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Office of Institutional Advancement

Fundraising Activities and Practices

POLICY:

The Division of Advancement has sole responsibility for planning, implementing, managing, and assessing all programs and activities related to securing voluntary financial support for Utica University and its divisions, centers, institutes, departments, academic programs, and cocurricular programs. Except as noted below, no member of the Utica University community may solicit any individuals or entities for the purpose of securing financial support for University programs and activities without written permission, in advance, from the Vice President for Advancement.

Fundraising projects that entail modest improvements or changes to the campus or to any University-owned or leased property additionally require permission from the President of the University. Furthermore, fundraising initiatives for capital construction, renovation, or renewal of the University’s physical plant (both leased and owned), the grounds, or infrastructure, may proceed only upon approval of the President of the University with the advice and consent of the Capital Projects Subcommittee of the Board of Trustees.

The University recognizes that members of the University community, particularly students, often participate in community service projects and activities that may have a fundraising component in support of external not-for-profit organizations or their own organizations. Members of the Utica University community who plan, organize, and engage in such activities must adhere to the procedures outlined below.

The University’s fundraising priorities shall be determined by the President of the University in consultation with his or her Cabinet, and upon the advice and consent of the Board of Trustees.

Fundraising for any and all political purposes is prohibited.

Exceptions to Policy
In special circumstances, the University makes an institutional commitment to support extraordinary local community programs, such as the United Way, America’s Greatest Heart Run and Walk, and Colleges Against Cancer. In these instances, certain activities related to those programs may be exempt from this policy, but only upon the recommendation of the Vice President for Advancement and with the approval of the President of the University. In addition, fundraisers to support members of the University community who have experienced significant hardship or loss may be exempted from this policy upon the recommendation of the Vice President for Advancement and with the approval of the President of the University.

Additional exceptions to this policy may be considered by the President of Utica University upon the recommendation of the Vice President for Advancement.

SCOPE:

This policy is applicable to all members of the Utica University community including the Board of Trustees, faculty, staff, students; institutes, centers, governance groups, and other University entities; alumni, parents, and friends; and other agents and representatives. Note that this policy applies to the solicitation of financial support to benefit University or external not-for-profit organizations. Other forms of solicitation are addressed in the University’s Solicitation policy.

REASON FOR POLICY:

This policy is designed to ensure that Utica University completely and accurately records all voluntary financial support from all individuals and entities in accordance with accepted standards for crediting, acknowledgement, and stewardship of all such support; ensure that the University is fully compliant with all applicable federal and state laws, including adhering to its obligations as a non-profit educational institution in accordance with its 501(c)(3) designation by the Internal Revenue Service; provide the University with the ability to direct its resources and energies toward the institution’s most critical priorities; guard against unnecessary and excessive solicitation of the University’s most generous contributors, prospective donors, and members of the University community; and protect faculty, staff, and students from unwanted, intrusive, or disruptive solicitation.

DEFINITIONS:

Fundraising Activities: Efforts designed to solicit financial support for University-approved programs and facilities from University employees, students, trustees, parents, alumni, friends, and volunteers as well as from community members, private foundations, and government entities.

Internal Fundraising Activities: Fundraising efforts that target University employees, students, and the occasional visitor. Examples include bake sales, raffles, t-shirt sales at athletic events, and crowdsourcing.

External Fundraising Activities: Fundraising efforts that target University friends, members of the local community, private foundations, and government entities. Examples include solicitations that support naming opportunities and grant applications.

PROCEDURES:

Approval Processes

The President of the University shall delegate to the Vice President for Advancement responsibility for coordinating, approving, staffing, and otherwise supporting all fundraising communications, activities, events, and programs for the express purpose of raising and acknowledging voluntary support from all individuals and entities to benefit the University’s annual and capital priorities.
Any fundraising initiatives for the express purpose of renovating, renewing, or constructing buildings, grounds, and all interior and exterior spaces, for any program, department, or division must follow the proper University procedures for the planning and approval of any capital projects, and must be approved, in advance, by the President of the University with the Capital Projects sub-committee of the Board of Trustees concurring.
Fundraising activities that have been approved by the Vice President for Advancement but have not been established as institutional priorities shall be considered ancillary in nature. The cost of ancillary fundraising activities must be funded by the sponsoring organization or from the proceeds that result from the fundraising activity. Such activities will be scheduled at a time, in such manner, so as not to conflict in any way with University priorities, and only if all procedures set forth in this policy and any related policies are followed.
Members of the faculty wishing to secure external funding to support their research and scholarship activities are required to follow the procedures as set forth in the University’s External Grants policy, which outlines the pre- and post-grant award procedures, and must work in close collaboration with the University’s Grants Office in the Division of Advancement. In addition, the University also provides a more extensive manual for grant-seeking activity to support faculty initiatives to secure funding from government, corporate, and foundation sources.
For fundraising activities designed to benefit external not-for-profit organizations:
1. Athletic teams require the approval of the team’s coach and the Director of Athletics with the Vice President for Advancement concurring.
2. Approved student clubs and organizations require the approval of the Assistant Vice President for Student Affairs & Dean of Students and Campus Life with the Vice President for Advancement concurring.
3. All other University groups require approval from the Vice President for Advancement.
For internal fundraising activities designed to benefit University-approved organizations and activities:
1. Athletic teams require the approval of the team’s coach and the Director of Athletics.
2. Approved student clubs and organizations require the approval of the Assistant Vice President for Student Affairs & Dean of Students and Campus Life.
3. All other University groups require approval from the Vice President for Advancement.
For external fundraising activities designed to benefit University-approved organizations and activities:

All fundraising activities that involve soliciting individuals who are not Utica University employees or students (including, but not limited to, trustees, parents, alumni, neighbors, and friends of the University), businesses, or grant-funding organizations, including private foundations and government entities, require approval from the Vice President for Advancement. Such activities include seeking financial support for equipment, operations, and/or capital improvements, including charitable gifts and advertising sponsorships.
Any use of the University’s copyrights and trademarks, such as the wordmark, logo, official seal, and any other brands or images protected under such copyrights and trademarks used in any form for the purposes of soliciting contributions must be reviewed in advance by the Vice President for Marketing & Communications, and must comply with all standards established to protect the brand and image of the University.
The Division of Advancement is the central repository for the receipt, recording, and acknowledgement of all contributions to Utica University irrespective of designation or purpose. The Division of Advancement must be notified immediately upon receipt by any individual, department, student club or organization, or athletic team of any contributions of cash, securities, tangible personal property, gifts-in-kind, or any other form of voluntary support that is covered by this policy.

Time, Place, and Manner

University-sponsored campaigns have specific start and end dates that are determined by the President of the University in consultation with the Board of Trustees and the Vice President for Advancement.
Door-to-door solicitation in residence halls, classrooms, and administrative offices is prohibited.
Staff members from the Division of Advancement may approach University employees regarding donations to the University’s Annual Fund and other approved University fundraising activities. Mechanisms for solicitation may include, but are not limited to, personal contact, email, fliers, and social media.
Utica University student clubs and organizations that have received permission to conduct fundraisers or promotional activities on University-owned or leased property may do at three locations: Strebel Student Center, White Hall, and the University’s athletic facilities. If permission is given and the fundraiser or promotional activity is to take place in the Strebel Student Center or White Hall, students must reserve a table in those locations.
Faculty and staff members who wish to conduct solicitation activities that benefit external causes or that provide support for members of the Utica University community must consult with the Vice President for Advancement regarding mechanisms for conducting such activities.
The use of any form of social media platforms and strategies, such as crowd funding, as well as other digital methods, for the purpose of securing support from a broad spectrum of internal and external constituents, may only be used for approved institutional priorities, and only upon approval of the Vice President for Advancement. However, students are encouraged to use social media to solicit funding from their close circle of family and friends.
Consideration of the use of a third party vendor for the purpose of soliciting gifts to Utica University and/or the transmission of any constituent information such as names, addresses, e-mail addresses, and telephone numbers for such purposes must be approved by the Vice President for Advancement, and must comply with the University’s policies on data security and information assurance.

RESPONSIBILITY:

It is the responsibility of the Vice President for Advancement or his/her designee to review requests to conduct fundraising activities designed to benefit University programs and activities, and to evaluate such requests in light of the University’s established institutional priorities.

It is the responsibility of athletic coaches and the Director of Athletics to review team requests to conduct internal fundraising activities and/or activities that benefit external not-for-profit organizations and to consult with the Vice President for Advancement before granting approval.

It is the responsibility of the Assistant Vice President for Student Affairs & Dean of Students and Campus Life to review other student requests to conduct internal fundraising activities and/or activities that benefit external not-for-profit organizations and to consult with the Vice President for Advancement before granting approval.

ENFORCEMENT:

Enforcement of Utica University policies is the responsibility of the office listed in the “Resources/Questions” section of each policy. The responsible office will contact the appropriate authority regarding any stakeholder individual or group covered under this policy who may be in violation of any of its provisions.

Utica University acknowledges that University policies may not anticipate every possible issue that may arise. The University therefore reserves the right to make reasonable and relevant decisions regarding the enforcement of this policy. All such decisions must be approved by an officer of the University (i.e. President, Provost & Senior Vice President for Academic Affairs, Senior Vice President for Student Life & Enrollment Management, Vice President for Financial Affairs, or the Vice President for Legal Affairs & General Counsel).

RESOURCES/QUESTIONS:

For any questions or additional information, please contact the Vice President for Advancement.

See also the following University policies: Solicitation, External Grants, Employee Code of Conduct, Political Activity on the Utica University Campus, Credit Card Marketing, and Posting.

Please note that other Utica University policies may apply or be related to this policy. To search for related policies, use the Keyword Search function of the online policy manual.