2024-02-18T11:42:00-06:00 2023-06-30 366055558 GRANT THORNTON LLP 171 N CLARK ST SUITE 200 CHICAGO IL 60601 990 2022-07-01 362167949 UNITED WAY OF LAKE COUNTY INC UNIT 8477751000 330 SOUTH GREENLEAF STREET GURNEE IL 60031 KRISTI LONG PRESIDENT & CEO 8477751000 2024-02-16 1 KRISTI LONG XXX-XX-XXXX 0 BRIDGET ROCHE P00666837 3128560200 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z KRISTI LONG 330 SOUTH GREENLEAF STREET GURNEE IL 60031 6627472 0 X HTTP://WWW.LIVEUNITEDLAKECOUNTY.ORG X 1940 IL UNITING LEADERSHIP AND RESOURCES TO CREATE LASTING CHANGE THAT WILL IMPROVE (CONTINUED IN SCH. O) AND SAVE LIVES IN LAKE COUNTY, ILLINOIS. 27 26 30 963 0 0 6626869 6501115 6694 8348 104445 107245 -29469 -27065 6708539 6589643 3435050 3527353 0 0 1897030 2150658 0 0 635091 1608896 1148501 6940976 6826512 -232437 -236869 9128371 9933960 349122 1051555 8779249 8882405 X TO UNITE LEADERSHIP AND RESOURCES FOR LASTING CHANGE, BY FOCUSING ON MEETING THE FINANCIAL, SOCIAL, AND EDUCATIONAL NEEDS OF FAMILIES AND INDIVIDUALS TO IMPROVE THEIR QUALITY OF LIFE. 0 0 2855800 2695842 8348 PROGRAM ACHIEVEMENTS INCLUDE SENDING DESIGNATIONS TO OTHER 501(C)(3) ORGANIZATIONS, SOME OF WHICH ARE PAID DIRECTLY BY THE DONOR, AND OTHER EXEMPT PURPOSE ACHIEVEMENTS. 686310 117000 SUCCESS BY SIX: CHILDREN ENTER KINDERGARTEN READY TO SUCCEED. THIS IS ACHIEVED THROUGH A COMBINATION OF DIRECT SERVICE AND GRANTS TO PROGRAM PARTNERS. GRANTS TO THE COMMUNITY TOTALED $117,000. THERE WERE 4 AGENCIES INVOLVED THAT SERVED 175 CLIENTS IN 2023. THESE PROGRAMS ENSURED CHILDREN ENTER KINDERGARTEN WITH THE SKILLS THEY NEED TO BE SUCCESSFUL IN SCHOOL. DIRECT SERVICE PROGRAMS HAVE A COMBINED SPEND OF $686,310. INCLUDED KINDERGARTEN COUNTDOWN CAMP SERVING 115 CHILDREN AND EARLY LEARNING CLUBS SERVING 2,677 CHILDREN. THESE PROGRAMS MEET THE GOAL: CHILDREN ENTER KINDERGARTEN WITH THE SKILLS THEY NEED TO BE SUCCESSFUL IN SCHOOL. DIRECT SERVICE PROGRAMS BETTER TOGETHER SERVED 105 CHILDREN AND 699 FAMILIES SUBSCRIBED TO BRIGHT BY TEXT.(SEE SCHEDULE O)THOSE PROGRAMS MEET THE GOAL: BABIES ARE BORN HEALTHY AND CHILDREN 0-5 RECEIVE THE NECESSARY PREVENTATIVE HEALTHCARE. 1395072 714511 211/SAFE & STABLE FAMILIES: A FREE, CONFIDENTIAL, MULTILINGUAL, 24/7, 365 DAYS PER YEAR INFORMATION AND REFERRAL HELPLINE. PROVIDES INFORMATION AND REFERRALS TO PEOPLE IN NEED USING PHONE CALLS, TEXT MESSAGING AND ONLINE SEARCHABLE DATABASES. TRAINED SPECIALISTS ASSIST INDIVIDUALS AND FAMILIES IN NEED WITH ACCESS TO AVAILABLE HEALTH AND HUMAN SERVICES: SUCH AS FOOD, EMERGENCY SHELTER, RENT AND UTILITY ASSISTANCE, HEALTH CLINCS, SUBSTANCE ABUSE AND MENTAL HEALTH COUNSELING, AND MORE. 79,088 CONTACTS WERE MADE TO 211 RESULTING IN 17,525 REQUESTS WITH A SPEND OF $1,395,072. THE GREATEST NEEDS ADDRESSED INCLUDED HOUSING AND SHELTER (50%) UTILITIES (11%) AND FOOD AND EMPLOYMENT (6%). 809005 0 0 YOUTH SUCCESS HAS A SPEND OF APPROXIMATELY $809,005 IT MEETS THE GOAL: STUDENTS STAYING ON TRACK TO GRADUATION WHILE HAVING ACCESS TO THE CRITICAL SUPPORT AND RESOURCES TO SUCCEED IN SCHOOL, WORK, AND LIFE. DIRECT SERVICE PROGRAMS INCLUDE SCIENCE SPEAKERS (100 STUDENTS) AND BREAKFAST CLUB (31 8TH GRADERS AND 25 7TH GRADERS). RESOURCES INCLUDE (2700 BACKPACKS, 1611 BOOKS, 15 SENSORY PATHS, AND 19 LEARNING TRAILS). STUDENTS RECEIVED MENTORSHIP IN ACADEMICS, SOCIAL EMOTIONAL SUPPORT, AND GUIDANCE TO DEVELOP THE SKILLS NEEDED TO SUCCEED. 809005 0 0 5746187 1 1 0 0 0 0 0 0 0 1 1 0 0 0 0 1 1 0 0 0 0 0 0 0 1 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 6 0 1 30 1 0 0 0 0 0 0 0 0 0 0 0 0 X 27 26 0 0 0 0 1 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 IL X X KRISTI LONG 8477751019 330 SOUTH GREENLEAF STREET GURNEE IL 60031 X KRISTI LONG PRESIDENT & CEO 50.00 0.00 X X 191619 0 24076 GLENDA G ABBOTT COMMUNITY IMPACT CHAIR 3.00 0.00 X X 0 0 0 MONICA M BURMEISTER FIN & ADMIN CHAIR / TREASURER 4.00 0.00 X X 0 0 0 STEVE CARLSON BOARD MEMBER 1.00 0.00 X 0 0 0 KATE COLLINS BOARD MEMBER 1.00 0.00 X 0 0 0 NANCY CHASE-COOLLEY BOARD MEMBER 4.00 0.00 X 0 0 0 DRU GARCIA BOARD MEMBER 1.00 0.00 X 0 0 0 JOE GARNETT BOARD MEMBER 1.00 0.00 X 0 0 0 JULIE GORDON BOARD MEMBER 1.00 0.00 X 0 0 0 MICHELLE HANSEN BOARD MEMBER 2.00 0.00 X 0 0 0 DEMAR HARRIS BOARD MEMBER 1.00 0.00 X 0 0 0 IRENE HRUSOVSKY BOARD MEMBER 1.00 0.00 X 0 0 0 TOM HUDSON BOARD MEMBER 1.00 0.00 X 0 0 0 JOHN IDLEBURG BOARD MEMBER 1.00 0.00 X 0 0 0 SANDI JOHNSON BOARD MEMBER 1.00 0.00 X 0 0 0 PATRICE MALONEY-KNAUF BOARD MEMBER 3.00 0.00 X 0 0 0 MAX NEMMERS BOARD MEMBER 1.00 0.00 X 0 0 0 J RAMON RIVERA BOARD MEMBER 1.00 0.00 X 0 0 0 JESUS RUIZ BOARD MEMBER 1.00 0.00 X 0 0 0 MARK SCHWEITZER VICE CHAIR 1.00 0.00 X X 0 0 0 CARL SKOOG BOARD MEMBER 1.00 0.00 X 0 0 0 KEVIN SLAWIN BOARD MEMBER 1.00 0.00 X 0 0 0 LORI SUDDICK BOARD MEMBER 1.00 0.00 X 0 0 0 TARA THOMAS-VEAL BOARD MEMBER 1.00 0.00 X 0 0 0 TEJAL VAKHARIA BOARD MEMBER 2.00 0.00 X 0 0 0 DONNOVAN M YOUNG BOARD MEMBER 3.00 0.00 X 0 0 0 CARLA ZUNIGA PAST BOARD CHAIR 1.00 0.00 X X 0 0 0 JAMES Q SNODGRASS VP RESOURCE DEVELOPMENT 50.00 0.00 X 145102 0 9204 336721 0 33280 2 0 1 0 UNITED WAY OF METROPOLITAN CHICAGO 222 MERCHANDISE MART PLZ STE 633 CHICAGO IL 60654 ADMIN SERVICES 151641 1 20713 346618 714511 5419273 66265 6501115 DESIGNATION FEES 561000 8348 8348 8348 108012 108012 767 1534 -767 -767 -767 9230 346618 36295 -27065 -27065 6589643 8348 0 80180 3527353 3527353 219638 140355 31255 48028 1494803 957331 208270 329202 90915 55899 14934 20082 205579 131563 36224 37792 139723 90255 19292 30176 448864 352895 42481 53488 1433 1433 36695 14360 15552 6783 18980 9422 3786 5772 23158 9177 9030 4951 120629 111093 3623 5913 15494 8752 2659 4083 12705 6628 2407 3670 114792 65199 19500 30093 9892 5693 2178 2021 14838 10992 1216 2630 56712 28154 11312 17246 74978 37222 14955 22801 109741 96779 4992 7970 UNCOLLECTIBLE PLEDGES 81000 81000 MEMBERSHIP DUES 8590 4632 1568 2390 6826512 5746187 445234 635091 300 300 2643906 2721299 753181 1409657 35177 25548 3257423 2030953 1284255 1226470 4411552 4550686 0 0 9128371 9933960 349122 455884 0 590671 0 5000 0 0 349122 1051555 X 5076065 5112693 3703184 3769712 8779249 8882405 9128371 9933960 -236869 340025 0 X 0 1 X 1 0 X 7427846 9176843 6000035 6545869 6501115 35651708 7427846 9176843 6000035 6545869 6501115 35651708 252202 35399506 127112 118425 85449 86593 108012 525591 12880 11806 24686 36201985 34801 0.97780 0.97710 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS INCOME - 2018 AMOUNT: $ 700. 2019 AMOUNT: $ 0. 2020 AMOUNT: $ 0. 2021 AMOUNT: $ 0. 2022 AMOUNT: $ 0. FUNDRAISING GROSS RECEIPTS - 2018 AMOUNT: $ 12,180. 2019 AMOUNT: $ 11,806. 2020 AMOUNT: $ 0. 2021 AMOUNT: $ 0. 2022 AMOUNT: $ 0. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 4147195 432973 296130 4284039 4981546 -665388 168962 4147195 4084264 1123020 225738 4981546 4563598 -39240 440094 4084264 4593169 189121 218692 4563598 0.51200 0.48800 0 0 200000 200000 2135999 1162867 973132 536815 483538 53277 384609 384548 61 1226470 X 4033592 340026 18810 -81000 277836 3755756 2833887 2833887 6589643 3930435 18810 -81000 -62190 3992625 2833887 2833887 6826512 PART V, LINE 4: THE BOARD DESIGNATED ENDOWMENT FUNDS ARE UNRESTRICTED FUNDS SET ASIDE BY UNITED WAY OF LAKE COUNTY, INC.'S ("UWLC") BOARD OF DIRECTORS FOR SPECIFIC PURPOSES OR PROJECTS. THE PERMANENT FUND IS KNOWN AS THE UWLC FOREVER FUND ("THE FUND"). THE PURPOSE OF THE FUND IS TO RAISE AND SECURE GIFTS, GRANTS, BEQUESTS AND DEVISES APART FROM THE ANNUAL UWLC CAMPAIGN. INVESTMENT INCOME FROM THE FUND WILL BE DISBURSED AT THE DIRECTION OF THE BOARD OF DIRECTORS OF UWLC IN A MANNER DEEMED PRUDENT TO SERVE A BOARD RANGE OF COMMUNITY NEEDS INCLUDING, BUT NOT LIMITED TO, HEALTH AND HUMAN SERVICES, CAPITAL, EDUCATIONAL AND CULTURAL PROGRAMS FOR THOSE PERSONS THEN PRESENT IN, OR LIVING IN THE LAKE COUNTY, ILLINOIS COMMUNITY. PART X, LINE 2: UWLC HAS RECEIVED A FAVORABLE DETERMINATION LETTER FROM THE INTERNAL REVENUE SERVICE STATING THAT IT IS EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF 501(C)(3) OF THE INTERNAL REVENUE CODE OF 1986 AS AMENDED, 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 THAT 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 STATEMENTS OF ACTIVITIES OR STATEMENTS OF FINANCIAL POSITION. PART XI, LINE 2D - OTHER ADJUSTMENTS: PROVISION FOR UNCOLLECTED PLEDGES -81,000. PART XI, LINE 4B - OTHER ADJUSTMENTS: DESIGNATIONS TO OTHER ORGANIZATIONS 2,870,182. FUNDRAISING EVENT EXPENSE -36,295. PART XII, LINE 2D - OTHER ADJUSTMENTS: PROVISION FOR UNCOLLECTED PLEDGES -81,000. PART XII, LINE 4B - OTHER ADJUSTMENTS: DESIGNATIONS TO OTHER ORGANIZATIONS 2,833,887. PREM LEADER EV 268759 268759 8605 8959 POWER OF THE PURSE 74193 66913 7280 8136 1092 5 12896 10946 1950 0 9503 355848 346618 9230 16741 19554 36295 -27065 1 PERSONAL ASSISTANCE TELEPHONE HELP INC 201 E GROVE STREET SUITE 200 BLOOMINGTON IL 61701 370959387 501(C)(3) 184870 0 PROGRAM SUPPORT UNITED WAY OF GREATER ST LOUIS 910 NORTH 11TH STREET ST LOUIS MO 63101 430714167 501(C)(3) 78100 0 PROGRAM SUPPORT UNITED WAY OF WILL COUNTY 54 N OTTOWA ST SUITE 300 JOLIET IL 60432 362515625 501(C)(3) 64993 0 PROGRAM SUPPORT FOX VALLEY UNITED WAY 44 E GALENA BLVD AURORA IL 60505 362195467 501(C)(3) 33400 0 PROGRAM SUPPORT UNITED WAY OF ROCK RIVER VALLEY 612 N MAIN STREET SUITE 300 ROCKFORD IL 61103 362167843 501(C)(3) 31200 0 PROGRAM SUPPORT FRIENDS OF THE ROUND LAKE AREA PARKS FOUNDATION INC 814 HART ROAD ROUND LAKE IL 60073 300053187 501(C)(3) 26500 0 PROGRAM SUPPORT UNITED WAY OF GREATER MCHENRY COUNTY 4508 PRIME PARKWAY MCHENRY IL 60050 366147909 501(C)(3) 23900 0 PROGRAM SUPPORT UNITED WAY OF CHAMPAIGN COUNTY 5 DUNLAP COURT SAVOY IL 61874 370662519 501(C)(3) 23100 0 PROGRAM SUPPORT UNITED WAY OF MCLEAN COUNTY PO BOX 1348 BLOOMINGTON IL 61702 370661505 501(C)(3) 18900 0 PROGRAM SUPPORT UNITED WAY OF CENTRAL ILLINOIS INC 1999 WABASH AVE SUITE 107 SPRINGFIELD IL 62704 366009288 501(C)(3) 18431 0 PROGRAM SUPPORT MANO A MANO FAMILY RESOURCE CENTER 6 EAST MAIN STREET ROUND LAKE PARK IL 60073 364418084 501(C)(3) 15705 0 PROGRAM SUPPORT FAMILY FIRST CENTER OF LAKE COUNTY THE FORMATIVE YEARS 2408 29TH STREET ZION IL 60099 611471045 501(C)(3) 15000 0 PROGRAM SUPPORT KENDALL COUNTY 211 INC 16524 FRAZIER ROAD PLANO IL 50545 612027674 501(C)(3) 14898 0 PROGRAM SUPPORT AFFIRM LEADERSHIP CHRISTIAN ACADEMY INC 3601 NORTH LEWIS AVE WAUKEGAN IL 60087 364365823 501(C)(3) 12500 0 PROGRAM SUPPORT UNITED WAY OF DECATUR AND MID-ILLINOIS 201 WEST ELDORADO STREET DECATUR IL 62522 370673475 501(C)(3) 11280 0 PROGRAM SUPPORT MOTHERS TRUST FOUNDATION 400 E ILLINOS LAKE FORST IL 60045 364177726 501(C)(3) 10766 0 PROGRAM SUPPORT UNITED WAY OF ILLINOIS 4508 PRIME PARKWAY MCHENRY IL 60050 362962458 501(C)(3) 10000 0 PROGRAM SUPPORT UNITED WAY OF SOUTH CENTRAL ILLINOIS 802 S 42ND ST MT VERNON IL 62864 371149287 501(C)(3) 6550 0 PROGRAM SUPPORT UNITED WAY OF WHITESIDE COUNTY 100 W 1ST ST SUITE A ROCK FALLS IL 61081 366009102 501(C)(3) 6076 0 PROGRAM SUPPORT UNITED WAY OF GRUNDY COUNTY (ILLINOIS) 1802 N DIVISION STREET SUITE 500 MORRIS IL 60450 237164976 501(C)(3) 5700 0 PROGRAM SUPPORT UNITED WAY OF KANKAKEE AND IROQUOISCOUNTIES 200 E COURT ST SUITE 500 KANKAKEE IL 60901 362188452 501(C)(3) 5347 0 PROGRAM SUPPORT CHILDRENS HEART FOUNDATION 5 REVERE DRIVE SUITE 200 NORTHBROOK IL 600621500 364077528 501(C)(3) 5200 0 PROGRAM SUPPORT BOYS AND GIRLS CLUB OF KENOSHA INC 1330 52ND ST KENOSHA WI 53140 391732935 501(C)(3) 5166 0 PROGRAM SUPPORT 23 PART I, LINE 2: PROCEDURE FOR MONITORING USE OF GRANT FUNDS INSIDE U.S. THE AGENCIES LISTED IN SCHEDULE I INCLUDE UNITED WAY FUNDED AGENCIES AND AGENCIES RECEIVING DONOR DESIGNATIONS. FOR PURPOSES OF COMPLETING SCHEDULE I, IF AN AGENCY RECEIVED UWLC GRANT FUNDS AND DONOR DESIGNATIONS, THE AMOUNT OF CASH GRANT IS THE TOTAL OF THESE TWO FUNDING SOURCES. EACH AGENCY RECEIVING DIRECT UWLC FUNDING IS REQUIRED TO SUBMIT ANNUAL REPORTS TO UWLC. THE REPORTS INCLUDE INFORMATION ABOUT BUDGET, DEMOGRAPHICS REGARDING THE COMMUNITY SERVICED AND PERFORMANCE (OUTCOME) UPDATES. THESE REPORTS ARE REVIEWED BY THE STAFF OF UWLC AND FOLLOW UP IS PERFORMED IF NECESSARY. IN ADDITION, UWLC MAINTAINS CONTACT WITH THE AGENCIES THROUGH THE YEAR AS THE AGENCIES' FUNDED PROGRAMS ARE EXECUTED. FOR AGENCIES RECEIVING FUNDS AS A RESULT OF DONORS DESIGNATING TO THOSE AGENCIES, UWLC DOES NOT MONITOR THESE AGENCIES. HOWEVER, THESE DESIGNATED AGENCIES ARE CHECKED TO VERIFY THEIR 501(C)(3) STATUS. X X X 0 0 0 0 0 0 0 0 0 KRISTI LONG PRESIDENT & CEO 191351 0 0 0 268 0 11312 0 12764 0 215695 0 0 0 JAMES Q SNODGRASS VP RESOURCE DEVELOPMENT 137083 0 0 0 8019 0 8076 0 1128 0 154306 0 0 0 X 5 66265 FMV 0 1 0 PART I, COLUMN (B): UWLC IS REPORTING BOTH THE NUMBER OF CONTRIBUTIONS AND THE NUMBER OF ITEMS RECEIVED DURING THE FISCAL YEAR ENDING JUNE 30, 2023. FORM 990, PART I, LINE 6: BOARD/POLICY MAKING VOLUNTEERS: 25 LOANED EXECUTIVES: 0 INTERNAL CAMPAIGN COORDINATORS: 84 PLANNED GIVING/ENDOWMENT VOLUNTEERS: 10 COMMUNITY IMPACT/COMMUNITY BUILDING VOLUNTEERS: 10 DIRECT SERVICE VOLUNTEERS: 108 DAY(S) OF SERVICE VOLUNTEERS: 726 TOTAL: 963 FORM 990, PART VI, SECTION A, LINE 1A THE EXECUTIVE COMMITTEE HAS ALL POWER AND AUTHORITY TO ACT FOR THE BOARD OF DIRECTORS BETWEEN REGULAR BOARD MEETINGS AND IN EMERGENCIES. THE EXECUTIVE COMMITTEE HAS SUCH POWER AS IS DELEGATED BY THE BOARD. THE EXECUTIVE COMMITTEE CONSISTS OF A MINIMUM OF EIGHT DIRECTORS, INCLUDING THE CHAIR OF THE BOARD. ADDITIONAL DIRECTORS MAY BE ELECTED TO SERVE AS AT-LARGE VOTING MEMBERS OF THE EXECUTIVE COMMITTEE FROM TIME TO TIME BY THE BOARD OF DIRECTORS. THE EXECUTIVE COMMITTEE HAS THE AUTHORITY TO DETERMINE THE ANNUAL OPERATING BUDGET, SALARY AND BENEFIT SCHEDULES, SUBJECT TO THE RATIFICATION OF THE AGGREGATE AMOUNT BY THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION A, LINE 6 THE MEMBERS OF THIS CORPORATION SHALL BE ONE CLASS OF TERMED MEMBERS. EACH CONTRIBUTOR TO THE UWLC CAMPAIGN SHALL BE ENTITLED TO MEMBERSHIP IN THE UWLC AND SHALL BE KNOWN AS A MEMBER DURING THE YEAR FOR WHICH THE GIFT WAS MADE. FORM 990, PART VI, SECTION B, LINE 11B A REVIEW OF THE FORM 990 WAS CONDUCTED BY THE FINANCE & AUDIT COMMITTEE OF THE BOARD OF DIRECTORS AND CERTAIN KEY UWLC STAFF MEMBERS DURING THE FINANCE & AUDIT COMMITTEE MEETING ON FEBRUARY 7, 2024 PRIOR TO THE FILING OF THE FORM 990. COPIES OF THE FORM 990 WERE EMAILED TO THE FINANCE & AUDIT COMMITTEE AND KEY UWLC STAFF MEMBERS: THE PRESIDENT & CEO, THE VICE PRESIDENT OF RESOURCE DEVELOPMENT AND THE MANAGER OF FINANCE. QUESTIONS OR COMMENTS FROM THE FINANCE & AUDIT COMMITTEE AND THE KEY STAFF MEMBERS CONCERNING THE FORM 990 WERE SOLICITED AND SHARED. FOLLOWING THE REVIEW, THE FORM 990 WAS PROVIDED TO EACH OF THE VOTING MEMBERS OF THE BOARD OF DIRECTORS PRIOR TO THE FILING OF THE FORM 990. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION HAS TWO CODE OF ETHICS POLICIES (COLLECTIVELY REFERRED TO AS "THE ETHICS POLICIES") COVERING (1) EMPLOYEES AND (2) VOLUNTEERS AND REPRESENTATIVES (INCLUDING BOARD OF DIRECTORS AND ITS COMMITTEES) OF UWLC AND CLOSE FAMILY MEMBERS OF EMPLOYEES AND VOLUNTEERS AND REPRESENTATIVES. THE ETHICS POLICIES COVER, AMONG OTHER TOPICS AND WHEN APPLICABLE, ACCOUNTABILITY AND EFFICIENCY; RESPONSIBILITIES TO (OF) VOLUNTEERS AND REPRESENTATIVES; VENDOR RELATIONS; EQUAL OPPORTUNITY; CONFLICT OF INTEREST; PERSONAL GAIN; FAVORITISM; SOLICITATIONS; CONFIDENTIAL INFORMATION AND DISCLOSURE. REGARDING CONFLICTS OF INTEREST, UWLC EMPLOYEES, VOLUNTEERS AND REPRESENTATIVES ARE PROHIBITED FROM PARTICIPATING IN ANY ACTIVITY OR OUTSIDE BUSINESS VENTURE FOR FINANCIAL GAIN OR OTHERWISE THAT CONFLICTS WITH UWLC'S BEST INTERESTS, INCLUDING INVOLVEMENT WITH A CURRENT OR POTENTIAL VENDOR, GRANTEE OR COMPETING ORGANIZATION, UNLESS DISCLOSED TO AND NOT DEEMED TO BE INAPPROPRIATE BY THE PRESIDENT AND CEO OR BOARD CHAIRPERSON. EACH UWLC EMPLOYEE, VOLUNTEER AND REPRESENTATIVE IS ANNUALLY REQUIRED TO COMPLETE, SIGN AND FORWARD RESPONSES TO A CONFLICT OF INTEREST STATEMENT. THE RESULTS OF THE ANNUAL CERTIFICATION PROCEDURE ARE SUMMARIZED AND AVAILABLE TO THE BOARD OF DIRECTORS. UWLC EMPLOYEES, VOLUNTEERS OR REPRESENTATIVES HAVING A GOOD FAITH COMPLAINT REGARDING ACCOUNTING, INTERNAL AUDITING CONTROLS, AUDITING MATTERS IN GENERAL AND/OR OTHER CONCERNS SPECIFICALLY NOTED IN THE ETHICS POLICIES (COLLECTIVELY REFERRED TO AS "ETHICAL FINANCIAL CONCERNS") MUST SUBMIT AN ETHICAL FINANCIAL CONCERN TO THE STAFF ETHICS OFFICER (DIRECTOR OF ADMINISTRATION) OR CURRENT BOARD CHAIRPERSON IN PERSON, BY TELEPHONE OR BY LETTER. ALL ETHICAL FINANCIAL CONCERNS ARE RECORDED BY THE STAFF ETHICS OFFICER AND FORWARDED TO THE BOARD CHAIRPERSON. THE BOARD CHAIRPERSON MAKES AN INITIAL DETERMINATION IF THE ETHICAL FINANCIAL CONCERN SHOULD BE FURTHER INVESTIGATED, AND IF SO, MAY DESIGNATE AN APPROPRIATE BOARD MEMBER(S) OR OUTSIDE COUNSEL/ADVISORS TO CONDUCT SUCH AN INVESTIGATION. ON NOT LESS THAN A SEMI-ANNUAL BASIS, THE STAFF ETHICS OFFICER WILL REPORT TO THE BOARD AS TO THE STATUS OF ALL ETHICAL FINANCIAL CONCERNS THAT HAVE BEEN RECEIVED. FORM 990, PART VI, SECTION B, LINE 15 THE CHAIR OF THE UWLC BOARD OF DIRECTORS REVIEWS THE PERFORMANCE AND COMPENSATION OF THE PRESIDENT & CEO ("TOP MANAGEMENT OFFICIAL"). ANNUALLY, THE BOARD CHAIR CONDUCTS A PERFORMANCE EVALUATION OF THE PRESIDENT & CEO. ANY SALARY ADJUSTMENT FOR THE PRESIDENT & CEO IS COMMUNICATED TO THE DIRECTOR OF ADMINISTRATION. UWLC USES A MARKET PRICING/JOB SLOTTING SYSTEM AS THE BEST FIT FOR ITS TOTAL COMPENSATION PHILOSOPHY. USING JOB DESCRIPTIONS AS A BASE, "BENCHMARK JOBS" (JOBS COMMON TO SIMILAR ORGANIZATIONS TYPICALLY SURVEYED) WERE IDENTIFIED. APPROXIMATELY 25 JOBS WERE SELECTED AS BENCHMARK JOBS. THESE JOBS WERE COMPETITIVELY PRICED TO THE LABOR MARKET. ALL NON-BENCHMARK JOBS WERE COMPARED AND RANKED AS TO JOB RESPONSIBILITIES IN COMPARISON TO THE BENCHMARK JOBS TO DETERMINE APPROPRIATE SALARY RANGE PLACEMENT. UWLC USES APPROPRIATE PUBLISHED SALARY SURVEYS TO RESEARCH COMPETITIVE MARKET DATA AND ESTABLISH EXTERNAL EQUITY. SURVEYS USED INCLUDE (NOT INCLUSIVE): ASSOCIATION FORUM OF CHICAGOLAND -- COMPENSATION & BENEFITS SURVEY FOR NOT-FOR-PROFITS; ABBOTT, LANGER ASSOCIATION SURVEYS - NOT-FOR-PROFITS; SULLIVAN & COTTER - CHICAGO BENCHMARK COMPENSATION STUDY; WATSON WYATT - OFFICE PERSONNEL REPORT AND UNITED WAY WORLDWIDE - SALARY SURVEY. USING EXTERNAL COMPETITIVE SALARY DATA AND INTERNAL JOB RANKINGS, A SALARY STRUCTURE WAS CREATED. BENCHMARK JOBS WERE PLACED IN SALARY RANGES BASED ON COMPETITIVE MARKET DATA AND NON-BENCHMARK JOBS WERE PLACED BASED ON A COMPARISON OF INTERNAL JOBS AND JOB FAMILIES. SALARY RANGES ARE REVIEWED AND REVISED WHEN THE NEED IS INDICATED BY CHANGES IN COMPETITIVE PAY TARGETS FOR THE LABOR MARKET AS ESTABLISHED BY SURVEY DATA. SALARY RANGES ARE REVIEWED, A MINIMUM OF, EVERY THREE YEARS BY THE FINANCE & AUDIT COMMITTEE OF THE BOARD OF DIRECTORS. COMPENSATION SURVEYS ARE CONDUCTED PERIODICALLY FOR EXISTING AND NEWLY-CREATED POSITIONS TO CONFIRM THAT UWLC'S SALARY RANGES ARE COMPETITIVE. FORM 990, PART VI, SECTION C, LINE 18 UWLC'S FORM 1023, APPLICATION FOR RECOGNITION OF EXEMPTION, IS AVAILABLE TO THE PUBLIC UPON REQUEST. UWLC MAKES ITS FORM 990 AVAILABLE TO THE PUBLIC ON UWLC'S WEBSITE AT HTTP://WWW.LIVEUNITEDLAKECOUNTY.ORG FORM 990, PART VI, SECTION C, LINE 19 UWLC MAKES ITS GOVERNING DOCUMENTS, THE BYLAWS AND ARTICLES OF INCORPORATION, AND ITS CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC UPON REQUEST. THE MOST RECENT AUDITED FINANCIAL STATEMENTS ARE AVAILABLE AT UWLC'S WEBSITE AT HTTP://WWW.LIVEUNITEDLAKECOUNTY.ORG. FORM 990, PART VII, SECTION B, LINE 1: UNITED WAY OF METROPOLITAN CHICAGO INC. PROVIDES SUPPORT SERVICES TO UWLC. THESE SERVICES ARE DONOR PROCESSING AND FINANCIAL SERVICES. THE DONOR PROCESSING INCLUDES PROCESSING OF DONOR PLEDGES, ISSUANCE OF TAX RECEIPTS, CREDIT CARD AND STOCK DONATION PROCESSING, AGENCY NOTIFICATION OF DONOR DESIGNATION PAYOUTS AND PROCESSING OF PLEDGE PAYMENTS. FINANCIAL SERVICES INCLUDE BOOKKEEPING SERVICES, AUDIT SUPPORT, AND PAYMENT OF EXPENSES AND AGENCY ALLOCATIONS.