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Philanthropic Fundraising Policy

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Purpose | Scope | Principles | Policy statements | Roles and responsibilities | Definitions | Approval information | Version history | References

Related documents

Donation Management Procedure (SharePoint)

Donor Management Procedure (SharePoint)

UTS Foundation Charter (SharePoint)

1. Purpose

1.1 The Philanthropic Fundraising Policy (the policy) provides a framework for the management and coordination of the university’s fundraising and external relationship activities.

2. Scope

2.1 This policy applies to all individuals involved in UTS’s fundraising activities undertaken by or on behalf of the university.

2.2 The following activities are out of scope of this policy:

  1. naming of academic and physical entities of the university (refer Honorary Titles and Awards Policy)
  2. awarding honorary titles and conferral of honorary awards (refer Honorary Titles and Awards Policy)
  3. commercial activities (refer Commercial Activities Policy)
  4. gifts offered to individual staff (refer Gifts and Benefits Policy)
  5. the establishment of industry advisory boards (refer Industry Advisory Policy)
  6. sponsorships (refer Partner with us)
  7. donations recorded by the Cultural Gifts Program in line with the Art Collection Policy
  8. federal, state and local government grants.

3. Principles

3.1 UTS has a strategic and collaborative approach to fundraising to better serve the needs of the university, its donors and the community.

3.2 UTS works collaboratively to ensure relationships are managed in a coordinated manner. Relationships with supporters are appropriately managed for the long term to avoid repetitive, multiple, conflicting or inappropriate cultivations.

3.3 Fundraising activities must be conducted ethically, in line with the university’s strategy, values and policies (refer Equity, Inclusion and Respect Policy). UTS staff engaged in fundraising activities must conduct themselves as ambassadors for the university in line with the Equity, Inclusion and Respect Policy and the Code of Conduct.

3.4 All fundraising activities must be managed via written agreement.

3.5 Gift agreements will not permit donors to influence any decision or behaviour of UTS. UTS will safeguard against any undue interference in UTS activities at all times.

3.6 UTS reserves the right to reject funds from any source based on their alignment with the university’s values and potential impact on reputational risk.

4. Policy statements

Relationships, reputation management and collaboration

4.1 The Advancement and Alumni Unit provides guidance to the university community to ensure collaborative, effective and considerate donor and prospective donor relationship management, providing the basis for a coordinated approach.

4.2 It is the collective responsibility of all staff involved in seeking incoming funds to take a holistic approach to donor relationship management and collaborate internally where possible.

4.3 The Advancement and Alumni Unit is responsible for developing and overseeing a donor relations program outlining appropriate engagement strategies and developing appropriate procedures for engaging current, past and prospective donors.

4.4 In managing relations with donors, UTS adopts a ‘donor-centric’ approach to requests for philanthropic support, acknowledging and working to accommodate the donor’s interests as well as the university’s needs. This should be done in line with the Donor Management Procedure (SharePoint).

4.5 In line with the Research Policy, any funds from the tobacco industry are prohibited. Outside that industry, all prospective donors will be assessed through an opportunity assessment and due diligence process by the Advancement and Alumni Unit. This opportunity assessment and due diligence must incorporate the management of any:

  1. reputational and other risks (refer Risk Management Policy)
  2. modern slavery risks (refer Eradicating modern slavery and the Modern Slavery Act 2018 (Cwlth))
  3. actual or potential conflicts of interests (refer Conflicts of Interest Disclosure Policy)
  4. actual or potential influence when managing international donations (refer International collaboration and engagement: Regulatory considerations (SharePoint)).

Fundraising projects

4.6 Fundraising projects may be approved at a local-level or at a university-level in line with this policy and the procedures approved by the Pro Vice-Chancellor (Advancement and Alumni).

4.7 Fundraising projects must be approved following the development of an appropriate proposal or business case in advance of any cultivation taking place.

4.8 Members of UTS staff authorised to approve fundraising projects and cultivation of donors are outlined in the UTS Delegations.

4.9 Donor cultivation must be undertaken in a planned and coordinated manner in collaboration with the Advancement and Alumni Unit to avoid overlapping, conflicting or otherwise inappropriate approaches to donors.

4.10 Donors should seek independent legal and financial advice as required for their gift or agreement.

4.11 The Advancement and Alumni Unit is responsible for developing and maintaining a list of approved fundraising projects for the university. Staff with approval authority for fundraising projects are responsible for ensuring project inclusion on the list in line with the Data Governance Policy.

Donations management

4.12 UTS accepts donations in cash, in-kind, by bequest or in any other manner deemed appropriate by UTS and the donor in line with this policy.

4.13 Donations must be accepted and managed in line with the relevant donation procedures and the Delegations.

4.14 UTS may decide at its absolute discretion to decline a donation. A record of all declined donations will be kept by the Advancement and Alumni Unit.

4.15 In accepting or declining a donation, the relevant staff member with delegated authority should ensure that appropriate risk reviews are undertaken as part of the approval process.

4.16 All accepted donations to UTS will be processed and managed via the UTS Foundation and in accordance with the Donation Management Procedure (SharePoint).

The UTS Foundation

4.17 The UTS Foundation, established by Council, pursuant to the UTS Foundation Charter (SharePoint), accepts donations made to the university and seeks to encourage and promote philanthropy and other charitable activity in line with the university’s values.

4.18 The Advancement and Alumni Unit is responsible for managing and maintaining records of all donations received by the UTS Foundation and for issuing appropriate tax-deductible receipts for all donations.

4.19 UTS must ensure, through proper fund management, that the entire donated amount goes to support the project(s) for which it was given. Where this is not possible, every effort will be made to adhere as closely as possible to the original wishes of the donor.

4.20 All donations (other than endowment) will be disbursed in full via the UTS Foundation to the relevant local area in accordance with the agreed purpose. These donations should be disbursed and spent in a reasonable timeframe.

4.21 Endowment funds will be managed in the UTS Foundation’s accounts.

4.22 The beneficiary must report on expenditure of the donation to the Pro Vice-Chancellor (Advancement and Alumni) in accordance with the Donation Management Procedure (SharePoint).

The UTS donation register

4.23 The Advancement and Alumni Unit will manage and maintain a donation register in line with the Privacy Policy, the Records Management Policy, the Data Governance Policy, the Donor Management Procedure (SharePoint) and the Donation Management Procedure (SharePoint).

4.24 A report outlining donation register acquittals will be provided annually to Council via the Finance Committee.

Disputes and breaches

4.25 Any concerns or disputes in relation to the management or approval of fundraising projects, or the decision to approve or disapprove of donations, will be referred to the Pro Vice-Chancellor (Advancement and Alumni) for management.

4.26 Breaches of this policy will be managed in line with the Code of Conduct, relevant Enterprise agreement and/or relevant legislation as appropriate to the nature of the breach.

4.27 Breaches that represent serious wrongdoing (including corrupt conduct, maladministration or serious and substantial waste) must be reported in line with the Whistleblowing and Public Interest Disclosures Policy.

5. Roles and responsibilities

5.1 Policy owner: The Pro Vice-Chancellor (Advancement and Alumni) is responsible for this policy, its enforcement and compliance, ensuring that its principles and statements are observed. The Pro Vice-Chancellor (Advancement and Alumni) is also responsible for the approval and publication of any associated donation procedures.

5.2 Policy contact: The Chief Advancement Officer is responsible for the day-to-day implementation of this policy, acting as a primary point of contact for advice on fulfilling provisions relating to fundraising projects and for the management of donations.

6. Definitions

The following definitions apply for this policy and all associated procedures. Definitions in the singular also include the plural meaning of the word.

Beneficiary means the recipient of a donation (for example, university/faculty/unit/project or academic).

Bequest means a donation of assets or cash by will.

Cultivation (also donor cultivation) means, for the purpose of this policy, the act of approaching prospective donors via university approved mechanisms, to build relationships with a view to requesting funding or support for the university.

Donation means a voluntary transfer of money or property to UTS by way of benefaction where no material benefit is received by the donor from UTS in return. Donation includes the terms ‘gift, grant, bequest, devise’ as used in section 18(1)(a) of the University of Technology Sydney Act 1989 (NSW) and for a fundraising project or pledge (whether or not completed).

Donation register means the register containing the details of terms and conditions, income and expenditure of the university’s gifts managed by the Advancement and Alumni Unit.

Donor means any individual or organisation that makes, has made or wishes to make a donation to UTS.

Endowment means a donation for a specific purpose made with the intention that the provided funds are invested to ensure ongoing support for beneficiaries resulting from the investment earnings.

Fundraising means all activities undertaken by or on behalf of UTS with the aim of seeking or receiving money or property through donation.

Fundraising project means an approved and defined activity undertaken by or on behalf of UTS with the aim of soliciting or receiving donations including community fundraising for a specific purpose(s).

Gift see donation.

Gift agreement means the written record of the terms of the donation as executed by UTS and the donor.

Grant is the provision of financial assistance from a grant-making entity (such as a charitable foundation). As UTS is a non-profit body, grants may be treated as donations if the grant does not involve the return of any material benefit to the grant-maker. This is separate from federal, state and local government grants which are not philanthropic and are therefore out of scope.

In-kind means a donation made in a manner other than a donation of money. This can include goods or property as valued by the Australian Taxation Office.

Local level (also local area) means faculties, units, centres and other educational or business areas involved in raising funds.

Pledge means a documented commitment to make a gift in a specified time.

Serious wrongdoing is defined in the Whistleblowing and Public Interest Disclosures Policy.

Sponsorship means a transfer of money or property to the university in a transaction where the sponsor receives certain specified material benefits in return. Sponsorships can take the form of financial transfers, events, scholarships, internships, projects, services or activities undertaking by or on behalf of UTS. All sponsorships (financial and ‘in kind’) attract GST. Refer also Partner with us.

Tobacco industry is defined in the Research Policy.