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 College and its divisions, centers, institutes, departments, academic programs, and cocurricular programs. Except as noted below, no member of the Utica College community may solicit any individuals or entities for the purpose of securing financial support for College programs and activities without written permission, in advance, from the director of development.

Fundraising projects that entail improvements or changes to the campus or to any College-owned or leased property additionally require permission from the president of the College.

Although the focus of this policy is activity that benefits College programs, Utica College recognizes that members of the College community, particularly students, may engage in activities relating to community service. These activities, while they benefit external individuals and organizations, may be referred to as “fundraising.” Members of the Utica College community who participate in any fundraising activities, whether those activities benefit internal or external causes, must follow the College’s Solicitation policy. The Solicitation policy also applies to non-members of the College community who wish to engage in fundraising activities on the College campus.

Any fundraising for political purposes is prohibited.

Exceptions to Policy

Student clubs, organizations, and athletic teams holding fundraisers that exclusively target faculty, staff, and students, such as bake sales, raffles, and the sale of t-shirts, are exempt from this policy. However, such fundraisers must comply with the College’s Solicitation policy, particularly that policy’s prohibitions regarding on-campus door-to-door soliciting.

Student-led fundraisers that involve the solicitation of donors external to the College, including trustees, alumni, parents, friends, and businesses, are not exempt from this policy. Student clubs and organizations wishing to organize such fundraisers must first consult with the vice president for student affairs and dean of students, who will determine whether they must consult the director of development. Similarly, athletic teams holding fundraisers that involve the solicitation of donors external to the College must first consult with the director of athletics, who will determine whether they must consult the director of development.

Utica College has made an institutional commitment to the United Way and to America’s Greatest Heart Run & Walk. Therefore, certain activities connected with those two fundraising efforts may be exempt from portions of this policy.

Dedicatory and interpretive signage – When appropriate, the College will install plaques that commemorate donations to the College, recognize students or employees who have passed away, or provide information about sculptures and other campus features. The Office of the President must approve materials, design, wording, and locations for these types of signage. For more information, see UC’s Posting policy.

SCOPE:

This policy is applicable to all members of the Utica College community including faculty and staff, trustees, alumni and friends, other agents and representatives, student organizations, athletic teams, institutes, and centers.

REASON FOR POLICY:

This policy is designed to ensure that Utica College 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. The policy is also designed to accord the College the ability to direct its resources and energies toward the institution’s most critical priorities. The policy further guards against unnecessary and excessive solicitation of the College’s most generous contributors and prospective donors. Finally, the policy is designed comply with federal and state regulations, including compliance to maintain the College’s 503(c)(3) status with the IRS.

DEFINITIONS:

Fundraising – Activities designed to generate income or other forms of support for programs, organizations, individuals who are in need, and other causes. Such activities may benefit College-related programs or services, or they may benefit external not-for-profit causes.

Solicitation – The act of personally approaching other individuals with the intent to sell or promote products, services, or beliefs or with the intent to conduct interviews on behalf of newspapers, television stations, and other media. Examples include such activities as conducting bake sales, selling raffle tickets, gathering pledges for walkathons, selling Girl Scout cookies or Avon products, marketing credit cards, proselytizing on behalf of religious or cult organizations, and distributing promotional products, advertising materials, handbills, or printed or written literature whether in person, electronically, or through campus mail or by telephone. See also the College’s Solicitation policy.

Community Service – Activities undertaken by College faculty, staff, and/or students to support external not-for-profit organizations, individuals in need, community-based organizations, citizen advisory committees or task forces, and/or professional organizations.

PROCEDURES:

1. The director of development shall serve as the officer of the College designated by the president to coordinate, approve, staff, and otherwise support all fundraising communications, activities, events, and programs for the express purpose of raising and acknowledging voluntary support from all individuals and entities to benefit Utica College programs and activities.

2. The cost of any fundraising activity that has not already been established as an institutional priority shall be considered ancillary and, therefore, must be funded by the sponsoring organization or from the proceeds that result from the fundraising activity.

3. Student clubs and organizations must consult with the vice president for student affairs and dean of students or designee before soliciting and/or securing financial support from donors who are external to the College for College-related fundraising purposes. The vice president for student affairs and dean of students will determine whether permission from the director of development is required, will consult with that individual as needed, and will direct student clubs and organizations to that individual as needed.

4. Athletic teams must consult with the athletic director or designee before soliciting and/or securing financial support from donors who are external to the College for College-related fundraising purposes. The athletic director will determine whether permission from the director of development is required, will consult with that individual as needed, and will direct athletic teams to that individual as needed.

5. Faculty members must consult with their school deans before soliciting and/or securing financial support from any donors, whether internal or external, for College-related fundraising purposes. School deans will determine whether permission from the director of development is required, and will consult with that individual as needed.

6. All other requests to conduct fundraising for College programs and activities must be presented, in writing, to the director of development in advance of any such activity. The director of development will determine whether and when the fundraising activity will be scheduled in accordance with the established fundraising priorities of the institution.

7. If permission is granted to conduct the fundraising activity and if the activity entails improvements to the campus or to any College-owned or leased property, the fundraiser organizers must additionally seek approval from the president of the College. Past examples include the bricks in front of the Strebel Student Center, the moose in front of the Clark Athletic Center, and the seating area at the south end of the Strebel Student Center.

8. The Division of Advancement is the central repository for the receipt, recording, and acknowledgement of all gifts to Utica College irrespective of designation or purpose. The Division of Advancement must be immediately notified 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.

9. Consideration of the use of a third party vendor for the purpose of soliciting gifts to Utica College 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 director of development.

10. Although one focus of this policy is the solicitation of financial support for College programs and services from alumni, trustees, and vendors, fundraising activities as defined by this policy may also include soliciting College faculty, staff, and/or students. To ensure the appropriate use of College resources and to protect members of the College community from harassment and/or disruptions, all fundraising activities, whether they are designed to benefit College programs and services or external causes, must additionally follow the procedures outlined in the Solicitation policy.

11. If the planned fundraising activity will involve the use of the College logo, seal, or trademarked graphics, organizers must consult with the Office of Marketing and Communications.

12. Exceptions to this policy may be considered by the president of Utica College upon the advice and consent of the director of development.

RESPONSIBILITY:


It is the responsibility of the director of development or his/her designee to review requests to conduct fundraising activities designed to benefit College programs and activities, and to evaluate such requests in light of the College’s established institutional priorities. It is the responsibility of all members of the Utica College Board of Trustees, administration, faculty, staff, students, athletic teams, student organizations, community of alumni and friends, institutes, and centers to adhere to this policy and its relevant procedures. It is the responsibility of student clubs and organizations to consult with the vice president for student affairs and dean of students or his/her designee regarding fundraising activities and practices. It is the responsibility of athletic teams to consult with the director of athletics or his/her designee regarding fundraising activities and practices. It is the responsibility of faculty members to consult with school deans regarding fundraising activities.

ENFORCEMENT:

Enforcement of Utica College 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 faculty or staff members, students, vendors, or visitors who violate policies.

Utica College acknowledges that College policies may not anticipate every possible issue that may arise. The College 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 College (i.e. president, vice president for academic affairs, or vice president for financial affairs).

RESOURCES/QUESTIONS:

For any questions or additional information, please contact the director of development.

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

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



Effective Date:
02/15/2010
Promulgation Date:
04/02/2010