The Kansas University Endowment Association (KUEA) was founded in 1891 as a private, non-profit corporation to encourage, receive, manage, and administer gifts to benefit the University of Kansas, its students, faculty, and staff. The Association is a tax-exempt organization as authorized under Section 501(c)(3) of the Internal Revenue Code. Contributions to the Association are fully deductible to the maximum extent allowed by law under the Internal Revenue Code Section 170(b)(1)(a)(IV). University fund-raising priorities are set by the University's administration and communicated to the Association's Executive Committee by the Chancellor. The Association is governed by a Board of Trustees, which, through the Association's staff, initiates and coordinates fund raising activities on behalf of the University. The Association is the official custodian of donor gift records and has fiduciary responsibility for assuring adherence to gift guidelines agreed upon by donors.
Institutional advancement at the University of Kansas is initiated largely through the efforts of the Alumni Association of the University of Kansas, the Kansas University Endowment Association, and the Office of University Relations. Advancement is central to the mission of each of these entities, which share information about the University--the achievements of its students, faculty, alumni and programs as well as its needs in the form of budgetary, programmatic and philanthropic support. Advancement also occurs in many ways as a natural consequence of academic life at the institution and the manner in which alumni and friends of the University express their loyalty and concerns. In addition, the visibility of intercollegiate athletics, the performing arts, and other campus events contributes to advancement.
The Alumni Association of the University of Kansas
The Alumni Association was established in 1883 "for the purpose of fostering a spirit of loyalty, friendship, commitment and communication among graduates, former students, current students, parents, faculty, staff and all other interested friends of the University of Kansas." As an independent, non-profit corporation, it is a tax-exempt organization as authorized under Section 501(c)(3) of the Internal Revenue Code of 1954. The Association is charged with promoting the general welfare and the educational interests of the University. Its Board of Directors establishes policies regarding the property, management, affairs, and activities of the Alumni Association. The Chancellor of the University has designated the Association as the official custodian of alumni records and the keeper of University traditions.
The Office of University Relations
The Office of University Relations is responsible for the development and release of information about the University to the news media, serving as the point of contact for the news media and other external groups. The office also has responsibility for the development and production of a wide array of publications and other forms of communication intended to disseminate information about the University, its programs, faculty, and students. The University Relations staff works closely with staff members from the Alumni and Endowment associations when appropriate.
Governmental Liaisons-Office of the Chancellor
Planning and coordinating institutional representations to statehouse agencies is the responsibility of personnel within the Office of the Executive Vice Chancellor for Public Affairs and Governmental Relations. Advancement of University purposes is promoted through ongoing contact with the Office of the Governor and other state executive agencies. Interactions with legislative agencies, committees and staff are also pursued on an ongoing basis. Official contacts with these public bodies are coordinated by liaison staff in the Executive Vice Chancellor's Office.
Current Institutional Advancement Policies
Coordinated efforts by the different organizations referred to above are vital for the successful initiatives and advancement of the University. The policies and practices of these organizations are intended to enhance coordination and to facilitate communication of a shared message and vision to alumni and friends of the University. Inquiries pertaining to policies or recommended practices should be directed to the Provost.
The Alumni Association and the Endowment Association have internal policies on advancement functions they perform. There are also institutional policies that focus on advancement activities. Because of the role the Alumni Association and the Endowment Association play in advancement, most institutional policies on advancement emphasize the relationship of University units to the associations. The primary policies are identified below. There are, of course, many standard procedures that are not defined by policy but are institutional in practice. These are discussed in a subsequent section of this document.
The Alumni Association is the official custodian of University records of graduates, former students, and friends. The Association maintains records to enable the University to communicate with its alumni and friends. The records also exist for fund-raising and archival purposes. To help ensure timeliness and accuracy of records, information received via correspondence with alumni regarding address, career, and family changes must be forwarded to the Alumni Association. As part of its custodial responsibilities, the Association provides support services to administrators of schools/college and other units authorized to engage in advancement activities. (See University Policy Regarding Maintenance of Alumni Records, at end of section, which includes an initial list of authorized administrators and the procedures for assigning other administrators and/or alumni representatives.)
All fund-raising activities on behalf of the University must be reviewed and endorsed by the appropriate University administrators, i.e., chairs, deans, vice chancellors, and the Provost prior to consideration by the Chancellor. Activities approved by the Chancellor are submitted to the Endowment Association for a feasibility review. (See University of Kansas Official Fund-Raising Policy at end of section)
Policy on Uses of Donated Funds
The Endowment Association will utilize its funds for the benefit of the University in accordance with donor requirements and governmental regulations, based upon appropriate University recommendations for such use. The use of Endowment Association assets to benefit an individual in a personal manner is prohibited. The Endowment Association may also solicit and administer funds for the benefit of tax-exempt entities, which are separate from, but related to the University, at the request of the University. (See The KU Endowment Fund Administration and Use Handbook, located in the office of the Associate Athletics Director/Administration or of the Williams Educational Fund.)
The Office of University Relations coordinates all internal and external communications, including news releases, press conferences, publications and promotional initiatives, in behalf of the University.
Governmental Relations Policy
Contacts received by individual University faculty or staff should be reported to the Office of the Chancellor so that institutional responses can be coordinated by the liaison staff. Advancement of University purposes through both budgetary as well as other legislative contacts can be most successful if efforts are properly planned and coordinated. When requested to do so, faculty and staff are encouraged to provide expert testimony on proposed legislation before legislative bodies and to make every effort to accommodate such requests. In accordance with Board of Regents policies, such requests are to be reported by the campus liaison staff to the Executive Director of the Board.
Policy on Advisory Boards for Advancement Purpose
Any University unit or officially recognized campus organization wishing to establish an advisory board for purposes of advancement shall obtain approval for the formation of such a board from the Provost after having conferred with the appropriate unit head and vice chancellor. Permission should be obtained prior to contacting potential candidates for membership. Existing boards wishing to expand their membership should confer with the presidents of the Endowment and Alumni Associations.
Advancement is defined to include fund raising or activities related to the organization of "friends" groups. The term "board" means any formal group to be established by the unit or organization for purposes of advancement. This policy does not apply to professional groups organized for purposes of providing consultation on topics such as curriculum, recruitment, research or program development.
Institutional Advancement Practices And Guidelines
The following practices have proven effective and are strongly recommended when developing and implementing advancement programs:
- Alumni Records Practices: In addition to following the aforementioned policies, University schools/Colleges and units can use the following practices to further enhance and use alumni biographical records:
- Newsletters and other publications should include response forms so that alumni may update their records and formally correspond with the Alumni Association.
- Web sites should have prominent links to the Alumni Association's records department to allow for convenient electronic updating of biographical records.
- Posting of lost alumni by class year should be encouraged on web sites, and when classmates help find these lost graduates, address information should be shared with alumni records.
- Returned mail with new addresses should be shared with the Association's records department, either by sending the original mail piece via campus mail or by sharing old and new address information electronically.
- Offices that have responsibility for monitoring certification or licensing records of graduates should forward updated information to the Alumni Association.
- All University schools/Colleges and units should emphasize to alumni the importance of membership in the Alumni Association and of providing addresses and news about their lives to the Association.
- Recognized University offices, which have signed the Confidentiality Agreement for Use of Alumni Information System, can view computerized biographical information on their alumni and former students maintained on the Alumni/Endowment records system. Access will include the ability to view, sort data, and print reports when software acquisition and programming are complete.
- Appointment and Use of Advisory Boards for Advancement Purposes: Advisory boards are effective when University schools/Colleges and units clearly define board mission and duties, carefully select board members, and apply their talents appropriately. The following practices will enable these boards to be more helpful:
- Schools/Colleges and units must obtain approval from the Provost to establish advisory boards for advancement purposes prior to developing plans or selecting candidates for membership.
- Administrators shall consult with the Alumni and Endowment associations before approaching prospective advisory board members.
- In order to assure and coordinate optimum volunteer service by alumni and friends, schools and units shall confer with the Alumni and Endowment association presidents to review past and current University-related commitments of those individuals proposed for advisory board membership.
- Administrators shall forward to the Alumni and Endowment associations the names of board members and the length of their terms so that the associations can coordinate and record their participation in local, regional and national events.
- This policy does not apply to professional groups organized for the purposes of providing consultation on topics such as curriculum, recruitment, research or program development.
- Coordination of Events: Local, regional and national activities offer opportunities for institutional advancement. These opportunities also exist at professional meetings, where the Alumni and Endowment associations can coordinate with University administrators to host alumni. The following practices will increase the success of such gatherings:
- Alumni Association staff should share information with administrators in late summer on the alumni events scheduled for the coming year.
- Administrators should make early decisions on which alumni and professional meetings they or their representatives will attend during the academic year and share these plans with Alumni and Endowment association staff members. Faculty and staff should be encouraged to participate, as appropriate.
- Administrators who want to conduct meetings in conjunction with Alumni Association activities should coordinate their plans with appropriate Association staff.
- Once sites are determined, travel itineraries, including flight schedules, rental car arrangements, and hotel accommodations, should be shared among University administrators and Alumni and/or Endowment association staffs.
- University administrators should work with appropriate Alumni Association staff to determine how non members of the Alumni Association might be included in activities and how they might encourage Association membership.
- University administrators should work with appropriate Alumni and Endowment association staffs to develop a multi-year plan to visit target metropolitan areas.
- Endowment Association staff and University administrators should take special care when visiting with alumni and friends of the University off campus to ensure that their appointments do not interfere with attendance at Alumni Association friendraising events. Staff and administrators should refer to the Alumni Association's External Affairs Calendar to assist with the coordination of events and activities.
- Advancement-Related Governmental Relations Practices: The Alumni Association assists the University through Jayhawks for Higher Education, a group consisting of several hundred alumni and friends statewide who communicate with the Kansas Legislature about the University's needs. Faculty, administrators and staff are often invited by alumni and friends of the University to provide information, meet with legislators or provide consultation. It is often difficult to differentiate between those activities, which are institutional advancement in nature, and those which are professional in nature, i.e., sharing of expertise on a topic. See Appendix C for a copy of the Regents policy governing interaction with the Legislature. This section emphasizes only the advancement aspects of Governmental Relations.
- The Chancellor and key University administrators consult with the leaders of Jayhawks for Higher Education on legislative issues.
- Ideas on advancement initiatives should be explored with deans and directors who will work with their respective vice chancellors in influencing the advancement agenda set up by the Chancellor.
- As an independent organization, the Alumni Association is the advancement organization charged with taking the University's case to the Legislature. The Association follows all reporting requirements regarding lobbying efforts. The President of the Association is a registered lobbyist.
- Publications Practices: The Alumni and Endowment associations produce independent publications to communicate with Alumni Association members, donors, and other interested University constituents. The associations coordinate with the Office of University Relations on these projects when appropriate. They also work with University Relations to produce news releases regarding alumni events and donor news. University schools/Colleges and units work with the Office of University Relations to ensure that all communications with alumni and friends maintain consistent standards of quality in editorial content and design. The following practices will help enhance the effectiveness of these school/College and unit publications:
- Newsletters should be distributed at least twice a year, at regular intervals.
- Stories should focus on the University's mission of teaching, research and public service and should include appropriate information on donors and alumni events, particularly when such stories heighten awareness of student and faculty involvement with alumni.
- When appropriate, stories should emphasize the distinction between the Alumni Association's friend-raising role and the Endowment Association's fund-raising role.
- As stated above, newsletters should provide response forms for alumni to provide records changes to the Alumni Association and should highlight the advantages of Alumni Association membership.
- Information on alumni received by schools and units in the process of preparing newsletters should be shared with the Alumni Association.
- Endowment Fund Administration Practices: The availability of privately-contributed resources for University faculty, staff and students is the result of effective advancement activities. Proper stewardship of the Endowment's resources can enhance the potential for increased support.
- Upon the establishment of a restricted Endowment fund, Endowment staff will provide to the appropriate University employee who is identified to recommend disbursements from the fund - the Fund Account Representative - appropriate information to guide the use of such fund resources.
- All responsible parties should make a concerted effort to responsibly use available resources for the best benefit of the University, in the discretion of the Fund Account Representative, in keeping with donor restrictions.
- Deans or administrators should communicate with Endowment development officers about fund-raising objectives.
- Departmental and Endowment publications and news releases should publish articles about notable uses of Endowment funds or establishment of new funds when appropriate.
- Because student scholarships are the most popular donor-provided resources, and because these resources are often highly scrutinized by donors and the media, scholarship funds deserve special attention to ensure they are used as effectively as possible. In addition to the above stewardship activities for all Endowment funds, the following activities are emphasized for scholarship resources:
- Upon the establishment of a restricted scholarship, staff of the Endowment Association will provide the Office of Admissions and Scholarships and the appropriate dean or administrator with the name of the scholarship, the funding level, general and specific restrictions, and any specific expectations of the donor. Note: Scholarships and fellowships may only be paid to aid in the pursuit of study or research and must not require the performance of any work-related duties.
- Any payment made for teaching, research or services required as a condition for receiving it, regardless of whether it is denoted as a scholarship, is compensation and must be handled through the payroll process.
- The scholarship administrator or the school/department responsible for such restricted scholarship should communicate with the Office of Admissions and Scholarships in a concerted effort to use available scholarship resources on an annual basis in keeping with the needs of students who meet the various criteria for scholarships.
- Deans or administrators should encourage scholarship recipients to communicate their appreciation to donors. The Endowment Association maintains information, such as preferred names, which will be helpful in communicating with donors.
- Underutilized Endowment resources represent a lack of fiduciary responsibility to fulfill donor intent. When chronically underutilized funds are identified, the Endowment may seek the counsel of appropriate University administrators, other than the specified Fund Account Representative, to assist in ensuring the best use of contributed funds.
- Alumni Recognition: The presentation of special honors and awards to recognize the accomplishments of alumni and friends serves as an effective cultivation tool in the advancement process.
- The Alumni Association currently offers three categories of awards on behalf of the University. The University of Kansas' highest award for alumni achievements "for the betterment of society and in behalf of humanity" is the Distinguished Service Citation; the Fred Ellsworth Medallion honors "individuals who have provided unique and significant service to the University"; and the Mildred Clodfelter Alumni Award recognizes "sustained volunteer service to the University at the local level."
- Academic programs and units also recognize individual alumni through a variety of awards. These are awarded in the name of the unit as an entity within the University. The following practices will enhance the effectiveness of awards as an advancement initiative.
- Written guidelines and selection criteria on each award, along with the use of a selection committee, are important in conveying the significance of an award and ensuring appropriate selections. They should be maintained as public documents in the Office of University Relations. Schools/Colleges and units also should share lists of awards with the Alumni and Endowment Associations.
- After selection and awarding such honors, schools and units should notify the Alumni Association to assure honors are recorded in biographical records, and the Office of University Relations, which will assist in public announcements of the awards.
- University Relations staff are available to assist units in developing news releases.
- The design of plaques, certificates and other awards should reflect the importance of the award but should not be extravagant. Staff members at the Office of University Relations are available for consultation.
- Donor Recognition: The proper recognition of donors for their support of the University is important in the advancement process. Effective donor recognition can encourage additional gifts and prompt others to contribute. The following practices will serve to enhance donor recognition activities.
- Schools/Colleges and units should thank donors through letters from administrators, faculty, students, fellow alumni, and others; through stories in newsletters and other publications; and by hosting donors, their families and associates on campus or at other events and activities as appropriate.
- All schools and units should take care to avoid providing quid pro quo premiums to donors. The Internal Revenue Service has specific guidelines limiting the practice of providing donors with "gifts" or "premiums" in return for a charitable contribution. Unit administrators must confer with staff of the Endowment Association prior to the initiation of such practices.
- All schools and units should coordinate donor recognition activities and events with the Alumni Association, the Endowment Association, and the Office of University Relations to ensure that donors' wishes are respected. The Alumni and Endowment associations may have personal information on donors which will make the recognition particularly meaningful to the donor.
- When alumni are invited to campus to receive special recognition, it is helpful to coordinate plans with the Endowment Association and the Alumni Association, as these organizations may also wish to visit with the donor. Such coordination can help make the campus visit more successful.
- Fund Raising: All advancement activities have the potential of enhancing the generosity of alumni and friends of the University. In this context, all members of the University share in creating conditions favorable to fund raising. The Endowment Association, however, is directly responsible for fund raising on behalf of the University. Administrators, faculty and alumni also assume important roles in fund raising. The following practices are supportive of effective fund raising for the University.
- Deans and directors should work closely with the development officer assigned to their unit by the Endowment Association in assessing and prioritizing needs of the unit, setting goals, and planning and implementing fund-raising initiatives.
- The Endowment Association development officer is available to assist in complying with the Fund-Raising Policy.
- When participating in activities that are primarily for alumni and purposes of "friend" raising, care should be exercised to avoid any perception of fund raising. If fund raising is to occur in conjunction with alumni activities, the fund-raising function should be carefully planned and coordinated with staff from the Endowment and Alumni Associations.
- All charitable gifts for the benefit of the University, both unrestricted and restricted to particular programs and special purposes, are to be made to The Kansas University Endowment Association. Care should be exercised when discussing with donors their preferences for use restrictions of gifts. Typically, the donor's preferences are well within the capability of the institution to carry out. On occasion, however, the use conditions of a gift may not be appropriate or may be unnecessarily restrictive. The Endowment Association is responsible for negotiating appropriate gift conditions and its staff should be involved early in discussions on potential gifts.
- Potential donors often are not aware of the gift and fund type options available to them for contributing to benefit the University. Endowment Association staff members are available to provide expertise on charitable gift options such as cash, appreciated securities, gifts-in-kind, bequests, life insurance, real estate, trusts, and other gift instruments.
- To the extent that donor records are made available to appropriate University personnel, such information is strictly confidential and remains the property of the Endowment Association.
University Of Kansas Policy Regarding Maintenance Of Alumni Records
The Alumni Association of the University of Kansas is the official custodian of the biographical records of all University alumni and the provider of all mailing lists, labels, directories, and direct access and inquiry of alumni records. The Alumni Association maintains a computerized records system that is updated daily and, in cooperation with the Endowment Association, has developed detailed procedures for the maintenance and dispersal of alumni records.
The KU Alumni Information and Records System is able to provide to any recognized University office the following information about alumni: home and business addresses, telephone and fax numbers, e-mail addresses, and a variety of selections and sorts such as academic discipline, class year(s), geographic area, gender and birth, nickname, professional name and married names for alumni, etc. Information products, including up-to-date mailing labels and/or printed directories, are made available to units upon request for any authorized University purpose. Authorized administrators also may view the biographical information about their alumni from their own computers and, when software acquisition and programming is complete, will gain the ability to sort data and print reports. The following procedures will help ensure that the Alumni Association's comprehensive records system is accurate and serves both the University and its alumni well.
- Because maintaining alumni biographical records and mailing lists at the unit level is a costly duplication of effort, units that currently are keeping individual address records of alumni are asked to discontinue the practice and forward their records to the Alumni Association for incorporation within the central data base.
- Any address changes or updated biographical information should be forwarded to the Alumni Association immediately upon receipt to ensure that records are as accurate as possible.
- The Alumni Association and the Endowment Association regularly request address corrections of all alumni. Departments should refrain from requesting address corrections on second, third, and fourth class mailings in order to avoid unnecessary duplication of payment for address corrections.
- Offices requesting information should provide two weeks' notice whenever possible.
Adherence to these procedures is important for several reasons. The University is under ongoing pressure to reduce expenditures that are not directly related to the academic mission. Using a single alumni database allows the institution to conserve resources. A single database also would reduce the frustration alumni experience when their requested biographical record changes are not shared by academic units with the central data base. A centralized, accurate, and complete alumni information and records system is an essential component of an effective University advancement program.
Policy adopted January 1979; updated in 1987, 1994, and 2000.
Authorized Administrators Having Authority To Request Output Of Alumni Records
All Kansas Alumni and Endowment association administrative staff are authorized to request alumni records information. All those administrators listed below have authority to request output of alumni records and are encouraged to assign other administrators from their respective areas to this list. Any alumni records information being requested on behalf of an academic unit, intercollegiate athletics and/or student organizations by an alumni representative must be approved by one of the administrators listed below. However, a University agency or unit can designate an alumnus/a as an official alumni representative for future requests. For example, any of the Greek affiliated organizations can have an official alumni representative designated through the Director of the Student Organizations and Leadership Development Center. To gain authorization, one must receive in writing the Director's authorization and for a specified time period, i.e., July 1, 2000, to June 30, 2001.
Application For Access To Database Form:
Kansas Athletics Employees Permitted To Request Lists
Director of Intercollegiate Athletics
Associate Director(s) of Intercollegiate Athletics
Director of the Williams Fund
Policy On Development Of University-Approved Fundraising Projects
The following describes official University of Kansas policy governing the development of university-approved projects requiring private support and the required procedures for clearing all funding sources prior to any approaches seeking private support.
The Kansas University Endowment Association is the designated and officially recognized university-related foundation charged with the responsibility of encouraging, soliciting, and managing private resources contributed for the benefit of The University of Kansas, its students, faculty and staff. The Association must be consulted regarding any private fund-raising efforts. All requests by University of Kansas students, faculty, staff, and University-related organizations for private fund-raising support, and the assistance of The Kansas University Endowment Association in securing that private support, must come first to the attention of the Chancellor through the normal administrative channels of the University.
Requests for fund-raising activities for the benefit of the University of Kansas or for any University-related organization by faculty, staff, students, alumni, or persons shall then be submitted in writing by the Chancellor of The University of Kansas to the President of the Endowment Association who will, with the assistance of the Executive Committee of the Endowment Association, approve or deny the request. The Kansas University Endowment Association shall be the final arbiter in assessing the likelihood for private fund-raising success and in approving approaches to funding prospects including individuals, corporations, and foundations.
The Chancellor's request to the Executive Committee of The Kansas University Endowment Association, as described in the previous paragraph, shall include:
- Definition of the proposed fund-raising activities and goals of the project.
- An outline of the need and purpose for which private support is sought.
- A statement of the approximate date on which the solicitation is proposed.
- A list of the funding sources to be approved as prospects for solicitation or a reference to an existing and clearly defined list such as those maintained by the Alumni Association for a particular school, department, unit or group.
- A budget plan to support the solicitation or proposal if needed.
- The Chancellor's assigned institutional priority for the project.
Solicitations to, discussions with, or requests for private support from any private foundation (regional, family, or non-corporate foundation) must be approved by the Endowment Association before the proposal is submitted to the foundation.
These general guidelines are developed to facilitate, coordinate, and ensure success of solicitations by members of the University family on all campuses of The University of Kansas and are meant to ensure that prospects are not solicited on an uncoordinated basis to the detriment of other projects pending with individuals, corporations, organizations, or private foundations.
Interaction With Legislature And Other State Agencies
Excerpted from the KANSAS BOARD OF REGENTS POLICY AND PROCEDURES MANUAL, July 1995, Section G, General Policy
Legislative Appearances and Committee Hearings
Legislative Committees often request faculty and administrators to provide expert testimony on proposed legislation which may or may not affect the Regents and higher education. Faculty and administrators should make every effort to accommodate such requests, and shall notify the Executive Director of the Board of the invitation so that the Board Office will be aware of such appearances.
Legislative Requests and Proposed Legislation
The Board must approve all requests made to the Legislature for funds, programs, changes in legislation and new legislation affecting the Board and the Regents institutions. Requests for legislation shall be submitted to the Board for consideration and inclusion in the Regents annual legislative proposals no later than the November meeting of the Board. Emergency situations may warrant special exceptions, but to the extent possible, no request for legislation during the ongoing legislative session will be considered after the March meeting of the Board. (5-14-87)
Once approval has been granted, all institutions are authorized to work for these requests and each institution is expected to support the entire request. Conversely, all are prohibited from requesting or working for additional legislation or funds.
Legislation proposed by others than the Board may still have an effect on the operation of the Regents system. When such legislation is proposed, it shall be the duty of the Board to make a decision as to whether the position of the Board is that of support, non-support, or opposition.
Information Requests from Other State Agencies
System wide Requests: Requests to Regents institutions for system wide information from other state agencies or other branches of state government are expected to be transmitted through the office of the Board. Regents institutions receiving requests directly from other state agencies or branches of state government should advise the requesting party of this policy and advise the office of the Board of the request. When time limitations do not allow sufficient time for transmission of responses through the Board office, responses may be submitted directly to the requesting party with copies to the Board office. (11-20-81)
University-Specific Requests: Requests for information related specifically to a university should be sent directly to the requesting party, with a copy to the Board office.
Attorney General Opinions
Any institution or employee seeking an opinion from the Attorney General must do so by making a request through the office of the General Counsel of the Board.
Commission on Governmental Standards and Conduct Opinions
Any institution or employee seeking an opinion from the Commission on Governmental Standards and Conduct should do so by making a request through the office of the General Counsel of the Board. (10-17-91)