2012-11-12T11:51:53-06:00 2012-06-30 GRANT THORNTON LLP 175 W JACKSON BLVD STE 2000 CHICAGO IL 60604 990 2011-07-01 237116020 Northwest Suburban United Way % JENNIFER FRONEK NORT 8477681074 550 East Business Center Drive Mount Prospect IL 60056 GARY A CUENO 8477681074 2012-11-12 true JULIE A DEE 3128560200 2011 2016-02-24 21:20:13Z Marcia McMahon 550 East Business Center Drive Mount Prospect IL 60056 2578226 false 4371 X www.uw-mc.org/northwest/ X 1961 IL Northwest Suburban United Way improves lives by mobilizing caring people to invest in the community where their resources are needed the most. 21 21 5 184 0 2492093 2534229 0 0 13776 15874 40227 10418 2546096 2560521 1847268 1896122 0 0 293196 341612 0 0 214484 174136 151189 2314600 2388923 231496 171598 1597901 1749636 15515 13725 1582386 1735911 X THE PRIMARY PURPOSE OF THE NORTHWEST SUBURBAN UNITED WAY IS TO IMPROVE LIVES BY MOBILIZING CARING PEOPLE TO INVEST IN THE COMMUNITY WHERE THEIR RESOURCES ARE NEEDED THE MOST. false false 1060751 1005500 We work to reduce the incidence of chronic disease and eliminate the barriers to necessary health services. We stabilize families and individuals in a crisis; mobilize our community to create safe places and a healthy environment; increase physical activity and healthy eating behaviors and reduce barriers to health care access by connecting people to medical homes. 588662 558000 WE PREPARE CHILDREN TO ENTER KINDERGARTEN READY TO LEARN; KEEP TEENS IN SCHOOL AND ENSURE THEY GRADUATE ON TIME. WE DO THIS BY SUPPORTING PROGRAMS THAT WORK TO NARROW THE EDUCATIONAL GAP VIA CHILDHOOD EDUCATION PROGRAMS, AS WELL AS PROGRAMS ALL THROUGHOUT A CHILD'S LIFE. OUR STRATEGY: PROVIDE A CONTINUUM OF SUPPORT THROUGHOUT A CHILD'S LIFE INCLUDING EARLY CHILDHOOD EDUCATION PROGRAMS; AFTER-SCHOOL AND SUMMER ACTIVITIES; TUTORING AND MENTORING; COMMUNITY SCHOOLS AND OTHER INNOVATIVE APPROACHES. WE ALSO ADVOCATE FOR POLICIES THAT LEAD TO INCREASED GRADUATION RATES. 299090 283511 We lead a financial stability initiative that brings together community experts to determine the right mix of programs that give people the opportunity to become financially stable. We provide funds to the best programs across the region that collectively offer job training and placement, access to income supports such as the earned income tax credit and other state and federal benefits for working families. These programs are complemented by educational services that teach people about banking, credit, saving and investment, as well as access to tax preparation services and matched savings programs. 51809 49111 2000312 true true false false false false false false false true true false false true false true false true false false false false false false true false false true true false false false false false false false false false false false false false false false false false false false true X 1 0 true 5 true false false false false false false false false false false X 21 21 false true false false false false true true true false false true true true true true true true false false IL X JENNIFER FRONEK 3129062312 560 WEST LAKE STREET CHICAGO IL 60661 GREGORY P GUARRINE 2.0 X X 0 0 0 JAMES TANSOR 5.0 X X 0 0 0 MICHAEL S ABRUZZINI 3.0 X X 0 0 0 Paul Gallagher 3.0 X X 0 0 0 CHARLES W VANDE VEN 1.0 X 0 0 0 DAVid MARKWORTH 1.0 X 0 0 0 DENNIS HUEBNER 1.0 X 0 0 0 DIANE LATTA 1.0 X 0 0 0 Barbara Ferguson 1.0 X 0 0 0 Diane Smusz 1.0 X 0 0 0 JEFFREY W KREYE 1.0 X 0 0 0 REGINA SCHLAMP 1.0 X 0 0 0 Victoria Dudley 1.0 X 0 0 0 SATISH KUMAR 1.0 X 0 0 0 Camille Fotopoulos 1.0 X 0 0 0 Joseph Higgins 3.0 X 0 0 0 Tim Rose 1.0 X 0 0 0 Leon Gopon 2.0 X 0 0 0 Marcia McMahon 37.5 X X 76661 0 17643 CATHERINE LEE 1.0 X 0 0 0 JOHN WILLET 1.0 X 0 0 0 GARY A CUENO 3.0 X X 0 0 0 76661 0 17643 0 false false false 0 79408 2454821 2882 2534229 0 15874 15874 0 0 0 28123 17705 10418 10418 0 0 0 2560521 26292 1889122 1889122 7000 7000 0 0 95027 26608 17105 51314 0 200411 56115 36074 108222 2466 690 444 1332 19403 5433 3492 10478 24305 6805 4375 13125 107000 107000 0 0 0 0 0 0 0 15950 2564 1843 11543 0 0 8744 2448 1574 4722 7987 2236 1438 4313 0 210 -695 -494 1399 0 0 3013 844 542 1627 811 227 146 438 EQUIPMENT RENTAL & MAINT. 2568 719 462 1387 MEMBERSHIPS 700 196 126 378 MISCELLANEOUS FUNDRAISING 4206 4206 2388923 2000312 174127 214484 0 0 972940 1074819 388146 373099 2630 56 0 0 0 0 0 0 0 0 717 0 151052 70971 83094 80081 112408 119187 0 0 0 0 0 0 37966 102394 1597901 1749636 15515 13725 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 15515 13725 X 582243 1140543 843875 489100 156268 106268 1582386 1735911 1597901 1749636 X 171598 -18073 X false true true X false X 2153437 3180858 2531016 2492093 2534229 12891633 2153437 3180858 2531016 2492093 2534229 12891633 1843563 11048070 68295 37580 26218 16976 15874 164943 108307 50253 33374 66186 28123 286243 13342819 0.82802 0.82399 X INCOME REPORTED ON LINE 10 WAS GENERATED BY SPECIAL EVENTS THAT are DETAILED ON SCHEDULE G. THE SPECIAL EVENTS WERE CONCEIVED TO GENERATE INCOME USED TO FUND THE NORTHWEST SUBURBAN UNITED WAY'S PROGRAM ACHIEVEMENTS AS DESCRIBED IN PART III, LINE 4A THROUGH 4D. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 112408 0 6779 119187 12242 90500 9666 112408 0 12500 -258 12242 0.85780 0.14220 true false 22000 22000 89811 34098 55713 0 39241 36873 2368 80081 DUE TO/FROM UWMC 102394 102394 0 0 2560521 2388923 171598 2495 -20568 -18073 153525 2504618 2495 2495 2502123 58398 58398 2560521 2351093 2351093 37830 37830 2388923 INTENDED USES FOR ENDOWMENT FUNDS SChedule D, PART V, LINE 4 THE PURPOSE OF THE NORTHWEST SUBURBAN UNITED WAY ENDOWMENT FUND ("FUND") IS TO PROVIDE A FUND SEPaRATE FROM THE ANNUAL CAMPAIGN FUNDS SUCH THAT DONORS AND PROSPECTIVE DONORS CAN BE ASSURED THAT CERTAIN GIFTS MADE BY THEM TO NORTHWEST SUBURBAN UNITED WAY WILL HAVE LONG-TERM VALUE BY REASON OF THEIR SEGREGATION AND CAREFUL INVESTMENT, AND SHALL BE LASTING TRIBUTE TO THE DONOR AS THE EARNINGS FROM THEIR GIFTS ARE DISTRIBUTED FROM TIME TO TIME, IN PERPETUITY, TO HELP ACCOMPLISH THE MISSION OF NORTHWEST SUBURBAN UNITED WAY. UNCERTAIN TAX POSITIONS (FIN 48) Schedule D, Part X, Line 2 UNITED WAY METROPOLITAN CHICAGO, UNITED WAY OF DUPAGE/WEST COOK, SOUTH-SOUTHWEST SUBURBAN UNITED WAY, NORTH SHORE UNITED WAY, NORTHWEST SUBURBAN UNITED WAY, HAVE RECEIVED A FAVORABLE DETERMINATION LETTERS FROM THE INTERNAL REVENUE SERVICE, STATING THAT THEY ARE EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF 501(C)(3) OF THE INTERNAL REVENUE CODE OF 1986(IRC), EXCEPT FOR INCOME TAXES PERTAINING TO UNRELATED BUSINESS INCOME. ACCOUNTING GUIDANCE REQUIRES TAX EFFECTS FROM UNCERTAIN TAX POSITIONS TO BE RECOGNIZED IN THE FINANCIAL STATEMENTS ONLY IF THE POSITION IS MORE LIKELY THAN NOT TO BE SUSTAINED IF THE POSITION WERE TO BE CHALLENGED BY A TAXING AUTHORITY. MANAGEMENT HAS DETERMINED THERE ARE NO MATERIAL UNCERTAIN POSITIONS THAT REQUIRE RECOGNITION IN THE FINANCIAL STATEMENTS. ADDITIONALLY, NO PROVISION FOR INCOME TAXES IS REFLECTED IN THESE FINANCIAL STATEMENTS. THERE IS NO INTEREST OR PENALTIES RECOGNIZED IN THE STATEMENT OF ACTIVITIES OR STATEMENT OF POSITION. THE TAX YEARS ENDING 2008, 2009, 2010 AND 2011 ARE STILL OPEN TO AUDIT FOR BOTH FEDERAL AND STATE PURPOSES. Reconciliation of revenue per audited fin. stmts. with revenue per return schedule d, part xii, line 4b Designations to other organizations included in income..... 37,830 Loss on 2010 Campaign Pledges.............................. 20,568 Total................................................... $58,398 Reconciliation of expenses per audited fin. stmt. with expenses per return Schedule D, Part XIII, line 4b Designations to other organizations included in income..... $37,830 Reconciliation of change in net assets from 990 to audited fin. stmt. Schedule D, Part XI, Line 8 Loss on 2010 Campaign Pledges............................ $(20,568) WLC Engagement 5440 5440 Luncheon 14774 14774 4748 762 0 0 0 20214 20214 4748 762 5510 14704 true Boys & Girls Club of Dundee Township PO Box 173 Carpentersville IL 60110 364184937 501(c)(3) 200000 Program Support Greater Wheeling Area Youth Outreach Inc 400 N Elmhurst Rd Prospect Hts IL 60070 364463884 501(c)(3) 170000 Program Support CEDA Northwest 1300 W Northwest Hwy Mt Prospect IL 60056 363382832 501(c)(3) 133100 Program Support Salvation Army Metropolitan Chicago 5040 North Pulaski Road Chicago IL 60630 362167910 501(c)(3) 122000 Program Support Children's Home & Aid Society of IL 125 S Wacker Dr 14th Fl Chicago IL 60606 362167743 501(c)(3) 85000 Program Support The Center Resources for Teaching and Learning 2626 S Clearbrook Arlington Hts IL 60005 364248651 501(c)(3) 80000 Program Support Catholic Charities of the Archdiocese of Chicago 721 N LaSalle Street Chicago IL 60654 362170821 501(c)(3) 71153 Program Support WINGS Program Inc PO Box 95615 Palatine IL 60095 363456061 501(c)(3) 70000 Program Support Centro de Informacion 28 N Grove Ave Ste 200 Elgin IL 60120 362776988 501(c)(3) 56508 Program Support Shelter Inc 1616 N Arlgton Hts Arlington Hts IL 60004 237399596 501(c)(3) 55262 Program Support Bridge Youth and Family Services 721 S Quentin Rd Palatine IL 60067 237093615 501(c)(3) 55000 Program Support Children's Advocacy Center of North and Northwest 640 Illinois Blvd Hoffman Estates IL 60169 363711203 501(c)(3) 55000 Program Support Journey from PADS to HOPE 1140 E Northwest Hwy Palatine IL 60074 363919018 501(c)(3) 50000 Program Support Palatine Opportunity Center 1585 North Rand Road Palatine IL 60074 363881109 501(c)(3) 41134 Program Support Northwest CASA 415 W Golf Rd 47 Arlington Hts IL 60005 362897300 501(c)(3) 40105 Program Support PEER Services Inc 906 Davis Street Evanston IL 60201 362848969 501(c)(3) 40000 Program Support Turning Point Behavioral Health Care Center 8324 Skokie Blvd Skokie IL 60077 362327294 501(c)(3) 40000 Program Support Jewish Federation of Metropolitan Chicago 30 S Wells St 4049 Chicago IL 60606 362167761 501(c)(3) 37750 Program Support Metropolitan Family Services One North Dearborn Chicago IL 60602 362167940 501(c)(3) 33000 Program Support Orchard Village 7670 Marmora Avenue Skokie IL 60077 362773481 501(c)(3) 30091 Program Support Ecker Center for Mental Health Inc 1845 Grandstand Place Elgin IL 60123 362312495 501(c)(3) 30000 Program Support North Shore Senior Center 161 Northfield Road Northfield IL 60093 362366074 501(c)(3) 30000 Program Support Society for the Preservation of Human Dignity 37 North Plum Grove Road Palatine IL 60067 237208626 501(c)(3) 30000 Program Support Countryside Association for People with Disabiliti 21154 West Shirley Road Palatine IL 60074 362340304 501(c)(3) 25000 Program Support Lester and Rosalie Anixter Center 2001 N Clybourn Ave 3 Chicago IL 60614 362244895 501(c)(3) 25000 Program Support Lutheran Social Services of Illinois 1001 E Touhy50 Des Plaines IL 60018 362584799 501(c)(3) 25000 Program Support Maine Center Inc 819 Busse Highway Park Ridge IL 60068 362616713 501(c)(3) 25000 Program Support Palatine Township Senior Citizens Council 505 South Quentin Road Palatine IL 60067 362781764 501(c)(3) 25000 Program Support YWCA EvanstonNorth Shore 1215 Church Street Evanston IL 60201 362193618 501(c)(3) 25000 Program Support The Center of Concern 1580 N Northwest Hwy Park Ridge IL 60068 362984360 501(c)(3) 20000 Program Support Life Span PO Box 1515 Des Plaines IL 60017 362991281 501(c)(3) 20000 Program Support Access Community Health Network 600 West Fulton Street Chicago IL 60661 363317058 501(c)(3) 17500 Program Support Clearbrook 1835 W Central Rad Arlington Hts IL 60005 362420176 501(c)(3) 15848 Program Support Hanul Family Alliance 5008 North Kedzie Ave Chicago IL 60625 363519498 501(c)(3) 15000 Program Support Prairie State Legal Services 303 North Main Street Rockford IL 61101 371030764 501(c)(3) 13000 Program Support YMCA of Metropolitan Chicago 801 North Dearborn Chicago IL 60610 362179782 501(c)(3) 13000 Program Support Glenkirk 3504 Commercial Ave Northbrook IL 60062 362345191 501(c)(3) 10000 Program Support Senior Services Associates Inc 101 South Grove Ave Elgin IL 60120 362775102 501(c)(3) 10000 Program Support Youth Crossroads Inc 6412 West 27th Street Berwyn IL 60402 237417420 501(c)(3) 10000 Program Support United Way of Metro Chicago 560 West Lake Street Chicago IL 606611499 362167037 501(c)(3) 6330 Program Support United Way of DuPageWest Cook 1000 Jorie Blvd 360 Oak Brook IL 60522 451534557 501(c)(3) 5192 Program Support 41 SCHOLARSHIPS - POST-SECONDARY EDUCATION 5 7000 Procedure for monitoring the use of grant funds in the u.s. Form 990, Schedule I, Part 1, Line 2 Northwest Suburban United Way monitors the use of grants in the United States by requiring agencies to submit, no less than annually, information related to programs being funded. Information may include, but is not limited to, client demographics, program activities, program measurements and program outcomes. United Way of Metropolitan Chicago and Northwest Suburban United Way staff also converses and correspond with grantees on a regular basis. Number of Volunteers Form 990, Part I, Line 6 21 NWSUW BOARD 9 CAMPAIGN CABINET 10 COMMUNITY IMPACT COMMITTEE 15 FOOD DRIVE 35 COMMUNITY THANKSGIVING DINNER 14 READY FOR SCHOOL COMMITTEE 15 LIVE UNITED TOY DRIVE 5 MAILING COMMITTEE 10 SKOKIE TRAIL TO FITNESS COMMITTEE 8 SCHOLARSHIP COMMITTEE 16 WOMEN'S LEADERSHIP COUNCIL 8 EDUCATION INVESTMENT COMMITTEE 15 YLS 3 CELEBRATION LUNCH COMMITTEE 184 TOTAL Other Exempt Purpose Achievements Form 990, Part III, Line 4d OTHER PROGRAM SERVICE ACHIEVEMENTS INCLUDE DESIGNATIONS TO OTHER 501(C)(3)S PAID DIRECTLY BY THE DONOR, ALLOCATIONS MADE BY NORTHWEST SUBURBAN UNITED WAY TO THE ALLOCATION BOARD FOR REDISTRIBUTION OF FUNDS TO OTHER MEMBERS, AND OTHER EXEMPT PURPOSE ACHIEVEMENTS. 1099s Transmitted by UWMC Form 990, Part V, Line 1A United Way of Metropolitan Chicago, Inc., as the common paymaster, has filed Forms 1099 to report certain amounts as required. W-3s Transmitted by UWMC Form 990, Part V, Line 2a United Way of Metropolitan Chicago, Inc., as the common paymaster, has filed Form W-3 to report certain amounts as required. Executive Committee 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 Northwest Suburban. The Executive Committee consists of officers of Northwest Suburban, the chairpersons of the other standing committees of the Board and the immediate Past President of Northwest Suburban. 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. Governance Decisions Form 990, PART VI, LINE 7b United Way of Metropolitan Chicago, Inc. ("UWMC") is an Illinois non-profit philanthropic corporation whose mission is to improve lives in the metropolitan Chicago area by mobilizing caring people to invest in the community where resources are needed the most. UWMC and the following four Member United Ways ("MUWs") (collectively referred to as the "Organization") raise funds through community-wide campaigns: South-Southwest Suburban United Way ("South-Southwest") Northwest Suburban United Way ("Northwest") North Shore United Way ("North Shore") United Way of DuPage/West Cook ("DuPage") 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 THAT 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 THAT 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 Review Process Form 990, Part VI, Line 11 A REVIEW OF THE FORM 990 WAS CONDUCTED BY THE TREASURER FROM THE BOARD OF DIRECTORS AND THE CHIEF PROFESSIONAL OFFICER DURING A CONFERENCE PRIOR TO THE FILING OF THE FORM 990. DURING THE WEEK BEFORE THE CALL, A COPY OF THE FORM 990 AND THE PRIOR YEAR FORM 990 WERE EMAILED TO THE TREASURER AND CHIEF PROFESSIONAL OFFICER TO ALLOW ADVANCE TIME FOR THE REVIEW. THE CONFERENCE CALL WAS INITIATED BY THE VICE PRESIDENT OF FINANCE FOR THE UNITED WAY OF METROPOLITAN CHICAGO, INC. COMMENTS REGARDING THE PREPARATION OF THE FORM 990 WERE SHARED. QUESTIONS OR COMMENTS FROM THE TREASURER AND CHIEF PROFESSIONAL OFFICER CONCERNING THE FORM 990 WERE SOLICITED. FOLLOWING THE REVIEW THE FORM 990 WAS E-MAILED TO EACH OF THE VOTING MEMBERS OF THE BOARD DIRECTORS PRIOR TO THE FILING OF THE FORM 990. Written Conflict of Interest Policy Form 990, Part VI, Line 12 THE ORGANIZATION HAS A FORMALIZED BUSINESS ETHICS POLICY ("ETHICS POLICY"). THE ETHICS POLICY IS APPLICABLE TO ALL EMPLOYEES AND DIRECTORS OF THE BOARD OF THE UNITED WAY OF METROPOLITAN CHICAGO, INC. ("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 NOMINATING, FINANCE, AUDIT, MEMBER ADVISORY, 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 THAT CONFLICTS WITH THE ORGANIZATION'S ON-GOING OR PROPOSED ACTIVITIES. A MEMBER OF THE UWMC ORGANIZATIONAL MEMBERSHIP CANNOT 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, SIGN AND FORWARD RESPONSES TO A COMPLIANCE QUESTIONNAIRE ADDRESSED TO THE PRESIDENT OF UWMC (THE QUESTIONNAIRE ADDRESSES COMPLIANCE WITH ALL ASPECTS OF THE ETHICS POLICY, INCLUDING CONFLICTS OF INTEREST). THE STAFF ETHICS OFFICER (BOARD SECRETARY) SUMMARIZES THE RESULTS OF THE ANNUAL CERTIFICATION PROCEDURE AND REPORTS THE RESULTS TO THE BOARD OF DIRECTORS ANNUALLY IN DECEMBER. 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 THE UWMC. ALL REPORTS WILL BE BROUGHT TO THE ATTENTION OF THE STAFF ETHICS OFFICER, CHIEF OPERATING OFFICER AND EXECUTIVE TEAM; 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. Process for Compensation Determination Form 990, Part VI, Line 15 COMPENSATION PROCESS FOR TOP OFFICIAL: THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS OF NORTHWEST SUBURBAN UNITED WAY 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 SENIOR VICE PRESIDENT OF STRATEGY AND REGIONAL OPERATIONS AT THE UNITED WAY OF METROPOLITAN CHICAGO, INC. ("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. THIS REVIEW OF THE CPO PERFORMANCE AND SALARY WAS MOST RECENTLY PERFORMED FOR THE FISCAL YEAR ENDED JUNE 30, 2012. NORTHWEST SUBURBAN UNITED WAY 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. Documents Made Available to the Public Form 990, Part VI, Line 18 The following organizations are affiliated with the United Way of Metropolitan Chicago ("UWMC"): United Way of DuPage/West Cook North Shore United Way South-Southwest Suburban United Way Northwest Suburban United Way 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 the 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. Northwest Suburban United Way makes its form 990 available upon request. Documents Made Available to the Public Form 990, Part VI, Line 19 NORTHWEST SUBURBAN UNITED WAY MAKES ITS GOVERNING DOCUMENTS, THE BYLAWAS AND ARTICLES OF INCORPORATION, AVAILABLE UPON REQUEST. THE MOST RECENT AUDITED FINANCIAL STATEMENTS AND A LINK TO ETHICSPOINT ARE AVAILABLE ON THE NORTHWEST SUBURBAN UNITED WAY WEBSITE (HTTP://WWW.UW-MC.ORG/NORTHWEST/). ETHICSPOINT IS A CUSTOMIZED PAGE CREATED FOR UNITED WAY OF METROPOLITAN CHICAGO, INC. AND ITS MEMBER UNITED WAYS. WITHIN ETHICSPOINT, THERE IS A LINK TO THE BUSINESS ETHICS POLICY CONTAINING THE CONFLICT OF INTEREST POLICY. Administrative Support Reimbursement Form 990, Part IX, Line 11a THE AMOUNT INCLUDED IN THIS LINE REPRESENTS THE REIMBURSEMENT MADE BY NORTHWEST SUBURBAN UNITED WAY TO THE UNITED WAY OF METROPOLITAN CHICAGO, INC. FOR THE ADMINISTRATIVE SUPPORT DESCRIBED ELSEWHERE IN SCHEDULE O. Other changes in net assets or fund balances Form 990, Part XI, Line 5 Revenues........................... $2,560,521 Expenses........................... 2,388,923 Change in Net Assets............... 171,598 Beginning Net Assets............... 1,582,386 Net Unrealized Gains............... 2,495 Loss on 2010 Campaign Pledges...... (20,568) Total........................... $1,735,911