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Handbook of Operating Procedures
  • Policy Process

    • Handbook of Operating Procedures
    Chapter 9 - General Provisions
    Previous Publication Date: March 24, 2012
    Policy Reviewed Date: November 23, 2021
    Policy Owner: VP for Advancement and Alumni Engagement


    9.23 Procedures Governing Private Gift Solicitation, Acceptance, and Management
    This is not the current policy. For the latest, click here.

    I. POLICY STATEMENT

    Faculty, staff, and administrators are partners in fundraising for The University of Texas at San Antonio (UTSA), and are encouraged to attract private gift support to UTSA. UTSA procedures for fundraising are intended to provide a systematic and strategic approach to secure private gift funding from individuals, corporations, foundations and other organizations to maximize philanthropic support for UTSA and ensure that these resources support UTSA priorities.

    II. RATIONALE

    This policy sets forth procedures to be followed by UTSA in accordance with the Board of Regents’ Rules and Regulations and The University of Texas System (UT System) policies related to soliciting, accepting, and processing of all gifts, including gift grants and gifts-in-kind, from private philanthropic sources (e.g. individuals, partnerships, foundations, and corporations). In addition, it clearly sets forth the responsibilities of UTSA employees, administrative heads, the Office of the Vice President for External Relations, and the Office of the Vice President for Business Affairs regarding private gift issues.

    III. SCOPE

    The policy applies to UTSA faculty, staff, and students.

    IV. WEBSITE ADDRESS FOR THIS POLICY

    http://www.utsa.edu/hop/chapter9/9-23.html

    V. RELATED STATUTES, POLICIES, REQUIREMENTS OR STANDARDS

    1. UT System Board of Regents Rule 60101, Acceptance and Administration of Gifts
    2. UT System policy UTS138, Gift Acceptance Procedures
    3. UT System policy UTS117, Endowment Compliance Plan System-Wide Standards and Guidelines
    4. UT System policy UTS142.2, Policy for Accounting and Financial Reporting for Nonexchange Transactions

    VI. CONTACTS

    If you have any questions about HOP policy 9.23, Procedures Governing Private Gift Solicitation, Acceptance and Management, contact the following office:

    The Office of Vice President for Advancement and Alumni Engagement
    210-458-4131

    VII. DEFINITIONS

    Gift or gifts – Voluntary transfer of value, usually in the form of cash, checks, securities, real property or personal property. Gifts do not include sponsored program grants, contracts or agreements which are processed by the Office of the Vice President for Research. Gifts may come from individuals, industries, foundations and other sources; recipients can use them for unrestricted or restricted purposes. Recipients make no commitment of resources or service in return for gifts, other than possibly agreeing to put the gift to use as the donor designates. (See UTS142.2, Policy for Accounting and Financial Reporting for Nonexchange Transactions, Definitions.) Gifts may be cash, securities, and gifts-in-kind (real estate, automobiles, equipment, etc.).

    VIII. RESPONSIBILITIES

    The information below outlines the various personnel and offices that are authorized and available to support private fundraising.

    1. Development officers - under the management and oversight of the associate vice president of development (AVP of Development), a cadre of professional fundraising personnel are assigned to identify, cultivate, and solicit prospective donors on behalf of UTSA. Development officers may be assigned to a specific college or other unit in order to focus on the needs of that entity while working within the larger framework of UTSA. Prospect management rules are in place in order to clarify the priority for a given prospect and the orderly manner in which solicitations may occur. Each development officer manages a portfolio of prospects assigned by the AVP of Development and meets regularly with the AVP of Development and other advancement staff to assess and develop strategies for success. When volunteers or advisory board members are involved in solicitation efforts on behalf of a college or other University unit, it is the responsibility of the development officer, dean, or unit director to assure that solicitation efforts by volunteers or advisory board members are coordinated and align with these procedures.
    2. Office of Foundation Research - under the management and oversight of the AVP of Development, the identification, assessment and cultivation of private foundation gifts is coordinated by an executive director of development. This office is a resource to faculty and others who have needs which may be an appropriate match for private foundation gift funding. This office will be a repository of information on private foundation gift funding and will be responsible for cultivating strong relationships that will lead to support for UTSA. This office will work with the vice president for research’s Office of Grants, Contracts and Industrial Agreements (OGCIA) to ensure that OGCIA is informed of non-gift grant and contract opportunities with private foundations as soon as practicable. See HOP policy 9.32, Sponsored Programs Administration, for guidance on non-gift grant and contract (sponsored program) funding procedures.
    3. Director of Development Communications - under the management of the AVP of Development, this director is responsible for writing and coordinating all major proposals for UTSA. The director has responsibility for ensuring the quality and accuracy of the solicitation message in written proposals for presidential prospects and major gift prospects of the University. 
    4. Office of Advancement Services (OAS) - under the management and oversight of the associate vice president of advancement services & administration, the following services are provided:
      1. Gift Services - all gifts to UTSA are processed and recorded in this office. Gift Services provides training and support to campus personnel who receive gifts in their offices and need to transmit them to Gift Services for deposit. Gift Services is responsible for biographical updates, recording gifts and pledges and making gift-related notations in the constituent database that is owned and managed by the vice president for external relations (VPER). Gift Services works closely with the Office of Accounting, and Fiscal Services to verify, process and reconcile all gifts deposited to UTSA in compliance with UTSA’s cash handling policy and other standard procedures as well as UT System policy UTS138, Gift Acceptance Procedures.
      2. Data Services (DS) - UTSA has one official, constituent database that is managed and maintained by the DS team. The DS team is the source for all lists, reports and information on constituents of the University. The database is maintained with frequent data cleansing steps and technology so that the information contained therein is current and accurate to the greatest extent possible. No other database for constituents is recognized. When one finds a need for a constituent database, list for mailing or communicating with a group or individuals or businesses, the DS team is available to assist with and provide those solutions.
      3. Endowment Service & Compliance (ES&C) - the director of ES&C is available to advise and guide development officers and others in regard to creating and managing endowments for UTSA. This office is a resource as an endowment opportunity is identified to work with the development officer through completion and UT System Board of Regents approval of the endowment. Additionally, the director of ES&C monitors use of endowments to ensure funds are used in compliance with the donor’s intent and within the rules and regulations of the UT System Board of Regents. The director of ES&C provides training and counsel each year to all endowment administrators with the goal of maintaining compliance in all endowment matters.
      4. Prospect Management & Research (PM&R) - the director of PM&R works with his/her team to identify an ever-growing constituent base for UTSA. The director of PM&R works very closely with the AVP of Development in setting goals, creating and maintaining portfolios for development officers and developing effective strategies for solicitations. The director of PM&R meets with development officers periodically to review and manage their portfolio for maximum effectiveness.
    5. Fundraising Publications and Media Relations - The Office of University Communications and Marketing will review fund-raising publications as outlined in UTSA publications policies. Public relations activities should be coordinated through the Office of University Communications. The AVP of Development should also be notified of any fund-raising publications, press releases or other public relation pieces produced by UTSA prior to final production.
    6. The Office of the Vice President for Student Affairs - this office is responsible for: (1) approving student organization fund-raising projects, and (2) coordination of such projects with the AVP of Development.
    7. The Office of Grants, Contracts and Industrial Agreements (OGCIA) - this office is responsible for all externally funded sponsored program activities (whether solicited or otherwise made available to UTSA) in which a written agreement, e.g., a grant, contract, or cooperative agreement, is entered into by UTSA and by the sponsor. A sponsored program may be thought of as a transaction in which there is a specified statement of work with a related, reciprocal transfer of something of value (See UTS142.2, Policy for Accounting and Financial Reporting for Nonexchange Transactions, Definitions.) If OGCIA becomes aware of gift grants or other gift opportunities with private foundations, it will work closely with the Office of Foundation Relations to ensure that such office is informed of opportunities as soon as practicable.

    IX. PROCEDURES

    Separate procedures developed by the Office of the Vice President for Research are applicable when non-gift grant and contract sponsored project support is being sought. See HOP policy 9.32, Sponsored Programs Administration.

      1. Gift Solicitation
        1. The VPER in partnership with the President and other executive leaders identify and prioritize needs throughout UTSA, according to University and unit strategic plans. Projects to meet these needs and gift proposals to fund them are then developed, usually by the development officer for a unit for which funding is to be sought. For major institutional priorities, OAS staff may assist in the identification of prospective funding sources and the development of cultivation and solicitation strategies, including the preparation of gift proposals and gift related grant requests. Any project for which outside gift funding is to be sought must first receive endorsement of the faculty or administrative sponsor. In addition any research project for which private gift contributions are to be sought must be coordinated with the VPER and/or the AVP of Development.
        2. Coordination of gift project development and fund-raising strategies is initiated by contacting the development officer for the college or unit. If there is no assigned development officer, then the AVP of Development should be contacted for clearance and support. All gift projects and gift funding requests are to be pursued with the knowledge and approval of the dean or relevant unit administrator. The AVP of Development may consult with other executive officers to determine the status of the gift project/proposal. Review will focus on criteria such as academic and institutional priorities, current and future budget impact, fund-raising potential, prospective donor history, competition with other projects already under consideration, etc.
        3. When a gift project/proposal has been authorized, it is assigned to a development officer or prospect manager who will lead the fund-raising efforts for the project. This ensures that prospective donors are matched with projects that help achieve UTSA's priorities and maximizes the opportunity for success.
      2. Acceptance of Gifts
        1. All private gift contributions to UTSA (including administrative units, colleges, divisions, departments, programs, faculty, and any operation under the auspices of UTSA) must be processed through OAS. No gift will be accepted, acknowledged, or deposited without acceptance approval granted by OAS, in consultation with the AVP of Development and the VPER. When in-kind gifts require third party payments or the investment of significant university funds for shipping, installation, storage, or related issues, the VPBA shall be consulted for review and approval prior to final gift acceptance.
        2. The processing of any and all gifts requires the submission of a complete gift processing package including:
          1. a completed gift processing form;
          2. the check, cash or other asset being transferred to UTSA; and
          3. an original signed copy of the gift letter or gift agreement from the donor. The gift letter must identify the asset being transferred, the purpose for which it is to be used, and the UTSA administrative or academic unit that is to benefit from the gift.
        3. If any gifts or services were received by the donor from UTSA or its personnel as a result of the gift, the fair market value of the gifts or services must be provided to OAS and considered when determining acceptance of the funds and the contribution portion of the gift.
        4. Gifts of readily marketable securities must be processed by the UT System Office of Development and Gift Planning Services (UTODGPS). Gifts to establish endowments and gifts of closely held securities, and limited partnerships as well as bequests and gifts resulting from an interest in a trust must be approved by the UTODGPS in accordance with UT System Board of Regents policy prior to acceptance. Gifts of real estate must be approved and accepted by the UT Executive Director of Real Estate. All such gifts should be submitted to OAS for coordination and final approval processing through the UTODGPS in accordance with the Board of Regents’ Rules and Regulations.
        5. Gifts will be categorized according to UTS142.2. and the Governmental Accounting Standards Board Statements No. 33 – Accounting and Financial Reporting for Nonexchange Transactions and the most recent edition of the Management Reporting Standards for Educational Institutions, published by the Council for Advancement and Support of Education and National Association of College and University Business Officers.
        6. Any questions regarding the administration of gifts to UTSA that are not addressed in this HOP policy should be directed to OAS for resolution and assistance.

      X. SPECIAL INSTRUCTIONS FOR INITIAL IMPLEMENTATION

      None

      XI. FORMS AND TOOLS/ONLINE PROCESSES

      None

      XII. APPENDIX

      None

       

      Editorial Amendment: January 14, 2013