UCSC Policy and Guidelines for Support Groups: UR0002
Effective Date: July 1, 1994
Last Revision Date: July 1, 2012
UCSC Policy and Guidelines for Support Groups
I. Purpose of the Policy
The Regents of the University of California wish to acknowledge the service of volunteer support groups and to encourage their support on behalf of the University. These entities provide valuable assistance in fundraising, public outreach, and other support for the University’s mission. The Regents have provided both a Policy and Guidelines (see section VI, Related Policies).
UCSC Policy and Guidelines are consistent with the UC Regents Policy and Guidelines and serve to clarify campus requirements. UCSC Policy and Guidelines are established 1) to clarify individual roles of support groups, the divisions they are affiliated with, and University Relations; 2) to ensure that UCSC recognizes and consistently administers each of its support groups in accordance with the best interests of the volunteers, the University, and its programs; and 3) to assist each support group in fulfilling its mission on behalf of UCSC in an efficient and businesslike manner, consistent with the law and University policy. Procedural information and forms will be provided to all recognized UCSC support groups. Contact information is provided on page 11 of this policy.
UCSC Policy and Guidelines apply to support groups who have received or are seeking official recognition and permission to use the name of the University or any of its programs in connection with its activities.
A. A support group is any group, organization, or association other than a Campus Alumni Association or Campus Foundation: (1) whose primary purpose is to provide assistance through fundraising, public outreach, and other activities in support of the University’s mission; or (2) whose representatives or activities make the entity indistinguishable from the University itself; or (3) that acts as an agent of or intermediary for the University. The University requires that support groups established after 1996 not be incorporated. These groups are often referred to as friends groups.
B. A divisional senior administrative officer is a Dean, Vice Chancellor, Assistant Chancellor, University Librarian, or other individual appointed by the Chancellor to head an administrative or academic division.
C. A staff liaison is the primary contact assigned by a divisional senior administrative officer to oversee the support group.
D. A solicitation is an approved membership drive, planned giving program, or other fundraising activity. All solicitations must adhere to policy (Solicitation Materials).
E. A donation or gift is any monetary or non-monetary consideration voluntarily and irrevocably tendered to the campus. Depending upon the conditions involved with the gift, the donation may or may not be considered tax-deductible for the donor by state and federal tax authorities. The donation is not legally completed until the campus notifies the donor, via the Gift Administration Office, University Relations, that the campus has agreed to conditions (if any) and provides written acceptance, in the form of an Official Gift Receipt.
F. A gift-in-kind is an officially accepted non-monetary gift such as personal or company property. Examples would be works of art, books, scientific equipment, software, vehicles, services, furniture, patents, copyrights, real property, securities and life insurance.
III. Detailed Policy Statement
A. Official Recognition
1. Recognition of UCSC support groups must be granted in writing by the Chancellor via the Vice Chancellor, University Relations, upon recommendation of the divisional senior administrative officer of the sponsoring campus activity.
a. The Chancellor’s designee in overseeing support groups is the Vice Chancellor, University Relations.
b. By sponsoring a support group, the divisional senior administrative officer is agreeing to:
i. Ensure the compliance of the support group to UC Regents Guidelines and University Policy for Support Groups as well as UCSC Policy and Guidelines for Support Groups (“Policy”);
ii. Sign a Declaration of Compliance annually (see Appendix B);
iii. Commit to providing sufficient divisional resources (space, equipment, staff liaison time) for the operations of the support group;
iv. Hold an ex-officio position on the support group board, which may be delegated;
v. Adhere to cash handling policies.
c. The Vice Chancellor, University Relations shall make recommendations on approval of a new support group to the Chancellor.
2. Recognition requests must be submitted in writing to the Chancellor via the Vice Chancellor, University Relations and must include the documents required in the Regents Guidelines:
a. Current list of officers, members of the board of directors (if any), and the staff liaison.
b. A statement of the purpose of the organization
c. Copies of the organization’s constitution, bylaws, operating code, or other enabling documents, which shall include the following statements:
i. In the event of dissolution, the organization’s assets shall be distributed to The Regents of the University of California or to the UC Santa Cruz Foundation within a period of 60 days.
ii. The senior administrative officer or his/her designee shall be an ex-officio voting member of the governing body and any executive committee empowered to act on behalf of the governing body.
d. A declaration, signed by the support group’s top officer, declaring acceptance of responsibility for compliance with this policy.
3. Prior to the granting of official recognition, copies of all pertinent documents may be subject to review and analysis by the University’s Office of General Counsel.
4. Any amendments or revisions of the support group constitution or bylaws must be submitted in writing within 30 days of their enactment to the University Relations Director of Stewardship and Donor Services for approval by the Chancellor or Vice Chancellor, University Relations.
B. Privileges of Recognition
In working with the sponsoring division, recognition allows a support group:
1. To represent itself as raising funds or otherwise providing support on behalf of or for the benefit of the University;
2. To use the name “UCSC”, or one of the component units of UCSC, as part of the group’s name, in connection with University or related activities; and
3. To use University space, equipment, and staff resources as determined by the divisional senior administrative officer and in accordance with established policies and regulations in connection with support group activities.
C. Maintaining Recognition
In order to maintain recognition, a UCSC support group must:
1. Comply with this Policy and all other applicable University and campus policies and guidelines.
2. Conduct its organization’s financial and/or fundraising activities in accordance with generally accepted business and accounting practices.
3. Continue to be coordinated with a sponsoring unit and demonstrate continued endorsement of the group’s recognition by the appropriate divisional senior administrative officer of the activity served by the support group through the Declaration of Compliance (Appendix B).
4. Operate at all times so that contributions in its name to the University or to the UC Santa Cruz Foundation shall be deemed tax-deductible charitable contributions under relevant provisions of State and Federal tax law.
5. Operate its activities in support of and to further University goals and programs.
6. Submit the following information approved by the divisional senior administrative officer to the Director of Stewardship and Donor Services for Vice Chancellor, University Relations review and authorization no later than September 30 of each year:
a. A current list of officers of the support group and members of the board of directors (if any).
b. A current roster of names of members.
c. A list of the planned activities of the support group for the coming year.
d. A report of scholarships and other gifts to the campus given through the support group.
e. A roster of contributors for the previous fiscal year (July 1 to June 30). Support groups can submit a request, with 2 weeks notice, to URIS@ucsc.edu for this information.
f. An annual summary of operating budget. This can be compiled with the assistance of the Staff Liaison.
g. Any changes to the enabling documents of the support group.
h. A declaration, signed by the support group’s President, declaring that the board of directors (if any) and the support group officers have read and formally voted to comply with the UCSC Policy and Guidelines for Support Groups and accept responsibility for compliance with University policy and generally accepted business and accounting practices.
7. The Vice Chancellor, University Relations shall present to the Chancellor for approval annually a summary list of support groups who have satisfied the requirements to maintain recognition. The Vice Chancellor, University Relations shall then communicate to the support groups on behalf of the Chancellor the recognition of their approved status or of non-compliance.
D. Withdrawal of Recognition
Recognition shall be withdrawn when any support group does not comply with this Policy and Guidelines, or when the Chancellor determines that an organization does not serve the best interests of the University.
1. The divisional senior administrative officer shall notify the Vice Chancellor, University Relations in the event that the division will no longer endorse a support group for recognition.
2. In the event of non-compliance, the Chancellor or Vice Chancellor, University Relations shall notify the support group in writing that UCSC intends to withdraw the group’s recognition.
3. The support group shall have 30 days from the date of a withdrawal notice to provide information demonstrating to the University’s satisfaction compliance with the Policy or corrective action, or else the group’s recognition as a UCSC support group may be withdrawn.
4. In the event of withdrawal of recognition, the support group will transfer the organization’s remaining net assets to The Regents or the UC Santa Cruz Foundation within 60 days, to be used for purposes in accordance with the gifts and purposes of the support group.
5. In the event of dissolution, or if a recognized support group elects to become a non-recognized organization, the President of the support group must submit a signed statement, including approval of the divisional senior administrative officer, to the Vice Chancellor, University Relations confirming that:
a. Any assets belonging to the support group will be transferred to the Regents of the University of California or UC Santa Cruz Foundation within 60 days of dissolution or non-recognition to be used for purposes that are consistent with the gifts and purposes of the support group.
6. A copy of this statement must be sent to the Gift Administration Manager who will inactivate fundraising designations. The support group may no longer make use of UCSC’s name, facilities and support staff. All fundraising for support group designations must cease.
E. Relationship with the University
1. A support group is administratively and programmatically linked with the specific division it supports. Accordingly, the divisional senior administrative officer is responsible for the activities of the associated support group and acts as liaison between the support group and the University.
2. The Vice Chancellor, University Relations has general administrative responsibility to develop and maintain support groups policy and to coordinate fundraising activities among UCSC support groups.
3. The divisional staff liaison has primary responsibility to
a. Attend board meetings, and may act as divisional senior administrative officer’s ex-officio designee;
b. Oversee support group membership;
c. Coordinate and gather renewal documents as well as obtain all authorizations;
d. Provide financial information on budget to the support group and the divisional administrative officer (upon request), and compile annual budget summary for renewal;
e. Ensure that any support group contact information provided to the public is accurate and up to date;
f. Represent the Division and Campus to ensure support group compliance in all activities;
g. Adhere to University cash handling policy.
4. The divisional development staff member has primary responsibility to
a. Attend board an executive committee meetings as the Chancellor’s ex-officio designee;
b. Advise and oversee any membership or fundraising activities;
c. Act as liaison with University Relations.
5. University Relations central staff have primary responsibility to
a. Process all gifts and memberships received through the support group and provide official gift receipts to donors;
b. Work in concert with support groups and divisions to appropriately recognize members and donors;
c. Call for and coordinate the annual renewal of recognition status as well as submit the final report on support group compliance to The Regents;
d. Host two annual meetings with support group leadership and/or members;
e. Perform required review of all solicitations prior to dissemination. See page 11 for contact information of Gift Data Supervisor who coordinates review;
f. Maintain a central file of enabling documents, annual statements, and all other required materials related to official UCSC support groups.
6. The Chancellor may establish additional written guidelines and delegations of authority consistent with Regents and UCSC Policy and all other applicable regulations governing UCSC support groups.
1. In order to engage in any fundraising activity for the benefit of the University or any of its activities, a UCSC support group must be officially recognized.
2. All fundraising campaigns (membership drives, planned giving programs, or “major” gift solicitations) must be approved in writing by the Chancellor via the Vice Chancellor, University Relations to ensure that the major fundraising activities of one group do not conflict or interfere with the major fundraising activities of other campus and University campaigns. University Relations will approve the type, character, timing, and estimated amounts of expenditures for fundraising campaigns. Approval for a fundraising campaign should be sought at least four weeks prior to the event.
3. There shall be a complete accounting and disclosure by UCSC support groups of all expenditures incurred for fundraising campaigns. Accounting records shall be established for each fundraising campaign listing revenues, expenses, and net income. If charges against donations are to be made for costs of administration, they shall be reasonable and all solicitations for donations shall disclose these charges.
4. All donations raised in the name of UCSC or one of its component units must be used to support the specific activity for which the funds were solicited, less any gift fee.
5. All gifts received for the benefit of the University must be accepted through the UC Regents or the UC Santa Cruz Foundation. The Vice Chancellor, University Relations shall be advised in writing of the receipt of gifts for the benefit of University support groups during the end of year renewal reporting.
6. Contributions of gifts-in-kind must be approved in writing by the divisional senior administrative officer and University Relations prior to acceptance.
7. Support groups shall advise donors that any restrictive terms and conditions attached to a gift are to be communicated in writing and must be approved in writing by the Chancellor via University Relations prior to acceptance of the gift by the University.
8. A UCSC support group’s literature shall state that donations are payable to The Regents of the University of California (UC Regents) or to the UC Santa Cruz Foundation (UC Santa Cruz Foundation). Donations are generally made payable to the UC Santa Cruz Foundation.
9. If a portion of a donation provides a benefit to the donor (such as a dinner or a t-shirt), the UCSC support group shall clearly identify the “Fair Market Value” of any such benefits for the donors. The Director of Stewardship and Donor Services can advise on how to make these disclosures.
10. A UCSC support group may generate funds to support its own operations through the collection of membership dues or other assessments of its memberships. Campaigns to solicit new members shall be coordinated with the Vice Chancellor, University Relations or designee.
11. Endowments and Funds Functioning as Endowments may only be held by the UC Regents or the UC Santa Cruz Foundation. The terms for a proposed endowment must be reviewed with the Vice Chancellor, University Relations prior to formal acceptance.
12. Income-producing activities should be approved in advance by the senior administrative officer of the campus division sponsoring the support group, who should make certain that appropriate taxes (e.g., sales tax) are paid. If the income-producing activity includes opportunity to donate funds or gifts-in-kind, the activity must be coordinated with University Relations.
G. Support Group Administration
1. The administration of a UCSC support group shall be in accordance with the organization’s constitutions, bylaws and/or other enabling documents and shall be managed by a duly constituted governing board.
2. A UCSC support group is prohibited from participating in a political campaign on behalf of or in opposition to any individual or candidate for public office. However, advocacy to support UCSC’s legislative, budget, and electoral objectives may be permitted if conducted with the University and provided that the advocacy is not a substantial part of the group’s activities. Support groups should contact the Vice Chancellor, University Relations with questions regarding the appropriateness of a planned political activity.
3. Minutes shall be taken of each board meeting and record, at a minimum:
• approval of fundraising campaigns
• approval of income-producing activities
• approval of expenditures
• approval of budgets
• approval of officers
• approval of bylaw changes
4. Directors and officers may obtain liability insurance paid for by the support group.
H. Financial Operations
1. The financial activities of UCSC support groups shall be conducted in accordance with prudent business practices and generally accepted accounting principles.
2. The financial activities and records of a UCSC support group are subject to audit by the University or its agent at reasonable times and conditions.
3. A University agency account will be established for revenues and expenses of the support group. Processing of transactions may be managed through the campus unit with which the group is linked.
4. A separate off-campus bank account for use only as a petty cash fund may be established in the name of the support group with the approval of the divisional senior administrative officer.
a. Copies of reconciled bank statements with accompanying original receipts will be submitted monthly to the divisional Accounting Office for reimbursement of the petty cash expenditures.
b. Off campus bank accounts may not be used for deposit of income, fundraising, gift receipts or long-term investments.
c. Checking accounts will require two signatures for any expenditure over $1000.
d. Expenditures will comply with University policy and procedures.
5. All gifts must be deposited through the Gift Administration Office. All correspondence relating to the gifts must accompany the deposit reports.
6. Governing boards of UCSC support groups have these financial responsibilities:
a. To implement that support group policies and procedures governing the organization’s budgetary and financial processes.
b. To officially delegate to at least two competent and qualified persons, the authority to commit the organization’s financial resources and to approve each disbursement in excess of $1,000.
c. To continually monitor the financial condition of the organization through preparation and maintenance of a board-approved annual budget, and the regular review of receipts and expenditures against the budget.
d. To ensure the organization’s financial activities are directly related to achieving organizational objectives and are in full compliance with all legal, policy, and contractual requirements. This includes ensuring periodic and financial reports (e.g., statements of revenue and expenses) are prepared and reviewed by the board. Financial reports should be compiled monthly, or at a minimum, quarterly.
e. To establish a fiscal year consistent with University’s fiscal year of July 1 through June 30.
7. A UCSC support group must maintain a conflict of interest policy, which at a minimum requires the trustees, directors, officers and staff liaisons of the support group to disqualify themselves from making, participating in making, or in any way attempting to use their official positions to influence a decision in which they have or would have a financial interest. No support group officer, trustee, director or board member may gain financial profit from support group activities.
8. No salaries, consulting fees, loans or perquisites shall be paid directly by a UCSC support group to a University employee.
9. Loans are not permitted to be made by a UCSC support group or board of directors.
10. UCSC support groups may not employ workers or consultants except by way of providing the campus sponsoring unit with funds to pay such salaries, consulting fees, or other payments resulting from contractual relationships. Such relationships must be approved in advance by the divisional senior administrative officer with concurrence by the Vice Chancellor, University Relations.
11. All UCSC support group financial activity is administered within the affiliated division, necessitating a close reporting relationship between the support group and the divisional administration business office. Consequently, an unincorporated UCSC support group is not required to file an IRS Form 990-N or other independent reports on finances to the federal and state governments.
IV. Getting Help
The campus Office of Stewardship and Donor Services provides training and assistance to campus units (including help with completing forms, carrying out procedures, or interpreting policy).
|If you need help with...||Contact ...|
|Recognition, Annual Reporting, Compliance, Roles and Responsibilities||Sarah Schuster Kudela, Director of Stewardship & Donor Services, 459-1717, email@example.com|
|Solicitation Review, Gift Processing or Documentation||Jill Misunas, Gift Data Supervisor, 459-1889, firstname.lastname@example.org|
|Financial Operations||Divisional Business Officer|
V. Applicability and Authority
This policy on University Support Groups applies to all campus support groups, except the following:
UC Santa Cruz Foundation
UC Santa Cruz Alumni Association.
This policy supersedes UC Santa Cruz Unincorporated University Support Group Policy, dated July 1, 1994.
The campus Vice Chancellor, University Relations is the campus authority for the Support Group policy. This policy was reviewed and approved by Campus Provost/Executive Vice Chancellor Galloway on June 26, 2012.
VI. Related Policies/References for More Information
Related Policies and Procedures
University of California Policy and Administrative Guidelines
on Support Groups
• Policy - Approved September 1995 and amended September 22, 2005 (http://www.universityofcalifornia.edu/regents/policies/5203.html)
• Administrative Guidelines for Support Groups - February 2004 (http://www.ucop.edu/ucophome/coordrev/policy/2-12-04support-guidelines.html)
• Appendix I: Cash-Handling Procedures (http://www.ucop.edu/ucophome/coordrev/policy/2-12-04support-appendixI.pdf)
Appendix II: Sample Letter to the Chancellor (for annual renewal) (http://www.ucop.edu/ucophome/coordrev/policy/2-12-04support-appendixII.pdf)
• BUS-49, Policy for Cash and Cash Equivalents Received (http://www.ucop.edu/ucophome/policies/bfb/bus49.pdf)
• Letter to UCSC Chancellor to Clarify Policy Related to the Release of Parent and Student Information to Alumni and Development Offices on the Campuses – January 11, 2000 (http://www.ucop.edu/ucophome/policies/support/UCSC.pdf)
UC Santa Cruz Policies and Procedures
• UCSC Campus Solicitation Policy (https://urportal.ucsc.edu/portal/page/portal/ur_toolkit/document_repository/Gifts%20Solicitations)
• UCSC Gift Fee Policy and Procedure (http://policy.ucsc.edu/pdf/UR0001.pdf)
• UCSC Gift-in-Kind Letter of Gift Templates and Procedures (https://urportal.ucsc.edu/portal/page/portal/ur_toolkit/document_repository/Gifts%20Non-Monetary%20Gifts)
Annual Renewal Procedures for UC Santa Cruz Support Groups
List of UCSC Support Groups (https://urportal.ucsc.edu/portal/page/portal/ur_toolkit/document_repository/document library/annual_renewa_procedures_for_uc_santa_cruz_support_groups.doc)
UC Santa Cruz Policy
University Relations Operations and Planning (831) 459-1078