University of Bradford Development Policy and Ethical Fundraising Policy Contents VISION 2 INTRODUCTION .................................................................................................................................... 2 VICE CHANCELLOR’S STATEMENT ..................................................................................................... 2 AIMS AND OBJECTIVES ....................................................................................................................... 3 THE FUNDRAISING TEAM AND SUPPORTING STRUCTURES ............................................................. 3 PROCEDURES FOR SCHOOLS / DEPARTMENTS ............................................................................... 4 APPENDIX 1: FUNDRAISING STEERING GROUP – TERMS OF REFERENCE ............................... 6 APPENDIX 2: FUNDRAISING PROJECT PROPOSAL .................................................................... 6 BUDGET 7 KEY PERSONNEL ....................................................................................................................................... 7 APPENDIX 3: TEMPLATE GIFT AGREEMENT ................................................................................ 8 APPENDIX 4: ETHICAL FUNDRAISING POLICY .......................................................................... 10 A. Donor’s Rights ............................................................................................................................... 11 B - Financial Accountability ............................................................................................................... 12 C - Tokens of thanks .......................................................................................................................... 12 D. Acceptance of donations .............................................................................................................. 13 E - Repayments of donations ............................................................................................................ 13 APPENDIX 5: UNIVERSITY OF BRADFORD FUNDRAISING TEAM – SERVICES FOR SCHOOLS AND PLANNING UNITS ................................................................................................................................ 14 APPENDIX 6: CONFLICTS OF INTEREST....................................................................................... 15 Vision External – to enable people to support the University of Bradford through financial donations and other types of gifts, which will be used to extend the University’s mission to celebrate diversity and make knowledge work. Internal – to establish a framework which positively encourages and facilitates financial support from individuals, grant-making trusts, companies and any other interested organisations for strategic developments within the University. We will aim to achieve this by developing: An integrated framework based on face-to-face, telephone, web, letter and email solicitation , which enables the University to get in touch and remain in touch with its supporters for the purposes of friend-raising and fund-raising; A welcoming programme of regular and well-attended events and activities such as reunions, dinners, and family days (planned in partnership with the Alumni and Corporate Events Teams) at which prospects can be engaged and informed; The development and maintenance of a prospect database to track prospects / donors through the solicitation / stewardship cycle; Support for any one area (School, Department etc) within the University to actively engage in fundraising, while at the same time ensuring that all fundraising activity is fully coordinated and conflicts of interest / duplicate approaches are avoided. Introduction The aim of the Fundraising function is to encourage and manage philanthropic gifts to the University to support its Aims and Corporate Objectives, as laid out in the Corporate Strategy. Part of the Marketing and Communications Team, the Fundraising Team’s duties will include establishing and operating a framework to enable gifts to be received, helping to build relationships with potential donors, including alumni, charitable trusts, individuals and the corporate sector, management of gifts, stewardship of donors and working closely with Schools and Departments to maximise gift opportunities. Vice Chancellor’s Statement “Raising funds through philanthropic giving will help the University of Bradford to fulfil some of its wider educational, social and cultural aspirations. Gifts from individuals, alumni and businesses will be the bedrock on which we can build some of those aspirations. Providing scholarships and bursaries to needy students, giving additional support to students in hardship, helping to fund some of the development and capacity building work we do in the UK and overseas, helping to work in ways that are sustainable and ethical and which build supportive and peaceful communities are some of the things we want to use donations for. It is true that philanthropic giving is new to many of us and will necessitate some changes in our approach. However if we commit to the basic principles associated with raising funds I am confident that a coordinated strategy and a value-driven approach will bring tangible benefits to the University and to its future students”. Mark Cleary, Vice Chancellor. Aims and Objectives The main aims and objectives of the Development Policy at the University are as follow: Cultivation of potential donors by building mutually-beneficial relationships with the University; Involving potential donors in the life and aims of the University through events, one-to-one communication and committees; Working closely with Senior Management to cultivate major donors; Working with the Press, Alumni, Marketing and Academic teams to identify potential projects and donors and promote giving / publicise gifts; Providing fundraising advice to University staff, students, alumni and other representatives; Researching potential donors to identify the most appropriate size and subject of “ask” for each; Setting up and maintaining a fundraising database; Setting up and maintaining an online fundraising presence; Making approaches to Charitable Trusts / Foundations and corporations; Working with the Alumni team to increase gifts from alumni, including regular gifts, legacies and at reunions; Working with Finance to receive gifts and match-fund these where possible; Working with Schools / Departments to develop fundraising capacity across campus; Working (with Schools / Departments where appropriate) to thank donors for their gifts and to maintain communication throughout the life of each project to increase the likelihood of future gifts. The Fundraising Team and Supporting Structures Fundraising is formally based in Marketing and Communications, where it works closely with Alumni Relations, Marketing, Publications, Events, Web and Press Office personnel. Currently the team is made up of a Development Manager and Fundraising Assistant. There is a wider team of volunteers drawn from University Council and the Schools and planning units, who are senior, experienced colleagues with an interest in and commitment to University development. In addition there are team members from Finance, Research and Knowledge Transfer Support, etc who have a professional interest in Fundraising. The core function of this team is two-fold: to work throughout the University to build fundraising capacity and to facilitate increased centrally-coordinated relationship-building with donors and potential donors. The size of the Fundraising team means that it needs to concentrate its activities on securing significant gifts (from alumni and other supporters) that support the institution’s Corporate Strategy. It will focus initially on raising funds for projects at a University level. Schools and Departments that wish to fundraise will be invited to work within a framework devised by the University to support their efforts. This framework will aim to provide an advice and coordination service to enable Schools / Departments to fundraise more effectively for themselves. This advice may include information on tax-effective giving, research on potential major donors and fundraising guidance. Guidelines for how this service will work are outlined in Appendix 5. The Fundraising Team is supported by a Fundraising Steering Group (FSG), chaired by the Vice Chancellor, which meets to agree strategy and review implementation and progress. This group also includes Sue Kershaw, Director of Finance; Alison Darnbough, Director of Academic Administration; Sarah Verbickas, Fees & Bursaries Officer; Andrew Day, Ford Professor of Quality Eng; Professor Arthur Francis, Dean of The School of Management; Ian Rowe, Director of Research & Knowledge Transfer; Ian Thompson, University Council; Jawahar Dhutia, Graduate Association; Clive Wilson, Director of Estates; Students’ Union Representative; Carol Vickers, Development Manager; Erran Leith, Fundraising Assistant. See Appendix 1 for the Group’s Terms of Reference. A subset of the FSG is the Fundraising Action Group (FAG), which meets regularly to plan fundraising activities and includes two academic fundraising ambassadors, currently Professor Andrew Day and Professor John Cusworth. Their role involves providing high-level academic leadership for fundraising including the involvement of academic staff. This group also includes Alison Darnbrough, Director of Academic Administration; Helen Morris, Head of Marketing and Communications; Andrew Day, Ford Professor of Quality Eng; John Cusworth, Professor of International Development Management; Ian Rowe, Director of Research & Knowledge Transfer; Keith Waddingham, Deputy Director of Finance; Jawahar Dhutia, Graduate Association; Sonia Mahmood, Peace Education Officer; Carol Vickers, Development Manager; Erran Leith, Fundraising Assistant. Procedures for Schools / Departments It is essential that Fundraising activities throughout the University are coordinated by a specialist team and therefore the Fundraising Team must be contacted before any member of staff or other representative approaches a potential donor. This applies even where the relationship between the University and the donor is not a new one, as we need to build a complete picture of the relationships involved in order to avoid duplicate approaches and, thereby, the risk of losing gifts through a lack of coordination. Application processes for Research Council funding and Knowledge Transfer activities will not be managed by the Fundraising Team but it is expected that any contact with charitable trusts / foundations or corporate entities will be notified to the Fundraising Team in order to keep the database up-to-date and minimise duplicate approaches. Similarly, it is vital that Schools and Departments alert the Development and Alumni Teams to any fundraising activities they wish to carry out with their alumni, to ensure that these are integrated into a coordinated annual plan, taking into account the University’s Alumni Annual Fund, which will run from 2010, when an initial 5,000 alumni will be contacted. The Alumni Annual Fund will approach alumni first in writing and then by telephone. Those people who do not wish to receive a call will have a chance to “opt-out” prior to a call. The Annual Fund calls will be carried out by trained students, and the responsibility for the organisation of these activities will rest with the Alumni Office. Alumni will be asked to donate at a level tailored to their circumstances and donations will be collected in a central fund, to which Schools and Departments will be able to bid for project funding. Anyone wanting to propose a potential gift opportunity (such as a sponsored post, improvement to facilities, research project, event seeking sponsorship or scholarship / bursary) should first complete the short Fundraising Project Proposal in Appendix 2. This should be submitted to giving@bradford.ac.uk, where all proposals will be collated and submitted to the Fundraising Action Group / Fundraising Steering Group as appropriate. These groups will decide which projects will become University Fundraising Priorities, based on the size of the project, the likelihood of gaining support and how closely it aligns to the University’s Corporate Aims and Objectives. Those projects not selected as priority projects may still receive help and advice from the Fundraising Team and if fundraising is then carried out by the proposing School / Department, staff will need to notify the Fundraising Team of their plans / progress on a regular basis, to avoid multiple approaches to a donor from different sections of the University. When a gift is received by a Department, it should be paid in through the Payzone, using the correct reference code, which is D plus a 4 digit number for a specific Department / project (e.g.D2500) or 37007-13506 for unrestricted gifts (not allocated to any one project or School). This reference number will be obtained by the Fundraising Team from Principal Clerk, Accounts and Cash, and should also be written on the corresponding Gift Agreement form (see Appendix 3) to ensure that the donation is used for the purpose specified by the donor. The Fundraising Team will receive periodic reports showing donations received. Interest and Gift Aid attributed to each D-coded fundraising account will be allocated back into that account, and therefore count towards the fundraising total for that campaign. Matched funds will be sought from HEFCE for appropriate donations. Matched funding will be allocated to the project for which the donation was received, except in cases where the donor is happy for Matched funding to be allocated elsewhere within the University. It is acknowledged that there is a 1-year delay in receiving Matched Funding and therefore any project dependent on this may not begin until this is received. Each gift to the University should be accompanied by a Gift Agreement (Appendix 3). This is a document that shows the purpose of the gift, any payment schedule or specific naming terms (added as necessary in conjunction with the University’s Legal Advisor) and any conditions of termination. These agreements also include a clause allowing for an alternative use of the gift if the original gift purpose ceases to be possible / practical. These agreements should also be completed for gifts in kind, such as donations of equipment or materials, including an estimated value for the gift, as these may have tax implications. All gifts of money or in kind will count towards the University’s fundraising total, which will be regularly reported to the Fundraising Steering Group. The University reserves the right to refuse any fundraising project or approach where this is deemed to be against the best interests of the University. Where a donation has been made of more than £1,000, it is expected that the University Development Team will mainly coordinate the stewardship of the donor. Where a gift of less than £1,000 has been received, it is expected that the recipient School / Department will mainly coordinate the stewardship of the donor. In either case, it is understood that both the Development Team and the recipient School / Department will be involved in maintaining a relationship with the donor following the gift, and each activity involving the donor must be registered on the donor’s record, within the Development and Alumni Team database, ThankQ. These activities could include visits to the School / Department, visits from University staff to the donor, newsletter, invitations, written and telephone correspondence or attendance at a larger event such as a scholarships ceremony or graduation. Appendix 1: Reference 1. 2. 3. 4. 5. Fundraising Steering Group – Terms of To take a leadership role in developing a fundraising culture throughout the University To advise on the development of fundraising capacity in the University To approve a Development Strategy and Policy for the University To agree priority areas for fundraising campaigns To review progress with the implementation of the Development Strategy Appendix 2: Fundraising Project Proposal University of Bradford – [DEPARTMENT / SCHOOL] [Date] Proposal for [Project Name] INTRODUCTION INTRODUCE YOUR PROJECT HERE. Please explain how and why you want to carry out your project, and what it will achieve. For example, how many people will benefit from your project, how will it affect people’s lives, will it enable people to do something they could not previously do, or solve a common problem? You may also wish to include why you / your team are the most appropriate to carry out this project. (Maximum 500 words) NEEDS / PROBLEMS Identify the needs or problems to be addressed. Include the target population and any statistical information that you may have. Ideas for information to include here are: (Maximum 50 words per section) Length of time needs/problems have existed Whether problem has ever been addressed before, and what the outcome was Impact of problem to target population Impact of problem to surrounding populations GOALS / OBJECTIVES State the desired goals and objectives to address the needs/problems stated above. (Maximum 50 words per Goal) Goal 1 Goal 2 Goal 3 TIMETABLE Provide detailed information on the expected timetable for the project. Break the project into phases, and provide a schedule for each phase. Description of Work Start and End Dates Phase One Phase Two Phase Three BUDGET State the proposed costs and budget of the project. Also include information on how you intend to manage the budget. Description of Work Anticipated Costs Phase One Phase Two Phase Three Total £ 0.00 KEY PERSONNEL List the key personnel who will be responsible for completion of the project, as well as other personnel involved in the project. EVALUATION Discuss how progress will be evaluated throughout and at the end of the project. (Maximum 200 words) POTENTIAL FUNDERS Provide the names and addresses of individuals and companies who you think might support and endorse the project, or who you would like to approach for funding: STEWARDSHIP How do you plan to involve the donor(s) in the life of the project / School / Department after the funding has been received? Appendix 3: Template Gift Agreement Gift Agreement Form Name........................................................................................................................................... Address........................................................................................................................................ ..............................................................................................................Postcode........................ Email............................................................................................................................................ Telephone…………………………………………………………………………………………..…………….………………….. Gift Aid declaration Please treat: This gift of £ as a Gift Aid donation; OR All gifts of money that I make today and in the future as Gift Aid donations; OR All gifts of money that I have made in the past 6 years and all future gifts of money that I make from the date of this declaration as Gift Aid donations. You must pay an amount of Income Tax and/or Capital Gains Tax for each tax year (6 April one year to 5 April the next) that is at least equal to the amount of tax that the University of Bradford will reclaim on your gifts for that tax year. Date………………………………………………… Signature…………………………………………………………………… Please notify the University of Bradford if you: 1. Want to cancel this declaration. 2. Change your name or home address. 3. No longer pay sufficient tax on your income and/or capital gains. We will reclaim 28p of tax on every £1 you gave up to 5 April 2008 and 25p of tax on every £1 you give after 6 April 2008. The Government will pay us an additional 3p on every £1 you give between 6 April 2008 and 5 April 2011. This transitional relief does not affect your personal tax position. If you pay income tax at the higher rate, you must include all your Gift Aid donations on your Self Assessment tax return if you want to receive the additional tax relief due to you. I wish to make a gift to: Where the need is greatest (PLEASE QUOTE 37007-13506): The Capital Campaign (PLEASE QUOTE D9133-10099): The Braduate Fund (PLEASE QUOTE D9134-10099): Scholarships (PLEASE QUOTE D9135-10099): Other: …………………………………………………………………………………………………… I understand that every effort will be made to use my gift for the requested purpose but if my selected use is no longer practical / possible, the Vice Chancellor may select an alternative, similar purpose in the best interests of the University. I enclose a cheque made payable to the University of Bradford or a CAF Voucher for: £25 £50 £100 £250 £500 £1,000 Other £…………… I will make my donation by Credit / Debit Card online at http://estore.bradford.ac.uk I will make my donation by telephone on 01274 233138 Signature ……………………………….……………… Please return this form to: Development Room D16 Richmond Building University of Bradford Richmond Road Bradford, BD7 1DP Date.…………………………………………….….….…………… The University may publicise this gift, unless you express that your donation is to remain anonymous by ticking this box: By completing this form, you give consent to the University keeping data about you that will not be shared with other organisations but could be used for the purpose of keeping you informed of activities, marketing, fundraising and other initiatives that we believe may be of interest to you. If you do not wish the University to keep data about you for purposes other than recording your gift, please tick this box. Many thanks for your support. When a donation is made on someone else’s behalf details of the payee must be submitted e.g. Name and address. The payment you make must be equal in value to your donation amount, as refunds of donated funds cannot be made. In the unlikely event that a refund of donated funds is made this will be processed via the method the original payment was made i.e. back into the originating bank account and to the person who made the original payment. The University abides by the Money Laundering Regulations 2003 and the Proceeds of Crime Act 2002. The University is a charity exempt from registration in England and Wales. Appendix 4: Ethical Fundraising Policy University of Bradford Ethical Fundraising Policy Prepared June 2009 by Carol Vickers, Development Manager Fundraising professionals have a responsibility to their donors, their employer, and their cause. All those involved in raising funds for the University of Bradford must be guided by their sense of personal integrity and by relationships with their donors. At the heart of fundraising ethics lies the need to ensure that the trust of the donor is not violated, which requires openness, transparency and respect. The following ethical policy is designed to this end. Representatives of the University who are involved in fundraising will: 1. Observe all appropriate legal and ethical requirements as laid down by the University and such other appropriate bodies involved in fundraising; 2. Follow all University policies and codes relating to Equal Opportunities, Personal Harassment & Bullying, Health and Safety, Employment, Grievance, and Public Interest Disclosure; 3. report any conflict of interest, whether actual or prospective, to the Fundraising Action Group / Fundraising Steering Group; 4. Be aware that the University reserves the right to reject any donation offered. Fundraising solicitations on behalf of the University will: be truthful; accurately describe the University’s activities and the intended use of donated funds; and respect the dignity and privacy of those who benefit from the University’s activities. The University will not sell its donor list. A. Donor’s Rights All fundraising solicitations by or on behalf of the University will disclose the University’s name and purpose for which the funds are requested. Printed solicitations (however transmitted) will also include its address or other contact information. Donors and prospective donors are entitled to the following, promptly upon request the most recent annual report and financial statements; confirmation of the charitable status of the University; a copy of this ethics code. Donors and prospective donors are entitled to know, upon request, whether an individual soliciting funds on behalf of the University is a volunteer, an employee or a hired solicitor. Donors will be encouraged to seek independent advice if the University has any reason to believe that a proposed gift might significantly affect the donor’s financial position, taxable income, or relationship with other family members. Donor’s requests to remain anonymous will be respected. The privacy of donors will be respected. Any donor records that are maintained by the University will be kept confidential to the greatest extent possible. Donors have the right to see their own donor record, and to challenge its accuracy. Donors and prospective donors will be treated with respect. Every effort will be made to honour their requests to: limit the frequency of solicitations; not to be solicited by telephone or other technology; receive printed material concerning the University. The University will respond promptly to a complaint by a donor or prospective donor about any matter that is addressed in this ethics policy. A member of the Fundraising Team will attempt to satisfy the complainant’s concerns in the first instance. A complainant who remains dissatisfied will be informed that he/she may appeal in writing to the Head of Marketing / Vice-Chancellor of the University. The University will comply with The Data Protection Act and The Freedom of Information Act. B - Financial Accountability The University’s financial affairs will be conducted in a responsible manner, consistent with the ethical obligations of stewardship and the legal requirements of national regulators. All donations will be used to support the mission of the University. All restricted or designated donations will be used for the purposes for which they are given. If necessary due to programme or organisational changes, alternative uses will be discussed where possible with the donor or the donor’s legal designate. If the donor is deceased or legally incompetent, and the University is unable to contact a legal designate, the donation will be used in a manner that is as consistent as possible with the donor’s original intent. Annual financial reports will be factual and accurate in all material respects and disclose: the total amount of fundraising revenues; the total amount of fundraising expenses; - identify government grants and contributions separately from other donations; - be prepared in accordance with generally accepted accounting principles and standards. The cost effectiveness of the University’s fundraising programme will be reviewed regularly by the Fundraising Steering Group. All donation accounts will be subject to regular Internal and External Audit. C - Tokens of thanks From time to time, supporters of the University may wish to make gifts to staff or other University representatives, which whom they have worked. It is recognised that to refuse such items may cause misunderstanding or offence and hence be contrary to the work of the Fundraising Team. University staff and lay members should generally decline all offers of gifts, other than those of a very small intrinsic value. Gifts of money must always be refused. All offers of gifts with a greater value than £25 should be reported in writing to the Deputy Director of Finance. A register of these offers will be kept and an annual report submitted to the Audit Committee. D. Acceptance of donations The University operates on the principle that organisations’ past transgressions may be mitigated by current efforts, as ethical improvements can only be achieved through engagement. The Ultimate responsibility to accept or decline a donation resides with the Fundraising Steering Group. The University will only decline a donation if it is felt that the gift: Does not support the objectives of the University or its agreed policies; Would lead to a demonstrable net decline in the assets of the University; Consists of goods, property or services, which the University can not lawfully use, convert, sell or exchange in direct support of its aims; Is dependent on the fulfilment of unacceptable conditions applied by the donor. E - Repayments of donations Where a change in circumstances prompts a donor to request the repayment of all or part of a donation, the final decision will rest with the Fundraising Steering Group. Once the University has accepted the donation it can only be returned if: The terms and conditions of the gift provided for it to be returned under particular circumstances; The law specifically provides for the donation to be returned, for example under section 61 of the Charities Act 1992, donations over £50 made by debit or credit card are subject to a seven day cooling-off period. The University is limited in its ability to return gifts by Money Laundering legislation and therefore funds can only be returned directly to the donor and to the account from which the funds were originally paid. Appendix 5: University of Bradford Fundraising Team – Services for Schools and Planning Units Background: The University has put in place a Development Strategy as part of its plan to develop a framework within the University to enable people to support our work through financial donations and gifts in kind. The Development Team is part of Marketing and Communications. Carol Vickers, Development Manager, and Erran Leith, Fundraising Assistant, want to encourage all interested colleagues in all areas of the University to get involved in fundraising and are here to support you, whether it’s in the form of small gifts from Alumni or large-scale donations for substantial projects. We offer advice about: Fundraising techniques Legal obligations Viability of projects Prospect selection Prospect research Writing an appealing Case for Support Claiming additional funds, such as Gift Aid and matched funding Writing fundraising applications We can also provide: Gift Agreement Forms Gift Aid Declarations Gift tables, showing how much a donation is worth including Gift Aid and matched funding (where applicable) Help with writing applications University policy on naming buildings / rooms /academic posts Ethical Fundraising Policy Prospect clearance – to ensure that your potential donors are not currently being approached by any other part of the University Before beginning any fundraising activity, Schools / Planning Units should first complete the 2-page Fundraising Project Proposal form, available from giving@bradford.ac.uk. The information entered onto this form will be used to ensure that sections of the University are not making duplicate approaches to one another’s prospects. The Project Proposal will then be submitted to the University’s fundraising committee, to decide on the extent of assistance that can be offered by the Fundraising Team. This will depend upon: The size of the project The likelihood of fundraising success The suggested prospects and existing links to these Existing workload of the Fundraising Team The level of support desired by the Schools / Planning Unit The level of available support may range from a meeting with a member of the Fundraising Team to discuss the project and provide policies and templates for use in the campaign, to full campaign support. In addition, Schools and Planning Units requiring fundraising advice are welcome to telephone / email the Fundraising Team on an ad hoc basis. Throughout any campaign, it is vitally important to keep the Fundraising Team updated as to which prospects are being approached and the status of these approaches. This is the only way in which the Team can prevent other Schools / Planning Units approaching potential donors, with whom you are already in discussion. For further information, please contact Ext 6844 / 6493 or giving@bradford.ac.uk. Appendix 6: Conflicts of Interest It is central to the proper conduct of public business that members and of the Fundraising Action Group and Fundraising Steering Group should act and be perceived to act impartially and not be influenced in their roles by social and business relationships. A member who has a pecuniary, family or other personal interest in any matter under discussion at any meeting at which s/he is present shall as soon as practicable disclose the fact of his/her interest to the meeting. A member is not, however, considered to have a pecuniary or personal interest in matters under discussion merely because s/he is a member of staff or a student of the University. Those declaring an interest should use the guide below which indicates the kind of interests and associated information which the Register is likely to include: Category of Interest Information to be disclosed Paid employment Nature of employer and position held Self-employment Nature of business Directorship of commercial companies Names of companies Significant share holdings Names of companies in which the corporation member owns, say, 1% or more of the issued share capital Elected office Name of authority and office held Trusteeships or participation in the management of charities and other voluntary bodies Name of body and nature of office held Category of Interest Information to be disclosed Public appointments (paid or unpaid) Name of body and office held Membership of professional bodies Name of body If any person present has any direct or indirect interest in any matter under consideration at any meeting, s/he should: 1. Declare this interest to the Chairperson as soon as possible after the start of the meeting. An item “Declaration of Interest” will be included on the agenda for this purpose. Members and others present at meetings are therefore asked to think about this item and identify from the agenda papers whether they have any interest to declare; 2. Be governed by the decision of the body in question that s/he: Withdraw from the meeting whilst this consideration or discussion is taking place unless the committee otherwise allow; Take no part in the consideration or discussion of the matter.