2019-10-08T17:15:53-05:00 2018-12-31 473535842 DAVIS FARR LLP 2301 DUPONT DRIVE SUITE 200 IRVINE CA 92612 990 2018-01-01 953709253 PUBLIC LAW CENTER PUBL 7145411010 601 CIVIC CENTER DRIVE WEST SANTA ANA CA 92701 KENNETH W BABCOCK EXECUTIVE DIRECTOR & GEN. COUNSEL 7145411010 2019-10-08 1 TRITIA FOSTER P02164134 9494742020 4.53.180.254 2019-10-08 17:11:36 PD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 03D1D5CFFE759C61189FADDEE236FE4A3C044C7A 2018 2019-02-21 02:37:17Z KENNETH W BABCOCK 601 CIVIC CENTER DRIVE WEST SANTA ANA CA 92701 4749509 0 X WWW.PUBLICLAWCENTER.ORG X 1981 CA PROVIDING FREE LEGAL SERVICES TO LOW INCOME ORANGE COUNTY RESIDENTS. 37 37 47 1494 0 17637 3408051 4239604 0 0 204 281 264304 303759 3672559 4543644 0 0 0 0 2416387 2805930 0 0 336471 886075 1152246 3302462 3958176 370097 585468 1381581 1911183 623371 542505 758210 1368678 X THE PUBLIC LAW CENTER, ORANGE COUNTY'S PRO BONO LAW FIRM, IS COMMITTED TO PROVIDING ACCESS TO JUSTICE FOR LOW INCOME RESIDENTS. THROUGH VOLUNTEERS AND STAFF, THE PUBLIC LAW CENTER PROVIDES FREE CIVIL LEGAL SERVICES, INCLUDING COUNSELING, INDIVIDUAL REPRESENTATION, COMMUNITY EDUCATION, AND STRATEGIC LITIGATION AND ADVOCACY TO CHALLENGE SOCIETAL INJUSTICES. 0 0 2695682 304576 THE PUBLIC LAW CENTER (PLC) IS THE LARGEST BAR SPONSORED, PRO BONO PUBLIC INTEREST LAW FIRM IN ORANGE COUNTY. THROUGH VOLUNTEERS AND STAFF, THE PUBLIC LAW CENTER PROVIDES FREE CIVIL LEGAL SERVICES, INCLUDING COUNSELING, INDIVIDUAL REPRESENTATION, COMMUNITY EDUCATION, AND STRATEGIC LITIGATION AND ADVOCACY TO CHALLENGE SOCIETAL INJUSTICES. WITH A 38-YEAR HISTORY OF PROVIDING FREE LEGAL SERVICES TO ORANGE COUNTY'S LOW-INCOME RESIDENTS, PLC WORKS IN PARTNERSHIP WITH THE ORANGE COUNTY BAR ASSOCIATION, COMMUNITY LEGAL AID OF SOCAL (FORMERLY KNOWN AS THE LEGAL AID SOCIETY OF ORANGE COUNTY), LOCAL LAW SCHOOLS AND OTHER COMMUNITY PARTNERS TO ENSURE BROAD ACCESS TO CIVIL JUSTICE. PLC'S CLIENTS MEET ELIGIBILITY CRITERIA ESTABLISHED UNDER THE BUSINESS & PROFESSIONS CODE SECTIONS AUTHORIZING THE STATE BAR LEGAL SERVICES TRUST FUND PROGRAM. THE VAST MAJORITY OF PLC'S WORK INVOLVES THE PLACEMENT OF CLIENTS' CASES WITH VOLUNTEER ATTORNEYS AND THE HANDLING OF CLIENTS' CASES BY PLC STAFF MEMBERS. IN 2018, PLC STAFF MEMBERS AND VOLUNTEERS PROVIDED OVER 61,750 HOURS OF FREE LEGAL SERVICES IN HANDLING OVER 4,500 CASES AND BENEFITTED MORE THAN 8,000 LOW-INCOME CHILDREN, ADULTS AND SENIORS IN ORANGE COUNTY. THE ESTIMATED VALUE OF THIS WORK IS OVER $22.1 MILLION IN 2018 ALONE.PLC'S CASES INVOLVE FAMILY LAW, CHILDREN'S ISSUES, CONSUMER LAW, HOUSING, HEALTH, VETERANS AND IMMIGRATION. PLC ALSO PROVIDES FREE LEGAL ASSISTANCE TO NON-PROFIT ORGANIZATIONS AND MICRO-ENTREPRENEURS. IN ADDITION TO PRO BONO REPRESENTATION OF CLIENTS, PLC SPONSORS A VARIETY OF LEGAL CLINICS IN THE COMMUNITY. THESE INCLUDE CLINICS AT FAMILY RESOURCE CENTERS IN COSTA MESA, LAKE FOREST, LA HABRA AND SAN JUAN CAPISTRANO, HOMELESS SERVICE CENTERS IN ANAHEIM AND COSTA MESA, AND A COMMUNITY CENTER IN THE LITTLE SAIGON SECTION OF WESTMINSTER. PLC SERVES THE HIV/AIDS COMMUNITY THROUGH REFERRALS FROM AIDS SERVICES PROVIDERS THROUGHOUT THE COUNTY. IN ADDITION, PLC CONDUCTS SEVERAL COURTHOUSE BASED CLINICS DESIGNED TO PROVIDE INFORMATION TO UNREPRESENTED LITIGANTS. THESE INCLUDE CLINICS IN THE AREAS OF FEDERAL COURT LITIGATION, BANKRUPTCY, DOMESTIC VIOLENCE AND GUARDIANSHIP. IN COLLABORATION WITH OTHER NON-PROFIT ORGANIZATIONS, PLC ALSO CONDUCTS LARGE SCALE CITIZENSHIP FAIRS TO ASSIST LAWFUL PERMANENT RESIDENTS PREPARE THE PAPERWORK TO BECOME NATURALIZED U.S. CITIZENS. PLC OFFERS SUBSTANTIAL TRAINING PROGRAMS FOR ITS VOLUNTEERS AND COMMUNITY PARTNERS. IN CONJUNCTION WITH THE ORANGE COUNTY BAR ASSOCIATION AND AT PRIVATE LAW FIRMS, PLC OFFERS MCLE TRAININGS IN GUARDIANSHIP, IMMIGRATION, INCLUDING CITIZENSHIP, HUMAN TRAFFICKING AND U-VISAS, HOUSING, AND BANKRUPTCY. THESE TRAININGS SERVE AS A WAY TO BOTH TRAIN AND RECRUIT PRO BONO ATTORNEYS FOR CLINICS AND CASE PLACEMENT. OUR TRAININGS FOR COMMUNITY PARTNERS HELP TO EDUCATE THEIR STAFF AND CONSTITUENTS REGARDING LEGAL RIGHTS AND RESPONSIBILITIES THAT AFFECT THEM. 2695682 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 1 0 47 1 0 0 0 0 0 1 1 0 0 0 0 0 0 X 37 37 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA X X AIMEE DAU 7145411010 601 CIVIC CENTER DR WEST SANTA ANA CA 92701 AARON J MALO DIRECTOR 1.00 X 0 0 0 ADRIANNE MARSHACK DIRECTOR 1.00 X 0 0 0 BRETT J WILLIAMSON DIRECTOR 1.00 X 0 0 0 BRIAN B FARRELL SECRETARY/TREASURER 1.00 X X 0 0 0 CAROLE E REAGAN DIRECTOR 1.00 X 0 0 0 CESAR COVARRUBIAS DIRECTOR 1.00 X 0 0 0 CHARLA SUE RILEY DIRECTOR 1.00 X 0 0 0 CHRISTOPHER H MCGRATH DIRECTOR 1.00 X 0 0 0 CHRISTY G LEA DIRECTOR 1.00 X 0 0 0 DANIEL R FOSTER DIRECTOR 1.00 X 0 0 0 DANIEL ROBINSON DIRECTOR 1.00 X 0 0 0 DARREN O AITKEN DIRECTOR 1.00 X 0 0 0 DARYL S LANDY DIRECTOR 1.00 X 0 0 0 DEBORAH E ARBABI DIRECTOR 1.00 X 0 0 0 DEBORAH MALLGRAVE VICE PRESIDENT 1.00 X X 0 0 0 DINA M RANDAZZO DIRECTOR 1.00 X 0 0 0 DOUGLAS J DIXON DIRECTOR 1.00 X 0 0 0 ELEANOR A STEGMEIER DIRECTOR 1.00 X 0 0 0 GLENN D DASSOFF DIRECTOR 1.00 X 0 0 0 JAMES MEEKER PHD DIRECTOR 1.00 X 0 0 0 JOEL S MILIBAND DIRECTOR 1.00 X 0 0 0 JOSEPH L CHAIREZ DIRECTOR 1.00 X 0 0 0 KARLA KRAFT DIRECTOR 1.00 X 0 0 0 KATHY F ESFAHANI DIRECTOR 1.00 X 0 0 0 MARK ERICKSON PRESIDENT 1.00 X X 0 0 0 MARC J WINTHROP DIRECTOR 1.00 X 0 0 0 MAYA K DUNNE DIRECTOR 1.00 X 0 0 0 MICHAEL ERMER IMMEDIATE PAST PRESIDENT 1.00 X X 0 0 0 MICHAEL R WILLIAMS DIRECTOR 1.00 X 0 0 0 MICHELE D JOHNSON DIRECTOR 1.00 X 0 0 0 NICOLE WHYTE DIRECTOR 1.00 X 0 0 0 NORMA GARCIA GUILLEN DIRECTOR 1.00 X 0 0 0 PETER ZEUGHAUSER DIRECTOR 1.00 X 0 0 0 PHILIP D KOHN DIRECTOR 1.00 X 0 0 0 RALPH H BLAKENEY DIRECTOR 1.00 X 0 0 0 RICHARD J GRABOWSKI DIRECTOR 1.00 X 0 0 0 THOMAS A MANAKIDES DIRECTOR 1.00 X 0 0 0 KENNETH BABCOCK EXECUTIVE DIRECTOR 50.00 X 185000 0 7489 JORGE ALVARADO DIRECTOR OF LITIGATION, TRAINING AND ADVOCACY 40.00 X 137000 0 20033 CATHERINE OGILVIE DIRECTOR OF OPERATIONS 40.00 X 115000 0 14057 437000 0 41579 1 0 1 0 0 650735 1554794 2034075 4239604 281 281 193019 650735 205865 -12846 -12846 MISCELLANEOUS 624100 316605 304576 12029 316605 4543644 304576 0 -536 X 185000 164650 11100 9250 2093186 1275489 640417 177280 45085 28404 13075 3606 317779 200962 90704 26113 164880 104221 47156 13503 583439 437152 54162 92125 63138 49393 10905 2840 90719 70970 18542 1207 43997 43997 8404 6574 1718 112 26833 20992 5485 356 33842 32015 1715 112 EQUIP MAINTENANCE 81635 63863 16686 1086 LITIGATION 77909 77909 LIBRARY 49675 49675 TELEPHONE 34402 26913 7032 457 58253 42503 7326 8424 3958176 2695682 926023 336471 70441 203103 522164 805535 216188 326236 100 100 54186 80674 763881 293346 493502 470535 25000 25000 1381581 1911183 112210 215212 310723 141667 189277 181015 11161 4611 623371 542505 X 716495 1294843 41715 73835 758210 1368678 1381581 1911183 585468 25000 0 X X 0 1 X 1 0 X 2634550 2277165 3016644 3408051 4239604 15576014 2634550 2277165 3016644 3408051 4239604 15576014 266760 15309254 223 84 129 204 281 921 53122 63070 140161 306116 316605 879074 16456009 733226 0.93030 0.92100 X 11032 11032 3947144 3958176 347909 86977 0 0 279596 288827 315123 347909 1231455 1847183 816 2706 9800 11032 24354 69899 72207 78781 86977 307864 461796 263640 263640 336360 168180 168180 163881 125166 38715 470535 DEPOSITS PAYABLE 4611 4611 X 14888988 10345344 10345344 4543644 0 4543644 14303520 10345344 10345344 3958176 0 3958176 PART X, LINE 2: THE CENTER QUALIFIES AS A TAX-EXEMPT ORGANIZATION UNDER SECTION 501(C)(3) AS DESCRIBED IN SECTIONS 509(A)(1), 170(B)(1)(A)(VI) OF THE INTERNAL REVENUE CODE (THE "CODE") AND 23701(D) OF THE CALIFORNIA REVENUE AND TAXATION CODE, ACCORDINGLY, THERE IS NO PROVISION FOR FEDERAL INCOME TAXES OR CALIFORNIA FRANCHISE TAX. IN ADDITION, THE CENTER QUALIFIES FOR THE CHARITABLE CONTRIBUTION DEDUCTION UNDER SECTION 170 OF THE CODE AND HAS BEEN CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. INCOME DETERMINED TO BE UNRELATED BUSINESS TAXABLE INCOME (UBTI) WOULD BE TAXABLE. THE CENTER EVALUATES ITS UNCERTAIN TAX POSITIONS, IF ANY, ON A CONTINUAL BASIS THROUGH REVIEW OF ITS POLICIES AND PROCEDURES, REVIEW OF ITS REGULAR TAX FILINGS, AND DISCUSSIONS WITH OUTSIDE EXPERTS. THE CENTER'S FEDERAL RETURN OF ORGANIZATION EXEMPT FROM INCOME TAX (FORM 990) FOR THE FISCAL YEARS ENDED 2015, 2016 AND 2017 ARE SUBJECT TO IRS EXAMINATION, GENERALLY FOR FOUR YEARS AFTER FILING. AS OF THE DATE OF THIS REPORT, THE CENTER'S FISCAL YEAR 2018 RETURN HAD NOT YET BEEN FILED. VOLUNTEERS FOR JUSTICE DINNER 778709 615575 163134 118751 36683 24525 HALLOWEEN BASH 50045 35160 14885 25906 2 15000 15000 843754 650735 193019 118751 36683 50431 205865 -12846 X X X X 0 0 0 0 0 0 0 0 0 KENNETH BABCOCK EXECUTIVE DIRECTOR 185000 0 0 0 0 0 7383 0 106 0 192489 0 0 0 JORGE ALVARADO DIRECTOR OF LITIGATION, TRAINING AND 137000 0 0 0 0 0 4110 0 15923 0 157033 0 0 0 CESAR COVARRUBIAS BOARD MEMBER 75000 CESAR COVARRUBIAS IS A BOARD MEMBER OF THE PUBLIC LAW CENTER AND THE EXECUTIVE DIRECTOR OF THE KENNEDY COMMISSION. IN 2018, PUBLIC LAW CENTER ENTERED INTO AN MOU WITH KENNEDY COMMISSION. PUBLIC LAW CENTER PAID KENNEDY COMMISSION $75,000 AS A RESULT OF THE MOU. 0 FORM 990, PART VI, SECTION B, LINE 11B FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE CHAIR BEFORE IT IS FINALIZED AND FILED. A COPY OF THE FORM 990 IS TRANSMITTED ELECTRONICALLY TO THE FULL BOARD OF DIRECTORS BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C NO DIRECTOR OF THIS CORPORATION NOR ANY OTHER CORPORATION, FIRM, ASSOCIATION, OR OTHER ENTITY IN WHICH ONE OR MORE OF THIS CORPORATION'S DIRECTORS HAVE A MATERIAL FINANCIAL INTEREST SHALL BE INTERESTED, DIRECTLY OR INDIRECTLY, IN ANY CONTRACT OR TRANSACTION, UNLESS (A) THE MATERIAL FACTS REGARDING THAT DIRECTOR'S FINANCIAL INTEREST IN SUCH CONTRACT OR TRANSACTION OR REGARDING SUCH COMMON DIRECTORSHIP, OFFICERSHIP, OR FINANCIAL INTEREST ARE FULLY DISCLOSED IN GOOD FAITH AND NOTED IN THE MINUTES, OR ARE KNOWN TO ALL MEMBERS OF THE BOARD PRIOR TO THE BOARD'S CONSIDERATION OF SUCH CONTRACT OR TRANSACTION; (B) SUCH CONTRACT OR TRANSACTION IS AUTHORIZED IN GOOD FAITH BY A MAJORITY OF THE BOARD BY A VOTE SUFFICIENT FOR THAT PURPOSE WITHOUT COUNTING VOTES OF THE INTERESTED DIRECTORS; (C)BEFORE AUTHORIZING THE TRANSACTION, THE BOARD CONSIDERS AND IN GOOD FAITH DECIDES AFTER REASONABLE INVESTIGATION THAT THE CORPORATION COULD NOT OBTAIN A MORE ADVANTAGEOUS ARRANGEMENT WITH REASONABLE EFFORT UNDER THE CIRCUMSTANCES; AND (D) THE CORPORATION FOR ITS OWN BENEFIT ENTERS INTO THE TRANSACTION, WHICH IS FAIR AND REASONABLE TO THE CORPORATION AT THE TIME THE TRANSACTION IS ENTERED INTO. THE FOREGOING RESTRICTION DOES NOT APPLY TO A TRANSACTION THAT IS PART OF AN EDUCATIONAL OR CHARITABLE PROGRAM OF THIS CORPORATION IF IT (A) IS APPROVED OR AUTHORIZED BY THE CORPORATION IN GOOD FAITH AND WITHOUT UNJUSTIFIED FAVORITISM AND (B) RESULTS IN A BENEFIT TO ONE OR MORE DIRECTORS OF THEIR FAMILIES BECAUSE THEY ARE IN THE CLASS OF PERSON INTENDED TO BE BENEFITED BY THE EDUCATIONAL OR CHARITABLE PROGRAM OF THIS CORPORATION. PLC EMPLOYEES ARE EXPECTED TO DEVOTE THEIR BEST EFFORTS AND ATTENTION TO THE FULL-TIME PERFORMANCE OF THEIR JOBS. EMPLOYEES ARE EXPECTED TO USE GOOD JUDGMENT, TO ADHERE TO HIGH ETHICAL STANDARDS, AND TO AVOID SITUATIONS THAT CREATE AN ACTUAL OR POTENTIAL CONFLICT OF INTEREST BETWEEN THE EMPLOYEE'S PERSONAL INTERESTS AND THE INTERESTS OF PLC. A CONFLICT OF INTEREST EXISTS WHEN THE EMPLOYEE'S LOYALTIES OR ACTIONS ARE DIVIDED BETWEEN PLC'S INTERESTS AND THOSE OF ANOTHER, SUCH AS A COMPETITOR, SUPPLIER, OR CLIENTS. BOTH THE FACT AND THE APPEARANCE OF A CONFLICT OF INTEREST SHOULD BE AVOIDED. EMPLOYEES UNSURE AS TO WHETHER A CERTAIN TRANSACTION, ACTIVITY OR RELATIONSHIP CONSTITUTES A CONFLICT OF INTEREST SHOULD DISCUSS IT WITH THE EXECUTIVE DIRECTOR. SOME EXAMPLES OF POTENTIAL CONFLICTS OF INTEREST INCLUDE, BUT ARE NOT LIMITED TO: 1. ENGAGING IN SELF-EMPLOYMENT IN COMPETITION WITH PLC; 2. USING PLC INFORMATION FOR PERSONAL GAIN; 3. ACCEPTING SUBSTANTIAL PERSONAL GIFTS FROM CLIENTS OR VOLUNTEER ATTORNEYS; OR 4. USING PLC ASSETS OR LABOR FOR PERSONAL USE. AN EMPLOYEE MAY ENGAGE IN OUTSIDE EMPLOYMENT, PROVIDED THAT SUCH EMPLOYMENT DOES NOT INTERFERE WITH THE EMPLOYEE'S PERFORMANCE OF THEIR RESPONSIBILITIES AT PLC. PLC LEGAL STAFF MAY NOT OFFER LEGAL SERVICES OUTSIDE OF THEIR PLC RESPONSIBILITIES WITHOUT PRIOR APPROVAL OF THE EXECUTIVE DIRECTOR. FORM 990, PART VI, SECTION B, LINE 15A THE BOARD OF DIRECTORS HAS DELEGATED TO THE BOARD EXECUTIVE COMMITTEE THE ANNUAL REVIEW AND COMPENSATION SETTING OF THE EXECUTIVE DIRECTOR. THE EXECUTIVE COMMITTEE REVIEWS A COMPENSATION SURVEY WHICH RELIES ON INFORMATION FROM THE FORM 990 OF SIMILAR LEGAL SERVICES ORGANIZATIONS TO DETERMINE THE COMPENSATION OF THE EXECUTIVE DIRECTOR. THE PUBLIC LAW CENTER DOES NOT HAVE A WRITTEN EMPLOYMENT CONTRACT WITH THE EXECUTIVE DIRECTOR. THE DELIBERATIONS AND DECISION OF THE EXECUTIVE DIRECTOR'S COMPENSATION IS DOCUMENTED WITH HIS ANNUAL REVIEW. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES AVAILABLE TO THE PUBLIC UPON REQUEST ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS. FORM 990, PART IX, LINE 11G CONTRACTED SERVICES: PROGRAM SERVICE EXPENSES 437,152. MANAGEMENT AND GENERAL EXPENSES 54,162. FUNDRAISING EXPENSES 92,125. TOTAL EXPENSES 583,439. FORM 990 PART XII LINE 2C THE AUDIT OVERSIGHT PROCESS HAS NOT CHANGED SINCE THE PRIOR YEAR.