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
UNITED WAY OF CENTRAL INDIANA INC
Employer identification number
35-1007590
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.") ....
50,232,893
49,209,628
57,678,818
50,198,558
52,749,561
260,069,458
2
Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......
0
3
The value of services or facilities furnished by a governmental unit to the organization without charge..
0
4
Total. Add lines 1 through 3
50,232,893
49,209,628
57,678,818
50,198,558
52,749,561
260,069,458
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)..
62,398,030
6
Public support. Subtract line 5 from line 4.
197,671,428
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..
50,232,893
49,209,628
57,678,818
50,198,558
52,749,561
260,069,458
8
Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources...
1,683,109
2,584,858
2,406,766
1,928,716
2,244,515
10,847,964
9
Net income from unrelated business activities, whether or not the business is regularly carried on..
0
10
Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)..
356,940
125,928
61,751
47,358
60,275
652,252
11
Total support (Add lines 7 through 10).
271,569,674
12
Gross receipts from related activities, etc. (see instructions)
..................
12
5,472,657
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
72.780 %
15
Public support percentage for 2012 Schedule A, Part II, line 14
...............
15
70.900 %
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:
13000248
Software Version:
2013v3.1
-
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
UNITED WAY OF CENTRAL INDIANA INC
Employer identification number
35-1007590
Return Reference
Explanation
Form 990, Part VI, Sec A, Line 1a, Delegate broad authority to a committee
THE EXECUTIVE COMMITTEE SHALL, FROM TIME TO TIME, CONSIST OF THE FOLLOWING MEMBERS OF THE BOARD OF DIRECTORS: THE BOARD CHAIR, CHAIR-ELECT, IMMEDIATE PAST BOARD CHAIR, SECRETARY, TREASURER, CHAIRS OF THE STANDING COMMITTEES (FINANCE, AUDIT, INVESTMENT & ENDOWMENT, GOVERNANCE, AND OTHER STANDING COMMITTEES AS DETERMINED FROM TIME TO TIME BY THE BOARD OF DIRECTORS BY RESOLUTION), THE CAMPAIGN CHAIR, AND FIVE (5) AT-LARGE MEMBERS SELECTED IN ACCORDANCE WITH ARTICLE I, SECTION 3, OF THESE BYLAWS. THE PRESIDENT AND CHIEF EXECUTIVE OFFICER SHALL SERVE ON THE EXECUTIVE COMMITTEE WITH FULL VOTING RIGHTS. THE BOARD CHAIR SHALL ACT AS CHAIR OF THE EXECUTIVE COMMITTEE AND THE PRESIDENT AND CHIEF EXECUTIVE OFFICER SHALL ACT AS THE SECRETARY OF THE EXECUTIVE COMMITTEE. DURING THE INTERVALS BETWEEN MEETINGS OF THE BOARD OF DIRECTORS AND SUBJECT TO SUCH LIMITATIONS AS MAY BE IMPOSED BY LAW, THE ARTICLES OF INCORPORATION, OR THIS CODE OF BYLAWS, THE EXECUTIVE COMMITTEE SHALL HAVE AND MAY EXERCISE ALL THE AUTHORITY OF THE BOARD OF DIRECTORS IN THE MANAGEMENT OF THE CORPORATION, EXCEPT THAT NO ACTION SHALL BE TAKEN WHICH SHALL CONFLICT WITH THE EXPRESS POLICIES OF THE BOARD OF DIRECTORS.
Form 990, Part VI, Sec A, Line 2, Family/business relationships amongst interested persons
MARK RATEKIN AND STEVEN WALKER - BUSINESS RELATIONSHIP, MICHAEL BECHER AND JEAN WOJTOWICZ - BUSINESS RELATIONSHIP, JONATHON KROEHLER AND ROBERT BALLARD - BUSINESS RELATIONSHIP, JAMES IRSAY AND KALEN IRSAY - FAMILY RELATIONSHIP
Form 990, Part VI, Sec A, Line 4, Significant changes to organizational documents
UNITED WAY OF CENTRAL INDIANA'S BOARD OF DIRECTORS APPROVED A NUMBER OF AMENDMENTS TO THE BYLAWS DURING THE FISCAL YEAR, WITH THE GOAL BEING TO SIMPLIFY AND STRENGTHEN THE GOVERNANCE OF THE ORGANIZATION. THE MOST SIGNIFICANT CHANGES WERE: REALIGNMENT OF TERMS OF OFFICE WITH THE FISCAL YEAR, ELIMINATION OF "LIFE DIRECTORS", GIVING FULL VOTING POWER TO THE PRESIDENT AND CEO AS EX-OFFICIO MEMBER OF THE BOARD AND EXECUTIVE COMMITTEE, INCREASING THE MINIMUM NUMBER OF VOTES NEEDED TO CONSTITUTE BOARD ACTION, DECREASING THE NUMBER OF STANDING COMMITTEES LISTED IN THE BYLAWS BUT GIVING FLEXIBILITY FOR THE BOARD TO ESTABLISH ADDITIONAL STANDING COMMITTEES BY RESOLUTION, GIVING FLEXIBILITY FOR A STANDING COMMITTEE CHAIR TO MAKE MID-YEAR CHANGES IN COMMITTEE COMPOSITION CONSISTENT WITH COMMITTEE CHARGE, ADDING AN ANNUAL REPORTING REQUIREMENT BY ALL STANDING AND SPECIAL COMMITTEES TO THE EXECUTIVE COMMITTEE, REQUIRING THAT THE GOVERNANCE COMMITTEE BE COMPRISED OF EXCLUSIVELY BOARD MEMBERS, AND ADDING MORE DETAIL REGARDING THE PROCESS FOR AMENDING THE BYLAWS.
Form 990, Part VI, Sec B, Line 11b, Review of form 990 by governing body
THE CHAIR OF THE AUDIT COMMITTEE PRESENTED FORM 990 INFORMATION TO THE BOARD OF DIRECTORS ON OCTOBER 22, 2014. THE FORM WAS ELECTRONICALLY PROVIDED TO EACH BOARD MEMBER BEFORE THE MEETING AND HARD COPIES OF THE RETURN AND PRESENTATION WERE ALSO AVAILABLE AT THE MEETING. A REPRESENTATIVE OF THE INDEPENDENT ACCOUNTING FIRM WAS ALSO PRESENT AT THE BOARD MEETING.
Form 990, Part VI, Sec B, Line 12c, Conflict of interest policy
UNITED WAY OF CENTRAL INDIANA (UWCI) REQUIRES ALL BOARD MEMBERS, MEMBERS OF KEY COMMITTEES, OFFICERS, AND KEY EMPLOYEES TO COMPLETE A CONFLICT OF INTEREST QUESTIONNAIRE. THE QUESTIONNAIRES ARE REVIEWED BY THE CFO AND ANY CONFLICTS DISCLOSED IN THE QUESTIONNAIRES ARE REPORTED TO THE AUDIT COMMITTEE FOR EVALUATION AND TO DETERMINE IF THERE ARE ACTUAL OR POTENTIAL CONFLICTS OF INTEREST. UWCI ALSO HAS ESTABLISHED AN ETHICS OFFICER. THE ETHICS OFFICER IS A MEMBER OF THE BOARD OF DIRECTORS AND ADDRESSES ANY ETHIC CONCERNS THAT MAY ARISE. THE CFO, AUDIT COMMITTEE CHAIR, AND ETHICS OFFICER MONITOR CONFLICT COMPLIANCE DURING THE YEAR TO ASSURE BOARD MEMBERS WITH ANY POTENTIAL CONFLICTS REFRAIN FROM VOTING OR INFLUENCING ANY DELIBERATION PROCESS. FINALLY, EACH COMMITTEE/BOARD MEETING HAS A FORMAL AGENDA AND EACH MEETING BEGINS WITH A REVIEW OF THE AGENDA AND A REQUEST BY THE COMMITTEE CHAIR FOR ANY DECLARATION OF CONFLICT FROM COMMITTEE MEMBERS ATTENDING.
Form 990, Part VI, Sec B, Line 15a, Process to establish compensation of top management official
AN EXECUTIVE COMPENSATION/EVALUATION COMMITTEE MEETS ANNUALLY TO EVALUATE THE PERFORMANCE OF THE PRESIDENT AND TO ESTABLISH ANNUAL COMPENSATION ADJUSTMENTS. COMPARABILITY DATA, INCLUDING STUDIES PROVIDED BY THE UNITED WAY OF AMERICA AND OTHER RELEVANT BENCHMARKS, ARE USED TO DETERMINE COMPENSATION. THE PROCESS AND DECISIONS ARE DOCUMENTED IN THE COMMITTEE MINUTES. UWCI'S PRESIDENT AND CEO WAS HIRED IN APRIL OF 2013, AT WHICH TIME A SALARY EVALUATION WAS PERFORMED BY THE BOARD ESTABLISHED SEARCH COMMITTEE AS PART OF THE CEO SELECTION PROCESS. IN ADDITION, AN INDEPENDENT COMPENSATION STUDY WAS CONDUCTED FOR THE PRESIDENT AND CEO ALONG WITH OTHER EXECUTIVES IN 2014 SHORTLY AFTER THE END OF THE FISCAL YEAR.
Form 990, Part VI, Sec B, Line 15b, Process to establish compensation of other employees
THE EXECUTIVE COMPENSATION COMMITTEE ALSO REVIEWS THE SALARIES FOR ALL SENIOR EXECUTIVES, INCLUDING THE ASSISTANT TREASURER & CFO. COMPARABILITY DATA, INCLUDING STUDIES PROVIDED BY THE UNITED WAY OF AMERICA AND OTHER RELEVANT BENCHMARKS, IS USED TO DETERMINE COMPENSATION. THE PROCESS AND DECISIONS ARE DOCUMENTED IN THE COMMITTEE MINUTES. THE REVIEW PROCESS FOR THIS POSITION LAST TOOK PLACE IN 2012 AND AGAIN IN 2014 AFTER JUNE 30.
Form 990, Part VI, Sec C, Line 19, Required documents available to the public
THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. AUDITED FINANCIAL STATEMENTS ARE ALSO AVAILABLE THROUGH OUR OWN WEBSITE.
FORM 990, PART VIII, LINE 1F, CAMPAIGN CONTRIBUTIONS
CONTRIBUTIONS RECORDED ON PART VIII, LINE 1F INCLUDE GROSS CAMPAIGN CONTRIBUTIONS OF $41,742,699. THE ESTIMATED AMOUNT OF UNCOLLECTIBLE PLEDGES FOR THE YEAR IS $2,688,666. DONOR DESIGNATIONS ARE PAID AS PLEDGES ARE COLLECTED, SO THIS ESTIMATE INCLUDES A PRO-RATA PORTION RELATED TO DONOR DESIGNATED PLEDGES.
FORM 990, PART IX, LINE 25, OVERHEAD
OVERHEAD EXPENSES ARE FUNDED BY: - INVESTMENT EARNINGS ON UNRESTRICTED FUNDS - GRANT ADMINISTRATION FEES -DONOR DESIGNATIONS ADMINISTRATION FEES - AN ALLOCATION FROM AN ENDOWED OPERATING FUND; - ANNUAL CAMPAIGN CONTRIBUTIONS. THESE OTHER REVENUES ALLOWED UWCI TO LIMIT THE PERCENTAGE OF DONOR DOLLARS FROM CAMPAIGN CONTRIBUTIONS USED TO FUND OVERHEAD TO 11.7% IN 2014.
Form 990 , Part XI, Line 9, Other changes in net assets or fund balances
UNRECOGNIZED PENSION GAIN - 136383; PROVISION FOR UNCOLLECTIBLE PLEDGES - -2036034;
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.