UCLA

I. REFERENCES

• UC Policy on Support Groups, Campus Foundations, and Alumni Associations;

• UC Administrative Guidelines for Support Groups;

• UC Administrative Guidelines for Campus Foundations;

• UC Administrative Guidelines for Alumni Associations and Constituency Alumni Groups;

• UCLA Policy 347, Recovery of Operating Costs from Private Gifts.

II. INTRODUCTION AND PURPOSE

To further UCLA’s fund raising, membership, and outreach missions, the University utilizes electronic and printed mass solicitations to individuals and other entities. Mass solicitations are undertaken for the benefit of UCLA and are directed to The UCLA Foundation and the UCLA Alumni Association. This policy is intended to ensure accurate accounting, timely acknowledgement and consistency of mass solicitation communications and donor remittance processing. This policy is applicable to all such solicitations of the UCLA Alumni Association, UCLA Development Office, including those of the UCLA Fund, the College, the professional schools and campus departments or units, and other UCLA Support Groups. This policy is not applicable to solicitations involving the sales of calendars or T-shirts, subscribed events without a gift component, dues for Support Groups or personalized gift appeals.

III. DEFINITIONS

Appeal Code: A unique identifier used to track a subset of a solicitation for the purpose of performance reporting on the appeal and individual giving. There may be one or more Appeal Codes per solicitation.

Benefits: A recognition product/service/opportunity given to a donor/member to acknowledge a donation or membership dues received for certain donor/membership levels.

Gift: For purposes of this policy, a generic term that includes various types of assets including cash, securities, real property, tangible personal property or other non-monetary assets. In general, funds are classified as a Gift if the following characteristics are present: Disinterested generosity; donor does not impose contractual requirements; funds are awarded irrevocably.

Giving Level: Predefined Gift-range category assigned to each donor in a solicitation strategy.

Mass Solicitation: Any standardized appeal, communicated electronically or sent as printed material, for the purpose of soliciting Gifts, donations, or membership, to a large number of individuals, groups, corporations, or foundations, and carried out on behalf of various UCLA activities or programs by the UCLA Foundation, the UCLA Alumni Association, UCLA Support Groups qualified as Internal Revenue Code 501(c)(3) entities, or other UCLA affiliated entities.

Premium: A one-time recognition/product/service offered to members in response to a specific membership solicitation.

Premium Code: A system code to categorize and define various Premiums offered to donors/members.

Remittance: An instrument that a donor or member returns to UCLA along with a Gift or alumni membership dues that provides key donor and member information such as name, Advance ID, address, phone number, amount of Gift Appeal Code, desired fund name or number, etc. An example of a Remittance would be the tear-off coupon on a solicitation letter. Also known as a Remittance Device or a Remit. (See Attachment D)

For additional definitions of terms related to Gift and membership solicitation and processing, see the Definition of Terms: Gift/Membership Process.

IV. STATEMENT

A. Authorization for a Mass Solicitation

For the purpose of ensuring compliance with applicable University policy and Internal Revenue Service regulations and to facilitate coordination of all UCLA solicitation activity, all proposed Mass Solicitation communications, as defined above, must be reviewed, authorized, and signed-off by the appropriate UCLA External Affairs officer. In addition, a Mass Solicitation soliciting any Gift must be authorized and signed-off by the senior Development staff member responsible for the campus entity that is to benefit from the solicitation. For example, such a Mass Solicitation to benefit a unit of the Health Sciences must be authorized by the Assistant Vice Chancellor of Development for the Health Sciences; such a Mass Solicitation to benefit the College of Letters and Science (The College) must be authorized by the Assistant Vice Chancellor, UCLA College Development. The senior Development staff member may delegate all or some portion of the authorization and sign-off responsibility to specific individuals under his/her direction.

UCLA Alumni Association Mass Soliciations require the authorization and mail house sample sign-off by both the Associate Executive Director, Membership and Marketing, and the Director, Membership, UCLA Alumni Association.

The authorization of a Mass Solicitation is based on a review of the text of the Mass Solicitation communication which must contain the required data elements as specified in paragraph B, below as applicable for Gift solicitations or membership solicitations. In addition, each Mass Solicitation communication must be accompanied by a Remittance Device that includes specific data elements.

Exceptions to the requirement that each Mass Solicitation must be separately authorized, to the required Mass Solicitation communication data elements, or to other requirements will be considered in accordance with section C, below.

B. Mass Solicitation Communication Data and Remittance Device Elements

1. All Mass Solicitation comunications must include the following data elements:

Elements for inclusion in Mass Solicitation communication address field:

• Name

• Address

• Gift/Membership system ID number

• Class year(s) if alumnus/alumna/student 

Elements for inclusion in Mass Solicitation communication:

• Ask for contribution

• Identify the school, department, or unit name 

Include the following additional elements for Gift Mass Solicitation communication:

• Purpose (for Gifts, tied to fund number on Remittance Device)

• Fund type 

2. All Mass Solicitation Remittance Devices must include the following data elements: 

• Name

• Address

• Phone number

• E-mail address

• Gift/Membership System ID number of primary donor/member

• Class year(s) if alumnus/alumna/student

• Payee (i.e., Make checks payable to “The UCLA Foundation,” “UCLA Alumni Association”, “The Regents of the University of California”, or the 501(c)(3) entity as appropriate)

• Amount options, suggested amounts, check box(s)

• Lockbox address 

• Appeal Code(s)

• Biographic update elements (Attachment A)

• Credit card option with credit card type, credit card number, expiration (mo/yr), and name on card

• Automated Clearing House (ACH) option copy (Attachment B)

• Phone contact at UCLA (i.e., originating office)

• Website address for on-line payment option, if available 

Additional elements required for Gift Mass Solicitation Remittance Devices:

• Pledge schedule

• Gift of securities copy (Attachment B)

• Matching Gift copy (Attachment B)

• Estate plan copy (Attachment B)

• Disclosure statements (Attachment C)

• If Benefits are offered: 

• Fair market value of Benfits

• Option to decline Benefits

• Premium Code(s) 

• Fund name(s) and fund number(s)Giving Levels

• “This is a joint gift” check box 

Additional elements required for alumni membership Mass Solicitation Remittance Devices:

• Alumni membership categories

• Option to decline inclusion in the Alumni Directory

• Premium Code(s) 

Optional element:

• Return or reply by date 

Note that address fields on Remittances will be preprinted with available data from the gift/membership system.

C. Exceptions to Policy

Exceptions to this policy may be proposed and will be reviewed on a case-by-case basis in accordance with the following criteria. Such exceptions may include changes in selective information elements, disclosure language (unless mandated by law or UCOP policy), and strict use of Remit templates. The exception process allows for two types of exemptions, a standing exemption or a one-time exemption, based on the following criteria:

• To qualify for a standing exemption the following condition applies:
  
  If the Mass Solicitation has an ongoing distinctive requirement which is recurring and where the specific application of the policy would not be appropriate, a standing exemption may be granted.
   
• To qualify for a one-time exemption the following condition applies:
  
  If the Mass Solicitation is out of compliance due to a specific requirement that occurs on a limited or one-time basis, a one-time exemption may be granted.

The request for exceptions and the authorization of exemptions follow the same management signature approvals as for Mass Solicitations (see section IV.A, above). Standing exemptions will be reviewed annually to ensure the continued appropriateness of the exception. All other exceptions will be reviewed on an individual basis in connection with the solicitation approval process.

Submission Requirements:

1. Identify the name of the Mass Solicitation where exception would apply;
    
2. Identify the type of exemption being requested, standing or one-time;
    
3. Describe the exception and rationale (e.g., impact if exception is not granted and justification for standing exemption);
    
4. Identify who is submitting the request, name, title and department;
    
5. Attach supporting documentation, as required (e.g., modified Remit).

V. ATTACHMENTS