Xavier University of Louisiana

Institutional Advancement Policy

Advancement Ethics
Advancement Effectiveness
Advance Accountability
University and Media Relations
Advancement Policy Oversight and Dissemination

To advance the mission of Xavier University of Louisiana, it is the University's policy to seek external funding from private and public sources. Successful funding requires increased awareness of Xavier's mission and work. It also requires the cultivation of enthusiastic support among Xavier's institutional constituencies, among key national and local leaders, and among the general public.

This document states the policies governing institutional advancement activities (fundraising and public communications) and designates the University officials responsible for oversight of these activities and compliance with institutional advancement policies. It is the purpose of these policies to assure ethical, effective, and accountable advancement practices in support of Xavier's mission.

1. Advancement Ethics

Institutional advancement personnel are expected to observe the general ethical standards expected of all university employees as well as professional ethical guidelines. Xavier adheres to the following Statement of Ethics established by the professional organization for higher education advancement, the Council for Advancement and Support of Education (CASE):

Institutional advancement professionals, by virtue of their special responsibilities within the academic community, represent their colleges, universities, and schools to the larger society. They have, therefore, a special duty to exemplify the best qualities of their institutions, and to observe the highest standards of personal and professional conduct.

· In so doing, they promote the merits of their institutions, and of education generally, without disparaging other colleges and schools;

· Their words and actions embody respect for truth, fairness, free inquiry, and the opinions of others;

· They respect all individuals without regard to race, color, sex, sexual orientation, creed, ethnic or national identity, handicap, or age;

· They safeguard privacy rights and confidential information;

· They do not grant or accept favors for personal gain, nor do they solicit or accept favors for their institutions where a higher interest would be violated;

· They avoid actual or apparent conflicts of interest, and, if in doubt, seek guidance from appropriate authorities;

· They follow the letter and spirit of laws and regulations affecting institutional advancement;

· They observe these standards and others that apply to their professions, and actively encourages, colleagues to join them in supporting the highest standards of conduct.

The foregoing Statement of Ethics for advancement personnel is also applicable to all Xavier staff and faculty in their contacts and activities publicizing, representing, or seeking funds for the University and its education or other programs.

Advancement and other employees will be informed of the necessity for general ethical conduct during their orientations, in faculty or staff institutes, and through employee handbooks. In addition, employee briefings and handbooks will inform all employees that the foregoing professional advancement ethical standards and other advancement policies are available on Xavier's website and in the Advancement Office. Oversight of the observance of ethical advancement policies will be the responsibility of the Vice President for Institutional Advancement. Alleged infractions brought to the attention of the Vice President for Institutional Advancement will be reviewed with and handled through appropriate University supervisory officials and through the University's personnel procedures governing faculty or staff performance and conduct.

2. Advancement Effectiveness

It is Xavier's policy to monitor Institutional Advancement activities for effectiveness through the University's strategic planning and assessment processes. The fundamental policy effect to be achieved is increased financial support for Xavier on the part of current and prospective constituencies. Such support is also influenced and encouraged by increased awareness about and approval of the University's mission and performance.

Fundraising objectives in support of strategic advancement goals will be established, and reviewed, annually in the Advancement planning process under the direction of the Vice President and staff for Institutional Advancement, subject to the verification and oversight of the University President and the Development Committee of the Board of Trustees. The Advancement staff will review the effectiveness of specific fundraising and communication programs and overall fundraising results, and will pursue, revise, or end programs and practices as appropriate. Results appear in the University's Planning Documents.

Critical fundraising areas such as alumni giving, planned gifts, major gifts, capital or special project campaigns, or public affairs and communications will be the focus of periodic performance assessment through the University's Assessment Process, as reflected in the University's Assessment Documents.

3. Advancement Accountability

Xavier's policy is to assure accountability for all advancement activities with special emphasis on three priorities: appropriate solicitations and proposals; accurate and secure donor gift handling and records; and reporting on and review of giving.

• Appropriate Proposals, Solicitations, and Grant Implementation

All requests by Xavier faculty, staff, or students for funds from external sources must be consistent with Xavier's mission and must be approved in advance by designated University officials and ultimately by the University President or an officer designated by the President.

Sponsored Programs Proposals: All faculty, staff or student proposals, or proposals from particular departments, offices, or programs, or from groups thereof seeking funds for a program, a project, or related equipment and facilities must comply with the grant clearance and implementation procedures established by the President and administered by the Office of Sponsored Programs and Research. Proposals in cooperation with or to be subcontracted from another institution are also subject to these same procedures. These clearance procedures are intended to assure consistency with the University's mission, proper quality of proposal form and content, consistency with overall fundraising strategies, non-duplication of requests to particular sources, and general approval by relevant university officials, including a cover letter or application form signed by the President or an authorized designee of the President. The grant implementation procedures are intended to assure proper grant management and accounting.

All proposals must contain accurate institutional data and information secured from or approved by the University official or Vice President with relevant jurisdiction. A general summary of official university facts and figures is prepared annually by the Institutional Advancement Office for use in proposals and other communications. That summary is sent to all university officials and department or program heads.

A complete copy of any proposal should be kept on file by the submitting office. A copy should also be provided to the Office of Sponsored Programs, or, in the case of institutional or capital proposals, to the Institutional Advancement Office. If funding is not received, a copy of the proposal so noted should be sent to the Xavier Archives. If funding is received, a proposal copy with the award letter should also be provided to the Xavier Archives, either at the time of the award or once the funded project or program is completed.

Solicitations: Any other solicitation of external contributions in Xavier's name or in the name of a Xavier program, organization, or activity by Xavier faculty, staff, or students must be approved in advance by the Vice President for Institutional Advancement and other Vice Presidents with relevant jurisdiction.

Institutional Proposals: In contrast to proposals for particular departments or programs and in contrast to other solicitations, institutional proposals are those for major facilities, comprehensive programs, endowment funds, general scholarship funds and other institution-wide purposes. Concepts for institutional proposals and their proposed funding sources must be cleared at their inception by the University President, by the Vice President for Institutional Advancement, and as appropriate, by the Vice Presidents for Finance and Administration, Academic Affairs, Student Services, or the Director of Facilities Planning and Management. Any of these officers may also ask the President for an opportunity to review or offer input on the final draft of a proposal. Moreover, the final version of institutional proposals must be approved by the President or his designee and by the Vice President for Institutional Advancement, and must include a cover letter and/or application signed by the President or his authorized designee. Practices for file and archival copies of institutional proposals are the same as those for department or program proposals.

• Documenting, Processing, and Protecting Privacy of Gifts and Grants

Original documents or copies of all letters of award, pledges, and checks for private gifts and grants and for public institution-wide grants must be provided to the Institutional Advancement Office and to the Office of Sponsored Programs; similar documents for public funding of specific projects or programs need only be sent to the Sponsored Programs office. Actual cash, checks, stocks, bonds, or other non-cash-gifts received in the Advancement or other offices must be kept secure, copied for Advancement and other relevant offices, recorded promptly in Advancement, and taken directly to the Fiscal Office for deposit or disposition.

Upon receipt of gift and grant information, the Advancement or Sponsored Programs offices will carefully record the amount, the source, the date, the purpose of the gift or grant and relevant donor information, taking care to assure the accuracy and privacy of donor records, whether in electronic and/or paper form. The relevant offices will have internal gift and grant processing documents detailing the procedures for gift or grant handling. Advancement Office documents may also establish guidelines for creating scholarship funds, endowment, and other special giving arrangements.

Every private donor or private grantor must receive a letter of thanks and official gift acknowledgment suitable for tax purposes and signed by the President or other appropriate university official. Such letters should be sent as soon as possible after notice of or actual receipt of a grant or gift, and never more than two weeks later. (In extenuating circumstances, an interim letter or note of thanks should be sent within two weeks and should indicate that a definitive acknowledgment will follow.) Grants from public sources must also be acknowledged in a manner appropriate to the circumstances of a grant. Letters of thanks could be sent if relevant. Consistent with legal requirements, confidentiality of private donor records and requests for anonymity will be strictly respected in the Institutional Advancement office. Only authorized Institutional Advancement personnel will have permission to access the giving histories and other donor records of Xavier contributors.

• Reports and Reviews of Giving

The Vice President for Institutional Advancement reports on private gifts and grants three times each year to the President and the Board of Trustees. Xavier also reports its private gift and grant total annually in Voluntary Support of Education, published by the Council on Aid to Education.

Institutional Advancement files and donor records have been and are subject to review in conjunction with Xavier's annual audit by an independent firm. The Advancement and Fiscal Offices must compare records to assure consistency in the classification of gifts by donor category such as "corporate," "organization," or "religious," as they develop a "single entry" electronic system to record and classify gifts.

Public funding is reported to the President and the Board of Trustees three times each year by the Fiscal Office and annually by the Office of Sponsored Programs in a report specifying the purposes, amounts, and sources of all public and private grants for sponsored projects.

4. University and Media Relations

Subject to the review and approval of the President and Vice President for Institutional Advancement, the Associate Vice President for University and Media Relations will develop internal procedures for conducting informational activities. The policy objective is to assure observance of professional standards in the design and content of Xavier's institutional publications and electronic media and in the performance and practices of communications employees and other Xavierites in their dealings with the news media, the public, and the Xavier community.

Public information activities must be strategically conceived to tell Xavier's story in a way that is both accurate and motivational. Xavier communications must both inform and stimulate excitement for Xavier's mission, achievements, and need for financial support.

5. Advancement Policy Oversight and Dissemination

Oversight of Institutional Advancement policy is the responsibility of the Vice President for Institutional Advancement, subject to the review of the President and the Board of Trustees in accordance with Xavier's governance processes. This document is distributed through the Xavier website (xuweb.xula.edu) and copies are available in the Institutional Advancement Office (Room 500, Xavier South.)

Original Document (March 18, 1999) - Amended (May 25, 2004)