2011-02-10T10:47:28-06:00 2010-06-30 O'Connor Davies Munns & Dobbins LLP 60 East 42nd Street 36th Fl New York NY 101653698 990 2009-07-01 131632524 American Lung Association AMER 2123158700 14 Wall Street No 8C New York NY 10005 ADRIENNE GLASGOW 2123158700 2011-02-10 1 2122862600 2009 2016-02-24 21:20:13Z ADRIENNE GLASGOW 14 Wall Street No 8C New York NY 10005 58580179 0 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. 24 24 114 335000 0 0 49063592 18197281 27977401 -1483663 851200 215419 747614 47795348 47773496 6358649 5848208 0 8995365 8388484 0 690188 36517884 33314059 51871898 47550751 -4076550 222745 27777434 28345476 20087201 20687576 7690233 7657900 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 at the national level 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.[SEE CONTINUATION OF MISSION STATEMENT ON PAGE 57 OF THE RETURN ON SCHEDULE O] 0 0 17783216 497897 13988701 PUBLIC HEALTH EDUCATIONEvery 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 2009-10 we substantially advanced this mission, touching lives from coast to coast.Lung Disease:Connected 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 2010, the nurses and respiratory therapists who staff the Lung HelpLine answered almost 100,000 calls on topics ranging from clean air to helping a family member quit smoking.Matched 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 Clinical Trials Navigator who serves as a guide though the process.Provided Easy Way to Assist Lung Disease Patients:-The American Lung Association provides "My Fighting for Air Community" (http://lungusa.lotsahelpinghands.com/caregiving/home/), a free and easy way for people with lung disease and their families to receive support from those that care about them. Users can create private, secure web pages to post updates on medical matters and other aspects of their lives. They can also use a "care coordination calendar" to post a list of items for which they need help, like transportation, meals or household chores. Friends and family members can then sign up to assist the patient with those tasks.Highlighted Disparities in Lung Health:-This year, we introduced a new series of reports that spotlight groups disproportionately affected by lung disease in our society. Too Many Cases, Too Many Deaths focused on the elevated rate of lung cancer in the African American population. Smoking Out a Deadly Threat, our lung disparity report investigated the possible causes of and solutions to the high rate of tobacco use in lesbian, gay, bisexual and transgender (LGBT) communities. Tobacco:Helped Thousands of Smokers to Quit:- The American Lung Association's "Freedom From Smoking(R)" and "Not-On-Tobacco(R)" (N-O-T) have helped hundreds of thousands of teen and adult smokers quit. Each program guides 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. In FY2010, the two programs helped around 25,000 smokers end their addiction to nicotine and transition to a new, smokefree lifestyle.Extended Our Online Reach:- We unveiled a "Freedom From Smoking(R)" Online in October 2009. The updated site features expanded social networking capabilities, downloadable relaxation exercises and improved navigation. It also provides members with a space to blog about their experiences, ask questions, and give support to one another as they go through the process of quitting smoking. The site includes resources for pregnant and postpartum women. 11308857 0 10071864 FIELD FUNDRAISINGThe 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; sending reports to regional CEOs on the planned giving work in their geographic areas.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 calls, etc.); implementation (sponsorship calls, recruitment, event attendance/participation); coaching (staff, leadership, volunteers); coordination of collateral; providing a national incentive program; solicit national sponsors/teams; 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.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. 6017545 5153022 2517966 RESEARCHFunding research has been a cornerstone of the Lung Association's fight against lung disease for more than a century. In 2009-10, 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 2009-10, our program funded 55 grants to further promising, cutting-edge research. Additional support in funding this year's research program came from partnerships with Alpha-1 Foundation, LUNGevity Foundation, the CHEST Foundation, NTM Info and the National Sleep 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 throughout the country. In 2009-10, ongoing ACRC research centered on two major questions: what is the interaction between acid reflux and asthma in children, is methacholine challenge still a sensitive test in the diagnosis and/or confirmation of asthma. Two ACRC manuscripts, TAPE and SIRNA were published in the Journal of Allergy and Immunology and CHEST, respectively. The TAPE trial found that neither the presence of a placebo nor enhancing patients expectancy about the effectiveness of a drug had an effect on lung function. However, study participants in the placebo with enhanced messages group reported an improvement in their asthma symptoms despite no improvement in lung function. The SIRNA trial developed a simple and reliable five-item questionnaire that could accurately screen for sinonasal disease, reducing the need for expensive CT scans and invasive endoscopy. 5985213 197289 1398870 AdvocacyEvery year, the American Lung Association fights for public policies to protect your right to breathe healthy air, free of air pollution or tobacco smoke. In FY 2010, our advocacy efforts again yielded important victories.Healthy Air:-The Lung Association won a crucial victory in January when the EPA set stronger emissions standards for nitrogen dioxide, which will protect communities along major roads and highways. Lung Association volunteers testified in Arlington, VA, Houston, and Sacramento in February to support the EPA's proposal to lower the nation's limit on ozone pollution. For those living near major seaports, the Lung Association advocated for EPA's new rules, enacted in April, for ocean-going vessels to use cleaner fuel and emissions control technology. The EPA's new sulfur dioxide standard, enacted in June, will provide additional public health protection near industrial facilities. Our State of the Air 2010 report acknowledged progress against air pollution in many areas, but found that nearly six out of ten Americans live in areas where air pollution levels endanger lives. This eleventh annual report also found that nearly every major city was still burdened by air pollution, although most of the cities with the highest ozone and short-term particle levels reduced their pollution levels. The State of the Air report (www.stateoftheair.org) included a national air quality "report card" that assigned A-F grades to communities across the country. It also ranks cities and counties most affected by the most widespread types of pollution, ozone and particle pollution, and details trends for the most polluted cities over the past decade.Health Care:-The American Lung Association fought for expanded access to quit-smoking treatments under the landmark Patient Protection and Affordable Care Act (PPACA). 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. Asthma:-The American Lung Association hosted a day-long workshop in June to develop strategies for national opportunities for improving healthy housing, including the adoption of smokefree public housing to help improve the asthma of especially vulnerable people. Tobacco Control:The American Lung helped ensure that FDA is moving forward with the new law that gives the U.S. Food and Drug Administration (FDA) effective authority to regulate tobacco products' manufacture, distribution, and sale to protect the public health. A new Center for Tobacco Products at FDA in September 2009 banned the sale of candy and fruit flavored cigarettes that targeted children and teens. In June, the FDA forbid companies from using misleading descriptors in the names of their cigarettes, such as light, low and mild. Also in June, new restrictions took effect that eliminated cigarette vending machines, tobacco branded products like t-shirts and hats and banned free cigarette samples as part of a suite of requirements to block the sale, marketing and promotion of tobacco products to children. In November 2009, we issued our 2nd annual comprehensive look at state coverage of tobacco cessation treatment, Helping Smokers Quit: State Cessation Coverage. The report showed states are missing a big opportunity to help smokers quit and to save themselves money by covering comprehensive tobacco treatments. State of Tobacco Control 2009 graded the strength of state and federal laws to protect citizens from tobacco-caused illnesses at the heart of Americas chronic disease crisis. The report found that the federal government and most states failed to enact critical policy measures to protect people from deadly tobacco products. No state received all A's and six states received all F's. Our 2009 State Legislated Actions on Tobacco Issues report and online database provided the data that underpins the State of Tobacco Control report.Kansas and Michigan met our Smokefree Air Challenge, making the total 27 states as well as the District of Columbia with comprehensive laws protecting people from exposure to deadly secondhand smoke. Eight additional states have strong, but not fully comprehensive laws. SUPPORT OF AMERICAN LUNG ASSOCIATION CHARTERED ASSOCIATIONSThe American Lung Association national headquarters supports its 10 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. 5985213 197289 1398870 41094831 1 1 0 1 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 27 0 1 114 1 0 0 0 0 0 1 1 0 0 0 0 0 24 24 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CO CT DC FL GA HI IL KS KY MA MD ME MI MN NM NC ND NH NM NY NJ OH OK OR PA RI SC TN VA WA WI WV X X X ADRIENNE GLASGOW CFO 2123158762 14 WALL STREET SUITE 8C NEW YORK NY 10005 Lee A Baggott MD FCC 2.00 X 0 0 0 Christine L Bryant 8.00 X X 0 0 0 Timothy D Byrum MSN C 2.00 X 0 0 0 Arthur A Cerullo JD 2.00 X 0 0 0 John F Emanuel JD 2.00 X 0 0 0 KathRYN A FORBES CPA 2.00 X 0 0 0 Michael A Gardner 2.00 X 0 0 0 Adam S Goldberg Esq 2.00 X 0 0 0 H James Gooden 4.00 X 0 0 0 VirGINIA L HALL 2.00 X 0 0 0 ElIZABETH BAKER KEFFER 2.00 X 0 0 0 Ross P Lanzafame 2.00 X 0 0 0 JeNNY H LEE 2.00 X 0 0 0 Edward Miller 2.00 X 0 0 0 Leslie M Newman JD 2.00 X 0 0 0 Stephen J Nolan Esq 2.00 X 0 0 0 Shola Oyewole 2.00 X 0 0 0 Mary H Partridge 6.00 X X 0 0 0 Albert A Rizzo MD 2.00 X 0 0 0 Frank Scott Rotruck 2.00 X 0 0 0 E Neil Schachter 2.00 X 0 0 0 Robert G Tweel 2.00 X 0 0 0 Dean A Zerbe JD LL 2.00 X 0 0 0 James L McDaniel 2.00 X 0 0 0 DON AWERKAMP 2.00 X 0 0 0 Charles D CONNOR 35.00 X 328289 0 44998 Adrienne Glasgow - CFO 35.00 X 30385 0 2290 Kim A SCHWARTZ-vp CFO 35.00 X 268085 0 32783 B SUSAN DAVIS 35.00 X 201000 0 35933 Bernadette Toomey- Pres 35.00 X 356686 0 0 Susan J RAPPAPORT 35.00 X 168027 0 40131 JanET WIDMER 35.00 X 174162 0 39723 PauL BILLINGS 35.00 X 168533 0 22114 DelIA NAUGHTON 35.00 X 135711 0 27026 RusSELL BURWELL 35.00 X 135774 0 27050 Carrie Martin 35.00 X 142173 0 27922 2108825 0 299970 14 0 1 0 Moore Wallace PO Box 93514 ChICAGO IL 60673 Marketing 3782738 Quadgraphics Inc 4333 DAVENPORT ROAD fREDERICKSBURG VA 22408 Printing 3437544 LABEL TECH INC 16 INTERSTATE DRIVE SOMERSWORTH NH 03878 PRINTING 2668718 RR Donnelly Response Marketing Services 135 S LaSalle ChICAGO IL 60673 Marketing 2175282 Infocision Management Corp 325 Springside Drive Akron OH 44333 Telemarketing 1903794 40 31881 796159 17369241 18197281 direct response rev fr 900099 27977401 27977401 27977401 371289 371289 614448 614448 11286594 10806683 479911 479911 479911 OTHER REVENUE 900099 133166 133166 133166 47773496 27977401 0 1598814 5848208 5848208 1681948 759609 786628 135711 4689811 2950961 1482720 256130 760806 443017 270999 46790 805438 469007 286897 49534 450481 262315 160461 27705 888319 888319 92055 92055 215494 215494 48329 48329 3809779 3582490 227289 314827 314827 535979 357471 154711 23797 305856 179413 100813 25630 1286242 720513 471441 94288 521274 410994 110280 372265 299721 72544 176370 103457 58133 14780 115037 69733 36121 9183 ASSOC PUB AW & FLD SUPP 23981361 23981361 Bad Debt Expenses 491872 491872 MisCELLANEOUS 156717 124901 25367 6449 Service Charges 2283 1339 753 191 47550751 41094831 5765732 690188 140907 162222 8843129 9283322 8130218 4149762 791981 142564 990880 746881 2715675 2266708 548395 448967 7074560 12014575 1257364 1397183 27777434 28345476 3433352 2199083 2542055 2530340 1772733 1618561 3030274 2579183 9308787 11760409 20087201 20687576 X 5343566 5068395 549024 791862 1797643 1797643 7690233 7657900 27777434 28345476 X 0 1 1 X 1 1 X 20957733 24681358 13991885 14100696 18165400 91897072 20957733 24681358 13991885 14100696 18165400 91897072 1689642 90207430 1871260 2435520 1454604 584295 985737 7331416 44413 52144 121136 101141 133166 452000 99680488 143407179 0.90500 0.96530 X Schedule A, Part IV, Supplemental Information: SCHEDULE A, PART II, SECTION B, LINE 10, EXPLANATION FOR OTHER INCOME: OTHER INCOME CONSIST OF MISCELLANEOUS SERVICE FEES. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 1 1 1 13777 1 21030 1 5625 1 156843 1 2253 1 15966 215494 0 Part II-B, Line 1i: Explanation of Other Lobbying Activities: 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. 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 LUNG HEALTH RESEARCH FUNDING INCLUDING FUNDING FOR LUNG CANCER, CHRONIC OBSTRUCTIVE PULMONARY DISEASE, 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 SMOKING CESSATION AND ELIMINATE EXPOSURES TO SECONDHAND SMOKE. 1797643 1797643 1797463 180 1797643 0.00000 1.00000 0.00000 1 0 178430 97638 80792 1673533 1594981 78552 863712 574089 289623 448967 BENEFICIAL INTEREST IN ASSETS HELD BY CONSTITUENTS 1217089 OTHER ASSETS 180094 1397183 DUE TO CHARTERED AND CONSTITUENT ASSOCIATIONS 2272872 Other liabilities 2546872 ACCRUED PENSION AND RETIREE LIFE INSURANCE LIABILITY 5473531 ACCRUED VACATION EXPENSES 580775 ACCRUED ANNUITIES 496173 DEFERRED RENT 390186 11760409 47773496 47550751 222745 95510 -350588 -255078 -32333 55284490 95510 7415484 7510994 47773496 0 47773496 54966235 7415484 7415484 47550751 0 47550751 Part V, Line 4: Description of Intended Use of Endowment Funds: Permanently restricted net assets are primarily dedicated to supporting research scholars in interstital related lung diseases. Dalsemer Endowment: In 1983 Leonard Dalsemer, the John A. Hartford Foundation, and the Wheelabrator Foundation endowed the National Office with $500 thousand (the corpus) to fund research to find a cure for interstitial lung disease. The earnings on the corpus are to fund an annual research award in a minimal amount of $30 thousand. 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 has 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. Part X: Description of Uncertain Tax Positions Under FIN 48: National Headquarters recognizes the effect of income tax positions only when they are more likely than not of being sustained. Management has determined that National Headquarters had no uncertain tax positions that would require financial statement recognition or disclosure. National Headquarters is no longer subject to audits by the applicable taxing jurisdictions for periods prior to June 30, 2007. Part XI, Line 8 - Other Adjustments: PENSION AND POSTRETIREMENT PLANS BENEFITS LIABILITY ADJUSTMENTS: ($350,588) 1 Albany Medical College 47 New Scotland Ave Alabany NY 12208 141338310 501(c)(3) 65000 Research Baylor College of Medicine One Baylor Plaza Houston TX 77030 741613878 501(c)(3) 118800 Research Board of Trustees of Univ of Illinois-Chicago 506 S Wright M/C 339 urbana IL 61801 376000511 501(c)(3) 40000 Research Brigham & Women's Hospital 75 Francis Street Boston MA 02115 042312909 501(c)(3) 65000 Research Children's Hospital and Regional Medical Center 4800 Sand Point Way NE Seattle WA 98105 910564748 501(c)(3) 40000 Research children's hospital boston One Blackfam Circle Boston MA 02115 042774441 501(c)(3) 32500 Research Children's Hospital Los Angeles 4661 W Sunset Blvd Los Angeles CA 90027 951690977 501(c)(3) 32500 Research Children's Hospital Medical Center-Cincinnati 3333 Burnet Avenue Cincinnati OH 45229 310833936 501(c)(3) 40000 Research Colorado State University 200 West Lake Street Fort Collins CO 80523 846000545 Government Sec. 3406 60000 Research Dana-Farber Cancer Institute 44 Binney Street Boston MA 02115 042263040 501(c)(3) 74100 Research Duke University Box 104132 Durham NC 27708 560532129 501(c)(3) 94000 Research Indiana University PO Box 66057 Indianapolis IN 46266 356001673 501(c)(3) 99200 Research johns Hopkins University 1101 E33rd Street Suite D200 baltimore MD 21218 520595110 501(c)(3) 548500 Research lankenau Institute for Medical Research 100 Lancaster Ave wynnewood PA 19096 232135659 501(c)(3) 99771 Research louisiana State University Health Sciences Center 3433 Bolivar Street New Orleans LA 70112 726087770 Government 82600 Research lovelace Respiratory Research Inst 2425 Ridgecrest Drive SE albuquerque NM 87108 850110669 501(c)(3) 72500 Research Montefiore Medical Center 3415 Bainbridge Avenue Bronx NY 10467 131740114 501(c)(3) 40000 Research National Jewish Medical and Research Center 1400 Jackson Street Denver CO 80206 742044647 501(c)(3) 84600 Research Nemours Children's Clinic - Jacksonville 10140 Centurion Parkwa N Jacksonville FL 32256 590634433 501(c)(3) 132200 Research North Shore Long Island Jewish 300 Community Drive Manhasset NY 11030 111562701 501(c)(3) 141000 Research Northwestern University 619 Clark Street Evanston IL 60208 362167817 501(c)(3) 122861 Research NYU Medical CollegeChildren's & Women's Physicians of Westchester LLP 40 Sunshine Cottage Road Valhalla NY 10595 131099420 501(c)(3) 107800 Research NYU School of Medicine 545 First Avenue New York NY 10016 135562308 501(c)(3) 65800 Research Oregon Health & Science University 3181 SW Sam Jackson Park Road Portland OR 97239 931176109 government 32500 Research Regents of the Univ of CA San Diego 9500 Gilman Drive La Jolla CA 92093 956006144 501(c)(3) 112000 Research Regents of the Univ of California (Irvine) Accounting Office Biological Sciences III Suite 1400 Irvine CA 92697 952226406 501(c)(3) 40000 Research Regents of the University of California SF 3333 California St Suite 315 Box 0962 San Francisco CA 94118 946036493 501(c)(3) 80000 Research Regents of Univ of Michigan 3003 S State Street Ann Arbor MI 48109 386006309 501(c)(3) 32500 Research Research Foundation of SUNY University at Buffalo 3435 Main Street Buffalo NY 14214 146013200 government 40000 Research Stanford University 3145 Porter Drive Palo Alto CA 94304 941156365 501(c)(3) 140000 Research The Ohio State University Research Foundation 1960 Kenny Road Columbus OH 43210 316401599 501(c)(3) 198200 Research The University of Texas MD Anderson Cancer Center 1515 Holcombe Blvd Houston TX 77030 746001118 government 100000 Research Thomas Jefferson University 1020 Walnut Street 5th FL Philadelphia PA 19107 231352651 501(c)(3) 140000 Research Trudeau Institute Inc 154 Algonquin Ave Sarana Lake NY 12983 141401413 501(c)(3) 100000 Research Trustees of Columbia University 722 W168th Street 4th FL New York NY 10032 155598093 501(c)(3) 37000 Research University of Colorado at Denver & Health Sciences 12800 E 19th Avenue Aurora CO 80045 846000555 government 40000 Research University of South Florida 3802 Spectrum Blvd Suite 100 Tampa FL 33612 592959590 501(c)(3) 99574 Research University of Massachusetts 333 South Street Suite 450 Shrewsbury MA 01545 043167352 Government Sec. 115 40000 Research University of Alabama at Birmingham University Station Birmingham AL 35294 636005396 501(c)(3) 40000 Research University of Arizona PO Box 3308 Tucson AZ 85722 742652689 501(c)(3) 37000 Research University of Chicago 5801 South Ellis Avenue Chicago IL 60637 362177139 501(c)(3) 60000 Research University of Illinois at Urbana-Champaign 601 S Matthews Avenue Urbana IL 61801 376000511 government 40000 Research University of Kansas Medical Center Research Institute Inc 3901 Rainbow Blvd Mail Stop 1039 Kansas City KS 66160 481108830 501(c)(3) 105800 Research University of Louisville Research Foundation 580 S Preston St Ste 210 Louisville KY 40202 611024882 government 99567 Research University of Massachusetts Amherst 710 North Pleasant Street Amherst MA 01003 043167352 government 40000 Research University of Miami Miller School of Medicine PO Box 025405 Miami FL 33102 590624458 501(c)(3) 50000 Research University of Minnesota 2221 University Ave SE Suite 111 minneapolis MI 55414 416007513 government 40000 Research University Pittsburgh Office of Financial Information Pittsburgh PA 15260 250965591 501(c)(3) 100000 Research University of Rochester 910 Genesee Street Suite 200 Rochester NY 14611 160743209 501(c)(3) 40000 Research University of Vermont 85 South Prospect Street Burlington VT 05405 030179440 501(c)(3) 84200 Research University of Virginia PO Box 400202 Charlottesville VA 22904 546001796 501(c)(3) 126000 Research University of Washington 3917 University Way NE seattle WA 98105 916001537 government Sec. 115 204750 Research Vanderbilt Univ Medical Center Dept at 40326 Atlanta GA 31192 620476822 501(c)(3) 40000 Research Wayne State University 5057 Woodward Ave Suite 13202 detroit MI 48202 386028429 501(c)(3) 100000 Research Yale University 2 Whitney Avenue 6th Fl New Haven CT 06510 060646973 501(c)(3) 39898 Research ALA of Atlantic Coast PO Box 35010 Richmond VA 23235 560547515 501(c)(3) 63761 Federal Grants & Program Site Grants (4730, 4920, 4950, 4980) Ala of California 424 Pendleton Way oakland CA 94621 940362650 501(c)(3) 52962 Federal Grants & Program Site Grants (4720, 4880, 4920, 4950, 4980) AlA of AIW 2625 Third Avenue Seattle WA 98121 264010540 501(c)(3) 10000 Federal Grants & Program Site Grants (4920) ALA of Mid-Atlantic 3001 Old Gettyburg Road Camp Hill PA 17011 251825116 501(c)(3) 40000 Federal Grants & Program Site Grants (4730, 4920, 4980) ALA of Mountain Pacific 7420 SW Bridgeport Road Tigard OR 97224 930386887 501(c)(3) 50688 Federal Grants & Program Site Grants (4720, 4890,4920, 4980) ALA of New York 116 John Street New York NY 10038 262818624 501(c)(3) 87000 Federal Grants & Program Site Grants (4920, 4950) ALA of the Central States 8150 Brookriver Dr S-102 Dallas TX 75247 430662525 501(c)(3) 275753 Federal Grants & Program Site Grants (4720, 4730, 4890, 4920, 4950,4980) ALA of the Mid SOUTH 2325 SEVERN AVENUE SUITE 8 MetAIRIE LA 70001 630320189 501(c)(3) 1102 Federal Grants & Program Site Grants (4720, 4880, 4980) ALA of the Southeast 6852 Belfort Oaks Place Jacksonville FL 32216 590662271 501(c)(3) 10000 Federal Grants & Program Site Grants (4720, 4920) ALA of the Southwest 5600 Greenwood Plaza Blvd Suite 100 100 Greenwood Village CO 80111 860111676 501(c)(3) 56406 Federal Grants & Program Site Grants (4720, 4880, 4920, 4950, 4980) ALA of Upper Midwest 3000 Kelly Lane Springfield IL 62707 204392201 501(c)(3) 97328 Federal Grants & Program Site Grants (4720, 4880, 4920, 4950, 4980) 66 0 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: Awardees 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), awardees are required to submit a summary report of their activities, copies of presentations and/or publications, and a cash disbursement report for the entire grant time. X X X X X 1 0 0 0 0 0 0 0 0 Charles D CONNOR 308289 0 20000 0 0 0 32610 0 12388 0 373287 0 0 0 Kim A SCHWARTZ-vp & CFO 237894 0 10000 0 20191 0 31664 0 1119 0 300868 0 0 0 B SUSAN DAVIS 201000 0 0 0 0 0 26753 0 9180 0 236933 0 0 0 Bernadette Toomey- Pres 0 0 0 0 356686 0 0 0 0 0 356686 0 0 0 Susan J RAPPAPORT 168027 0 0 0 0 0 22364 0 17767 0 208158 0 0 0 JanET WIDMER 164162 0 10000 0 0 0 21850 0 17873 0 213885 0 0 0 PauL BILLINGS 158533 0 10000 0 0 0 21101 0 1013 0 190647 0 0 0 DelIA NAUGHTON 135711 0 0 0 0 0 18063 0 8963 0 162737 0 0 0 RusSELL BURWELL 135774 0 0 0 0 0 18072 0 8978 0 162824 0 0 0 Carrie Martin 142173 0 0 0 0 0 18923 0 8999 0 170095 0 0 0 Part I, Line 4a Bernadette Toomey, who held the position of President and CEO, received severance payments totaling $356,686. Form 990, Part VI, Section B, line 11 The American Lung Association prepares its Form 990 and then submits it to an outside accounting firm for review and it has also established the following review process to ensure that the information reported is complete and accurate. Then the Form 990 has been prepared, reviewed by management and the accounting firm, and is ready to be filed with the Internal Revenue Service, it is submitted electronically to members of the organization's governing body, the Finance Committee, for any comments prior to its submission. These members of the governing body then has 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. Each of these comments are documented, addressed and finalized before the submission. Form 990, Part VI, Section B, line 12c ALA currently has in place a conflict of interest policy which it annually monitors and enforces. The board currently mandates that all members of management, the governing body, and staffs annually sign a conflict of interest policy and disclose any potential or actual conflicts that may exist. The signed conflict of interest policy is 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, a 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. Form 990, Part VI, Section B, line 15 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 on October 28, 2009. Form 990, Part VI, Section C, line 19 Forms available to the public The three most recent years of Form 990 and Annual Reports are available on American Lung Association's website www.lungusa.org. Governing documents and conflict of interest policy are available to the public per request. Our website also provides the names of our Board of Directors and our Ethics Policy. FORM 990, PAGE 12, PART XI, LINE 2C: Finance/Audit Committee 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. FORM 990, PAGE 3, PART III, LINE 1: MISSION STATEMENT CONTINUED FROM PAGE 5 *Provides an array of learning opportunities and tools to develop nationwide volunteer and staff leaders. *Provides epidemiological data, medical and scientific advice and counsel to Lung Associations and the public. *Provides the public with the latest information on lung disease, and national and local Lung Association activities through the American Lung Association web site, www.lungusa.org. *Ensures that all programs and services are culturally sensitive and that they respond to the lung health needs of all communities. The Program Services of the American Lung Association National Headquarters can be broken down into four broad categories: Research, Advocacy, Public Health Education and Field Support.