Restaurant Opportunities Centers Roc United Inc.

“The bylaws' address of conflict of interest via article v was deleted in february 2016 (address of the topic was moved to a stand alone conflict of interest policy that was adopted at the same meeting) the requirements for composition of the board of directors was altered in december 2016 by adding in article iia provision requiring that of the (maximum) fifteen directors, five be restaurant workers elected by restaurant workers.”

“The draft of the form 990 is reviewed by management and exempt organization tax counsel for accuracy and completeness. Upon completion of this review, the return is finalized and filed. At the first board meeting subsequent to filing, the return is presented to the board for discussion and questions.”

“Roc u's conflict of interest policy applies to board members, officers and key employees (the last is a defined term that reach an individual who "is, or has within the last five years, been in a position to exercise substantial influence over the affairs of the organization, and includes board members and certain officers who are automatically irc section 4958 disqualified persons, as well as employees or others who had or have substantial influence within the last five years). Transactions with any of such persons or anyone who is a "related party" (a defined term which includes relatives and certain entities connected to them) may only be effected if the full board or an authorized board committee, not including the participation of the persons whose interests are directly or indirectly involved, determines the transaction to be "fair, reasonable, and in the best interests of the corporation." if the contemplated transaction pertains to compensation for services or the transfer of property or other economic benefits, the determination requires ascertaining that the value of the economic benefits provided by the corporation does not exceed the value of the consideration received by the corporation in exchange, and this determination requires obtaining, and review of, appropriate comparability data prior to entering into the transaction. When a contemplated transaction does not involve compensation or transfer of property or benefits, the determination is to be made after consideration of alternative transactions, to the extent possible, prior to entering into the transaction. In addition, notice is to be provided by an individual subject to the policy when they or a "related party" of theirs acquires a "financial interest" in, or when any matter for decision or approval comes before the board related to a "financial interest" of theirs directly or one related to their "related party." such notice is to be promptly made, in writing, to each member of the board, the president,** and to the chair of an authorized board committee, together with all material facts. Thereafter, the procedures set out above are to be followed. Failure by an individual to disclose to the board a known "financial interest or a known potential "related party" transaction may be grounds for removal from the board or termination from employment.”

“The board reviews the compensation of co-directors to insure that amounts paid are reasonable and comparable to similar not-for-profit organizations. The last time a review of compensation amounts provided to the two co-directors serving the organization was undertaken was 2014.”

“Documents are available upon request.”

“Documents were available upon request.”

“Line 4a One Fair Wage for Restaurant Workers ROC United had tremendous success raising the tipped minimum wage as a key economic and gender justice issue in the national conversation in 2016. Building on the Women's Economic Summit that we hosted in New Hampshire during January, we saw three federal bills introduced with One Fair Wage components, including one by Presidential-hopeful Bernie Sanders. Subsequently, the Democratic National Platform Committee voted to make One Fair Wage a key item on the platform, with Vice Presidential-candidate Tim Kaine speaking about the issue at the Democratic National Convention. In fact, after ROC Co-Founder Saru Jayaraman's presentation on One Fair Wage educating the New England Caucus of the Democratic National Convention, Vermont introduced One Fair Wage legislation. We balanced this work with education about tipped wages to decision makers supporting minimum wage increases. In areas where we focused our campaign, we were successful in reaching out to local decision makers and creating coalitions committed to working on the issue. In New York, we hosted a summit focused on Ending Sexual Violence in the Workplace in November. This New York City Summit obtained significant media coverage and resulted in Speaker of the New York Assembly reaching out to ROC about One Fair Wage legislation in the state, which was subsequently filed by Democratic leadership in the NY Senate and leadership of the Women's Caucus in the NY Assembly. In Massachusetts, ROC was able to convince the Raise Up MA coalition to incorporate One Fair Wage legislation into their platform during November 2016. In part this was as a result of a ROC-Boston report published in October 2016 that provided the most comprehensive information to date on the Massachusetts restaurant industry; our findings connecting the subminimum wage to sexual harassment were featured in the Boston Globe. In Chicago, we were able to convince Action Now and the SEIU to prioritize a campaign to move One Fair Wage legislation in the Chicago City Council, to correct the exclusion of tipped workers in Rahm Emmanuel's $13.50 minimum wage bill last year. In addition, One Fair Wage had important One Fair Wage ballot measure victories in Maine and Flagstaff, AZ during November 2016. In Maine, ROC United worked closely with the Maine People's Alliance and the Maine State Federation of Labor to conduct a speaking tour in the state as well as producing a Maine research report on tipped workers together with the National Employment Law Project. One Fair Wage also had an important victory in Flagstaff, AZ, where we worked with the Flagstaff Living Wage Coalition. Line 4b Worker Education & Engagement ROC United continued to provide critical job advancement opportunities through our CHOW program, providing front- and back-of-house training focused on the fine-dining industry. ROC United began using a nationally standardized curriculum for our restaurant workforce development course, which sets CHOW courses at 45 hours as well as general guidelines for topics to cover (local affiliates can still customize course plans to best meet the needs in their cities). Over the course of 2016, we had more than 750 students enroll in our CHOW programs across the country, with a total of 502 graduates, close to 70% of whom secured or retained jobs. In addition, approximately 300 additional workers received additional more focused short-term training, especially as a number of our affiliates have set up condensed CHOW courses focusing on topics like sommelier service and bartending, which can help experienced restaurant workers gain promotion in the industry. During 2016, and especially after November, many newly inspired people have wanted to engage with ROC and our programs, expanding opportunities to engage and mobilize our online worker membership base to 9,000 individuals (meaning outside workers located away from ROC affiliate locations) and bringing our total worker memb”

“Line 4d All Other Programs: Employer Education & Engagement, Consumer Education & Engagement In terms of consumer education and engagement, we continued to grow our Diners United group, and after the successful launch in February 2016 of our new book Forked: A New Standard in American Dining, author Saru Jayaraman promoted Forked across the US, including in Cincinnati, Atlanta, Philadelphia, Pittsburgh, Seattle, and numerous other cities. In total, this book tour and ongoing work promoting the tipped wage as a gender justice issue received over 200 media hits, including coverage in the New York Times, Washington Post, Time Magazine, Wall Street Journal, and more. Due to Forked and a One Fair Wage video starring Thandie Newton that we released in October 2016, and numerous other actions, op-eds, and public events, ROC United made significant advances in lifting up the stories of tipped workers, particularly as it affects women who make up the majority of servers, and bringing the tipped minimum wage to mainstream attention across the country. In terms of employer education and engagement... ROC continued an occupational desegregation project on the West Coast in close partnership with celebrity chef Daniel Patterson and several high-profile restaurateurs in Oakland and Seattle to engage in an intensive desegregation process over a six-month period. With the Center for Social Inclusion, we conducted on site racial equity assessments for each participating restaurant, involving qualitative and quantitative demographic analysis, as well as staff and manager interviews. After reviewing this material, we provided recommendations for desegregating their restaurants. In addition, with Race Forward, we developed training materials on implicit bias that have begun to utilize in Bay Area workshops. We held our first employer workshops during October and November 2016. We hosted a RAISE (Restaurants Advancing Industry Standards in Employment) summit in Washington DC, during April 2016 attended by staff from approximately 30 restaurants as well as allied organizations. At this convening, employers discussed the gender and racial segregation endemic in the industry, the role of the National Restaurant Association in keeping labor standards low, best and less-than-best practices for businesses converting to One Fair Wage for tipped and non-tipped employees alike, and other areas in which RAISE-specific technical assistance could enhance their business practices and support their journey on the high road. Employers were joined by our Diners United base of restaurant consumer leaders as ROC United continued to integrate our employer and consumer engagement efforts in promoting the 'high road'. In addition, the efforts with RAISE and our continued public education efforts on One Fair Wage have naturally reinforced one another, as we continued to cultivate, develop, and strengthen close partnerships with key national and regional industry leaders to promote improved conditions for the restaurant industry. As a clear example of how our RAISE employers were critical to these efforts, our partner Honey Butter Fried Chicken in Chicago was part of the Mayor's Working Families Task Force that produced a report in April 2016 that recommended the paid sick days ordinance for the city, which was passed by the Chicago City Council during June 2016. In addition, we have been cultivating a relationship with the Golden Gate Restaurant Association (GGRA), and since California has long been a One Fair Wage state, the GGRA has been sharing how its model has been successful, with GGRA Executive Director Gwenyth Borden traveling to Albany, NY to educate leaders and provide San Francisco restaurateurs' perspectives. After November, ROC United's RAISE network of restaurants took the initiative to draft an open letter to the incoming administration opposing identity-based discrimination, harassment and anti-immigrant policies, especially given the current labor shor”

“PROGRAM MANAGEMENT: Program service expenses 145,047. Management and general expenses 19,526. Fundraising expenses 216. Total expenses 164,789. PRESS REPRESENTATION: Program service expenses 94,709. Management and general expenses 5,000. Fundraising expenses 0. Total expenses 99,709. CHOW INSTRUCTORS: Program service expenses 33,070. Management and general expenses 0. Fundraising expenses 0. Total expenses 33,070. OTHER CONSULTANTS: Program service expenses 214,503. Management and general expenses 22,841. Fundraising expenses 24,475. Total expenses 261,819.”