January 12, 2010
The purpose of this Operating Policy/Procedure (OP) is to set forth College of Human Sciences’ policies and procedures for the Office of Development and External Relations regarding:
This OP will be reviewed in January of even-numbered years by the College Development Officer and approved by the Dean.
a. Care and concern for helping each individual faculty member and student achieve his or her maximum potential remains the College priority.
b. The College of Human Sciences has achieved excellence in many areas with the help of private funding sources, but additional support from the private sector is needed to allow the College to reach its full potential. Faculty and staff are encouraged to identify and collaborate in securing additional support for the CoHS and individual programs. To assist them, there is a full-time development officer that works to promote CoHS and the programs within by educating alumni, foundations, and corporations and then soliciting their support. The development officer works closely with the Alumni Relations office to ensure appropriate stewardship of all gifts received are handled appropriately.
c. The Office of Development and External Relations is responsible for soliciting, coordinating, approving, and reporting all fundraising from the private sector for the College. To fulfill this mission, this office should be informed in a timely fashion of all actions related to fundraising.
d. The Office of Development and External Relations is responsible for receiving and acknowledging gifts obtained on behalf of the College.
e. All offices of the College, including faculty and staff, are responsible for coordination with the Office of Development and External Relations including written approval for all fund-raising projects sponsored by individuals, foundations, and corporations prior to the project.
f. Appointments to development Advisery boards within the college shall be submitted via the Office of Development and External Relations to the Vice Chancellor for Institutional Advancement prior to the individual being asked to serve on said board to avoid duplication in membership on the boards.
g. The Office of Development and External Relations is responsible for coordinating any press releases issued by the college. This is done in conjunction with and approval by the Texas Tech University Office of Communications and Marketing. Development related press conferences are coordinated with the Office of Institutional Advancement.
h. The Office of Development and External Relations is responsible for assisting departments, institutes, and centers with events. If an event directly supports the development and public relations of the college, the Office may plan and execute the event. If the event is not related to development and public relations, the Office staff will assist the department, institute, or center staff with contact names needed to plan and execute the event. Prior to an event, the Office of Development and External Relations will meet with the department, institute, or center staff and execute a Project/Event Departmental Joint Agreement which will outline each area’s responsibilities and who will pay the expenses. An example of the agreement and sample listing of vendors is attached.
a. For the purpose of this OP, gifts, donations, and non-contractual grants are defined as: charitable contributions of any kind of property, real or personal, including pledges, which are given for restricted or unrestricted purposes by donors from the private sector (e.g., individuals, foundations, and corporations). A gift is a voluntary transfer of property from one to another without consideration. It is donative in nature and bestowed by the donor voluntarily and without expectation of any tangible return.
b. Included in the above definition are gifts such as cash, securities, tangible personal property, and real property.
c. Not included in the above definition are grants from public entities, including local, state, and federal entities, or contractual grants, contracts, or purchase orders from private sources. The Office of Research Services will communicate approaches and receipts for contractual grants from private sources with the Office of Institutional Advancement (OIA).
a. All solicitation of gifts from private sources by any Texas Tech University (TTU)
faculty member, staff member, student, student organization, or related corporate
entity shall be coordinated and cleared before the fact with the Office of Development
and External Relations.
(1) Any project for which gift funding in excess of $1,000 is sought must receive approval from the appropriate academic and Office of Institutional Advancement (OIA) administrator. Funds may not be formally solicited for a center or institute prior to approval of the establishment of the center or institute by the Board of Regents.
(2) In the approval process, the sponsors of the project must agree that, should the fundraising goal not be reached, TTU support in excess of what might be committed initially will not be sought. In addition, a plan must be provided by the project sponsor to the Vice Chancellor of Institutional Advancement and the president specifying what will happen to the gift funds should the fundraising project not reach its financial goal. The sponsor must agree to inform the principal donors in advance of how the funds will be used should the goal not be reached.
(3) The OIA maintains a master calendar for all fundraising events. All events must receive prior approval from the OIA.
(4) All fundraising projects and events shall comply with TTU policies and procedures, as well as federal and state law.
(5) Any written statement concerning tax deductibility of contributions must be reviewed and approved by the OIA.
b. If any faculty member, staff member, student, or student organization receives any unsolicited question from a prospective donor regarding a possible gift to TTU or Texas Tech Foundation, Inc., (TTFI), the OIA should be notified of the inquiry as soon as possible following the initial contact.
c. Fundraising programs can be initiated by TTU or by TTFI.
d. The related corporate entities of TTU, other than TTFI, are defined as separately
incorporated, nonprofit organizations with federal tax-exempt status, which, pursuant
to their governing documents, exist solely to support TTU and have contracts with
TTU setting forth such support. These organizations are:
(1) Texas Tech Alumni Association;
(2) Museum of Texas Tech University Association;
(3) Ranching Heritage Association;
(4) Texas Tech Association of Parents;
(5) Texas Tech University Law School Foundation;
TTU personnel may assist the above-listed related corporate entities in any fundraising efforts in which the contributions are made to TTFI or TTU as designated by the donor.
TTU personnel and students may assist organizations, other than those listed above, with fundraising efforts, provided contributions are made to TTFI or TTU as designated by the donor.
e. Corporations and Foundations
All research, project, and gift solicitation proposals to private foundations or corporations must be cleared by the director of Corporate and Foundation Relations if the following indicators of a gift exist:
(1) The award is from a non-governmental source and is either for buildings or facilities, research or a specific project, or for the endowment of TTU;
(2) The donor specifically intends the award to be a charitable gift, as reflected by the characteristics of the award instrument;
(3) The conditions or stipulations placed on the intended use of the award are reasonable and serve to direct the funds to areas such as scholarships, facilities, or general research support of specific interest to the donor;
(4) The donor intends the gift to be irrevocable and, therefore, relinquishes the right to reclaim the gift or any unused remainder; and
(5) The donor makes the gift to TTU or TTFI without expectation of direct economic benefit or other tangible benefit commensurate with the worth of the gift.
f. Office of Research Services
The Office of Research Services will have responsibility for negotiation and administration of the award if any of the following indicators exist:
(1) The award is from a governmental or quasi-governmental entity or is a subcontract or purchase order from a federal contractor;
(2) The award is from a corporation's research and development budget and is perceived by the company as a "cost of doing business" rather than a charitable gift;
(3) The for-profit private sponsor hopes to gain direct economic benefit as a result of the activity to be conducted under the agreement;
(4) The award is the result of a project proposal to the sponsor, and there is a written contract between the sponsor and TTU;
(5) The sponsor is contractually entitled to formal financial, technical, or activity reports;
(6) There are specific limitations concerning patents, copyrights, publications, or the use and ownership of equipment;
(7) The unused portion of the award is revocable if the grant is not being used to the sponsor's satisfaction; or
(8) The activity supported by the award involves patents, hazardous substances, animal or human research subjects, or classified material.
a. Finder's Fees or Commissions
(1) Neither TTU nor TTFI will pay any fee to any person in consideration of directing a gift to TTU or TTFI. Such fees could be illegal and, in the case of irrevocable deferred gifts that involve management of assets, the payment of such may subject TTU, its Board of Regents, TTFI, its Board of Directors, or the staff of TTU to federal and state security regulation.
(2) No commission or finder's fee of any type will be paid to any party in connection with the completion of a gift to TTU or TTFI.
b. Professional Fees
TTFI will pay reasonable fees for professional services in connection with the completion of a gift to TTFI as follows:
(1) If the potential gift is valued at $100,000 or more and if the expenses to be paid by TTFI are $5,000 or more, staff shall contact the Board of Directors of TTFI with a firm estimate of the anticipated expenses and shall poll the Board of Directors on the proposed expenses. If approved, staff shall have the authority to pursue a commitment on the gift.
(2) If the potential gift is valued at $100,000 or more and if the expenses to be paid by TTFI are less than $5,000, staff shall have the authority to pursue a commitment on the gift without approval of the Board of Directors.
(3) If the potential gift is less than $100,000, TTFI will not agree to pay the related expenses.
a. Some foundations and corporations provide gifts to TTU and TTFI to match certain academic contributions made by their employees. The OIA will verify receipt of the gift. The matching gift forms require the signature of the VCIA or designee for certification that the gift is eligible for match based on the company's matching gift policy.
b. Matching gifts, including the original and matching contributions made to the related corporate entities of TTU, will be forwarded to the OIA for deposit into an account whereby the funds will be used as established by the matching gift company's policy. At no time will the funds be transferred to the related corporate entity for deposit to a bank account maintained by such entity.
Please see OP 02.03 to review policies and procedures regarding accepting outright gifts of cash and stock, real property, personal property, library gifts, vehicles, and deferred gifts.
a. College personnel shall not delay the processing of cash, securities, or other gift instruments. Gifts should be delivered to the Office of Development and External Relations within one working day of receipt. If cash is processed, the department should tally the cash before giving it to the Office of Development and External Relations. The Office of Development and External Relations will take the gift to the Office of Institutional Advancement and deposit it in the locked box.
b. The CoHS Office of Development and External Relations will assist in preparing an endowed and non-endowed gift agreement.
c. The CoHS Office of Development and External Relations will assist in preparing a gift in kind agreement.
d. Gifts to TTU shall not be subject to any internal fees.
e. In addition, to the letter sent by the Chancellor, the Office of Development and External Relations will acknowledge any gift to the college with a thank you letter. Upon receipt of a check from a donor in excess of $5,000, the Office will call the donor and confirm receipt of the check.
f. Before any gift can be publicized, the faculty/staff contact person shall obtain the permission of the donor authorizing publicity of the gift.
g. Credit card information may not be stored at any time. If a donor wants to make a gift with a credit card, the TTU employee should go online and enter the credit card information directly into the giving web site at www.give2tech.com.
h. The Office of Development and External Relations will purchase a plaque that will be posted in the display cases in the college for special gifts which are defined as non-endowed gifts in the amount of $50,000 and over. A plaque will also be posted for a donor who has given a professorship or Chairperson.
i. The Office of Development and External Relations will display a picture and bio
of the donor of a scholarship endowment on a plaque that will be posted in the display
OP 02.04 provides additional related policies and procedures.
OP 02.07 is written to assure that TTU complies with state law requiring disclosure to the Secretary of State of all conditional gifts made to TTU from foreign persons or agents. (This OP governs any gifts to the College of Human Sciences from foreign persons.)
OP 02.08 provides all definitions of policies and operating procedures pertaining to the endowment funds of TTU. Listed below are the most used endowment types and their minimum endowment levels:
|Endowed Deanship, Department Chairperson Or Director||$2,000,000|
|Endowed Chairperson||$1,500,000 for selected Chairpersons|
|$1,000,000 for other Chairpersons|
|Endowed Professorship||$1,000,000 for selected professorships|
|$500,000 for other professorships|
|Endowed Early Career Faculty Scholar Fund||$500,000|
|Endowed Faculty Development Fund||$250,000|
A minimum gift of $10,000 will be required to establish an endowment. The CoHS Office of Development and External Relations will assist in the preparation of the endowment agreement.
OP 02.09 defines policies and procedures to properly accept, record, and acknowledge gifts of securities from donors to College of Human Sciences and TTU.
As part of good stewardship of people important to the College of Human Sciences, it is the College’s policy to acknowledge birthdays, illnesses and deaths of staff, faculty, alumni, donors, friends, or close family members.
(1) The Development Office will maintain a birthday list. This list will include major donors, Dean’s Advisery Council members, retired faculty, Chancellor, President, Provost, and other individuals significant to the college. People wanting to add names to this list should submit their request in writing to the Office of Development and External Relations.
(2) The Development support staff will prepare birthday cards for the Dean's signature at the end of the month in preparation for the upcoming month. The cards are mailed on a weekly basis during the next month.
Illness of staff/faculty/alumni/donors/friends or their close family members should be reported to the Office of Development and External Relations. Upon receipt of the information the support staff will generate:
(1) A card to be sent to the individual and/or family from the CoHS with the Dean’s and/or Senior Development Officer signature.
(2) For alumni, donors, or friends, a gift (flowers, plant, etc.) will be ordered costing up to $75 from the college, signed by the Dean and/or Senior Development Officer. Flowers will be ordered for faculty and staff members if they are in the hospital for three or more days. Flowers will be ordered for a parent, spouse, or child of a faculty or staff member if there is a major illness.
(3) Information will be provided to Institutional Advancement Services regarding death of alumni, current or retired faculty and staff, and donors so that university records can be updated.
Death of a staff or faculty member, alumnus, donor, friend or close family member of these should be reported to the Office of Development and External Relations as soon as possible. Upon receipt of the information, the support staff will generate:
(1) A card or letter to be sent to the family from the college with the Dean’s and/or Senior Development Officer’s signature.
(2) A gift (flowers, plant, food, etc.) costing up to $75 from the college with the signature of the Dean and/or Senior Development Officer. With regards to faculty and staff, the college will send flowers or other appropriate acknowledgment for death of faculty or staff member, their spouse, or their children.
Death of a current student will be handled on a case-by-case basis with the Executive Associate Dean and the Senior Development Officer communicating the appropriate action. In most cases, the Executive Associate Dean will generate a letter to the family of the deceased student.
d. Major Awards or Life Accomplishments
The college wants to recognize faculty and staff members who receive major awards or accomplishments outside of the university. Requests may be made to the Office of Development and External Relations who will then confer with the Executive Associate Dean for approval to meet the request.
e. Retirement Party and Gift
When a person retires, the following guidelines will be used for a retirement party:
|Person’s Title||Who is Responsible for the party and expenses?|
|Associate Professor||Based on the recommendation of the department Chairperson.|
|Full Professor||Based on the recommendation of the Dean in consultation with the department Chairperson.|
|Department Chairperson||The Dean will determine the appropriate action based on length of tenure in that position.|
If an event is college wide, the college will pay the approved expenses incurred.
Otherwise, the department will be responsible for these costs. For a staff member
who is retiring, no more than $750 will be spent for the retirement party and gift.
For a faculty member who is retiring, no more than $1500 will be spent for the retirement
event and gift. Length of service and contribution to the college will be factors
in determining the scope of a retirement event.
If a staff or faculty member retires, they will receive a gift from the college as noted in the above section. It will be up to the department to decide what is appropriate.
f. Funding of Acknowledgements
Acknowledgements are funded from college unrestricted development funds provided resources are available.
g. Voluntary Separation
If a staff or faculty member leaves voluntarily and in good standing, it will be up to the department to decide what farewell event and gift is appropriate. If the employee has served five or more years in the college, the recommended spending guideline for the event and gift is $350.
The Office of Development and External Relations will maintain a supply of College
of Human Sciences’ giveaways to be used for development and alumni relations purposes.
The office will have a small supply of college giveaways for use by the faculty for
conventions and recruiting purposes. If more than 20 items are needed, the requesting
department will pay for the items. See attached giveaways form.
The Office will also assist other college faculty and staff in sourcing giveaways for specific academic programs.
The Office of Development and External Relations is responsible for preparing stewardship reports to foundations who have given gifts to the college. To ensure that large endowments such as professorships or Chairpersons or large bequests left to the college are reviewed on an annual basis, the Development Officer will send out an email to the account managers on these accounts August 1st reminding them to report on how they have spent their money and what they have accomplished in the previous fiscal year. These reports will be due to the Dean of the College each October 30th.
TTU OP 02.03 Acceptance of Gifts and Grants from Private Philanthropic Sources
TTU OP 02.04 Processing, Management, and Publicity of Gifts and Grants from Private Philanthropic Sources
TTU OP 02.07 Disclosure of Conditional Gifts from Foreign Persons
TTU OP 02.08 Operation and Maintenance of Endowment Funds
TTU OP 02.09 Gifts of Securities