| FORM 990, PART I, LINE 6 |
VOLUNTEERS VOLUNTEER NUMBER INCLUDES VOLUNTEERS WHO PROVIDE DIRECT SERVICE TO UNITED WAY OF THE BAY AREA AS BOARD MEMBERS, VOLUNTEER TAX PREPARERS, FUNDRAISERS AND CAMPAIGN COORDINATORS, ADVOCACY AND PUBLIC POLICY VOLUNTEERS, AND VOLUNTEERS IN OTHER UNITED WAY OF THE BAY AREA PROGRAMS, AS WELL AS VOLUNTEER MATCHING REFERRALS THAT MATCH AND MOBILIZE VOLUNTEERS STRATEGICALLY TO MEET IDENTIFIED COMMUNITY NEEDS. |
| FORM 990, PART VI, SECTION A, LINE 1 |
THE EXECUTIVE COMMITTEE IS EMPOWERED WITH LIMITATIONS TO TAKE ACTION ON BEHALF OF THE BOARD BETWEEN ITS REGULARLY SCHEDULED MEETINGS. |
| FORM 990, PART VI, SECTION A, LINE 4 |
DURING THE YEAR, THE ORGANIZATION MADE THE FOLLOWING CHANGES TO ITS GOVERNING DOCUMENTS: 1) REMOVED UNITED WAY WORLDWIDE ("UWW") AS THE SOLE MEMBER. 2) INCREASED THE NUMBER OF BOARD OF DIRECTORS FROM NINE UP TO FIFTEEN. |
| FORM 990, PART VI, SECTION A, LINE 6 |
THROUGH JUNE 2021, UWBA'S SOLE MEMBER IS UNITED WAY WORLDWIDE ("UWW"). THE ARTICLE OF INCORPORATION WAS AMENDED JUNE 30, 2021 TO REMOVE THE SOLE MEMBER. |
| FORM 990, PART VI, SECTION A, LINE 7A |
THROUGH JUNE 2021, THE SOLE MEMBER HAD THE POWER TO ELECT 6 MEMBERS OF THE 9 MEMBER BOARD. THE ARTICLES OF INCORPORATION WERE AMENDED JUNE 30, 2021 TO REMOVE THE SOLE MEMBER AND RESERVE ALL POWERS TO THE BOARD OF DIRECTORS. |
| FORM 990, PART VI, SECTION A, LINE 7B |
THROUGH JUNE 2021, NO AMENDMENTS TO THE BYLAWS WOULD BE EFFECTIVE UNTIL APPROVED BY THE SOLE MEMBER. THE ARTICLES OF INCORPORATION WERE AMENDED JUNE 30, 2021 TO REMOVE THE SOLE MEMBER AND RESERVE ALL POWERS TO THE BOARD OF DIRECTORS. |
| FORM 990, PART VI, SECTION B, LINE 11B |
THE CHIEF FINANCIAL OFFICER AND CONTROLLER REVIEWS A FINAL DRAFT OF 990. THE RETURN IS PRESENETED AND REVIEWED BY THE THE AUDIT COMMITTEE PRIOR TO PRESENTING IT TO ALL VOTING MEMBERS OF THE BOARD FOR INFORMATIONAL REVIEW PRIOR TO SUBMISSION. AFTER THAT, THE 990 IS SUBMITTED TO THE IRS. |
| FORM 990, PART VI, SECTION B, LINE 12C |
THE UWBA IS COMMITTED TO THE HIGHEST STANDARDS OF ETHICAL COMPLIANCE. OUR CORPORATE COMPLIANCE POLICY, OUR CODE OF ETHICAL CONDUCT, AND OUR CONFLICT OF INTEREST POLICY ARE POSTED ON OUR INTRANET AND ON OUR ORGANIZATION'S PUBLIC FACING WEB SITE. TAKEN TOGETHER, THEY OUTLINE THE EXPECTATIONS THE UWBA HAS OF ITS EMPLOYEES, VOLUNTEERS, AND REPRESENTATIVES. THE CONFLICT OF INTEREST POLICY CONTAINS SPECIFIC INJUNCTIONS AGAINST ANY PRACTICE OR ACT WHICH CONFLICTS WITH OR APPEARS TO CONFLICT WITH THE INTERESTS OF THE UWBA, BOTH ON AND OFF THE JOB. IT GOES ON TO EXPLICITLY STATE THAT NO EMPLOYEE, VOLUNTEER, OR REPRESENTATIVE SHALL USE HER/HIS POSITION OR INFLUENCE OR INFORMATION TO WHICH THEY HAVE ACCESS TO AS A RESULT OF THEIR ASSOCIATION OR ANY ASSETS OR RESOURCES OF THE UWBA FOR HER/HIS OWN PERSONAL GAIN, FOR TRADING OR FOR THE IMPROPER BENEFIT OF OTHERS. THE POLICY PROHIBITS PERFORMING COMPENSATED SERVICES FOR OR HAVING A BENEFICIAL INTEREST IN, OR BEING SUBSTANTIALLY OBLIGATED TO (OR A SIMILAR RELATIONSHIP FOR ANY FAMILY MEMBER OR CLOSE RELATIVE), ANY OF UWBA'S SUPPLIERS OF GOODS OR SERVICES OR ANY OTHER ORGANIZATION DOING BUSINESS WITH UWBA UNLESS SUCH FACT HAS BEEN PROPERLY DISCLOSED TO UWBA'S CEO AND TO UWBA'S BOARD, AND SUCH RELATIONSHIP HAS BEEN SPECIFICALLY APPROVED BY THE BOARD ON THE BASIS OF A FULL DISCLOSURE OF THE FACTS. THE CODE OF ETHICAL CONDUCT SPECIFICALLY REQUIRES THE REPORTING OF VIOLATIONS AND THE PROTECTION OF THOSE WHO REPORT VIOLATIONS. OUR CORPORATE COMPLIANCE POLICY LAYS OUT A CLEARLY DEFINED PROCESS FOR EMPLOYEES AND VOLUNTEERS TO FOLLOW IN ORDER TO DISCLOSE ANY REASONABLE BELIEF THAT ANOTHER EMPLOYEE OR VOLUNTEER HAS VIOLATED LEGAL OR INTERNAL POLICY STANDARDS, WHETHER IN THE WORKPLACE OR OTHERWISE AS PART OF UWBA'S ACTIVITIES. INCLUDED IN THAT PROCEDURE IS A REPORT TO BE MADE TO THE BOARD ANNUALLY REGARDING ITEMS BROUGHT TO THE ATTENTION OF THE CORPORATE COMPLIANCE TASKFORCE, THE RESULTS OF THE INVESTIGATION THE TASKFORCE DID, AND THE STEPS TAKEN TO ADDRESS THE CONCERNS RAISED, IF STEPS WERE MERITED. THE TASKFORCE IS COMPOSED OF THE CHIEF EXECUTIVE OFFICER, THE CHIEF OPERATING OFFICER, THE CHIEF FINANCIAL AND ADMINISTRATIVE OFFICER, AND THE CHIEF ETHICS OFFICER. THE UNITED WAY OF THE BAY AREA HAS AN ANNUAL PROCESS FOR RE-AFFIRMING ITS CONFLICT OF INTEREST, ITS CODE OF ETHICAL CONDUCT, ITS CORPORATE COMPLIANCE AND DIVERSITY POLICIES. IT ALSO HAS A POLICY OF REVIEWING THE POLICIES ON A PERIODIC BASIS. |
| FORM 990, PART VI, SECTION B, LINE 15 |
THE PROCESS FOR DETERMINING COMPENSATION OF TOP MANAGEMENT AND OFFICERS/KEY EMPLOYEES IS THE SAME - UNITED WAY OF THE BAY AREA HAS A CONTRACTUAL RELATIONSHIP WITH AN INDEPENDENT SALARY CONSULTANT WHO CONSIDERS INDUSTRY, POSITION, EXPERIENCE AND MARKET BEFORE MAKING RECOMMENDATIONS TO UNITED WAY OF THE BAY AREA'S COMPENSATION COMMITTEE. THE COMPENSATION COMMITTEE MEETS AT LEAST TWICE A YEAR TO REVIEW CURRENT DATA, ANALYZE BUDGET ISSUES AND MAKE RECOMMENDATIONS TO THE BOARD OF DIRECTORS. MINIMALLY, THE BOARD APPROVES THE COMPENSATION OF THE CEO, CFAO AND OTHER KEY EMPLOYEES ON AN ANNUAL BASIS. |
| FORM 990, PART VI, SECTION C, LINE 19 |
THE GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, FORM 990 AND FINANCIAL STATEMENTS ARE AVAILABLE ON THE UNITED WAY OF THE BAY AREA WEBSITE AS WELL AS BY WRITTEN OR IN-PERSON REQUEST. |
| FORM 990, PART IX, LINE 11G |
OTHER FEES FOR SERVICES: PROGRAM SERVICE EXPENSES 1,904,154. MANAGEMENT AND GENERAL EXPENSES 749,699. FUNDRAISING EXPENSES 166,865. TOTAL EXPENSES 2,820,718. |
| FORM 990, PART XI, LINE 9: |
CHANGE IN PENSION LIABILITY IN EXCESS OF INTANGIBLE PENSION ASSETS 3,180,471. PLEDGE WRITE-OFF -345,052. |
Attach to Form 990 or 990-EZ.