Outline of UC Santa Cruz
Development Policies and Procedures
1. Solicitations
All solicitations of private gifts from individuals, corporations, and foundations on behalf of the campus and its units are conducted through the Development Office of the Division of University Relations (UR). Solicitations include requests for cash and gift-in-kind support.
2. Proposal
Preparation
A proposal is a detailed request to a prospective donor for financial support of an academic activity or facility. A proposal presents a substantiated justification as to why the donor should support the activity or facility with a gift. A proposal should include the following:
a. Case statement
· carefully crafted, concise statement of the necessity and rationale of the project
· summary of the objective(s) or goal(s)
b. Background information
· current excellence
· opportunity
· need
c. Project description
d. Expected results
e. Impact of results
· on the university
· on society
· on future projects
f. Outcome measures
g. Budget
h. Leverage of resources
· UCSC investment
-departments
-deans, academic officers, vice chancellors
-campus administration
· outside matching funds
-federal or state
-corporate or foundation
i. Development plan (for internal campus use only)
· potential for philanthropic support
· prospect list
· window of opportunity
· deadlines
· construction or renovation projects must include a list of all proposed naming opportunities in the facility and be accompanied by a list of prospective donors and solicitation timelines.
3. Clearance
Many prospective donors can be subject to approach by different elements of the UCSC community. The UR Development Office maintains a Prospect Tracking System that records and manages the solicitation of prospects in order to avoid multiple solicitations that could confuse the prospect and/or diminish the effectiveness of the solicitation. Before any preliminary discussions or solicitations take place, the contacts must receive clearance.
a. All contacts and solicitations of prospective major donors ($10,000 and above) must have clearance through the UR Development Office.
b. Approaches to all major prospective donors are coordinated through the Prospect Tracking System.
c. Members of the campus community will obtain clearance through the Director of Development responsible for their campus unit.
d. Prospect resolution: If two or more Directors of Development or units wish to approach a prospect within the same timeframe, the Directors of Development will discuss and resolve the conflict. If a satisfactory resolution cannot be reached, the Associate Vice Chancellor for Development and the affected Deans, Academic Officers, or Vice Chancellors will decide. Failing satisfactory resolution, further appeals may be made to the Vice Chancellor for University Relations and ultimately to the Chancellor.
4. Review
Before a solicitation can take place, the proposal must be reviewed to assure that it meets academic quality, campus standards, and limits of liability.
a. All proposals to prospective major donors must be reviewed by the appropriate Director of Development.
b. All proposals that may result in a grant or contract must be reviewed by the assigned representative from the Office of Sponsored Projects.
c. Proposals over $50,000 must be reviewed by the appropriate Department Chair and Dean, Academic Officer, or Vice Chancellor. These reviews will include in writing:
· A clear endorsement with a ranking based on departmental, divisional, or campus priorities.
· A clear statement that the department, division, or campus can install and maintain the activity or facility. The financial circumstances of the gift must be adequate and the appropriate space must be available.
· A statement that the proposal does not create liability either financial, legal, or to the reputation of the campus.
· A statement affirming the leverage of the proposal and any contribution by the Department or Division to the activity.
d. Solicitations over $100,000 and those requiring endorsement by the Chancellor must be reviewed as described above and be:
· Reviewed by the Associate Vice Chancellor for Development.
· Presented to the donor in writing.
e. Solicitations over $500,000 or involving construction or renovation projects must be reviewed as described above and be:
· Reviewed by the Vice Chancellor for University Relations.
· Reported to the Chancellor by the Vice Chancellor for University Relations.
· Presented to the donor in writing.
f. Review and final approval by the Campus Provost/Executive Vice Chancellor is based on the written reviews listed above. Approval is required on requests:
· Over $500,000.
· Requiring the Chancellor’s signature.
· Involving construction or renovation projects.
Divisional Development
Business Plans
Each Dean, Academic Officer, or Vice Chancellor incorporates divisional objectives with supporting case statements, prospect strategies, and development timelines into a single annual Divisional Development Business Plan.
1. Divisional
Development Objectives
Each Dean, Academic Officer, or Vice Chancellor sets and ranks annual divisional fundraising objectives to be supported by the Development Office based on priorities set forth in their division’s academic strategic plan. Since there are many more potential funding recipients within the campus community than the prospect base will support, the Development caseload is set dictated by the divisional objectives. Funding is actively sought for high-level strategic priorities; funding for other priorities may remain dormant until an opportunity occurs. Divisional academic priorities may not qualify as divisional development objectives if:
a. They are too expensive to install or maintain.
b. There is an inadequate fit with current campus expertise or interest.
c. There are too many higher divisional priorities requiring Development Office attention,
d. There is no foreseeable potential donor(s).
e. There is insufficient leverage available.
f. The priority has insufficient impact.
2. Divisional
Case Statements
Each Dean, Academic Officer, or Vice Chancellor establishes a case statement for each annual divisional development objective. Case statements for objectives involving construction or renovation must include proposed naming opportunities and solicitation timeline.
3. Prospect
Strategies, Timelines, and Goals
Directors of Development work with their assigned Dean, Academic Officer, or Vice Chancellor to create prospect strategies and development timelines for each annual divisional objective. Dollar goals are established after a thorough analysis of the potential and interest of prospective donors.
4. Review
All annual Divisional Development Business Plans are reviewed by the Associate Vice Chancellor for Development.
5. Approval
All annual Divisional Development Business Plans are approved by the Vice Chancellor for University Relations and the Campus Provost/Executive Vice Chancellor. Approval is based on the recommendation of the Associate Vice Chancellor for Development and on comments from the appropriate Dean, Academic Officer, or Vice Chancellor and Director of Development.
A campaign entails achieving a challenging fundraising goal to complete a priority campus project within a clearly defined timetable. Establishing themes and priorities for a campaign involve the highest level of campus academic and administrative leadership.
1. Campaign
Themes
Campaign themes are broad statements that speak to campus institutional values and strategic purpose.
Themes remain unchanged for the duration of a campaign. Campaign themes are distilled from the annual Divisional Development Business Plans.
2. Campaign
Priorities
Specific priorities for campaigns are derived directly from the Divisional Development Business Plans. Campaign priorities are dynamic and can be continually updated based on prospective donor responses and changing opportunities as reflected in the Divisional Development Business Plans. Dollar goals for campaign priorities are established based on the thorough analysis of prospective donor potential presented in the Divisional Development Business Plans.
3.
Selecting Campaign Priorities
Priorities for campaigns are set by the Chancellor, the Campus Provost/Executive Vice Chancellor, and the Vice Chancellor for University Relations based on the objectives of the Divisional Development Business Plans. Priorities selected for a campaign must meet academic quality, campus standards, and limits of liability. Additionally, priorities must meet guidelines, including the following:
a. Fit into the campus 10 Year Plan.
b. Advance the reputation of the campus.
c. Be compatible with campus expertise or interest.
d. Have a compelling case statement.
e. Be feasible to install or maintain.
f. Result in sufficient impact.
g. Have a high likelihood of funding success.
The Division of University Relations includes the
Development Office, which is the fund-raising organization of the UCSC campus.
University Relations is managed by the Vice Chancellor for University Relations
who also serves as the Executive Secretary of the UC Santa Cruz Foundation. The
Vice Chancellor for University Relations is the chief fund-raising officer for
the campus who oversees all fund-raising activities and reports directly to the
Chancellor. The Associate Vice Chancellor for Development is responsible for
the overall supervision and management of fund-raising programs, administration
of staff, and management of the cultivation, solicitation, and proper
stewardship of all donors on behalf of the campus. All Directors of Development
soliciting gifts on behalf of UCSC or its units report through the Development
Office.
UC Santa Cruz is dedicated to the highest standards of ethical conduct in fund-raising. Staff members advocate these standards by incorporating them into all fund-raising activities and by serving as models of professionalism to others. UCSC supports and encourages its staff members in these efforts by providing appropriate opportunities for training, education, and leadership. Staff members, through training and orientation, are expected to be familiar with professional standards of ethics.
Glossary
A carefully organized, highly structured fund-raising program using volunteers supported by staff and consultants to raise funds for specific needs, to be met in a specific time frame (usually five to seven years), with a specific dollar goal. The public announcement of a campaign occurs after 50 to 75% of the campaign dollar total has been raised.
Broad statements that address campus institutional values and strategic purpose; remain unchanged for the duration of a campaign.
General projects with a dollar goal to be funded through a campaign; can be updated based on prospective donor responses and changing opportunities.
Specific projects designated for fund raising. Derived from priorities set forth in the divisional academic strategic plan.
Divisional Development Business Plan
Written plan supporting divisional objectives with case statements, prospect strategies, and development timelines.
A detailed request to a prospective donor.
Carefully prepared reasons why a specific objective merits support, including need, justification, and goals.