TO BE SUSTAINED IF THE POSITION WERE TO BE CHALLENGED BY A TAXING AUTHORITY. THE STANDARD ALSO PROVIDES GUIDANCE ON MEASUREMENT, CLASSIFICATION, INTEREST AND PENALTIES, AND DISCLOSURE. IT WAS EFFECTIVE FOR NATIONAL HEADQUARTERS ON JULY 1, 2009, AND HAD NO IMPACT ON THE ACCOMPANYING FINANCIAL STATEMENTS. THE TAX YEARS ENDED 2009, 2010 AND 2011 ARE STILL OPEN TO AUDIT FOR BOTH FEDERAL AND STATE PURPOSES. NATIONAL HEADQUARTERS HAS PROCESSES PRESENTLY IN PLACE TO ENSURE THE MAINTENANCE OF ITS TAX-EXEMPT STATUS, TO IDENTIFY AND REPORT UNRELATED INCOME, TO DETERMINE ITS FILING AND TAX OBLIGATIONS IN JURISDICTIONS FOR WHICH IT HAS NEXUS, AND TO IDENTIFY AND EVALUATE OTHER MATTERS THAT MAY BE CONSIDERED TAX POSITIONS. Schedule D, Part XI, Line 8 Other changes in net assets or fund balances unrealized gains/(losses) ($4,533) transfer of benficial interest in perpetual trust 1,776,399 change in fair value of beneficial interest in trust (2,203) change in value of split-interest agreements 724 pension and life insurance benefit plan activities (1,562,473) ----------- Total $207,914 SCHEDULE D, Part XII, Line 2D Audit Committee The Audit Committee of the Board has the fiduciary responsibility for hiring of the audit firm, the review of the risk issues for the association and the final audit review and package that is accepted by the Board. The Committee meets with the audit firm independently from staff during the audit review process and recommends to the Board the acceptance of the Audit and its findings. Schedule D, Part XII, Line 2d & 4b Reconciliation of Revenue transfer of benficial interest in perpetual trust 1,776,399 change in fair value of beneficial interest in trust (2,203) change in value of split-interest agreements 724 pension and life insurance benefit plan activities (1,562,473) ----------- Total $212,447 Cost of goods sold ($16,339) Schedule D, Part XIII, Line 2D Reconciliation of Expenses Cost of goods sold $16,339 true Baylor College of Medicine One Baylor Plaza Houston TX 770303411 741613878 501(c)(3) 215500 FMV Research Brigham & Women's Hospital 75 Francis Street Boston MA 02115 042312909 501(c)(3) 40000 FMV Research Case Western Reserve University 10900 Euclid Ave Cleveland OH 441064960 341018992 501(c)(3) 120000 FMV Research Children's Hospital Medical Center-Cincinnati Childrens Hospital Medical Center Cincinnati OH 45229 310833936 501(c)(3) 140000 FMV Research Colorado State University 200 West Lake Street Fort Collins CO 80523 846000545 government 60000 FMV 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Children's Hospital of Philadelphia 3615 Civic Center Blvd Philadelphia PA 19104 231352166 501(c)(3) 32500 FMV Research The Ohio State University Research Foundation 1960 Kenny Road Columbus OH 43210 316401599 501(c)(3) 271500 FMV Research The Rockefeller University 1230 York Ave New York NY 10065 131624158 501(c)(3) 32500 FMV Research The Trustees of the University of Pennsylvania BRBII/III 438 421 Curie Blvd Philadelphia PA 19104 231352685 501(c)(3) 72500 FMV Research The University of North Carolina at Chapel Hill 104 Airport Drive ChapelHill NC 27599 591711424 501(c)(3) 252000 FMV Research The University of Texas MD Anderson Cancer Cente 1515 Holcombe Blvd Houston TX 77030 746001118 government 100000 FMV Research The University of Wisconsin 600 Highland Ave Madison WI 53792 390743975 501(c)(3) 40000 FMV Research Trustees of Boston University B U Medical Campus 72 East Concord St RBoston MA 02118 042103547 501(c)(3) 32500 FMV Research University of Alabama at Birmingham University 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546001796 501(c)(3) 123000 FMV Research Duke University Box 104132 Durham NC 27708 560532129 501(c)(3) 91000 FMV Research University of Missouri - Kansas City 5100 Rockhill Road Kansas City MO 641102499 436003859 government 167000 FMV Research University of Arizona PO Box 3308 Tucson AZ 85722 742652689 501(c)(3) 195000 FMV Research Regents of the Univ of CA San Diego 9500 Gilman Drive La Jolla CA 92093 956006144 501(c)(3) 159000 FMV Research North Shore Long Island Jewish 300 Community Drive Manhasset NY 11030 111562701 501(c)(3) 159000 FMV Research Northwestern University 619 Clark Street Evanston IL 60208 362167817 501(c)(3) 115000 FMV Research Johns Hopkins University 1101 E33rd Street Baltimore MD 21218 520595110 501(c)(3) 500000 FMV Research Louisiana State University Health Sciences Center 433 Bolivar Street New Orleans LA 70112 726087770 government 139000 FMV Research ALA of California 424 Pendleton Way Oakland CA 94621 940362650 501(c)(3) 18750 FMV Federal Grants & Program Site Grants ALA of Mid-Atlantic 3001 Old Gettyburg Road Camp Hill PA 17011 251825116 501(c)(3) 78421 FMV Federal Grants & Program Site Grants ALA of Mountain Pacific 7420 SW Bridgeport Road Suite 200 Tigard OR 97224 930386887 501(c)(3) 81058 FMV Federal Grants & Program Site Grants ALA of New York 116 John Street New York NY 10038 262818624 501(c)(3) 6000 FMV Federal Grants & Program Site Grants ALA of the Plains Gulf Region 2325 Severn Avenue Suite 8 Metairie LA 70001 630320189 501(c)(3) 36456 FMV Federal Grants & Program Site Grants ALA of Midland States 1950 Arlingate Lane Columbus OH 43228 314379531 501(c)(3) 126000 FMV Federal Grants & Program Site Grants ALA of the Southeast 6852 Belfort Oaks Place Jacksonville FL 32216 590662271 501(c)(3) 18421 FMV Federal Grants & Program Site Grants ALA of the Southwest 5600 Greenwood Plaza Blvd Suite 1 Greenwood Village CO 80111 860111676 501(c)(3) 80851 FMV Federal Grants & Program Site Grants ALA of the Upper Midwest 3000 Kelly Lane Springfield IL 62707 204392201 501(c)(3) 102585 FMV Federal Grants & Program Site Grants ALA of the Northeast 7420 SW Bridgeport Road Suite 200 Tigard OR 97224 930386887 501(c)(3) 69712 FMV Federal Grants & Program Site Grants University of Central Florida 2325 Severn Avenue Suite 8 Metairie LA 70001 630320189 501(c)(3) 39860 FMV Research Tufts University 1950 Arlingate Lane Columbus OH 43228 314379531 501(c)(3) 32500 FMV Research 69 Schedule I, Part I, Line 2 Procedure for Monitoring Grants in the US Award recipients are required to submit a renewal application after their first Year of funding. Renewal applications are then reviewed by our Research Committee Chairs for approval of second year funding. At the time of termination (after the second year of funding), award recipients are required to submit a summary of their activities, copies of presentations and/or publications, and a cash disbursement report for the entire grant time. X X X X X false false false false false false false false false CHARLES D CONNOR 319133 0 0 0 54457 0 12906 0 386496 0 ADRIENNE GlASGOW 203240 0 0 0 36217 0 9874 0 249331 0 B SUSAN DAVIS 211136 0 0 0 37624 0 9780 0 258540 0 JAMES THIE 165076 0 0 0 5778 0 9371 0 180225 0 SUSAN J RAPPAPORT 165612 0 0 0 31996 0 19244 0 216852 0 JANET WIDMER 168061 0 0 0 32469 0 1234 0 201764 0 PAUL BILLINGS 158577 0 0 0 30637 0 1232 0 190446 0 DELIA NAUGHTON 136134 0 0 0 26301 0 7315 0 169750 0 RUSSELL BURWELL 141614 0 0 0 27360 0 9575 0 178549 0 CARRIE MARTIN 148997 0 0 0 5215 0 6556 0 160768 0 Form 990, Part III, Line 4d other program service accomplishments Advocacy Every year, the American Lung Association fights for public policies that support our mission to save lives by improving lung health and preventing lung disease. In 2011-12, our advocacy efforts again yielded important results. Healthy Air Our Healthy Air Campaign continued in its fight to protect the Clean Air Act from attempts to weaken the law, and to push the Environmental Protection Agency (EPA) to implement its lifesaving protections. As part of the campaign, we launched the Red Carriage initiative, an ad campaign and more, that created an iconic symbol of the importance of clean air to the health of our children. With allies, we issued the "Sick of Soot" report that pointed to the 35,700 premature deaths annually from particulate matter pollution that could be prevented if the EPA adopts strong national air quality standards. EPA proposed new standards on particle pollution following our successful legal actions against them for failing to follow the Clean Air Act to regularly review and set standards that actually protect public health. Our "State of the Air 2012" report (www.stateoftheair.org) showed that the air quality in many places has improved, but that over 127 million people-41 percent of the nation-still suffer pollution levels that are too often dangerous to breathe. We also introduced a State of the Air phone app that delivers air quality updates to smartphones. Health Care The American Lung Association worked to implement the landmark Patient Protection and Affordable Care Act and expand insurance coverage of quit-smoking treatments. The law extends health insurance coverage to millions of Americans who are currently uninsured -- including those with lung disease. The law puts a major emphasis on prevention and management of chronic diseases, including COPD and asthma. Lung Disease In 2011-2012 the Lung Association was once again instrumental in leading the nationwide fight to save the National Asthma Control Program at the Centers for Disease Control and Prevention from elimination. This program funds states to provide community-based organizations to help people living with asthma better manage their disease to reduce hospitalizations and deaths. Tobacco Control The 2009 Family Smoking Prevention and Tobacco Control Act is under threat from the cigar industry. In 2011-2012 the Lung Association continued to fight to make sure candy-flavored and other cigars are not exempted from basic oversight by the Food and Drug Administration. Our signature report, "State of Tobacco Control 2012" found that most states have failed to put in place proven tobacco prevention policies to fight the tobacco epidemic, while the federal government continued to take important steps forward. We also issued the report "Helping Smokers Quit: Tobacco Cessation Coverage 2011," which showed states are missing a big opportunity to help smokers quit, and to save taxpayer money by covering comprehensive tobacco cessation treatments. The report also discussed the many opportunities the federal government has to help smokers quit through the implementation of the Affordable Care Act and other policies. Field Program Development SUPPORT OF AMERICAN LUNG ASSOCIATION CHARTERED ASSOCIATIONS The American Lung Association national headquarters supports its 9 chartered associations through coaching, training, consultation and technical assistance. American Lung Association staff and volunteers throughout the country are provided skill-building and other learning opportunities to help them successfully deliver the American Lung Association's mission. Through implementation of these staff learning and volunteer development offerings, chartered associations are kept current on best practices in lung health programs and delivery, advocacy, financial management, fundraising, leadership development and volunteer management. One-on-one coaching and consultation by national headquarters staff is offered as needed or requested. Individual discipline groups (e.g. chief executive officers, chief financial officers, chief development officers, program managers, etc.) meet regularly with national headquarters peers to share ideas, problem-solve, and network. The American Lung Association conducts a nationwide volunteer and staff recognition program. Volunteers and staff are recognized on an ongoing basis for outstanding performance. An annual recognition ceremony is held at a meeting of the American Lung Association Board of Directors and Nationwide Assembly where awards for highest achievement are given in specific categories. The American Lung Association Board of Directors provides strategic direction for the national headquarters and its chartered associations. Coordination and monitoring of national and chartered association strategic alignment is provided through a Board-approved metric-based performance management system. The American Lung Association Board of Directors is responsible for oversight of chartered association compliance to policies and performance standards. Assistance is provided by the national headquarters to those chartered associations that do not meet requirements and/or standards. Form 990, Part VI, Section b Line 11: Review process of Form 990 The American Lung Association prepares its Form 990 and submits it to an outside accounting firm for review. ALA has established the following review process to ensure that the information reported is complete and accurate: once the Form 990 is prepared, reviewed by management and the accounting firm, and ready to be filed with the Internal Revenue Service, it is submitted electronically to members of the organization's governing body, the Audit Committee, for any comments prior to its submission. These members of the governing body have 10 days to review the form, they then meet by conference call to review any comments by the group and agree to any changes that may need to be made to the form prior to its submission to the Internal Revenue Service. All comments are documented, addressed and finalized in the 990 before the submission. Line 12: Conflict of Interest Policy ALA currently has in place a conflict of interest policy which itmonitors and enforces annually. The board currently mandates that all members of management, the governing body, and staff annually sign a conflict of interest policy and disclose any potential or actual conflicts that may exist. The signed conflict of interest policy statements are submitted to the governance committee. These statements are reviewed for potential or actual conflicts. If a potential or actual conflict of interest exists, the committee will notify members of management about such conflict and investigate the conflict. If management establishes that an actual conflict exists, the member of management will be notified immediately and will not be allowed to vote or be a part of any decisions about any such transactions that have to do with the conflict until such time there is no longer a conflict. Line 15: Compensation Review The American Lung Association has established a compensation policy for their leadership committee to follow in establishing the compensation for their CEO, top management official, other officers or key employees. The policy mandates that executive compensation be periodically reviewed by the committee and that the committee should be free of conflicts of interest. In addition, the approving committee needs to review appropriate and adequate data to determine the reasonableness of the compensation being considered. The committee may use a variety of information and studies that are available to determine that the appropriate level of compensation is being paid to its executives. The committee's decision on the amount of compensation paid is documented in a contemporaneously written format and should document the date of the decision, the members present during the meeting and those who voted on it, the details of the transaction that was approved and the comparable date used and relied upon to make the decision. The compensation review process for the CEO and other officer or key employees was last undertaken in December 2010. Form 990, part vi, section c Line 17: States with which a copy of the Form 990 is filed AL, AK, AZ, AR, GA, IL, KS, KY, ME, MD, MA, MN, MS, NH, NM, NC, ND, OH, OK, OR, RI, SC, TN, VA, WA, WV, WI, PA, NY, NJ, MI, FL, CT, CA, CO, DC, HI Line 19: Forms available to public The three most recent years of Form 990 and Annual Reports are available on American Lung Association's website www.lung.org. Governing documents and conflict of interest policy are available to the public upon request. Our website also provides the names of our Board of Directors and our Ethics Policy. Form 990, Part XI, Line 5 Other Changes in net assets or fund balances unrealized gains/(losses) ($4,533) transfer of beenficial interest in perpetual trust 1,776,399 change in fair value of beneficial interest in trust (2,203) change in value of split-interest agreements 724 pension and life insurance benefit plan activities (1,562,473) ----------- Total $207,914 FORM 990, Part XII,Line 2c Financial Statements and Reporting The joint Finance/Audit Committee of the Board has the fiduciary responsibility for hiring of the audit firm, the review of the risk issues for the association and the final audit review and package that is accepted by the Board. The Committee meets with the Audit firm independently from staff during the audit review process and recommends to the Board the acceptance of the Audit and its findings.