2024-02-16T15:41:05-06:00 2023-06-30 113266576 GRASSI & CO CPA'S PC 750 THIRD AVENUE 28TH FLOOR NEW YORK NY 10017 990 2022-07-01 132668080 CENTER FOR ALTERNATIVE SENTENCING & EMPLOYMENT SERVICES INC CENT 2125536300 151 LAWRENCE STREET 3RD FL BROOKLYN NY 11201 REBECCA ASBURY CFO 2125536300 2024-02-16 1 REBECCA ASBURY 999009999 0 JAIME RAPPS P01462990 2126616166 3 AAL1 IAL1 2022 2023-04-26 12:10:37Z CASES REBECCA ASBURY 151 LAWRENCE STREET 3RD FL BROOKLYN NY 11201 53631809 0 X WWW.CASES.ORG X 1970 NY CASES' MISSION IS TO INCREASE PUBLIC SAFETY THROUGH INNOVATIVE SERVICES THAT REDUCE CRIME AND INCARCERATION, IMPROVE BEHAVIORAL HEALTH, PROMOTE RECOVERY AND REHABILITATION, AND CREATE OPPORTUNITIES FOR SUCCESS IN THE COMMUNITY. 15 15 834 15 0 0 46637336 44353101 9623746 9140821 0 13560 134008 78304 56395090 53585786 0 0 0 0 40357911 42068141 0 0 407368 12388309 12915656 52746220 54983797 3648870 -1398011 26042296 40402372 21396363 37154450 4645933 3247922 X CASES' MISSION IS TO INCREASE PUBLIC SAFETY THROUGH INNOVATIVE SERVICES THAT REDUCE CRIME AND INCARCERATION, IMPROVE BEHAVIORAL HEALTH, PROMOTE RECOVERY AND REHABILITATION, AND CREATE OPPORTUNITIES FOR SUCCESS IN THE COMMUNITY. (CONTINUED ON SCHEDULE O)WE BELIEVE IN A NEW YORK CITY IN WHICH A PERSON'S PREVIOUS CRIMINAL INVOLVEMENT OR BEHAVIORAL HEALTH NEEDS DO NOT LIMIT THE OPPORTUNITY TO REALIZE THEIR BEST LIFE. 0 0 16345784 6981652 BEHAVIORAL HEALTH SERVICES: CASES' EXPERTISE SERVING PEOPLE WITH SERIOUS MENTAL ILLNESS (SMI) AND SERIOUS SUBSTANCE USE NEEDS INCLUDES SEVEN ASSERTIVE COMMUNITY TREATMENT (ACT) TEAMS AND SEVEN INTENSIVE MOBILE TREATMENT (IMT) TEAMS DELIVERING MOBILE TREATMENT TO CLIENTS WHOSE NEEDS HAVE NOT BEEN MET BY MORE TRADITIONAL SERVICE DELIVERY APPROACHES. THE MULTIDISCIPLINARY TEAM APPROACH WITH VARIOUS PROFESSIONAL DISCIPLINESPSYCHIATRY, NURSING, SOCIAL WORK, MENTAL HEALTH COUNSELING, PEER SUPPORT, AND CASE MANAGEMENTWORK TOGETHER TO PROVIDE CLIENTS WITH IN-VIVO SERVICES AND CARE IN THE COMMUNITY FOR AS LONG AS SERVICES ARE NEEDED. (CONTINUED ON SCHEDULE O)IN FY23, THE ACT AND IMT TEAMS SERVED 711 CLIENTS AND DELIVERED OVER 41,660 COMMUNITY-BASED TREATMENT SERVICES AND OVER 7,840 TELEHEALTH VISITS TO CLIENTS AND THEIR COLLATERAL CONTACTS. ACCORDING TO NYS OFFICE OF MENTAL HEALTH (OMH) DATA, THE ACT TEAMS SUPPORT RESPECTIVE 36% AND 33% REDUCTIONS IN HOMELESSNESS AND HOSPITALIZATION AND 13% INCREASE IN EMPLOYMENT ENGAGEMENT FROM PROGRAM INTAKE TO EXIT. NATHANIEL ACT, ESTABLISHED 2000, PROVIDING THE EVIDENCE-BASED ACT MOBILE TREATMENT MODEL AS A UNIQUE MULTIYEAR ATI FOR PEOPLE WITH SMI AND FELONY ARRESTS SUPPORTED RESPECTIVE 59% AND 49% REDUCTIONS IN HOMELESSNESS AND HOSPITALIZATION AND 100% AND 225% INCREASES IN EDUCATION AND EMPLOYMENT ENGAGEMENT FROM PROGRAM INTAKE TO EXIT, WHILE CONSISTENTLY SUPPORTING NEARLY 90% OF GRADUATES TO HAVE NO NEW FELONY CONVICTIONS IN THE TWO YEARS FOLLOWING ATI COMPLETION. OMH DATA ALSO DEMONSTRATES THAT THE ACT TEAMS PERFORM BETTER THAN THE STATEWIDE PERFORMANCE FOR ACT TEAMS TO ACHIEVE THE ADHERENCE OF CLIENTS WITH SCHIZOPHRENIA TO PSYCHOTROPIC MEDICATIONS. THE CASES ACT TEAMS ACHIEVED A 15% GREATER RATE OF MEDICATION ADHERENCE FOR THEIR CLIENTS WITH SCHIZOPHRENIA AND A 43% HIGHER RATE FOR CLIENTS WHO ARE HISPANIC. 13269470 PRETRIAL SERVICES: SINCE 2016, CASES HAS PROVIDED THE MANHATTAN SUPERVISED RELEASE PROGRAM (MSRP) PRETRIAL SERVICES IN THE MANHATTAN CRIMINAL AND SUPREME COURT, USING EVIDENCE-INFORMED PRACTICES TO ADDRESS CLIENTS' NEEDS WHILE THEY REMAIN IN THE COMMUNITY. MSRP PROVIDES SERVICES TO PEOPLE WHO MAY OTHERWISE HAVE BEEN JAILED CAN MAINTAIN HOUSING, EMPLOYMENT, CONTINUITY IN TREATMENT AND SUPPORT SERVICES, AND CAN STAY CONNECTED WITH THEIR FAMILIES WHILE THEY AWAIT THE PROGRESS OF THEIR CRIMINAL CASE THROUGH THE COURTS. (CONTINUED ON SCHEDULE O)IN FY23, MSRP ENROLLED 5174 INTAKES OF PEOPLE ARRESTED FOR MISDEMEANOR AND FELONY CRIMES IN NEW YORK COUNTY. MSRP SERVED OVER 7000 PARTICIPANTS AND DELIVERED MORE THAN 36,000 SERVICES TO SUPPORT PARTICIPANTS TO ATTEND SCHEDULED COURT APPEARANCES AND ACHIEVE THEIR GOALS. 3261 (66%) PARTICIPANTS SUCCESSFULLY COMPLETED THE PROGRAM, FULFILLING COURT REQUIREMENTS AND EXITING SUPERVISION. COMPARED TO THE OVERALL MSRP POPULATION, YOUNG PEOPLE AGED 16-24 WERE 17% MORE LIKELY TO COMPLETE MSRP, ACHIEVING A 77% COMPLETION RATE. THE PROGRAM ESTABLISHED A NEW SPECIALIST YOUTH AND YOUNG ADULT SERVICES TEAM WITHIN MSRP CALLED PLANNING ALTERNATIVES & CREATING COMMUNITY (PACC), TO ENHANCE STANDARD MSRP COMPLIANCE AND SUPERVISION ACTIVITIES THROUGH THE CREATION OF A TEAM OF YOUTH ENGAGEMENT SPECIALISTS DELIVERING MOBILE, HIGHLY INDIVIDUALIZED SERVICES. PACC INCLUDES THE OPPORTUNITY FOR YOUTH TO EXPERIENCE TRANSITIONAL EMPLOYMENT WORK CREW SERVICES, THROUGH WHICH PARTICIPANTS EARN STIPENDS WHILE BUILDING EMPLOYMENT-READINESS SKILLS IN A STRUCTURED AND SUPPORTIVE ENVIRONMENT. MSRP'S COMMITMENT TO ENHANCING MANDATED SERVICES SAW THE LAUNCH OF THE RAPID RESPONSE TEAM (RRT). RRT IS AN INNOVATIVE MOBILE TREATMENT AND PEER ENGAGEMENT MODEL WITH A PSYCHIATRIC NURSE PRACTITIONER AND PEER SPECIALIST EMBEDDED IN THE MANHATTAN CRIMINAL COURT ARRAIGNMENTS. RRT RAPIDLY ENGAGES PEOPLE ELIGIBLE FOR MSRP WHO ARE EXPERIENCING SERIOUS BEHAVIORAL HEALTH NEEDS, INCLUDING ACUTE CRISIS DUE TO MENTAL HEALTH DECOMPENSATION OR SUBSTANCE USE WITHDRAWAL. 6875809 EDUCATION, CAREER & ENRICHMENT SVS: THE EDUCATION, CAREER & ENRICHMENT SERVICES (ECE) PROGRAMS SERVE YOUTH AND YOUNG ADULTS WITH A BROAD SPECTRUM OF YOUTH DEVELOPMENT, MENTORING, EDUCATION, EMPLOYMENT, IN-HOME FAMILY THERAPY, AND VIOLENCE PREVENTION SERVICES. IN FY23, 685 YOUTH AND YOUNG ADULTS WERE SERVED. ECE PLACED 221 YOUTH IN SUBSIDIZED SUMMER JOBS AND EIGHT PARTICIPANTS EARNED THE HIGH SCHOOL EQUIVALENCY DIPLOMA AT CASES. THE ASSERTIVE COMMUNITY ENGAGEMENT & SUCCESS (ACES) WORKS WITH EAST HARLEM AND SOUTH BRONX YOUNG PEOPLE (16-24 YEARS OLD), WHO MAY BE AT RISK OF BECOMING INCARCERATED OR BECOMING INVOLVED IN VIOLENCE IN THE COMMUNITY. (CONTINUED ON SCHEDULE O)MANY ACES PARTICIPANTS HAVE EXPERIENCED CHALLENGES WHEN ATTEMPTING TO ENGAGE IN MORE TRADITIONAL, LESS FLEXIBLE YOUTH DEVELOPMENT PROGRAMS. THE ACES MODEL BEGINS WITH A FOCUS ON OUTREACH, A PROCESS THAT MAY TAKE MONTHS. MENTORS SHOW UP AGAIN AND AGAIN TO ATTEMPT TO ENGAGE YOUNG PEOPLE IN THIS MULTIYEAR PROGRAM. ACES' INITIAL, ASSERTIVE OUTREACH FORGES THE FOUNDATION FOR THE MENTOR-PARTICIPANT RELATIONSHIP, OUT OF WHICH YOUNG PEOPLE WILL GRADUALLY STRENGTHEN THEIR SOCIOEMOTIONAL SKILLS AND BEGIN TO IDENTIFY AND WORK TOWARD GOALS. ACES HAS SERVED 127 PARTICIPANTS AND HAS DELIVERED 2,390 HOURS OF WORK CREW SERVICES IN FY23, WHERE PARTICIPANTS ARE INVOLVED IN WORK-READINESS PROJECTS THAT SUPPORT LOCAL COMMUNITY GROUPS AND CONTRIBUTE TO THE DEVELOPMENT AND IMPROVEMENT OF THE NEIGHBORHOODS WHERE PARTICIPANTS RESIDE. 4653552 2159169 CLINIC SERVICES: CASES ESTABLISHED THE NATHANIEL CLINIC IN 2014 TO ENSURE EASE OF ACCESS AND SEAMLESS COORDINATION OF TREATMENT AND SUPPORT SERVICES FOR YOUTH AND ADULTS WHO HAVE MENTAL ILLNESS AND HAVE BECOME INVOLVED IN NEW YORK CITY'S CRIMINAL LEGAL SYSTEM (CLS). THE NATHANIEL CLINIC IS THE ONLY STATE-LICENSED OUTPATIENT MENTAL HEALTH CLINIC IN MANHATTAN SPECIFICALLY DESIGNED TO WORK WITH CLS-INVOLVED PEOPLE. IN FY23, THE CLINIC SERVED 1,147 PEOPLE THROUGH PSYCHIATRIC, THERAPY, AND HEALTH AND WELLNESS SERVICES. NATHANIEL CLINIC CLIENTS ATTENDED OVER 14,180 TREATMENT SERVICES, WITH CLIENTS ENGAGING IN 73% OF SCHEDULED PSYCHOTHERAPY AND 70% OF SCHEDULED TREATMENT SERVICES WITH PSYCHIATRISTS AND PSYCHIATRIC NURSE PRACTITIONERS. IN FY23, THE NATHANIEL CLINIC LAUNCHED A NEW INITIATIVE TO BRING CLINICAL CARE TO THE SOUTH BRONX/MOTT HAVEN WITH SPECIALIST ONTRACKNY SATELLITE SERVICES. ONTRACKNY IS A MENTAL HEALTH TREATMENT PROGRAM THAT EMPOWERS YOUNG PEOPLE TO PURSUE THEIR GOALS FOR SCHOOL, WORK, AND RELATIONSHIPS AS THEY RECEIVE COMPREHENSIVE AND FLEXIBLE DEVELOPMENTAL MENTAL HEALTH SUPPORT. IN FY23, ONTRACKNY ADMITTED 28 CLIENTS EXPERIENCING FIRST EPISODE PSYCHOSIS AND DELIVERED NEARLY 600 TREATMENT AND SUPPORT SERVICES TO YOUNG PEOPLE AND THEIR FAMILY MEMBERS. 4069050 CLINICAL SUPPORT & SUPERVISION: COMMUNITY SUPPORT & SUPERVISION (CSS) DELIVERS ALTERNATIVE-TO-INCARCERATION (ATI) PROGRAMS SERVING YOUTH/YOUNG ADULTS AND PROGRAMS FOR ADULT PARTICIPANTS WHO HAVE MENTAL ILLNESS AND SUBSTANCE USE NEEDS. IN FY23, THE ATI PROGRAMS ENROLLED 1,240 CLIENTS WITH OPEN CRIMINAL CASES IN THE BRONX, BROOKLYN, AND MANHATTAN COURTS. 552 CLIENTS SUCCESSFULLY COMPLETED ATI COMMUNITY SUPERVISION. THE REFRAMING OPPORTUNITY, ALTERNATIVES & RESILIENCE (ROAR) PROGRAM FOR YOUTH AND YOUNG ADULTS AGED 16-27 WHO ARE AT RISK OF JAIL-OR PRISON-SENTENCES, PROVIDES COMPREHENSIVE SUPPORTS OFFERED BY A MULTIDISCIPLINARY TEAM APPROACH THAT INCLUDES A SENIOR COACH, EMOTIONAL WELLNESS CLINICIAN, COURT ADVOCATE, AND AN ENGAGEMENT & ACTIVITIES SPECIALIST. ROAR FEATURES EDUCATION, EMPLOYMENT SERVICES, AND COUNSELING TO PROMOTE YOUTH ENGAGEMENT IN PRO-SOCIAL, POSITIVE YOUTH DEVELOPMENT, AND SUPPORT SERVICES. IN FY23, ROAR ACHIEVED A 50% SUCCESSFUL ATI COMPLETION ACROSS THE THREE COMMUNITY TEAMS LOCATED IN CENTRAL HARLEM, DOWNTOWN BROOKLYN, AND THE SOUTH BRONX. THE NEWSTART PROGRAM SERVES ADULTS ARRESTED FOR MISDEMEANOR CRIMES WHO FACE INCARCERATION IN THE NYC JAIL. NEWSTART, ESTABLISHED 2012, WITH 978 INTAKES FY23, SUPPORTING 50% SUCCESSFUL ATI COMPLETION AMONG POPULATION IN WHICH 46% ARE HOMELESS, 77% HAVE A SUBSTANCE USE NEED, AND 56% A MENTAL HEALTH NEED; AMONG THE 19% OF PARTICIPANTS WHO HAVE SERIOUS MENTAL ILLNESS (SMI), 59% ARE HOMELESS AND 68% REPORT NO CONNECTION TO SUPPORT OR TREATMENT IN THE COMMUNITY. IN 2020, CASES IMPLEMENTED NATHANIEL COMMUNITY SUCCESS (NCS) TO PROVIDE AN ATI FOR PEOPLE WITH MENTAL HEALTH NEEDS AND/OR CO-OCCURRING MENTAL HEALTH AND SUBSTANCE USE DISORDERS. NCS INCLUDES CENTRAL HARLEM AND DOWNTOWN BROOKLYN TEAMS DELIVERING INTENSIVE INITIAL SERVICES THAT GRADUALLY TAPER AS CLIENTS BUILD SKILLS, INDEPENDENCE, AND LINKAGES TO ONGOING SERVICES IN THE COMMUNITY. IN FY23, NCS ACHIEVED 55% (22) CLIENTS EXITING THE PROGRAM AFTER SUCCESSFULLY COMPLETING THE SERVICES. THIS COMPARES TO THE CLIENTS THAT WERE DISCHARGED BECAUSE THEY WERE UNSUCCESSFULLY ENGAGED IN PROGRAM SERVICES. WITHIN THE PROGRAM'S ALTERNATIVE-TO-INCARCERATION (ATI) SERVICES FOR PEOPLE ARRESTED FOR FELONY CRIMES, 63% OF CLIENTS HAD SUCCESSFUL EXISTS COMPARED TO THE CLIENTS THAT WERE UNSUCCESSFUL. OVERALL, NCS SUPPORTED 22 CLIENTS TO REACH THE RESOLUTION OF THE CRIMINAL CASE WITHOUT EXPOSURE TO INCARCERATION. 8722602 2159169 45213665 1 1 0 1 0 0 0 0 0 0 1 0 0 1 1 1 1 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 81 0 834 1 0 0 0 0 0 0 0 0 0 0 0 0 X 15 15 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 NY X REBECCA ASBURY 2125536300 151 LAWRENCE STREET 3RD FL BROOKLYN NY 11201 LEE WOOD CHAIR 1.00 X X 0 0 0 MAUREEN ALLWOOD VICE CHAIR 0.50 X X 0 0 0 KENDALL CHRISTIANSEN TREASURER 0.50 X X 0 0 0 RICHARD ABORN TRUSTEE 0.50 X 0 0 0 ANITA APPEL TRUSTEE 0.50 X 0 0 0 KATHERINE V CHARLES TRUSTEE 0.50 X 0 0 0 DR SARAH DESMARAIS TRUSTEE 0.50 X 0 0 0 KEVIN FIELDS TRUSTEE (ENDED 06/23) 0.50 X 0 0 0 HANNAH FURSTENBERG-BECKMAN TRUSTEE 0.50 X 0 0 0 JOSHUA LAMSTEIN TRUSTEE 0.50 X 0 0 0 CHERICE N LANDERS TRUSTEE 0.50 X 0 0 0 KEITH LITTLE TRUSTEE 0.50 X 0 0 0 ROGER OLIVER TRUSTEE 0.50 X 0 0 0 JULIANNA TEEPLE TRUSTEE 0.50 X 0 0 0 MEREDITH TURNER TRUSTEE (ENDED 9/23) 0.50 X 0 0 0 JOSEPH WILLIAMS TRUSTEE 0.50 X 0 0 0 JOEL COPPERMAN CEO & PRESIDENT (ENDED 09/22) 40.00 X 370160 0 49018 REBECCA ASBURY CFO & ADMINISTRATION OFFICER 40.00 X 272840 0 65018 ELIZABETH PEREZ SECRETARY & GENERAL COUNSEL 40.00 X 108335 0 231 JONATHAN MCLEAN CEO (STARTED 09/22) 40.00 X 85138 0 186 JAMES MCKNIGHT PSYCHIATRIST 30.00 X 231755 0 48638 JESSICA KLAVER CHIEF PROGRAM OFFICER 40.00 X 184009 0 46633 SUBHASH CHANDRA PSYCHIATRIST 30.00 X 218190 0 9263 ANN-MARIE LOUISON CHIEF IMPACT OFFICER 40.00 X 184159 0 30865 ANGELA LEACH PSYCHIATRIST 30.00 X 245810 0 23947 1900396 0 273799 12 0 1 0 0 43067 42341785 1968249 44353101 MEDICAID/MANAGED MEDICAID FEES 624100 9140821 9140821 9140821 13560 13560 5675 43067 46023 -40348 -40348 OTHER INCOME 900099 118652 118652 118652 53585786 9140821 0 91864 1105783 1034071 71712 32097737 28109085 3767864 220788 1222576 1074857 143439 4280 4561457 4050452 472631 38374 3080588 2656928 398213 25447 8880 8880 106899 106899 28336 28336 2798364 1953765 842078 2521 1563496 862308 690870 10318 356318 252257 103563 498 4448484 3724428 692225 31831 443383 428862 14521 300721 248224 51589 908 47310 47310 621440 505456 115984 461871 461871 PARTICIPANT SUBSISTENCE 999352 999352 STAFF RECRUITMENT 405316 123927 281389 EQUIPMENT PURCHASES & R 212152 110430 101031 691 PARTICIPANT SUPPLIES 66577 66577 46757 46757 54983797 45213665 9362764 407368 489318 675980 20701016 20059735 1498860 1335467 963473 412782 4231022 2886284 1732785 1344738 656844 16573670 26042296 40402372 4678849 3806685 14332887 14743408 650000 925000 1734627 17679357 21396363 37154450 X 4395582 2051644 250351 1196278 4645933 3247922 26042296 40402372 -1398011 0 X X 0 1 X 1 1 1 X 19691718 23846103 35676147 46637336 44358776 170210080 5540335 7294197 8691527 9623746 9140821 40290626 100055 126170 116918 109952 386263 839358 25332108 31266470 44484592 56371034 53885860 211340064 107281 111941 129580 118763 97098 564663 0 107281 111941 129580 118763 97098 564663 210775401 5489 6576 1055 4639 13560 31319 5489 6576 1055 4639 13560 31319 270889 198164 9117 129369 118562 726101 25608486 31471210 44494764 56505042 54017982 212097484 0.99380 0.99280 0.00010 X SCHEDULE A, PART III, LINE 12, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2018 AMOUNT: $ 270,889. 2019 AMOUNT: $ 198,164. 2020 AMOUNT: $ 9,117. 2021 AMOUNT: $ 129,369. 2022 AMOUNT: $ 118,562. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 28336 28336 55001484 55029820 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 12390 15365 29193 28336 85284 250000 250000 250000 250000 1000000 1500000 2142419 1659490 482929 1717333 1054643 662690 371270 172151 199119 1344738 SECURITY DEPOSITS 663094 OPERATING LEASE RIGHT-OF-USE ASSETS 15910576 16573670 OPERATING LEASE LIABILITIES 17679357 17679357 X 54018072 386263 386263 53631809 -46024 -46024 53585785 55416083 386263 386263 55029820 -46024 -46024 54983796 PART X, LINE 2: CASES HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. CASES IS SUBJECT TO ROUTINE AUDITS BY TAXING JURISDICTIONS; HOWEVER, THERE ARE CURRENTLY NO AUDITS FOR ANY TAX PERIODS IN PROGRESS. CASES BELIEVES IT IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS PRIOR TO 2020. PART XI, LINE 4B - OTHER ADJUSTMENTS: DIRECT COSTS OF SPECIAL EVENTS PART XII, LINE 4B - OTHER ADJUSTMENTS: DIRECT COSTS OF SPECIAL EVENTS SOCIAL GALA 48742 43067 5675 5675 40348 48742 43067 5675 5675 40348 46023 -40348 X X X 0 0 0 0 0 0 0 0 0 JOEL COPPERMAN CEO & PRESIDENT (ENDED 09/22) 370160 0 0 0 0 0 10456 0 38562 0 419178 0 0 0 REBECCA ASBURY CFO & ADMINISTRATION OFFICER 272840 0 0 0 0 0 14077 0 50941 0 337858 0 0 0 JAMES MCKNIGHT PSYCHIATRIST 231755 0 0 0 0 0 12319 0 36319 0 280393 0 0 0 ANGELA LEACH PSYCHIATRIST 245810 0 0 0 0 0 7745 0 16202 0 269757 0 0 0 JESSICA KLAVER CHIEF PROGRAM OFFICER 184009 0 0 0 0 0 10239 0 36394 0 230642 0 0 0 SUBHASH CHANDRA PSYCHIATRIST 218190 0 0 0 0 0 8963 0 300 0 227453 0 0 0 ANN-MARIE LOUISON CHIEF IMPACT OFFICER 184159 0 0 0 0 0 9904 0 20961 0 215024 0 0 0 PART I, LINE 3 THE COMPENSATION OF THE CEO/PRESIDENT IS SET BY THE BOARD OF TRUSTEES. THE BOARD OF TRUSTEES HAS SOLE POWER TO AUTHORIZE THE PAYMENT OF SALARIES OR COMPENSATION TO ANY AND ALL OFFICERS AND REQUIRES AN AFFIRMATIVE VOTE OF THE ENTIRE BOARD OF TRUSTEES. THE BOARD OF TRUSTEES MAY DELEGATE THIS POWER ON AN ANNUAL BASIS TO THE PRESIDENT FOR ONE OR MORE OFFICERS OTHER THAN THE PRESIDENT AND CHAIR OF THE BOARD. IN DETERMINING COMPENSATION LEVELS, THE BOARD OF TRUSTEES AND/OR PRESIDENT REVIEW SALARIES OF INDIVIDUALS IN THE SAME OR COMPARABLE POSITIONS AT COMPARABLE ORGANIZATIONS AS DETERMINED BY BUDGET SIZE, NUMBER OF STAFF, AND THE TYPE OF PROGRAM OPERATIONS. THEY ALSO MAY LOOK AT PUBLISHED SALARY SURVEYS SUCH AS THOSE PUBLISHED BY THE NON-PROFIT COORDINATING COMMITTEE OF NEW YORK PROFESSIONALS FOR NON-PROFITS AND GUIDESTAR. THE SALARIES ARE REVIEWED ON AN ANNUAL BASIS AND THE SURVEY OF COMPENSATION AT COMPARABLE ORGANIZATIONS IS DONE EVERY OTHER YEAR. THE BOARD OF TRUSTEES CONTEMPORANEOUSLY DOCUMENTS THE BASIS FOR THE DETERMINATION. DR SARAH DESMARAIS BOARD OF TRUSTEES 9350 CONSULTATIVE SERVICES 0 PART IV, LINE 1 DR. DESMARAIS IS THE PRESIDENT OF POLICY RESEARCH ASSOCIATES, INC. (PRA), A CERTIFIED WOMEN-OWNED SMALL BUSINESS THAT IS A NATIONAL LEADER IN BEHAVIORAL HEALTH AND RESEARCH. CASES CONTRACTED WITH DR. DESMARAIS TO PROVIDE STAFF WITH TRAINING IN THE SHORT-TERM ASSESSMENT OF RISK & TREATABILITY (START). PRA ALSO PROVIDED CASES WITH DONATIONS AS MATCHING CONTRIBUTIONS AND TO SUPPORT THE JUSTICE PEER INITIATIVE. FORM 990, PART VI, SECTION B, LINE 11B THE INDEPENDENT AUDITOR PREPARES THE FORM 990 AND ALL REQUIRED SCHEDULES BASED ON INFORMATION PROVIDED BY OUR FISCAL STAFF. THE DRAFT 990 IS THEN REVIEWED BY THE CFO. ONCE THAT REVIEW IS COMPLETE, IT IS DISTRIBUTED TO KEY STAFF MEMBERS INCLUDING THE CEO/PRESIDENT, GENERAL COUNSEL/SECRETARY AND EXECUTIVE LEADERSHIP TEAM. THE FINAL DRAFT 990 IS THEN DISTRIBUTED TO THE BOARD OF TRUSTEES FOR DISCUSSION AND REVIEW AT THEIR NEXT SCHEDULED MEETING. FOLLOWING DISCUSSION, THE BOARD OF TRUSTEES VOTES ON THE APPROVAL OF THE 990. ONCE APPROVED, THE FORM 990 IS SIGNED BY THE APPROPRIATE OFFICERS AND THE INDEPENDENT AUDITOR OR CFO FILE WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C OUR CONFLICT OF INTEREST POLICY IS WRITTEN IN THE PERSONNEL POLICIES AND PROCEDURES MANUAL, WHICH IS GIVEN TO EACH EMPLOYEE UPON HIRE. WE MAY ALSO SEND AN EMAIL TO STAFF FROM TIME TO TIME REMINDING THEM OF THE POLICY. A CONFLICT OF INTEREST POLICY FOR TRUSTEES AND OFFICERS IS WRITTEN IN THE TRUSTEE HANDBOOK AND IS GIVEN TO EACH NEW TRUSTEE AND OFFICER ON AN ANNUAL BASIS. THE SECRETARY OR CFO OF THE CORPORATION SENDS TO EACH TRUSTEE AND OFFICER THE POLICY, A LIST OF AGENCY FUNDERS AND VENDORS WITH WHOM THE AGENCY TRANSACTS $2,000 OR MORE OF BUSINESS ANNUALLY, AND A DISCLOSURE QUESTIONNAIRE APPROVED BY THE PRESIDENT, CONCERNING POSSIBLE CONFLICTS OF INTEREST. EACH TRUSTEE AND OFFICER IS ASKED TO COMPLETE, SIGN, AND RETURN THE QUESTIONNAIRE TO THE SECRETARY. UPON DISCLOSURE OF MATERIAL FACTS PERTINENT TO A POTENTIAL CONFLICT OF INTEREST, THE TRUSTEES DETERMINE IF A CONFLICT EXISTS. IF SO, THE INTERESTED PARTY DOES NOT PARTICIPATE IN DECISION-MAKING REGARDING ANY TRANSACTION OR VENTURE IN WHICH HE OR SHE HAS AN INTEREST. DISCUSSIONS AND DECISIONS REGARDING CONFLICTS OF INTEREST ARE DOCUMENTED IN MEETING MINUTES. FORM 990, PART VI, SECTION B, LINE 15A THE COMPENSATION OF THE CEO/PRESIDENT IS SET BY THE BOARD OF TRUSTEES. THE BOARD OF TRUSTEES HAS SOLE POWER TO AUTHORIZE THE PAYMENT SALARIES OR COMPENSATION TO ANY AND ALL OFFICERS AND REQUIRE AN AFFIRMATIVE VOTE OF THE ENTIRE BOARD OF TRUSTEES. THE BOARD OF TRUSTEES MAY DELEGATE THIS POWER ON AN ANNUAL BASIS TO THE PRESIDENT, FOR ONE OR MORE OFFICERS OTHER THAN THE PRESIDENT AND CHAIR OF THE BOARD. IN DETERMINING COMPENSATION LEVELS, THE BOARD OF TRUSTEES AND/OR PRESIDENT REVIEW SALARIES OF INDIVIDUALS IN THE SAME OR COMPARABLE POSITIONS AT COMPARABLE ORGANIZATIONS AS DETERMINED BY BUDGET SIZE, NUMBER OF STAFF, AND THE TYPE OF PROGRAM OPERATIONS. THEY ALSO MAY LOOK AT PUBLISHED SURVEYS SUCH AS THOSE PUBLISHED BY THE NON-PROFIT COORDINATING COMMITTEE OF NEW YORK PROFESSIONALS FOR NON-PROFITS AND GUIDESTAR. THE SALARIES ARE REVIEWED ON AN ANNUAL BASIS AND THE SURVEY OF COMPENSATION AT COMPARABLE ORGANIZATIONS IS DONE EVERY OTHER YEAR. THE BOARD OF TRUSTEES CONTEMPORANEOUSLY DOCUMENTS THE BASIS FOR DETERMINATION. FORM 990, PART VI, SECTION C, LINE 19 CASES' GOVERNING DOCUMENTS, CONFLICT OF INTEREST FORM, FORM 990 AND FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. THE FORM 990 IS AVAILABLE ON THE GUIDESTAR WEBSITE. OUR STATEMENTS OF FINANCIAL POSITION AND STATEMENT OF ACTIVITIES ARE INCLUDED IN OUR PRINTED ANNUAL REPORT AND OUR AUDITED FINANCIAL STATEMENTS ARE AVAILABLE ON OUR WEBSITE. OUR WEBSITE INCLUDES A LINK TO THE CASES PROFILE PAGE ON THE GUIDESTAR WEBSITE WHERE OUR 990 INFORMATION IS AVAILABLE. IT ALSO INCLUDES A STATEMENT "IF YOU WOULD LIKE TO REQUEST A COPY OF CASES' AUDITED FINANCIAL STATEMENTS AND/OR OUR MOST RECENTLY FILED IRS FORM 990, PLEASE CONTACT REBECCA ASBURY, CHIEF FINANCIAL OFFICER AT RASBURY@CASES.ORG". FORM 990, PART XII, LINE 2C CASES HAS AN AUDIT COMMITTEE THAT ASSUMES OVERSIGHT OF THE AUDIT AND SELECTION OF THE INDEPENDENT ACCOUNTANTS. THE PROCESS OF OVERSIGHT AND SELECTION HAS NOT CHANGED FROM THE PRIOR YEAR.