Department of the Treasury Internal Revenue Service
Public Charity Status and Public Support
Complete if the organization is a section 501(c)(3) organization or a section
4947(a)(1) nonexempt charitable trust.
Attach to Form 990 or Form 990-EZ. See separate instructions. Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
THE URBAN ALLIANCE FOUNDATION INC
Employer identification number
52-1938443
Part I
Reason for Public Charity Status
(All organizations must complete this part.) See instructions.
The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)
1
2
3
4
5
section 170(b)(1)(A)(iv). (Complete Part II.)
6
7
8
9
receipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 331/3% of
its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses
acquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)
10
11
e
By checking this box, I certify that the organization is not controlled directly or indirectly by one or more disqualified persons other than foundation managers and other than one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2).
f
If the organization received a written determination from the IRS that it is a Type I, Type II, or Type III supporting organization, check this box
..................................................
g
Since August 17, 2006, has the organization accepted any gift or contribution from any of the following persons?
(i) A person who directly or indirectly controls, either alone or together with persons described in (ii)
Yes
No
and (iii) below, the governing body of the supported organization?
................
11g(i)
(ii)
A family member of a person described in (i) above?
......................
11g(ii)
(iii)
A 35% controlled entity of a person described in (i) or (ii) above?
................
11g(iii)
h
Provide the following information about the supported organization(s).
(i) Name of supported organization
(ii) EIN
(iii) Type of organization (described on lines 1- 9 above or IRC section (see instructions))
(iv) Is the organization in col. (i) listed in your governing document?
(v) Did you notify the organization in col. (i) of your support?
(vi) Is the organization in col. (i) organized in the U.S.?
(vii) Amount of monetary support
Yes
No
Yes
No
Yes
No
Total
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 2
Part II
Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi) (Complete only if you checked the box on line 5, 7, or 8 of Part I or if the
organization failed to qualify under Part III. If the organization fails to
qualify under the tests listed below, please complete Part III.)
Section A. Public Support
Calendar year (or fiscal year beginning in)
(a) 2009
(b) 2010
(c) 2011
(d) 2012
(e) 2013
(f) Total
1
Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") ....
2,375,408
2,045,295
3,237,456
3,506,613
5,052,294
16,217,066
2
Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......
3
The value of services or facilities furnished by a governmental unit to the organization without charge..
4
Total. Add lines 1 through 3
2,375,408
2,045,295
3,237,456
3,506,613
5,052,294
16,217,066
5
The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included
on line 1 that exceeds 2% of the amount shown on line 11, column (f)..
867,679
6
Public support. Subtract line 5 from line 4.
15,349,387
Section B. Total Support
Calendar year
(or fiscal year beginning in)
(a) 2009
(b) 2010
(c) 2011
(d) 2012
(e) 2013
(f) Total
7
Amounts from line 4..
2,375,408
2,045,295
3,237,456
3,506,613
5,052,294
16,217,066
8
Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources...
486
2,391
10,161
18,151
23,820
55,009
9
Net income from unrelated business activities, whether or not the business is regularly carried on..
10
Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)..
5,576
6,493
260
198
2,146
14,673
11
Total support (Add lines 7 through 10).
16,286,748
12
Gross receipts from related activities, etc. (see instructions)
..................
12
13
First five years.
If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization,
check this box and stop here.................................................
Section C. Computation of Public Support Percentage
14
Public support percentage for 2013 (line 6, column (f) divided by line 11, column (f))
.........
14
94.240 %
15
Public support percentage for 2012 Schedule A, Part II, line 14
...............
15
93.150 %
16a
33 1/3% support test—2013.
If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box
and stop here. The organization qualifies as a publicly supported organization
.......................
b
33 1/3% support test—2012.
If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more, check this
box and stop here. The organization qualifies as a publicly supported organization
.....................
17a
10%-facts-and-circumstances test—2013.
If the organization did not check a box on line 13, 16a, or 16b, and line 14
is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here. Explain
in Part IV how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported
organization
.....................................................
b
10%-facts-and-circumstances test—2012.
If the organization did not check a box on line 13, 16a, 16b, or 17a, and line
15 is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here.
Explain in Part IV how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported organization
................................................
18
Private foundation.
If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions
.....................................................
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 3
Part III
Support Schedule for Organizations Described in Section 509(a)(2) (Complete only if you checked the box on line 9 of Part I or if the organization
failed to qualify under Part II. If the organization fails to qualify under
the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year (or fiscal year beginning in)
(a) 2009
(b) 2010
(c) 2011
(d) 2012
(e) 2013
(f) Total
1
Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .
2
Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose......
3
Gross receipts from activities that are not an unrelated trade or business under section 513..
4
Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...
5
The value of services or facilities furnished by a governmental unit to the organization without charge..
6
Total. Add lines 1 through 5.
7a
Amounts included on lines 1, 2, and 3 received from disqualified persons...
b
Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year.
c
Add lines 7a and 7b..
8
Public support (Subtract line 7c from line 6.)
Section B. Total Support
Calendar year (or fiscal year beginning in)
(a) 2009
(b) 2010
(c) 2011
(d) 2012
(e) 2013
(f) Total
9
Amounts from line 6...
10a
Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..
b
Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.
c
Add lines 10a and 10b.
11
Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on.
12
Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)
..
13
Total support. (Add lines 9, 10c, 11, and 12.)..
14
First five years.
If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization,
check this box and stop here.............................................
Section C. Computation of Public Support Percentage
15
Public support percentage for 2013 (line 8, column (f) divided by line 13, column (f))
.........
15
16
Public support percentage from 2012 Schedule A, Part III, line 15
...............
16
Section D. Computation of Investment Income Percentage
17
Investment income percentage for 2013 (line 10c, column (f) divided by line 13, column (f))
......
17
18
Investment income percentage from 2012 Schedule A, Part III, line 17
.............
18
19a
33 1/3% support tests—2013.
If the organization did not check the box on line 14, and line 15 is more than 33 1/3%, and line 17 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization
........
b
33 1/3% support tests—2012.
If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3% and line 18 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization
.....
20
Private foundation.
If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions
.....
Schedule A (Form 990 or 990-EZ) 2013
Schedule A (Form 990 or 990-EZ) 2013
Page 4
Part IV
Supplemental Information.
Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
Explanation
Schedule A (Form 990 or 990-EZ) 2013
Additional Data
Software ID:
Software Version:
-
TIN:
SCHEDULE O (Form 990 or 990-EZ)
Department of the Treasury Internal Revenue Service
Supplemental Information to Form 990 or 990-EZ
Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.
Attach to Form 990 or 990-EZ.
Information about Schedule O (Form 990 or 990-EZ) and its instructions is at
www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
THE URBAN ALLIANCE FOUNDATION INC
Employer identification number
52-1938443
Return Reference
Explanation
FORM 990, PART VI, SECTION A, LINE 8B
WHILE COMMITTEES EXIST, THEY DO NOT HAVE THE AUTHORITY TO ACT ON BEHALF OF THE GOVERING BODY. A WRITTEN SUMMARY OF COMMITTEE ACTIVITIES IS PRESENTED AT BOARD MEETINGS, AND KEY MATTERS ARE VOTED UPON BY THE BOARD OF DIRECTORS.
FORM 990, PART VI, SECTION B, LINE 11
AN ACCOUNTING CONSULTANT AND THE DIRECTOR OF FINANCE WORK JOINTLY TO EXECUTE THE FOUNDATION'S ACCOUNTING AND FINANCE FUNCTIONS. THE ACCOUNTING CONSULTANT MAINTAINS SUPERVISORY OVERSIGHT OF THE ACCOUNTING/FINANCE FUNCTIONS, AND A DIRECTOR OF FINANCE OVERSEES THE DAY-TO-DAY ONGOING ACCOUNTING/FINANCE FUNCTIONS AND COORDINATES THE ANNUAL AUDIT AND COMPLETION OF THE FEDERAL FORM 990 BY THE FOUNDATION'S OUTSIDE CPA FIRM, RAFFA, P.C. THE SERVICES OF THE ACCOUNTING CONSULTANT ARE RETAINED BASED UPON THE NEED DETERMINED BY THE DIRECTOR OF FINANCE, AND THE DIRECTOR OF FINANCE'S ACCOUNTING/FINANCE RESPONSIBILITIES ARE DOCUMENTED IN THE JOB DESCRIPTION KEPT IN THE PERSONNEL FILE. ONCE THE AUDIT IS COMPLETE, THE AUDIT STAFF OF RAFFA, P.C. PROVIDES AUDITED FINANCIAL DATA TO THE TAX DEPARTMENT AT RAFFA, P.C. WHO PREPARES A DRAFT COPY OF THE FEDERAL FORM 990. IN ADDITION, RAFFA, P.C. PREPARES A LIST OF ADDITIONAL INFORMATION REQUIRED FOR THE FEDERAL FORM 990, WHICH THE FOUNDATION'S DIRECTOR OF FINANCE PROVIDES DIRECTLY TO THE TAX STAFF. A DRAFT COPY OF THE FEDERAL FORM 990 IS SENT TO THE FOUNDATION'S DIRECTOR OF FINANCE FOR REVIEW. THE FOUNDATION'S DIRECTOR OF FINANCE ENSURES THAT ALL FINANCIAL FIGURES INCLUDED ON THE FEDERAL FORM 990 CORRESPOND TO FINANCIAL DATA GIVEN TO THE AUDITORS AND REVIEWS THE ANSWERS TO THE NON-FINANCIAL QUESTIONS FOR PROPRIETY. ANY QUESTIONS IN REGARD TO THE AMOUNTS APPEARING ON THE FEDERAL FORM 990 ARE DISCUSSED WITH RAFFA, P.C. ANY NECESSARY CHANGES ARE MADE AND A REVISED DRAFT IS GENERATED BY RAFFA, P.C. AND SENT TO THE FOUNDATION'S DIRECTOR OF FINANCE FOR SECONDARY REVIEW. ONCE THE REVISED DRAFT IS APPROVED BY THE FOUNDATION'S DIRECTOR OF FINANCE, THE DIRECTOR REVIEWS THE FEDERAL FORM 990 IN DETAIL WITH THE FOUNDATION'S CHIEF EXECUTIVE OFFICER (CEO). THE DIRECTOR OF FINANCE POINTS OUT HOW THE TOTAL OF OPERATIONS AND STATEMENT OF FINANCIAL POSITION FROM THE AUDIT HAVE BEEN PROPERLY INCLUDED ON THE FEDERAL FORM 990. THE DIRECTOR OF FINANCE AND THE CEO THEN REVIEW THE FEDERAL FORM 990 ON A LINE BY LINE BASIS, ENSURING THAT THE ANSWERS TO THE NON-FINANCIAL QUESTIONS ARE INDEED ANSWERED APPROPRIATELY BASED UPON THE ORGANIZATION'S ACTIVITIES. AN ADDITIONAL REVIEW OF THE DRAFT FEDERAL FORM 990 IS PERFORMED BY THE BOARD-ESTABLISHED FINANCE COMMITTEE, WHICH CONSISTS OF THE BOARD CHAIR, THE BOARD TREASURER, THE CEO, THE ACCOUNTING CONSULTANT, AND THE DIRECTOR OF FINANCE. THE DRAFT FEDERAL FORM 990 IS PRESENTED, DISCUSSED AND REVIEWED BY THE FINANCE COMMITTEE. ONCE FINANCE COMMITTEE APPROVAL IS OBTAINED, THE DRAFT IS PRESENTED TO THE BOARD OF DIRECTORS FOR FINAL APPROVAL DURING A REGULARLY SCHEDULED MEETING. ONCE FINAL APPROVAL OF THE BOARD OF DIRECTORS IS OBTAINED, RAFFA, P.C. IS NOTIFIED THAT THE FINAL FEDERAL FORM 990 CAN BE E-FILED. THE CEO PROVIDES RAFFA WITH SIGNED ELECTRONIC AUTHORIZATION TO FILE THE REVISED FEDERAL FORM 990. RAFFA THEN ELECTRONICALLY FILES THE FEDERAL FORM 990 WITH THE INTERNAL REVENUE SERVICE AND PROVIDES THE FOUNDATION WITH A FINAL PDF COPY OF THE FEDERAL FORM 990, WHICH IS KEPT FOR THE FOUNDATION'S OFFICE RECORDS.
FORM 990, PART VI, SECTION B, LINE 12C
THE FOUNDATION'S CONFLICT OF INTEREST POLICY FOR BOARD MEMBERS IS PRESENTED FOR APPROVAL TO THE BOARD OF DIRECTORS ON AN ANNUAL BASIS. AFTER APPROVAL, EACH MEMBER SIGNS THE ACKNOWLEDGEMENT AND RETURNS IT TO THE OFFICE OF THE CEO FOR RETENTION. ANY DISCLOSED CONFLICTS ARE BROUGHT TO THE ATTENTION OF THE BOARD CHAIRPERSON FOR RESOLUTION AND POTENTIAL DISCUSSION AT AN UPCOMING BOARD MEETING. INCOMING BOARD MEMBERS RECEIVE THIS POLICY AS PART OF A BOARD ORIENTATION PACKAGE AND ARE REQUIRED TO REVIEW AND SIGN THE POLICY. THE FOUNDATION'S CONFLICT OF INTEREST POLICY FOR EMPLOYEES IS INCLUDED IN THE EMPLOYEE CULTURE MANUAL. THE EMPLOYEE CULTURE MANUAL IS POSTED ON THE FOUNDATION'S SHARED NETWORK DRIVE. DURING A NEW EMPLOYEE'S ORIENTATION PERIOD, THE CHIEF ADMINISTRATIVE OFFICER REVIEWS INFORMATION CONTAINED IN THE EMPLOYEE CULTURE MANUAL WITH THE NEW EMPLOYEE. NEW EMPLOYEES ARE REQUIRED TO READ THE EMPLOYEE MANUAL AND SIGN AN ACKNOWLEDGMENT THAT THEY HAVE READ AND UNDERSTOOD POLICIES OUTLINED IN THE EMPLOYEE CULTURE MANUAL. ON AN ANNUAL BASIS, THE CEO ASKS THAT ALL EMPLOYEES UPDATE THE EMPLOYEE CULTURE MANUAL ACKNOWLEDGEMENT FORM TO ENSURE THAT ANY CHANGES TO THE MANUAL HAVE BEEN PROPERLY DISSEMINATED TO STAFF. ON AN ANNUAL BASIS, THE FOUNDATION CONDUCTS A STAFF RETREAT AWAY FROM THE OFFICE. ONE OF MANY TOPICS COVERED DURING THE RETREAT IS THE HIGH EXPECTATION FOR PROFESSIONAL CONDUCT FOR ALL STAFF. INTEGRAL TO THE FOUNDATION'S SUCCESS IS THE ARDENT FOLLOWING OF THE FOUNDATION'S CORE VALUES. THE FOUNDATION'S CORE VALUES ARE DEFINED IN THE EMPLOYEE CULTURE MANUAL AND ARE VISIBLY POSTED AROUND THE THE FOUNDATION'S OFFICES. ONE OF THESE CORE VALUES IS "DEDICATION TO MISSION AND RESULTS FROM MISSION" WHICH IS DEFINED AS "MAKING DECISIONS BASED UPON THE MISSION AND VISION." ON AN ANNUAL BASIS, ALL EMPLOYEES RECEIVE A PERFORMANCE REVIEW. AS PART OF THIS REVIEW, ALL STAFF ARE SUBJECT TO A 360 DEGREE EVALUATION WHEREBY THEIR PERFORMANCE IS RATED BY ALL MEMBERS OF THE STAFF. A SECTION OF THIS 360 EVALUATION IS DIRECTED AT DETERMINING HOW WELL AN EMPLOYEE'S CONDUCT SUPPORTS THE CORE VALUES OF THE ORGANIZATION AND HOW WELL A STAFF CONDUCTS HIMSELF/HERSELF IN A PROFESSIONAL-LIKE MANNER. WHEN AN EMPLOYEE LEAVES THE FOUNDATION, THE CEO CONDUCTS AN EXIT INTERVIEW WITH THE STAFF EMPHASIZING THEIR RESPONSIBILITIES TO REPRESENT THE FOUNDATION IN A PROFESSIONAL MANNER AND THAT ALL THE FOUNDATION PROPERTY THAT WAS IN THEIR USE MUST REMAIN AT THE FOUNDATION.
FORM 990, PART VI, SECTION B, LINE 15
ON AN ANNUAL BASIS, THE CEO PERFORMS A LANDSCAPE REVIEW OF COMPENSATION FOR KEY MANAGERS AND PERSONNEL OF THE FOUNDATION. THE CEO COMMUNICATES VIA EMAIL TO OTHER NON-PROFIT ORGANIZATIONS OF SIMILAR MISSION, STAFF, AND BUDGET SIZE TO INQUIRE ON COMPENSATION LEVELS OF KEY EMPLOYEES. IN ADDITION, THE CEO CONSULTS AN ANNUAL PUBLICATION ISSUED BY THE CENTER FOR NON-PROFIT ADVANCEMENT THAT DISCLOSES MEDIAN SALARY RANGES FOR VARIOUS NON-PROFIT STAFF POSITIONS. THE CEO PRESENTS THE INFORMATION GATHERED TO THE BOARD CHAIR TO APPROVE EXISTING COMPENSATION RANGES OR, IF WARRANTED, TO APPROVE AN INCREASE FOR EACH LEVEL OF STAFF. IN PREVIOUS YEARS, FOR THE CEO'S COMPENSATION, THE BOARD CHAIR, MARY ZIENTS, CONDUCTED A COMPARATIVE STUDY OF COMPENSATION RATES OF OTHER AREA NON-PROFIT EXECUTIVE DIRECTORS AND CEOS. MS. ZIENTS PRESENTED HER FINDINGS TO THE BOARD TREASURER, AND THEY DETERMINED THE COMPENSATION LEVEL FOR THE CEO BASED UPON JOB PERFORMANCE, PROGRESS TOWARD ORGANIZATIONAL WIDE GOALS, AND MARKET COMPARABLE SALARIES. THIS INFORMATION WAS RELAYED TO THE CEO IN WRITING DURING AN ANNUAL PERFORMANCE REVIEW. IN 2013, AN INDEPENDENT REVIEW OF THE CEO'S TERMS OF EMPLOYMENT WAS CONDUCTED AT THE END OF 2013, AT WHICH TIME A SABBATICAL FOR THE CEO WAS GRANTED. THE CEO'S COMPENSATION WAS TO BE REVIEWED FOLLOWING THE SABBATICAL. MS. ZIENTS SAT ON THE BOARD OF DIRECTORS FOR THREE NON-PROFIT ORGANIZATIONS, SERVED AS THE CHAIR OF THE PRESIDENT'S COMMISSION ON WHITE HOUSE FELLOWS AND THE CHAIR OF THE FUND RAISING COMMITTEE OF THE NELSON MANDELA CHILDREN'S FUND USA, CO-OPERATED HER OWN FAMILY FOUNDATION, AND IS DEEPLY INVOLVED IN THE PHILANTHROPIC COMMUNITY.
FORM 990, PART VI, SECTION C, LINE 19
THE FOUNDATION DOES NOT PUBLICLY POST GOVERNING DOCUMENTS OR THE CONFLICT OF INTEREST POLICY. THE CONFLICT OF INTEREST POLICY IS INCORPORATED INTO THE EMPLOYEE MANUAL WHICH IS POSTED INTERNALLY ON THE FOUNDATION'S SHARED NETWORK DRIVE. AS PART OF THE GRANT WRITING PROCESS, POTENTIAL FUNDERS MAY REQUEST ADDITIONAL INFORMATION FROM THE FOUNDATION. AFTER APPROVAL OF THE CEO, THE FOUNDATION PROVIDES REQUESTED DOCUMENTATION SUCH AS AN IRS DETERMINATION LETTER, AUDITED FINANCIAL STATEMENTS, FEDERAL FORMS 990, ETC. TO A REQUESTING FUNDER. THE FOUNDATION POSTS ITS LATEST AUDITED FINANCIAL STATEMENTS AND FEDERAL FORM 990 TO ITS WEBSITE. THE FOUNDATION POSTS AN ANNUAL REPORT TO ITS WEBSITE. THIS REPORT INCLUDES CONDENSED INFORMATION FROM THE AUDITED FINANCIAL STATEMENTS.
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.