United Way North-Northwest

“United way of metropolitan chicago, inc. ("uwmc") is an illinois non-profit philanthropic corporation whose mission is to improve the lives in the metropolitan chicago area by mobilizing caring people to invest in the community where their resources are needed the most. As of june 30, 2014, uwmc had three member united ways ("muws"): south-southwest suburban united way united way of dupage/west cook united way north-northwest effective july 1, 2013, northwest suburban united way and north shore united way merged to form united way north-northwest. The vision of uwmc and the muws is that metropolitan chicago becomes a region of thriving communities where all individuals and families are able to achieve their full potential. The challenges facing communities in the metropolitan area are complex and multi-faceted, requiring tailored, long-term solutions that address the root causes of these issues. To address these challenges, uwmc and the muws are focused on generating and coordinating donor resources, collaborating with social service providers and engaging government and civic leaders to deliver lasting solutions to these complex community challenges across the region. Uwmc and the muws implemented a region-wide plan to ensure significant impact by 2020. The plan focuses on the 60 communities of greatest need in the region, and includes regional strategies and neighborhood-specific solutions. The key to lasting community change is to address the root causes of the complex issues that individuals, families and neighborhoods face by focusing on three key levers - education, income and health. Uwmc and the muws also focus on safety net issues to ensure that the basic needs - food, shelter and safety - for individuals and families are met. The plan included four high value outcomes to be achieved over 10 years: 1) help 50,000 underperforming middle school students enter high school ready to succeed 2) advance economic stability for 100,000 households 3) connect over 200,000 people with available, preventative health services 4) answer the crisis needs of approximately 1 million people every year by providing food, shelter and freedom from violence since implementing the impact plan, uwmc and the muws have made significant progress toward those goals: 1) 34,992 middle school students are on track to graduate/be promoted to next grade level, representing 70% of the 2020 goal. 2) 65,189 households have improved their economic stability, 65% of the 2020 goal. 3) 265,643 people have been connected to a primary care physician, exceeding the 2020 goal at 133%. 4) for fy14, 858,518 people in crisis were provided with food, shelter and safety, representing 86% of the annual goal. To further address the complex challenges in communities of greatest need throughout the region, united way developed the live united neighborhood network (lunn) initiative. The lunn initiative utilizes a collective impact model to guide strategies with partners, coordinate programming, and collaborate on measurement. The first lunn was launched in march 2013 in brighton park and has delivered significant results across all dimensions including: - education - freshmen on track at the main high school grew from 74% to 84%, surpassing the chicago public schools average of 82% - income - 303 families received a total of $591k in tax refunds that would have otherwise gone unclaimed - health - 4,885 people learned how to improve their diet and exercise habits through health promoter programs the second lunn was launched in august 2014 in west chicago and eight additional lunns will be launched in fy15 and fy16. The critical work of uwmc and the muws requires significant resources and support is raised through a diversified revenue model. Uwmc and the muws conduct workplace giving campaigns, receive individual and major gifts, are awarded grants and are the beneficiaries of other contributions from private foundations and other organizations. Uwmc and the muws raised $5”

“Form 990, part i, line 6 campaign volunteers: 15 community volunteers: 15 thanksgiving volunteers: 20 celebration lunch volunteers: 3 direct service volunteers: 1 into books mentors volunteers: 215 advocatcy volunteers: 10 total: 279”

“Form 990, Part V, Line 1a UNITED WAY OF METROPOLITAN CHICAGO, INC. ("UWMC"), AS THE COMMON PAYMASTER, HAS FILED FORMS 1099 TO REPORT CERTAIN AMOUNTS AS REQUIRED.”

“Form 990, part v, line 2a uwmc, as the common paymaster, has filed form w-3 to report certain amounts as required.”

“Form 990, part vi, line 1a the board of directors has delegated authority to the executive committee to conduct affairs of the board of directors between meetings of the board as permitted by law and under the bylaws of north-northwest. The executive committee consists of officers of north-northwest, the chairpersons of the other standing committees of the board and the immediate past president of north-northwest. All such actions by the executive committee must be reported to the board of directors for appropriate action at the next meeting of the board following such executive committee action.”

“Form 990, Part VI, Line 7b EACH MUW is REGISTERED WITH THE STATE OF ILLINOIS AND EACH ORGANIZATION FILES A SEPARATE FORM 990 INFORMATIONAL TAX RETURN. ONE COMBINED FINANCIAL STATEMENT AUDIT IS PERFORMED FOR UWMC AND ITS MUWS. EACH MUW BOARD OF DIRECTORS MUST VOTE ON A RESOLUTION TO ADOPT THE MEMBERSHIP AGREEMENT WITH THE UWMC THEREBY ACCEPTING COMPLIANCE WITH UWMC'S POLICIES, STANDARDS, AND CRITERIA OF MEMBERSHIP. THE MEMBERSHIP AGREEMENT IS SUBJECT TO APPROVAL AND RATIFICATION OF THE UWMC BOARD OF DIRECTORS. EACH MUW BOARD OF DIRECTORS IS GOVERNED BY BYLAWS THAT HAVE BEEN APPROVED BY UWMC. THE MEMBER ADVISORY COMMITTEE IS A COMMITTEE OF THE UWMC BOARD OF DIRECTORS COMPRISED OF TWO REPRESENTATIVES FROM EACH MUW AND FOUR REGIONAL SUBURBAN REPRESENTATIVES who ARE UWMC BOARD OF DIRECTOR MEMBERS. THE MEMBER ADVISORY COMMITTEE PROVIDES ADVICE, WITH RESPECT TO THE MUWS, TO THE UWMC BOARD OF DIRECTORS AS TO FUND DISTRIBUTIONS, AGENCY ALLOCATIONS, BUDGET, OPERATIONS, AND RELATED POLICIES. THE UWMC BOARD OF DIRECTORS HAS ULTIMATE AUTHORITY OVER POLICY AND APPROVAL OF AGENCY ALLOCATIONS. HISTORICALLY, THE UWMC BOARD OF DIRECTORS HAS HONORED THE RECOMMENDATIONS which HAVE BEEN PRESENTED BY THE MEMBER ADVISORY COMMITTEE ON BEHALF OF THE MUWS. EACH MUW IS CERTIFIED BY UNITED WAY WORLDWIDE AND THIS CERTIFICATION IS CONTINGENT ON THE MUWS ACTIVE MEMBERSHIP AGREEMENT WITH UWMC. UWMC PROVIDES FINANCE, ACCOUNTING, INFORMATION SYSTEMS, HUMAN RESOURCES, AND OTHER ADMINISTRATIVE SUPPORT TO THE MUWS. UWMC ACTS AS AN AGENT FOR THE MUWS IN PROCESSING PLEDGES, RECEIVING CASH ON PLEDGES, AND PAYING MUW ALLOCATIONS AND EXPENSES. CASH RECEIPT AND PAYMENT ACTIVITIES AND THE SUPPORT REIMBURSEMENT ARRANGEMENT TOGETHER RESULT IN INTERCOMPANY RECEIVABLES AND PAYABLES THROUGHOUT EACH FISCAL YEAR FOR UWMC AND THE MUWS.”

“Form 990, Part VI, Line 11b A REVIEW OF THE FORM 990 WAS CONDUCTED BY THE TREASURER FROM THE BOARD OF DIRECTORS AND THE CHIEF PROFESSIONAL OFFICER PRIOR TO THE FILING OF THE FORM 990. A COPY OF THE FORM 990 was provided TO THE TREASURER AND TO THE CHIEF PROFESSIONAL OFFICER TO ALLOW ADVANCE TIME FOR THE REVIEW. COMMENTS REGARDING THE PREPARATION OF THE FORM 990 WERE SHARED with the treasurer and chief professional officer. QUESTIONS OR COMMENTS FROM THE TREASURER AND THE CHIEF PROFESSIONAL OFFICER CONCERNING THE FORM 990 WERE SOLICITED AND ANY NECESSARY MODIFICATIONS WERE MADE. FOLLOWING THE REVIEW, and approval by the treasurer and chief professional officer, THE FORM 990 WAS provided TO EACH OF THE VOTING MEMBERS OF THE BOARD OF DIRECTORS PRIOR TO THE FILING.”

“Form 990, Part VI, Line 12c THE ORGANIZATION HAS A FORMALIZED BUSINESS ETHICS POLICY ("ETHICS POLICY"). THE ETHICS POLICY IS APPLICABLE TO ALL EMPLOYEES AND DIRECTORS OF THE BOARD OF UWMC AND DIRECTORS OF ITS MEMBER UNITED WAYS, SPOUSES, AND CLOSE FAMILY MEMBERS OF ALL OFFICERS AND EMPLOYEES. THE ETHICS POLICY ALSO APPLIES TO BOARD AND KEY COMMITTEES OF EXECUTIVE, CHICAGO COUNCIL, NOMINATING, FINANCE, AUDIT, CAMPAIGN CABINET, MEMBER ADVISORY, COMPENSATION, ENDOWMENT AND DIVERSITY; COLLECTIVELY REFERRED TO AS THE "UWMC ORGANIZATIONAL MEMBERSHIP". THE ETHICS POLICY INCLUDES A CODE OF BUSINESS ETHICS SECTION COVERING, AMONG OTHER TOPICS, COMPLIANCE WITH LAWS, RULES AND REGULATIONS; CONFLICT OF INTEREST; BRIBES, KICKBACKS AND OTHER IMPROPER PAYMENTS; MISAPPROPRIATION OR DISREGARD OF DONOR, EMPLOYEE, OR CUSTOMER PRIVATE DATA; ACCOUNTING PRACTICES; PROVIDING AND ACCEPTING ENTERTAINMENT; RECEIVING GIFTS AND PRIZES; GIVING GIFTS; POLITICAL CONTRIBUTIONS AND ACTIVITY; AND RECORDS/COMMUNICATIONS. THE ETHICS POLICY ALSO CONTAINS INFORMATION ABOUT WHISTLEBLOWER PROTECTION, CERTIFICATION OF COMPLIANCE WITH THE ETHICS POLICY AND REPORTING ILLEGAL OR UNETHICAL BEHAVIOR. REGARDING CONFLICTS OF INTEREST, THE UWMC ORGANIZATIONAL MEMBERSHIP IS PROHIBITED FROM PARTICIPATING IN ANY OUTSIDE BUSINESS VENTURE FOR FINANCIAL GAIN OR OTHERWISE WHICH CONFLICTS WITH THE ORGANIZATION'S ON-GOING OR PROPOSED ACTIVITIES. A MEMBER OF THE UWMC ORGANIZATIONAL MEMBERSHIP MAY NOT ENGAGE IN UWMC BUSINESS WITH ANY FIRM IN WHICH A CLOSE RELATIVE HAS AN EXECUTIVE POSITION OR A SIGNIFICANT FINANCIAL INTEREST UNLESS SUCH TRANSACTIONS ARE APPROVED IN ADVANCE BY AN OBJECTIVE SENIOR OFFICER (PRESIDENT OR STAFF ETHICS OFFICER) AND ARE REPORTED IN THE COMPLIANCE QUESTIONNAIRE. EACH MEMBER OF THE UWMC ORGANIZATIONAL MEMBERSHIP IS ANNUALLY REQUIRED TO COMPLETE A COMPLIANCE QUESTIONNAIRE. THE RESULTS OF THE ANNUAL CERTIFICATION are reported TO THE BOARD OF DIRECTORS AND AUDIT COMMITTEE ANNUALLY. IN ADDITION TO THE AFOREMENTIONED CERTIFICATION PROCEDURE, ALL EMPLOYEES ARE REQUIRED TO PROMPTLY REPORT TO SUPERVISORS OR OTHER APPROPRIATE PERSONNEL INCLUDING OFFICERS, ANY OBSERVED ILLEGAL OR UNETHICAL BEHAVIOR AND TO SEEK ADVICE WHEN IN DOUBT ABOUT A PARTICULAR SITUATION. EMPLOYEES OR OTHERS MAY FILE A REPORT WITH ETHICSPOINT, AN ANONYMOUS-SOURCE FACILITATOR, AT ETHICSPOINT.COM OR BY PHONING 1.888.353.5703 OR BY WRITING TO UWMC. ALL REPORTS WILL BE BROUGHT TO THE ATTENTION OF THE STAFF ETHICS OFFICER, PRESIDENT/CEO, CHIEF OPERATING OFFICER AND VICE PRESIDENT OF TALENT MANAGEMENT AND INCLUSION; EXCLUDED WILL BE ANY ONE OF THIS GROUP THAT IS IMPLICATED. THE STAFF ETHICS OFFICER (OR ALTERNATIVELY THE CEO AND CHIEF OPERATING OFFICER) WILL DETERMINE THE PROPER PATH OF RESOLUTION FOR ALL REPORTS MADE. ALL REPORTS RELATING TO FINANCIAL MATTERS WILL BE BROUGHT TO THE ATTENTION OF THE AUDIT COMMITTEE. IN APPROPRIATE CIRCUMSTANCES, REPORTS MAY BE REFERRED TO AN OUTSIDE FACILITATOR FOR FEEDBACK TO THE INDIVIDUAL FILING THE COMPLAINT.”

“Form 990, Part VI, Line 15a COMPENSATION PROCESS FOR TOP OFFICIAL: THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS OF NORTH-NORTHWEST REVIEWS THE PERFORMANCE AND COMPENSATION OF THE CHIEF PROFESSIONAL OFFICER ("CPO"). ANY COMPENSATION ADJUSTMENTS ARE ALSO APPROVED BY THE EXECUTIVE COMMITTEE. A PERFORMANCE SELF-EVALUATION IS COMPLETED BY THE CPO AT THE CONCLUSION OF EACH FISCAL YEAR. THE PRESIDENT OF THE BOARD OF DIRECTORS AND the chief operating officer AT UWMC REVIEW THE SELF-EVALUATION AND REACH CONSENSUS REGARDING THE CPO'S PERFORMANCE. THE BOARD PRESIDENT PRESENTS A SUMMARY OF PERFORMANCE REVIEW COMMENTS AND SALARY DATA TO THE EXECUTIVE COMMITTEE FOR THEIR CONSIDERATION AND APPROVAL. THE SALARY DATA, PROVIDED BY UWMC, CONSISTS OF A SALARY RANGE FROM UNITED WAY WORLDWIDE SALARY DATA FOR AN EQUIVALENT POSITION AT OTHER SIMILARLY-SIZED UNITED WAY ORGANIZATIONS. THE DECISION OF THE EXECUTIVE COMMITTEE IS DOCUMENTED IN MEETING MINUTES. NO REVIEW OF THE CHIEF PROFESSIONAL OFFICER'S PERFORMANCE OCCURRED FOR FISCAL YEAR 2013 IN THE MANNER DESCRIBED AS THE POSITION BECAME FILLED IN MARCH 2013. NORTH-NORTHWEST DOES NOT HAVE ANY OTHER OFFICERS OR KEY EMPLOYEES (AS DEPICTED ON FORM 990 PART VI, LINE 15B) THAT RECEIVE COMPENSATION. THE ONLY INDIVIDUAL THAT RECEIVES SUCH COMPENSATION IS THE CPO. THE PROCESS FOR DETERMINING COMPENSATION FOR THE CPO IS DESCRIBED ABOVE.”

“Form 990, Part VI, Line 18 The following organizations are affiliated with UWMC: United Way of DuPage/West Cook South-Southwest Suburban United Way United Way North-Northwest The Internal Revenue Service ("IRS") has recognized this group of organizations (referred by the IRS as "subordinates") as tax-exempt because they are affiliated with UWMC. This avoids the need for each of the organizations to apply for exemption individually. A group exemption letter issued by the IRS has the same effect as an individual exemption letter except that it applies to more than one organization. UWMC was issued a determination letter in 2004 and the UWMC is exempt under section 501(c)(3) of the Internal Revenue Code. In addition, the IRS recognizes these subordinates as exempt from Federal income tax. Form 1023 is available on UWMC's website at www.uw.mc.org. United Way North-Northwest makes its form 990 available upon request.”

“Form 990, Part VI, Line 19 NORTH-NORTHWEST MAKES ITS GOVERNING DOCUMENTS, THE BYLAWS AND ARTICLES OF INCORPORATION, AVAILABLE UPON REQUEST. THE MOST RECENT AUDITED FINANCIAL STATEMENTS AND A LINK TO ETHICSPOINT ARE AVAILABLE ON THE NORTH-NORTHWEST'S WEBSITE (WWW.UW-MC.ORG/NNW/). ETHICSPOINT IS A CUSTOMIZED PAGE CREATED FOR UWMC AND ITS MEMBER UNITED WAYS. WITHIN ETHICSPOINT, THERE IS A LINK TO THE BUSINESS ETHICS POLICY CONTAINING THE CONFLICT OF INTEREST POLICY.”

“Form 990, part ix, summary north-northwest calculates its 2013 tax year (fiscal year ended june 30, 2014) overhead rate using the sum of management and general total expenses and fundraising total expenses reported in part ix (statement of functional expenses) divided by the total revenue reported in part viii, line 12 of column a. This overhead rate for the 2013 tax year is 17.7% and is only for north-northwest. Expenses incurred by uwmc and the muws reflect the resources and leverage that united way brings in the areas of fundraising, expertise, partnerships, volunteers, advocacy and convening. These resources and leverage enable uwmc and the muws to execute strategies that transform communities in education (increase the number of high school graduates), income (advance economic stability), health (connect people with health services) and basic needs (stabilize people facing crisis in areas of food, shelter and freedom from violence).”

“FORM 990, Part IX, Line 11A THE AMOUNT INCLUDED IN THIS LINE REPRESENTS THE REIMBURSEMENT MADE BY North-Northwest TO THE UWMC FOR THE ADMINISTRATIVE SUPPORT DESCRIBED ELSEWHERE IN SCHEDULE O.”

“Form 990, part xi, line 9 gain on 2012 campaign pledges................................. $60,405 total..........................................................$60,405”

“Form 990, Part XII, Line 2c UWMC has an Audit Committee which is responsible for the oversight of the audit of the consolidated financial statements and the selection of the independent certified public accountants.”