2014-11-14T18:26:50-06:00 2013-12-31 KPMG LLP 345 Park Avenue New York NY 101540102 990 2013-01-01 133800331 1199SEIU LABOR MANAGEMENT INITIATIVES INC % MARIA ACOSTA CFO 1199 6464736365 PO BOX 842 Suite NEW YORK NY 10108 MARIA ACOSTA CFO 6464736365 2014-11-14 true KPMG LLP P01085371 6464736365 2013 2015-11-30 17:44:51Z DEBORAH KING 330 WEST 42ND STREET 2ND FL NEW YORK NY 10036 12184469 false X http://1199seiubenefits.org X 1995 NY TO IMPROVE LABOR-MANAGEMENT RELATIONSHIPS AND TO ACHIEVE BETTER WORKING CONDITIONS FOR EMPLOYEES, A MORE QUALIFIED AND SATISFIED WORKFORCE AND TO MAXIMIZE JOB SECURITY. 22 22 0 22 0 0 0 17775053 11240266 0 0 771525 944203 18546578 12184469 0 0 12351197 19217828 264035 361785 0 0 0 2665438 2887735 15280670 22467348 3265908 -10282879 20316490 10363863 2194206 2524458 18122284 7839405 THE FUND WAS ESTABLISHED TO IMPROVE LABOR-MANAGEMENT RELATIONSHIPS AND TO ACHIEVE BETTER WORKING CONDITIONS FOR EMPLOYEES, A MORE QUALIFIED AND SATISFIED WORKFORCE AND TO MAXIMIZE JOB SECURITY. false false THE FUND HAS CREATED A LABOR MANAGEMENT PARTICIPATION PROJECT, A JOINT EMPLOYMENT PLACEMENT SERVICE, A RESEARCH PROJECT, A MEDIA PROJECT AND A GRANT PROJECT FOR EMPLOYEES AND EMPLOYERS IN THE HEALTH CARE INDUSTRY. false false false false false false false false false true false false false true true true false false false false false false false false false false false false true false false false false false false false false false false false true false false true 62 0 true 0 false false false false false false X 22 22 true false false false false true false true true false false false true true true true true true true false X MARIA ACOSTA CFO 6464736365 330 W 33RD STREET 28TH FLOOR NEW YORK NY 10036 NORMA AMSTERDAM UNION TRUSTE 1.0 4.0 X 0 0 0 YVONNE ARMSTRONG UNION TRUSTEE 1.0 4.0 X 0 0 0 LISA BROWN-BELOCH UNION TRUSTEE 1.0 1.0 X 0 0 0 MARIA CASTANEDA UNION TRUSTEE 1.0 4.0 X 0 0 0 JEFFREY COHEN EMPLOYER TRUSTEE 1.0 4.0 X 0 0 0 MICHAEL COOPERMAN UNION TRUSTEE 1.0 2.0 X 0 0 0 THOMAS DOHERTY EMPLOYER TRUSTEE 1.0 2.0 X 0 0 0 ANGELA DOYLE UNION TRUSTEE 1.0 3.0 X 0 0 0 REBECCA GORDON EMPLOYER TRUSTEE 1.0 4.0 X 0 0 0 BARBARA GREEN PHD EMPLOYER TRUSTEE 1.0 2.0 X 0 0 0 GEORGE GRESHAM UNION TRUSTEE 1.0 3.0 X 0 0 0 MARIA KERCADO UNION TRUSTEE 1.0 1.0 X 0 0 0 STEVE KRAMER UNION TRUSTEE 1.0 3.0 X 0 0 0 BARBARA LOGAN EMPLOYER TRUSTEE 1.0 1.0 X 0 0 0 BART MINSKY EMPLOYER TRUSTEE 1.0 2.0 X 0 0 0 HUGO PIZARRO EMPLOYER TRUSTEE 1.0 2.0 X 0 0 0 BRUCE RICHARD UNION TRUSTEE 1.0 3.0 X 0 0 0 FRANK SCHEETS EMPLOYER TRUSTEE 1.0 2.0 X 0 0 0 ROSEANN M SIMONELLI EMPLOYER TRUSTEE 1.0 3.0 X 0 0 0 CARMEN SUARDY EMPLOYER TRUSTEE 1.0 4.0 X 0 0 0 BEN FERNANDEZ EMPLOYER TRUSTEE 1.0 0.0 X CECILE CHARLIER UNION TRUSTEE 1.0 0.0 X MARIA ACOSTA CROSS FUNDS CFO 2.0 22.0 X 13559 235166 94520 MITRA BEHROOZI CROSS FUND EXECUTIVE OFFICER 1.0 22.0 X 0 490086 195702 DEBORAH KING EXECUTIVE DIRECTOR 5.0 23.0 X 96078 236887 121008 DONNA REY CROSS FUNDS CHIEF ADMIN. OFFIC 2.0 22.0 X 17572 304778 124794 FLORENCE WONG EXECUTIVE OFFICER 5.0 21.0 X 51413 126763 60092 ANTOINETTE FIOCCO-RODRIGUEZ INVESTMENT ANALYST 1.0 32.0 X 0 297938 115894 STACEY MILLMAN CHIEF COMMUNICATIONS OFFICER 1.0 18.0 X 0 263499 101831 LORRAINE MONCHAK CHIEF INVESTMENT OFFICER 1.0 23.0 X 0 647210 252660 BRANDY SHILOH CHIEF OF HUMAN RESOURCES 2.0 16.0 X 13783 239041 97921 JEFFREY STEIN GENERAL COUNSEL 1.0 18.0 X 0 328798 127811 192405 3170166 1292233 10 false true false SKDKNICKERBOCKER LLC 1818 N STREET NW SUITE 40 WASHINGTON DC 20036 CONSULTING 6417967 AMERICAN EXPRESS PO BOX 1270 NEWARK NJ 071011270 HOTEL-SPECIAL EVENTS 491843 PARTNERSHIP FOR QUALITY CARE 60 E 42ND STREET SUITE 1762 NEW YORK NY 10165 OTHER SERVICES 1000000 MARRIOT HOTEL SERVICES INC 10400 FERNWOOD ROAD BETHESDA MD 208171102 HOTEL SERVICES 350913 WORKING FAMILY ORGANIZATION 2 NEVINS STREET 3RD FLOOR BROOKLYN NY 11217 OTHER SERVICES 300000 16 0 EMPLOYER CONTRIBUTIONS TO THE PLAN 900099 11240266 11240266 11240266 0 0 0 0 0 0 0 0 0 0 ADMINISTRATION AND CONSULTING FEE 900099 822019 822019 SPECIAL EVENTS INCOME 900099 119021 119021 VENDOR REFUNDS 900099 3163 3163 944203 12184469 11240266 944203 0 0 0 19217828 242834 0 118951 0 0 0 0 50000 36432 0 0 0 0 0 83600 0 0 0 0 0 0 0 0 101619 0 SHARED EXPENSES 2616084 22467348 0 0 17962694 5119096 0 0 1181917 4626662 0 0 0 0 0 0 0 0 0 615 1906865 1289375 482567 617490 0 0 0 0 0 0 0 0 689312 0 20316490 10363863 1908777 1908111 0 0 0 0 0 0 0 0 0 0 0 0 0 0 285429 616347 2194206 2524458 X 18122284 7839405 0 0 0 0 18122284 7839405 20316490 10363863 -10282879 X false true X true false 1096804 624430 472373 518803 404593 114210 291258 260351 30907 617490 0 DUE TO RELATED ENTITIES 616347 616347 X 12184469 12184469 12184469 22467348 22467348 22467348 FIN 48 FOOTNOTE FORM 990, SCHEDULE D, PART X, LINE 2 US GAAP REQUIRE PLAN MANAGEMENT TO EVALUATE TAX POSITIONS TAKEN BY THE ORGANIZATION AND RECOGNIZE A TAX LIABILITY (OR ASSET) IF THE ORGANIZATION HAS TAKEN AN UNCERTAIN POSITION THAT MORE LIKELY THAN NOT WOULD NOT BE SUSTAINED UPON EXAMINATION BY THE INTERNAL REVENUE SERVICE. MANAGEMENT HAS ANALYZED THE TAX POSITIONS TAKEN BY THE ORGANIZATION, AND CONCLUDED THAT AS OF DECEMBER 31, 2013, THERE ARE NO UNCERTAIN POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OF LIABILITY (OR ASSET) OR DISCLOSURE IN FINANCIAL STATEMENTS. THE ORGANIZATION IS SUBJECT TO ROUTINE AUDITS BY TAXING JURISDICTIONS; HOWEVER, THERE ARE CURRENTLY NO AUDITS FOR ANY TAX PERIODS IN PROGRESS. MANAGEMENT BELIEVES IT IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS FOR YEARS PRIOR TO 2010. X X X false true false MARIA ACOSTA CROSS FUNDS CFO 12531 217332 0 0 1028 17834 1465 25408 3688 63959 18712 324533 0 0 MITRA BEHROOZI CROSS FUND EXECUTIVE OFFICER 0 475928 0 0 0 14158 0 55640 0 140062 0 685788 0 0 ANTOINETTE FIOCCO-RODRIGUEZ INVESTMENT ANALYST 0 281844 0 0 0 16094 0 32950 0 82944 0 413832 0 0 DEBORAH KING EXECUTIVE DIRECTOR 86123 212343 0 0 9955 24544 10068 24825 24849 61266 130995 322978 0 0 STACEY MILLMAN CHIEF COMMUNICATIONS OFFICER 0 247643 0 0 0 15856 0 28952 0 72879 0 365330 0 0 LORRAINE MONCHAK CHIEF INVESTMENT OFFICER 0 614445 0 0 0 32765 0 71834 0 180826 0 899870 0 0 DONNA REY CROSS FUNDS CHIEF ADMIN. OFFIC 16544 286944 0 0 1028 17834 1934 33546 4869 84445 24375 422769 0 0 BRANDY SHILOH CHIEF OF HUMAN RESOURCES 12982 225153 0 0 801 13888 1518 26322 3820 66261 19121 331624 0 0 JEFFREY STEIN GENERAL COUNSEL 0 310824 0 0 0 17974 0 36338 0 91473 0 456609 0 0 FLORENCE WONG EXECUTIVE OFFICER 42768 105448 0 0 8645 21315 5000 12328 12340 30424 68753 169515 0 0 COMPENSATION ALLOCATION FORM 990, SCHEDULE J, PART III ALL OFFICERS AND KEY EMPLOYEES ARE PAID BY LEAGUE TRAINING AND UPGRADING FUND FOR THEIR SERVICES PERFORMED FOR ALL 1199SEIU FUNDS. THEIR SALARY IS THEN ALLOCATED TO EACH FUND BASED ON THE AMOUNT OF SERVICES PROVIDED TO EACH FUND AND IS REPORTED AS IF PAID BY THE FILING ORGANIZATION. THE AMOUNT REPORTED IN SCHEDULE J, PART II, LINE (I) REPRESENTS THE AMOUNT ALLOCATED TO LABOR MANAGEMENT INITIATIVE AND THE AMOUNTS REPORTED ON LINE (II) REPRESENT THE TOTAL SALARY AND BENEFITS RECEIVED FOR SERVICES PROVIDED TO ALL 1199SEIU FUNDS. SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN FORM 990, SCHEDULE J, PART I, LINE 4B THE FUND MAINTAINS A 457(F) PLAN FOR A SELECT GROUP OF MANAGEMENT EMPLOYEES OF THE FUND. THE PLAN PROVIDES A SYSTEMATIC SAVINGS PROGRAM FOR ELIGIBLE EMPLOYEES AND IS DISTRIBUTED UPON THE DATE SELECTED PURSUANT TO THE PARTICIPANT'S DEFERRAL AGREEMENT OR TERMINATION OR RETIREMENT. UNDER THE PLAN, AN ELIGIBLE EMPLOYEE MAY ELECT TO DEFER RECEIPT OF A PORTION OF THEIR COMPENSATION UP TO A MAXIMUM OF $17,500 FOR THE YEAR ENDED DECEMBER 31, 2013. THE AMOUNTS CONTRIBUTED UNDER THE PLAN ARE INVESTED SOLELY IN MUTUAL FUNDS AND SUCH ASSETS ARE RESTRICTED FOR USE AND MAY NOT BE USED FOR THE GENERAL PURPOSES OF THE FUND. HOWEVER, UNTIL BENEFITS ARE DISTRIBUTED, ALL COMPENSATION DEFERRED UNDER THE PLANS, ALL PROPERTY AND RIGHTS PURCHASED WITH SUCH AMOUNTS, AND ALL INCOME ATTRIBUTABLE TO SUCH AMOUNTS, PROPERTY OR RIGHTS SHALL REMAIN SOLELY THE PROPERTY AND RIGHTS OF THE FUND. DURING 2013 THE FOLLOWING AMOUNTS WERE CONTRIBUTED TO THE PLAN: king Deborah $17,500 Wong, Florence $17,500 Behroozi, Mitra $17,500 Rey, Donna $5,500 Monchak, Lorraine $17,500 Stein, Jeffrey $14,812 Millman, Stacey $3,400 Shiloh, Brandy $7,229 BUSINESS RELATIONSHIP FORM 990, PART VI, LINE 2 ALL OF THE UNION TRUSTEES ARE ALSO EMPLOYEES OF 1199SEIU (THE UNION) AND THEREFORE HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER. MEMBERS/STOCKHOLDERS FORM 990, PART VI, SECTION A, LINE 6 LINE 6: THE ORGANIZATION HAS UNION TRUSTEES AND EMPLOYER TRUSTEES. FORM 990, PART VI, SECTION A, LINES 7A LINE 7A: The Union trustees are appointed by 1199SEIU United Healthcare Workers East, and the employer trustees are appointed by the League of Voluntary Hospitals and Homes of New York. REVIEW OF FORM 990 FORM 990, PART VI, SECTION B, LINE 11B THE CHIEF FINANCIAL OFFICER AND FINANCE TEAM REVIEW THE DRAFT FORM 990 AND CONFER WITH THE ACCOUNTANTS AND LEGAL COUNSEL TO ENSURE THE ACCURACY OF THE RETURN. ANY CONCERNS ARE NOTED AND ADDRESSED AND MANAGEMENT ENSURES THAT THE CHANGES ARE INCORPORATED IN THE FORM 990. THE COMPLETED FORM 990 IS THEN SIGNED BY THE CHIEF FINANCIAL OFFICER. CONFLICT OF INTEREST POLICY ORM 990, PART VI, SECTION B, LINE 12C TRUSTEES AND EMPLOYEES ARE REQUIRED TO ANNUALLY DISCLOSE OR UPDATE TO THE EXECUTIVE DIRECTOR, OR DESIGNEE, THEIR INTERESTS THAT COULD GIVE RISE TO CONFLICTS OF INTERESTS. FOR EACH INTEREST DISCLOSED BY A TRUSTEE, THE EXECUTIVE DIRECTOR OR DESIGNEE WILL DETERMINE WHETHER TO (A) TAKE NO ACTION (B) ASSURE FULL DISCLOSURE TO THE TRUSTEES (C ) ASK THE TRUSTEE TO BE RECUSED FROM PARTICIPATION IN RELATED DISCUSSIONS OR DECISIONS; AND/OR (D) ASK THE TRUSTEE TO RESIGN. REGARDING EMPLOYEES, COMPLETED CONFLICTS OF INTEREST DISCLOSURE FORMS WILL BE REVIEWED BY THE HUMAN RESOURCES DEPARTMENT AND DISCLOSED CONFLICTS WILL BE REVIEWED BY CHIEF OF HUMAN RESOURCES. COMPENSATION REVIEW FORM 990, PART VI, SECTION B, LINE 15A AND 15B COMPENSATION FOR ALL DIRECTORS, OFFICERS AND KEY EMPLOYEES OF THE FUND IS DETERMINED BY THE CROSS FUNDS COMPENSATION COMMITTEE (THE "COMMITTEE"), COMPRISED OF INDEPENDENT MEMBERS. THE COMMITTEE UTILIZES APPROPRIATE DATA AS TO COMPARABILITY IN ITS DETERMINATIONS, INCLUDING INFORMATION PROVIDED BY INDEPENDENT COMPENSATION CONSULTANTS. THE COMMITTEE DOCUMENTS THE BASIS FOR ANY COMPENSATION DETERMINATIONS CONTEMPORANEOUSLY IN THE MINUTES OF THE COMMITTEE. THE COMMITTEE DETERMINES COMPENSATION PERIODICALLY AS IT DEEMS APPROPRIATE. PUBLIC DISCLOSURE FORM 990, PART VI, SECTION C, LINE 19 SUMMARY PLAN DESCRIPTIONS AND FINANCIAL REPORTS ARE MADE PUBLIC PURSUANT TO IRS FILING REQUIREMENTS. WRITTEN REQUESTS FOR OTHER INFORMATION WILL BE FORWARDED TO GENERAL COUNSEL'S OFFICE FOR CONSIDERATION. UNRELATED BUSINESS INCOME TAX UNDER INTERNAL REVENUE CODE (IRC) SECTION 419A(F)(5)(A), COLLECTIVE BARGAINING AGREEMENTS ARE EXEMPT FROM ACCOUNT LIMIT REQUIREMENTS SET UNDER IRC SECTION 419A(C), AND ARE THEREFORE NOT SUBJECT TO UNRELATED BUSINESS INCOME TAX UNDER IRC SECTION 512(A)(3). 1199SEIU NBF HEALTH AND HUMAN SERV EMPL 330 WEST 42ND STREET 2ND FLOOR NEW YORK NY 10036 131628401 BENEFIT FUND NY 501(c)(9) NA false 1199SEIU HEALTH CARE EMPL PENSION FUND 330 WEST 42ND STREET 2ND FLOOR NEW YORK NY 10036 133604862 PENSION FUND NY 401(A) NA false 1199SEIU TRAINING AND UPGRADING FUND 330 WEST 42ND STREET 2ND FLOOR NEW YORK NY 10036 132637580 EDUC/TRAINING NY 501(C)(3) 9 NA false 1199SEIU JOB SECURITY FUND 330 WEST 42ND STREET 2ND FLOOR NEW YORK NY 10036 133712851 BENEFIT FUND NY 501(C)(9) NA false 1199SEIU LEAGUE RN TRAINING & JSF 330 WEST 42ND STREET 2ND FLOOR NEW YORK NY 10036 133946135 EDUC TRAINING NY 501(C)(9) NA false LOCAL EMPLOYER CHILD CARE FUND 330 WEST 42ND STREET 2ND FLOOR NEW YORK NY 10036 133641466 CHILDCARE NY 501(C)(9) NA false 1199SEIU HEALTH CARE INDUSTRY GRANT CORP 330 WEST 42ND STREET 2ND FLOOR NEW YORK NY 10036 134197609 HEALTHCARE NY 501(C)(3) 9 NA false 1199SEIU LICENSED PRACTICAL NUSRE WF 330 WEST 42ND STREET 2ND FLOOR NEW YORK NY 10036 132623987 BENEFIT FUND NY 501(C)(9) NA false 1199SEIU EMPLOYER CHILD CARE CORP 330 WEST 42ND STREET 2ND FLOOR NEW YORK NY 10036 134063281 DAY CARE CNTR NY 501(C)(3) 7 NA false false false false false false false false false false true false false false false true true true false false