July 1, 2009
The generosity of alumni, friends, grateful patients, corporations and foundations plays a vital role in supporting USC’s mission of excellence. The success of the university’s advancement efforts requires both appropriate coordination and scrupulous observance of fiduciary responsibilities.
USC-related fundraising shall be conducted only under the direction and control of the president, provost, and senior vice president for university advancement and under the immediate supervision of academic deans, the advancement office, vice president of university relations, director of athletics, or other university officers as authorized in writing by the provost or senior vice president for university advancement.
USC-related fundraising includes, but is not limited to, all fundraising for USC-related purposes such as the support of any program or activity of the university or any of its units or employees; research, clinical, or other university work of any employee; any scholarship, fellowship or other student aid; and the building, improving or maintaining of any physical facility. USC-related fundraising also includes fundraising to honor the achievements of, or express gratitude for, the research, clinical, or other work of any employee, and fundraising using the name or mark of USC or any of its units. Fundraising includes the receipt of unsolicited gifts, and conversations and correspondence concerning planned or possible gifts.
An employee who learns of a prospective donor for USC-related fundraising, or conceives of a USC-related fundraising opportunity, shall immediately notify the appropriate advancement office and coordinate with them, rather than having conversations or correspondence or taking any other steps to attempt USC-related fundraising independent of the direction and supervision mentioned in section 1.
No employee shall do or attempt USC-related fundraising in violation of this policy. No employee shall form, or be an officer or staff member of, a foundation or organization that does or attempts USC-related fundraising in violation of this policy. No foundation or organization is authorized to conduct USC-related fundraising unless it is controlled by the university or has the written agreement of the provost or senior vice president for university advancement.
Handling of Funds
All funds, including unsolicited gifts, that are received from USC-related fundraising shall be immediately deposited in university accounts under the control of the university. All funds previously received from USC-related fundraising, and currently in non-USC accounts over which employees exercise effective control, shall immediately be deposited into university accounts under university control.
No employee shall accept gifts of more than nominal value from a current or former patient or student (or the patient or student’s family member or foundation), or accept benefits from such gifts, unless the appropriate dean or vice president grants approval in writing, or unless the gift is immediately deposited into university accounts under university control.
University policies or instructions govern the prior approval of fund raising purposes, prior clearance of approaches to prospects, handling of funds, proper control and expenditure of funds raised, and stewardship responsibilities.
Approaches to trustees, or to certain foundations, require the prior approval of the president. Naming of chairs and professorships, departments, academic programs, and other academic endowments require the prior approval of the provost. As provided in the bylaws, naming of portions of buildings and moveable objects shall be approved by the president; and naming of schools, buildings, grounds, thoroughfares, and amphitheaters shall be recommended by the president to the executive committee of the board of trustees for their approval.
Scope, Exceptions, and Enforcement
This policy applies to both staff employees and faculty members, including heads of departments, institutes and programs. Any special exceptions must be approved in advance in writing by the provost or senior vice president for university advancement. Violation of this policy is serious misconduct punishable by discipline up to and including dismissal under the provisions of staff policies or the Faculty Handbook.
Chrysostomos L. Nikias, Executive Vice President and Provost
Todd R. Dickey, Senior Vice President, Administration
University of Southern California