Family Tax & Financial

My Office is now located at:

2400 Big Timber Road, Suite 101A Elgin IL 60124

The building is on the Northwest corner of the intersection of Randall and Big Timber Roads, south of the Jane Adams Tollway (I-90). The drive entrance is off of Big Timber.

Important New Tax Provisions Related to New Hires

  These two provisions of the 2010 HIRE ACT may be of interest to you as a business owner  or to your employer.

1.  If an employee is hired after February 3, 2010 who  worked less than a TOTAL of 40 hours in the 60 day period prior to beginning work for the new employer and certifies as such by signed affidavit... The new employer will save the 6.2% employer social security tax on wages paid from March 18, 2010 to the end of 2010. 

The second quarter Federal 941 will begin to accommodate this tax credit. 

It will be up to the employer to provide a copy of the affidavit to your payroll service or accountant, in order to apply the credit.

2. If the above described employee is retained for 52 consecutive weeks, an additional $1,000 tax credit may be applicable on the income tax filing of the employer. 

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MORE Tax Credits - Health Reform Law

for small employers and taxexempt organizations that provide health insurance coverage
 

Under the new law, a maximum tax credit of 35% of premiums paid in 2010 by eligible small businesses and 25% of premiums paid by eligible employers that are tax-exempt organizations will be available.  In 2014, this maximum credit jumps to 50% of premiums paid by eligible small employers and 35% of premiums paid by eligible employers that are taxexempt organizations.

The government defines an eligible  small employer as one with fewer than 25 full-time equivalent employees paying wages averaging less than $50,000 per employee per
year. The eligibility formula is based in part on the number of FTEs, not the number of employees, many businesses will qualify even if they employ more than 25 individual workers. The maximum credit goes to smaller employers with 10 or fewer FTEs that pay annual average wages of $25,000 or less. 

The credit is based on the % paid by the employer ( if employer share is at least 50% of a single premium) and will have limitations related to the average premium for the small group market in a State (or an area within the State) will be determined by the Department of Health and Human Services (HHS) and published by the IRS.  Publication of the average premium for the small group market on a State-by-State basis is expected to be posted on the IRS website by the end of April.  There will be special limitations in the calculation of the credit for a tax exempt organization.

FTEs will be calculated from the total hours paid  for the year divided by 2080.  (rounded down).   Generally business owners, employed family members and seasonal employees are not included in the total hours or wages.

Eligible small businesses can claim the credit as part of the
general business credit starting with the 2010 income tax return they file in 2011.  Note: the employer tax deduction for health premiums will be decreased by the amount of the credit.

It will be important to maintain accessible records of the number of hours paid and health premiums paid per employee for the year 2010.

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HOW WILL THE NEW 2009 TAX LAW STILL AFFECT Individual Taxpayers?

ENERGY CREDITS -

Click here for a chart of the Energy Credits available in 2009 and on

Other new TAX CREDIT

For 2009 and 2010, the Making Work Pay provision of the American Recovery and Reinvestment Act will provide a refundable tax credit of up to $400 for working individuals and $800 for married taxpayers filing joint returns.

This tax credit will be calculated at a rate of 6.2 percent of earned income and will phase out for taxpayers with adjusted gross income in excess of $75,000, or $150,000 for married couples filing jointly.

For people who receive a paycheck and are subject to withholding, the credit will typically be handled by their employers through automated withholding changes in early spring. These changes may result in an increase in take-home pay. The amount of the credit must be reported on the employee's 2009 income tax return filed in 2010. Taxpayers who do not have taxes withheld by an employer during the year can also claim the credit on their 2009 tax return.

It is not necessary to submit a Form W-4 to get the automatic withholding change.  However, an employee with multiple jobs or married couples whose combined incomes place them in a higher tax bracket may elect to submit a revised W-4  to ensure enough withholding is held to cover the tax for his or her combined income. Publication 919    provides additional guidance for tax withholding.

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2010 optional standard mileage rates used to calculate the deductible costs of operating an automobile for business, charitable, medical or moving purposes.

Beginning on Jan. 1, 2010, the standard mileage rates for the use of a car (also vans, pickups or panel trucks) will be:

  • 50 cents per mile for business miles driven
  • 16.5 cents per mile driven for medical or moving purposes
  • 14 cents per mile driven in service of charitable organizations

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All Charitable Gifts need documentation !

Rules for Clothing and Household Items

To be deductible, clothing and household items donated to charity after Aug. 17, 2006, must be in good used condition or better. However, a taxpayer may claim a deduction of more than $500 for any single item, regardless of its condition, if the taxpayer includes a qualified appraisal of the item with the return. Household items include furniture, furnishings, electronics, appliances, and linens.

Guidelines for Monetary Donations

Beginning in 2007: To deduct any charitable donation of money, a taxpayer must have a bank record or a written communication from the charity showing the name of the charity and the date and amount of the contribution. A bank record includes canceled checks, bank or credit union statements and credit card statements. Bank or credit union statements should show the name of the charity and the date and amount paid. Credit card statements should show the name of the charity and the transaction posting date.

Donations of money include those made in cash or by check, electronic funds transfer, credit card, and payroll deduction. For payroll deductions, the taxpayer should retain a pay stub, Form W-2 wage statement or other document furnished by the employer showing the total amount withheld for charity, along with the pledge card showing the name of the charity.

Prior law allowed taxpayers to back up their donations of money with personal bank registers, diaries or notes made around the time of the donation. Those types of records are no longer sufficient.

The new law does not change the prior-law requirement that a taxpayer get an acknowledgement from a charity for each deductible donation (either money or property) of $250 or more. However, one statement containing all of the required information may meet the requirements of both provisions.

To help taxpayers plan their holiday-season and year-end donations, the IRS offers the following additional reminders:

  • Contributions are deductible in the year made. Thus, donations charged to a credit card before the end of the year count for 2006. This is true even if the credit-card bill isn’t paid until next year. Also, checks count for 2006 as long as they are mailed this year.
  • Check that the organization is qualified. Only donations to qualified organizations are tax-deductible. IRS Publication 78, available online and at many public libraries, lists most organizations that are qualified to receive deductible contributions. The searchable online version can be found on IRS.gov under, “Search for Charities.” In addition, churches, synagogues, temples, mosques and government agencies are eligible to receive deductible donations, even though they often are not listed in Publication 78.
  • For individuals, only taxpayers who itemize their deductions on Schedule A can claim a deduction for charitable contributions. This deduction is not available to people who choose the standard deduction, including anyone who files a short form (1040A or 1040EZ). A taxpayer will have a tax savings only if the total itemized deductions (mortgage interest, charitable contributions, state and local taxes, etc.) exceeds the standard deduction. Use the 2006 Schedule A, available now on IRS.gov, to determine whether itemizing is better than claiming the standard deduction.
  • For all donations of property, including clothing and household items, get from the charity, if possible, a receipt that includes a description of the donated property. If a donation is left at a charity’s unattended drop site, keep a written record of the donation that includes a description of the property and its condition.
  • The deduction for a motor vehicle, boat or airplane donated to charity is usually limited to the gross proceeds from its sale. This rule applies if the claimed value of the vehicle is more than $500. Form 1098-C, or a similar statement, must be provided to the donor by the organization and attached to the donor’s tax return.

 QUESTIONS often arise as to:

 …Whether an activity is a business or a hobby, an activity not engaged in for profit.

In general, taxpayers may deduct ordinary and necessary expenses for conducting a trade or business. An ordinary expense is an expense that is common and accepted in the taxpayer’s trade or business. A necessary expense is one that is appropriate for the business. Generally, an activity qualifies as a business if it is carried on with the reasonable expectation of earning a profit.

In order to make this determination, taxpayers should consider the following factors:

  • Does the time and effort put into the activity indicate an intention to make a profit?
  • Does the taxpayer depend on income from the activity?
  • If there are losses, are they due to circumstances beyond the taxpayer’s control or did they occur in the start-up phase of the business?
  • Has the taxpayer changed methods of operation to improve profitability?
  • Does the taxpayer or his/her advisors have the knowledge needed to carry on the activity as a successful business?
  • Has the taxpayer made a profit in similar activities in the past?
  • Does the activity make a profit in some years?
  • Can the taxpayer expect to make a profit in the future from the appreciation of assets used in the activity?

The IRS presumes that an activity is carried on for profit if it makes a profit during at least three of the last five tax years, including the current year — at least two of the last seven years for activities that consist primarily of breeding, showing, training or racing horses.

If an activity is not for profit, losses from that activity may not be used to offset other income. An activity produces a loss when related expenses exceed income. The limit on not-for-profit losses applies to individuals, partnerships, estates, trusts, and S corporations. It does not apply to corporations other than S corporations.

…What are the rules for renting property such as a second home?

 

If you receive rental income from renting to others a dwelling unit, such as a house or an apartment, you may deduct certain expenses. These expenses, which may include interest, taxes, casualty losses, maintenance, utilities, insurance, and depreciation, will reduce the amount of rental income that is taxed. You will generally report such income and expenses on  Form 1040, Schedule E.  If you are renting to make a profit and do not use the dwelling unit as a home, your deductible rental expenses can be more than your gross rental income, subject to certain limits. Your rental losses, however, may be limited by the "at-risk" rules and the passive activity loss rules.  However, if you rent a dwelling unit that you also use as a home, your deductible rental expenses will be limited.

 

You are considered to use a dwelling unit as a home if you use it for personal purposes during the tax year for more than the greater of: 14 days or 10% of the total days it is rented to others at a fair rental price. It is possible that you will use more than one dwelling unit as a home during the year.

 

For example, if you live in your main home for 11 months, your home is a dwelling unit used as a home. If you live in your vacation home for the other 30 days of the year, your vacation home is also a dwelling unit used as a home unless you rent your vacation home to others at a fair rental value for 300 or more days during the year.

 

A day of personal use of a dwelling unit is any day that it is used by: You or any other person who has an interest in it, unless you rent your interest to another owner as his or her main home under a shared equity financing agreement; A member of your family or of a family of any other person who has an interest in it, unless the family member uses it as his or her main home and pays a fair rental price; Anyone under an agreement that lets you use some other dwelling unit; or Anyone at less than fair rental price.

 

If you use the dwelling unit for both rental and personal purposes, you generally must divide your total expenses between the rental use and the personal use based on the number of days used for each purpose. However, you will not be able to deduct your rental expense in excess of your gross rental income. If you itemize your deductions on Form 1040, Schedule A (PDF), you may still be able to deduct mortgage interest, property taxes, and casualty losses on that schedule.

 

There is a special rule if you use a dwelling as a home and rent it for fewer than 15 days. In this case, do not report any of the rental income and do not deduct any expenses as rental expenses.

 

LOOKING AHEAD

  • There will be a new opportunity to convert traditional IRA funds to Roth IRA’s after 2009 without the $100,000 income phase out of the past.  The income caused by a conversion in 2010 will be taxable in 2011 and 2012.  Congress is looking to offer  a way to pay the tax that they hope will garner short term revenue.  As always, Roth conversions might be good strategies in your long-term financial plan, depending on your unique conditions, One commonly held rule of thumb = models with positive outcomes reflect being able to pay the tax from the conversion with NON IRA funds.

Why Roth? Post 59 ½ (taxpayer age) distributions from Roth IRA’s held at least 5 years are tax free.  Which means tax free growth (vs. tax deferred growth in a traditional IRA’s).

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Great information from NOLO.com… my favorite “regular guy” legal reference site

Making a Will

We've all been told that if we do nothing else to take care of our legal affairs, we should write a will. That's pretty good advice. If you don't make a will before your death, state law will determine who gets your property (and it may well not be whom you would have chosen), and a judge may decide who will raise your children. In your will, you can make these decisions yourself.

If all you need is a basic which :

  • leaves your property to the people and organizations you choose
  • names a guardian to care for your minor children if you can't
  • names someone to manage property you leave to minor children (yours or someone else's), and
  • names your executor, the person with authority to make sure that the terms of your will are carried out.

When a Basic Will Is Enough

By and large, if you are under age 50 and don't expect to leave assets valuable enough to be subject to estate taxes, you can probably get by with only a basic will. But as you grow older and acquire more property, you may want to engage in more sophisticated planning

Making a will rarely involves complicated legal rules. In most states, if you're married, your spouse has the right to claim a certain amount of your property after your death. If you leave your spouse at least half of your property, this won't be an issue.

Make sure your will reflects your current wishes and situation.

Experience teaches us that the only constant in life is change. But we don't always keep up with the important tasks -- such as updating wills and other important legal documents -- that should accompany big changes in our lives. Your will should always be tailored to your current family and financial situation, not the one you faced five years ago or maybe even just last year.

Life events such as marriage, divorce or other changes in partners should nudge you toward making a new will and reviewing beneficiary designations you've made for insurance policies, bank accounts, and retirement accounts.

Living Wills and Powers of Attorney for Health Care:

It's smart to make documents setting out your wishes for health care in case you are ever unable to speak for yourself.

If you're like most people, you aren't eager to spend time thinking about what would happen if you became unable to direct your own medical care because of illness, an accident, or advanced age. But if you don't do at least a little bit of planning -- writing down your wishes about the kinds of treatment you do or don't want to receive and naming someone you trust to oversee your care -- these important matters could wind up in the hands of estranged family members, doctors, or sometimes even judges, who may know very little about what you would prefer.

Types of Health Care Documents

There are two basic documents that allow you to set out your wishes for medical care: a living will and a durable power of attorney for health care. It's wise to prepare both. In some states, the living will and the power of attorney are combined into a single form -- often called an advance directive. (In fact, both of these documents are types of health care directives -- that is, documents that let you specify your wishes for health care in the event that you become unable to speak for yourself.)

Living Wills

First, you need a written statement that details the type of care you want (or don't want) if you become incapacitated. This document is most often called a living will, though it may go by a different name in your state. A living will bears no relation to the conventional will or living trust used to leave property at death; it's strictly a place to spell out your health care preferences. You can use your living will to say as much or as little as you wish about the kind of health care you want to receive.

Powers of Attorney for Health Care

You'll also want what's usually called a durable power of attorney for health care. In this document, you appoint someone you trust to be your health care agent (sometimes called an attorney-in-fact for health care, health care proxy, or surrogate) to make any necessary health care decisions for you and to see that doctors and other health care providers give you the type of care you wish to receive.

Name the best person to direct your medical care if you are unable to do so yourself.

When you make a durable power of attorney for health care, the most important decision you will face is deciding who your health care agent should be. (In your state, this person may also be called a health care proxy, surrogate, or attorney-in-fact.)

Most people name their spouse, partner, a relative, or a close friend as their health care agent. What's most important is that you trust the person absolutely -- and that you feel confident discussing your wishes for medical care with him or her. Your agent need not agree with all of your wishes, but must completely respect your right to get the kind of treatment you want.

What Does a Power of Attorney Do?

In case you don't know, a durable power of attorney for health care gives another person authority to make medical decisions for you if you are unable to speak for yourself.  In some states, this document may be called an Appointment of Health Care Proxy, Designation of Health Care Surrogate, or something similar -- but it works the same as a durable power of attorney.

Important Factors to Consider

Is the person assertive? Keep in mind that your agent may have to fight to assert your wishes in the face of a stubborn medical establishment -- and against the wishes of family members who may be driven by their own beliefs and interests, rather than yours. If you foresee the possibility of a conflict in enforcing your wishes, be sure to choose an agent who is strong-willed and assertive

 

 

Links from NancyFamily Tax
& Financial

Links from NancyNon Profit

  • See Non Profit Section (below) for Document Links

Business

Entity Choice

First of all, I tend to begin suggesting a corporate or LLC structure based upon the vulnerability of the business to tort liability that is beyond normal business insurance coverage for that industry. 

From a tax standpoint, despite common shared thought, the regular business deductions for a corporate entity are exactly the same as those available to offset the gross income of the sole proprietor.  Because of the additional compliance costs related to the maintenance of the corporate structure and the compensation of owners, it is not until the point that we are trying to manage dollars available for owner compensation that we start to watch for savings that exceed those costs.  

Examples of the compliance costs are payroll processing, unemployment tax, payroll tax reporting, corporate tax filing preparation, corporate annual report filling and fees. 

Once the dollars available for owners compensation exceed the amount that represents a reasonable pay for the hours and type of work performed by the owner(s), an S corporation may be considered for the ability to withdraw funds (dividends distributions) that while they represent taxable profit are not subject to social security and Medicare tax.  Remembering that retirement contributions would be calculated only on the wage and that there is extreme IRS scrutiny of the amounts of these distributions vs.. the W2 earnings established for officers.  

Alternatively in certain family situations it can be advisable to consider a corporate structure with out the "S" election, i.e. a C Corporation, as there are mechanisms to deduct uninsured medical, dental and vision out of pocket  pre -  all tax.  Either corporate structure results in the "employer" retirement contributions for the owners being pre social security and Medicare tax, an issue that becomes insignificant when the earnings in comparison as a sole proprietor exceed the FICA limit.   

In the end of the analysis, the processing and  tax savings related to entity choice, can range from insignificant to more meaningful depending on the specific income flows and administrative expertise of the business.

Compliance

Comment to my clients… In over 20 years of practicing I have worked on behalf of a client of mine in 5 IRS audits.  3 of those 5 audits were in the last 18 months.  All of these audits were small businesses.  Also, I recently had one client receive a “correspondence audit” in the form of a letter seeking additional information.  While the outcomes were very good and there were very limited tax adjustments made, the audit engagement did create concern, homework and additional fees for these clients.  I cannot stress enough that it is essential to retain the transaction and other financial records for your business deductions for at least 3 to 4 years.  Records need to include bank statements, original support for the expenses deducted and some connection of deposits to the source such as the customer records in your accounting software or daily register summaries. 

I have often proposed to my clients – isn’t it better to be ready for an audit possibility then live with the concern that it may happen?  I never said the records have to be pretty – BUT THEY HAVE TO EXIST!! We all want the right to offset income with our qualified expenses, it is not an inalienable right…so we have to meet the question half way and retain the evidence of the expense.

The IRS is concerned about an apparent tend of worsening compliance by small businesses. IRS enforcement activities have been increasing and additional pressure is coming from Congress and the White House.  In 2005 taxpayer audits had increased 21% from the year before. The audits of high income Schedule C taxpayers have risen from 1.86% to 3.65%.  The IRS will be studying the reporting compliance by the S corporation and partnership community.  There is growing recognition that a simplification of the tax code would have a positive impact on the issue of the “tax gap”.

Planning

I recently had the pleasure of preparing a speaking engagement with a commercial banker, gal pal of mine.  We were asked to speak about Amazing Results in Business.  We know and have seen that amazing can happen in any amount of money… it is about one meeting one’s own measure of desired outcome, when that outcome is the result of a balanced, controlled service standard applied within a learning and service environment.  Mouthful? I know.  We both believe that planning is a common thread of successful small business.  Planning provides a frame of reference to energize the next year or phase of business or to recognize whether your personal compensation is adequate in the endeavor. Some handouts we used Business Review Cycle and Business Cash Cycle.  As a banker, my friend has seen business owners miss the timing of cash in their enterprise.  Managing toward shorter turns on inventory and receivables should be a priority.  When or if a business should seek borrowed funds, respecting balance of personal and partner resources, and the protection of information are all extremely important small business considerations.

What constitutes “Unreasonably Low” Compensation paid to S Corporation Shareholders?

“Unreasonably low” compensation paid to S corporation shareholder-employees has become a significant issue. S corporations often attempt to eliminate or minimize employment taxes by making a tax-free distribution to shareholder-employees instead of paying them salary. The IRS is giving increased audit scrutiny to this issue and will reclassify an S corporation distribution as salary subject to employment taxes when the S corporation pays the shareholder receiving the distribution no or an “unreasonably low” salary.

The issue of reasonable compensation is a question of fact and highly subjective. There are a multitude of cases analyzing a wide variety of factors in determining whether compensation is reasonable. Courts have developed several different multi-factor tests to guide their analysis: (1) the type and extent of services rendered, (2) the scarcity of qualified employees, (3) the qualifications and prior earnings capacity of the employee, (4) the contributions of the employee to the business venture, (5) the net earnings of the employer, (6) the prevailing compensation paid to employees with comparable jobs, and (7) the peculiar characteristics of the employer’s business. Applying these factors to the facts of the case, the Tax Court found that reasonable compensation was roughly halfway between the officer’s actual compensation and the IRS’s determination of reasonable compensation. Different courts have relied on different factors in determining reasonable compensation.  Here are 21 factors in determining reasonable compensation.

·      Employee’s qualifications and training

·      Time of year the compensation was determined

·      Nature, extent and scope of duties

·       Whether compensation was set by corporate directors

·      Responsibilities and hours involved

·      Correlation between the stockholder-employees’ compensation and his stockholdings

·      Size and complexity of the business

·      Corporate dividend history

·      Results of the employees efforts

·      Contingent compensation formulas agreed on prior to the rendition of services and based upon a free bargain between employer and employee

·      Prevailing rates of comparable employees in comparable businesses

·      Under-compensation in prior years

·      Scarcity of other qualified employees

·      Compensation paid in accordance with a plan which has been consistently followed

·      Ratio of compensation to gross and net income (before salaries and federal income tax) of the business

·      Prevailing economic conditions

·      Salary policy of the employer to its other employees

·      Whether payments were meant as an inducement to remain with the employer

·      Amount of compensation paid to employee in prior years

·      Examination of the financial condition of the company after payment of compensation

  • Employee’s responsibility for the employer’s inception or success

 

Vehicles

Depreciation – there exist annual depreciation (including section 179 expensing) ceilings for cars, light trucks and vans.   Qualifying electric cars have higher allowances.  Trucks, SUVs and vans that are rated at more than 6,000 pounds gross vehicle weight are not subject to these limits, however for vehicles rated at no more than 14,000 pounds gross vehicle weight are limited to $25,000 first year expensing election.  Vehicles meeting certain seating and cargo specifications are not limited in this way.  Similar limitations are expressed for leased vehicles with an “inclusion amount”, used to reduce deductions.

Health Insurance

Over the Counter Medications Reimbursements – While not deductible as individual itemized deductions – medical expense, over the counter medications to alleviate personal injury or sickness can be paid on a pre tax basis through employer sponsored health flexible spending arrangements as well as HSA’s and HRA’s.

Self  Employed Health Coverage Deduction – applies to health and long-term care.  Does not have to be in trade name of business.  Limited to net income less ½ self employment tax and retirement contributions. No aggregation of multiple businesses. A more than 2% S Corporation shareholder or partners can qualify for the deduction if the policy is purchased by and in the name of the corporation/partnership. 

Mini-medical or limited-benefit plans are catching on in response to rising health coverage costs. (e.g. Premiums $40 vs. $335 per month).  Sometimes used for the class of employees not otherwise eligible for fulltime benefits.  These plans can leave participants uninsured for catastrophic illnesses.  These plans maybe useful in combination with a high deductible plan.  At minimum these plans may have a benefit in providing access to preventative healthcare.

Recent Health stats (S& S Benefits, Dundee IL):

  • 2004 health spending averaged $6280 per person (16% of gross national product) Up 8% ( lower increase than prior year)
  • Health insurance increased 8.8% 2004 to 2005. (Half of increase came from new treatments, technology, provider consolidation and increased demand)
  • HSA and HRA plan costs  increased 2.8% compared to 7.2% for standard PPO plans. Statistics limited by # of employers and enrollees (1 million by March, 2005)
  • The average health premium share paid by employees remained at 18% from 1998 to 2003.  The average person pays 35% of their medical costs out of pocket, with the balance paid by insurance.  Rx represented 43%, office visits 26% and dental expenses 17%. 

DIFFICULT ECONOMIC TIMES CALL FOR WATCHING EXPENSES IN SMALL BUSINESSES

One of the biggest opportunities to save money is by taking a look at those recurring, monthly expenses that we all have in our businesses. Because we spend roughly the same amount of money on them month after month, we can save not only for this month but for all future months when we can cut these expenses.

Let’s examine five common overhead expenses that may be ripe for cutting in your business.
Communications
Telephone systems, pagers, cell phones, web hosting, and internet connections have all dropped drastically with increased technology and competition. Re-evaluate your needs: do you need all those phone features, can you drop a few lines, and is it necessary to have both a pager and a cell phone? Ask your existing vendor to re-price your package. You might also be able to save by paying for these features a year in advance; ask your vendor to see if this applies.

Insurance
Workers compensation, health, professional liability, errors and omissions, directors and officers liability, building, auto, and personal umbrella – these are a few of the insurance needs you and your business may have.
Ask your agent if you are over or under covered. If you have multiple agents covering multiple policies, are there any savings by going to fewer vendors or combining policies? You might be able to change dollar limits or increase your deductible, but if you do this, you need to keep the long term in mind. There are good reasons to carry adequate insurance.

Advertising
Instead of spending money on costly advertising, try two other things first:

Leveraging your customer or client base for referrals.

Public relations exposure.


Ask your customers or clients directly for referrals. I know most of us are shy about doing this, but try it anyway. Offer some kind of bonus, such as a gift certificate or an hour free of work for each new referral who becomes a client. To get publicity, send out press releases on some of the latest tax changes, IRS tips, or organizational ideas to local newspapers, news stations, and radio. Do some research on what shows would cover tips on your topic and make sure the host knows you are an expert on the topic. Being mentioned in an article or on the news will build credibility, exposure, and will add content for your prospect kit that you mail to potential clients.
If you do need to advertise, be sure to spend the money on media that brings the biggest return.


Office Supplies, Printing, and Postage

The office supply closet seems to be one of those black holes in many companies; supplies disappear so fast you wonder what happened. One of the solutions is to digitize as much as possible so that paper, pens, paperclips, and other supplies are needed less often. Create a campaign to help people get used to reviewing documents in the computer without printing. An example message of the campaign would be to use your print preview button every time to help avoid printing mistakes. When you need to print larger quantities of a document, always print less than what you think you’ll need. You’ll no doubt find a typo or want to change the wording before the document inventory is used up. Saving on postage is easy. Just email it instead if you can, and if not, use the two-day or regular post instead of overnight.


Rent and Utilities

The need for office space has changed dramatically in the last ten years. Many of us work at home, telecommute, or have gone green and reduced paperwork so much that we need a lot less space to work. If you have too much office space, you might consider subleasing if your rental contract allows it. If you are leasing, it might be time to consider purchasing a building so that your rental money goes into an asset instead of an expense. You may also be able to relocate to another part of town and save big on rent. There may be some real deals in your city if you keep your eyes open. To save big on utilities, there are many green ideas available such as changing all your light bulbs to CFLs, keeping computers turned off and unplugged (or using an energy saving “smart” power strip) when not in use, and even switching utility vendors to get a better price or go with a greener company. To get employees on board with these changes, put a program in place in the name of saving the earth, and challenge them to see what ideas they can come up with to green up your workplace.


Employers


Employee vs. Independent Contractor

The risk involved with an incorrect classification of an “employee” as an independent contractor includes possible liability for back employment taxes ( not offset by taxes already paid by the contractor),  entitlement to fringe benefits and penalties and interest.  The determination turns on the issue of control over the services performed.

 

Non for Profit

 July 12, 2007 NEWS RELEASE !

WASHINGTON — The Internal Revenue Service today announced that it began mailing educational letters this month to more than 650,000 small tax-exempt organizations that may be required to submit a new annual notice, Form 990-N, “Electronic Notice (e-Postcard) for Tax-Exempt Organizations Not Required to File Form 990 or 990-EZ.”

IRS expects to mail the letters over a period of several months, finishing in December.
With the enactment of the Pension Protection Act of 2006 (PPA), the majority of small tax-exempt organizations are now required to submit the e-Postcard. Previously, tax-exempt organizations with gross receipts of $25,000 or less were not required to submit information returns. The first e-Postcards are due in calendar year 2008. The IRS intends to have an option available for free electronic submission of the e-Postcard.

“We’re sending these educational letters to all the small exempt organizations in our records because we want to make sure they all know about the new requirement,” said Lois G. Lerner, director of the IRS Exempt Organizations division. “The new e-Postcard reporting requirement is simple and straightforward, but organizations shouldn’t ignore it, or they risk losing their tax-exempt status.”

Any organization that fails to meet its annual reporting requirement for three consecutive years automatically loses its tax-exempt status under the new law. An organization that wants to regain its exempt status will then have to reapply for recognition as a tax-exempt organization.

 

Tax Exempt Organizations

The Not for Profit Sector is a significant part of the US economy – employing 10% of the US population! There are 1.3 million organizations.

Changing climate for the Not for Profit Sector

Ø    TRANSPARENCY

Ø    ACCOUNTABILITY

Ø    OVERSIGHT

Expect many important IRS and legislative changes….

Some Specific Areas of Concern

Reporting

Not for Profit Sector is a top priority of the IRS Commissioner, implementing:

·         E filing, data mining

·         Limited Scope Audits – Compliance questionnaire

o     Payroll tax; independent contractors; T&E substantiation

o     Excess benefits compliance

·         Complete revision of Form 990

§      Many additional questions, quantitative disclosure of exempt activities

·         Small Organization filing – 990N – new

·         Questions and exams regarding governance standards

States’ Attorney Generals are enacting SOX-like requirements (Sarbanes Oxley… i.e. post Exxon)

Public scrutiny and accessibility to data is facilitated by watchdog organizations… www.guidestar.org; www.give.org; www.charitynavigator.org

Supporting organizations required to file form 990 regardless of gross receipts, supporting organizations to religious organizations if receipts > $5,000

Compensation

One of the most important areas that will need increased disclosure and attention is compensation.  There needs to be disclosure of ALL compensation to “Disqualified persons” (see definitions on GIFTS below – most obviously  officers and key employees ) which includes vehicle use, cell phone use, expense advances, loans.  Especially where an accountable plan (personal use reported to organization by user) doesn’t exist - disclosure is extremely important to avoid substantial penalties.  ADVANCE approval of executive compensation with reliance on appropriate data is absolutely key!  Conflicts of interest and proper substantiation of expenses is definitely a hot button. 

Organization need to establish a “rebuttable presumption” that transactions with disqualified (see definitions in GIFTS below) do not provide “excess benefits” by following certain steps intended to reflect that amounts paid have been approved by disinterested parties, based upon appropriate data and contemporaneously documented in sufficient detail.

RISKs = excise taxes to persons benefited, persons in charge of organization and possible loss of tax exemption.

Gifts

The Pension Protection Act of 2006 requires that donors have a bank document or organization receipt for ALL donations to support a valid deduction.  Example – Salvation Army bucket gifts of cash and coin are not deductible.  Non cash gifts need to be in good condition and donors should consider photo documentation in addition to detail lists. 

Organizations need to track gifts by donors over a period of 5 years relating to some specific definitions of “disqualified persons”:

·         Members of governing board

·         Person having ultimate responsibility for implementing decisions of the board and/or for managing the organization

·         Person who having ultimate responsibility  for managing the finances of the organization

·         Family members of persons with substantial influence

·         Substantial contributors

·         Entities controlled by disqualified persons

·         Persons by fact and circumstance with substantial influence over an organization’s affairs currently or in the past five years

o        Shown to not include: vows of poverty, those supervised by non disqualified persons, non participation in management and professional advisors in non decision making roles.

Activities

Certain activities of not for profits may be closer to regular business income activities then those related to exempt purposes.  The activities that require attention are those that are carried on regularly, performed by non-volunteers and can be seen as in competition with the for profit sector.  Many are surprised to learn that the gross receipts and/or net income from these certain activities can be subject to Unrelated Business Income Tax (UBIT)(requiring the filing of 990T), Sales and Use tax and of course all of the related filings.  Please read UBIT (Unrelated Business Income Tax)

 

Principles from the Panel on the Nonprofit Sector

With increased enforcement by the IRS and state charity regulators, renewed Congressional interest in investigating just what it means to be a charity, and continuing media stories highlighting some nonprofit abuses, the Panel on the Nonprofit Sector (convened by Independent Sector) published Principles for Good Governance and Ethical Practice: A Guide for Charities and Foundations in October to help guide charities in these sometimes difficult times. (Download a copy at www.independentsector.org .) What's in this report that you need to know ?

The Panel list of principles and practices attempts to strike a balance—listing what nonprofits must do (legally required) and adding recommendations on what they should do. The Panel's 33 principles include 6 required by law and another 27 that charities should consider adopting if they make sense based on their legal status, operational structure, and purpose. The focus on accountability and transparency is not going away, and this compilation by the Panel shows how charities can improve their governance themselves, without the addition of more federal and state laws.

First, a review of the Panel principles described as legal requirements :

Principle #1—Comply with all applicable laws and regulations—federal, state, local, and international. Check out www.stayexempt.org for guidance from the IRS about what is required.

Principle #3—Have policies and procedures for conflicts of interest. Charity regulators require that board members and staff disclose any interest in a transaction or action that could be viewed as affecting their objectivity or independence. First, any potential conflicts should be disclosed. Then there should be policies to deal with them transparently. If a board member has a material conflict of interest, the law requires that he/she not discuss or vote on the issue. An Internet search will provide sample conflict-of-interest policies to use as a model.

Principle #21—Keep complete, current, and accurate financial records, preferably audited or reviewed by a qualified independent financial expert. State laws vary on the sizes and types of organizations that are required to have audits or reviews by an outside accountant, so check on your state's requirements. Creating an audit committee of board members (including some with financial expertise) helps reduce a possible conflict of interest between the paid staff and the outside auditors.

Principle #25—Establish clear written policies for paying or reimbursing business or travel expenses.  The IRS does not want to see "lavish, extravagant, or excessive expenditures." A review of IRS Publication 463, "Travel, Entertainment, Gift, and Car Expenses " (download at www.irs.gov/pub/irs-pdf/p463.pdf ), can help you write your reimbursement policies.

Principle #26—Do not pay for expenses or reimburse travel for spouses, dependents, or others who accompany someone conducting business for the charity. This restriction doesn't apply for small costs (such as a meal) or if the person is also working on charity business.

Principle #27—Be accurate and truthful in your solicitation materials. What you need to address is covered in A Donor Bill of Rights, developed by the Association of Fundraising Professionals, and available at www.afpnet.org/content_documents/Donor_Bill_of_Rights.pdf .

Whereas all nonprofits must adhere to the six principles above, there are a number of additional practices that will help ensure that charity regulators won't be focusing on you. The IRS is looking at compensation and benefit levels for nonprofit executives these days and actually assessed nonprofits over $21 million in fines in 2007. Adopting some of the other recommendations in the panel's list can help you deal with regulator and media questions.

Here's a review of the principles that relate to compensation and benefits—often sensitive issues with board members, federal and state regulators, the media, and the public.

Principle #8—Have a governing body responsible for reviewing and approving the organization's mission and strategic direction, annual budget and key financial transactions, compensation practices and policies, and fiscal and governance policies. Not being responsible about compensation can cost money—in fact, the IRS's Executive Compensation Initiative Project report concluded that there was need for "a continued enforcement presence in this area." (Download the report at www.irs.gov/pub/irs-tege/exec._comp._final.pdf )

Principle #12—Have a substantial majority of independent board members. Board members should not be compensated as employees or independent contractors. They should not have compensation determined by individuals compensated by the organization, not receive material financial benefits, and not be related or residing with those who are not independent.

Independent judgment is required of board members, and the organization's interest must be placed above personal interests. Thus, most individuals on the board should be free of financial conflicts of interest.

Principle #13—The Board should hire, oversee, and annually evaluate the performance of the CEO and conduct an evaluation prior to any change in compensation. This is the board's responsibility, and the IRS guidance is clear:

•  Set compensation in advance using appropriate comparability data.

•  Make sure no one involved in setting the salary has a conflict of interest.

•  Document decisions on compensation.

The IRS regulations call for "reasonable" compensation—the amount that would be paid for "like services" by "like enterprises" (could be taxable or tax-exempt), under "like circumstances." Small organizations should have at least three comparables, and the IRS implies that larger organizations should have more than three.

Principle #20—The Board should serve without compensation. If compensated, use appropriate comparability data to determine the amount to be paid. Because compensating board members is unusual, detailed documentation is necessary if a charity does more than reimburse expenses. If board members are setting their own compensation, they clearly have a conflict of interest, so use an independent data source.

The panel principles outlined above provide a blueprint for good compensation practices that keep an organization in legal compliance and also strengthen transparency and ethical standards.

Just document the compensation decisions, ensure that those with conflicts of interest are not included in the decision making, and collect information on comparable salaries (for like services, in like enterprises, in like circumstances) from independent data sources. Implementing what's required and what's recommended on compensation will let you focus on your mission, not defending the credibility of the organization.

Reference:

Linda M. Lampkin, ERI Economic Research Institute
GuideStar is the registered trademark and operating name of Philanthropic Research, Inc., a 501(c)(3) nonprofit organization

Resources

Commonalities of Governance Best Practice that can be found in recent guidance:

·      Panel on the Nonprofit Sector                                     January 12, 2007       www.independentsector.org

·      Assoc of Governing Boards of Univ. and Colleges       January 17, 2007       www.agb.org

·      Internal Revenue Service                                            February 2, 2007       www.irs.gov/charities

Ø    Adherence to Mission

o     Responsibility to advance organization’s mission

o     Promote organization’s integrity and quality

o     Re-examine and reshape mission as necessary

o     ACTION STEP = Annual review of organization mission, program review every 3 to 5years

Ø    Transparency

o     Disclosure of Mission, Finances and Program and Activities

o     Complete 990, annual reports and financial statements

o     ACTION STEP = Review of organization and governing instruments for consistency with annual filings

Ø    Financial Integrity and Oversight

o     Responsible investment of funds

o     Reasonable % of funds spent on exempt purpose

o     Stewardship of financial resources – regular review of financials, audit, 990, finance and audit committee reports

o     ACTION STEP = Consider and approve annual budget

Ø    Compliance

o     Ensure compliance with federal, state and local laws and regulations

o     Ensure maintenance of tax-exempt status

Common Tax Law Restrictions on Activities of Exempt Organizations

 

The chart below compares seven federal tax law attributes of five common types of tax-exempt organizations.

 

 

501(c)(3)

501(c)(4)

501(c)(5)

501(c)(6)

527

 Receive tax-deductible charitable contributions

YES 

NO 

 NO 

NO  

 NO 

 Receive contributions or fees deductible as a business expense

YES  

YES  

YES  

YES  

 NO 

 Substantially related income exempt from federal income tax

YES 

 YES 

 YES 

 YES 

 YES 

 Investment income exempt from federal income tax

 YES 

 YES 

 YES 

 YES 

 NO 

 Engage in legislative advocacy

LTD 

YES  

 YES 

 YES 

 LTD 

 Engage in candidate election advocacy

NO  

 LTD 

 LTD 

 LTD 

YES  

 Engage in public advocacy not related to legislation or election of candidates

YES  

YES  

 YES 

 YES 

 LTD 

o     Appropriate and fiscally responsible policies:

§      Code of ethics and conflicts of interest statements

§      Whistleblower policies

§      Documentation retention policies

o     ACTION STEP = Briefings from legal and tax counsel regarding compliance tax issues

Ø    Responsible Fund Raising

o     Solicitation materials – accurate and truthful; contributions used consistently with purpose described in solicitation

o     Appropriate charitable donation acknowledgments

o     Fund – raisers should not be compensated based on commission

o     Comply with federal and state laws

o     ACTION STEP = periodic board review of investment policy and strategy

Ø    Review of Compensation Policy

o     Board needs to hire, supervise, and evaluate CEO’s performance (DOCUMENT!)

o     CEO, board chair and treasurer should be separate individuals

o     Board members should not receive compensation other than expense reimbursement (One consideration =  In Illinois an uncompensated director has limited liability regarding the activities of the organization)

o     ACTION STEP = periodic review of compensation arrangement for officers, directors, key employees and significant independent contractors based on outside compensation statistical study. Board or designated board officer approval of executive expense reports.

Ø    Board Composition and Responsibilities

o     Regular meetings – minimum 3 per year

o     Board membership – at least 5 members, periodically review for effectiveness of size and structure

o     Independence – Duty of Care and Duty of Loyalty

o     ACTION STEP = comprehensive orientation and education for board members with regular assessment of board performance

Links to Other Outlines and Articles:

 

See Blackbaud's white paper for a good article about issues of financial management including budgets…