East
Carolina University Faculty Manual
PART
VII.
RESEARCH
INFORMATION
As a constituent institution of The University of
North Carolina, East Carolina University receives its basic financial support
from appropriations by the North Carolina General Assembly and from tuition and
fees paid by students. However, to
achieve and maintain a higher level of excellence than is possible with those
funds, it is necessary to seek grants and contracts from governmental and other
sources and to obtain gifts from alumni, friends, corporate entities, and
foundations.
The basic principle affirmed in this policy
statement is that East Carolina University's external funding policy shall be
centrally coordinated but structured to accommodate individualized and
decentralized fund‑raising activities. While all members of the
university community are encouraged to participate in the process of
identifying and qualifying prospective funding sources, the vice chancellor for
institutional advancement is responsible for the coordination of all fund
raising activities at the university which are direct gift solicitation. Therefore, with the exceptions noted below,
no formal request for external funding shall be made by any university employee
in the name of or for the benefit of the university without prior clearance
through the Office of Institutional Advancement or the Office of Sponsored
Programs.
The East Carolina University Educational Foundation
(Pirate Club) and the East Carolina University Medical Foundation shall be
exempt from the policies and reporting procedures stated in this document where
private gifts which clearly entail no contractual obligations by ECU of direct
benefit to the contributor are involved.
(See "Definitions" for clarification of the term
"gift" as used in this policy statement.) Any uncertainty in this regard shall be resolved by discussion
with the vice chancellor for institutional advancement. In order that each
university fund‑raising program may achieve maximum results, it is
anticipated that all foundations will communicate with each other and
coordinate their activities.
Terms
used in this policy statement are defined below.
1. Gift
A
gift is an item of value, ownership of which is voluntarily transferred from
one party to East Carolina University or one of its foundations without direct
compensation to the first party. Gifts
may be in the form of cash or in kind (e.g., art objects, equipment,
securities, real estate, services, insurance, etc.). Gifts may be solicited (given in response to a request from ECU)
or unsolicited (given at the donor's own initiative). Gifts may also be classified as unrestricted (i.e., use or
disposition of the gift is at the discretion of the university) or restricted
(i.e., use is limited to certain activities, departments, beneficiaries, etc.).
Examples
of restricted gifts are sums of money which are used to finance building
projects, create scholarship funds, or establish individual scholarships and
items of equipment which are designated for use only in certain activities or
by specific departments or schools. Where cash or property‑in‑kind
is given in response to a proposal for a specific project, the transaction
should be considered as a gift when the donor is an individual or a for‑profit
commercial enterprise, and as a grant when the donor is a governmental agency
or private nonprofit foundation or organization. Gifts or grants of cash or property-in-kind from foundations
(corporate foundations) which remain under the financial or other control of a
for‑profit corporation should be treated as gifts. A proposed
"gift" by a for‑profit commercial enterprise which is
contingent upon ECU or one of its units conducting specified research or
providing other specified services which redound to the direct benefit of the
commercial enterprise should not be considered as a gift, but should be
considered and treated as a contract to be coordinated with the office of
Sponsored Programs as outlined below. Occasionally, it may seem advantageous to
combine an agreement to conduct specified research or provide other specified
services on behalf of a commercial enterprise with an understanding that the
commercial enterprise will make a gift of cash or equipment to the university
which may be restricted to use by a specific school, department, or even
individual. Such arrangements are
fraught with legal and ethical problems and should be thoroughly discussed with
the office of Institutional Advancement before any commitments are made.
2. Contract
In
general, a contract is given for a project where the funding agency has already
identified the need, determined the type of activity required to meet this
need, identified the expected outcomes for the project, selected an acceptable
cost range, and estimated the time required to complete the project. Often, the funding agency merely chooses the
best among several candidates to carry out the project and may exert fairly
strict management control over the contract recipient. Contracts are typically awarded by the
federal government in response to requests for proposals (RFP's), by state and
local government agencies, and by for‑profit commercial entities (single
owner companies, partnerships, and corporations). Unsolicited proposals, i.e., proposals submitted on the
initiative of the would‑be principal investigator or project director
rather than in response to an RFP, may also result in a contract. In most cases, progress reports, a final
report, and a financial report are required by the sponsor, and the project is
in most cases subject to audit. From
the sponsor's point of view, contracts are typically entered into to produce a
specific product (often simply a report or service) which is of direct benefit
to the sponsor. Typical contracts with commercial firms entered into by the
university in recent years include environmental impact studies, clinical drug
studies, field testing of psychological questionnaires, and internship
agreements for psychology and allied health students. Typical contracts with government agencies include the conduct of
specific research and/or development for various federal government
departments, the provision of health and educational services for a number of
state government departments, and the provision of student interns to various
local government units.
3. Grant
A
grant is typically awarded for projects where most or all of the factors
outlined above have not yet been determined.
Grants are frequently awarded for experimental projects or for projects
where the idea and purpose of the award have been suggested by the
grantee. In general, grants are
characterized by greater latitude in shifting funds among budget categories,
more flexibility in the timetable necessary for completing various elements of
the project, and more freedom in the methods used to accomplish the intended
outcome. Grants are typically awarded
by the federal government and by private nonprofit foundations and
organizations. In most cases, a final
report and a financial report are required, and the project is often subject to
audit. In the case of small grants
(usually with a specified limit of typically $10,000‑15,000), reporting requirements
are often reduced or eliminated entirely.
Outcomes of the project are typically not of direct benefit to the
sponsor of a grant.
4. Cooperative Agreement
A
cooperative agreement shares some of the attributes of both the traditional
relationships, but is more like a contract than a grant. The funding agency retains an interest in
procedures, timetables, etc. and works cooperatively with the awardee so as to
share responsibility for achievement, changes in methods, delays, etc.
A
cooperative agreement is most likely to be used by certain agencies of the
federal government.
E. Clearance Procedures for Contracts, Grants,
and Cooperative Agreements
All
proposals to governmental, private nonprofit, or corporate agencies or
organizations for a contract, grant, or cooperative agreement to support
research (including clinical research), instruction, public service, or other
activities to be conducted by any faculty or staff member or other person
associated with the university shall be coordinated in advance of submission
with the Office of Sponsored Programs and submitted in accordance with the
policy and procedure statements set forth in the ECU BUSINESS MANUAL.
This
policy applies irrespective of which ECU office or ECU‑affiliated agency
may ultimately administer the funded grant, contract, or cooperative
agreement. It does not apply to
preliminary or informal inquiries, whether oral or written, to determine
whether a potential sponsor may be interested in considering a proposal for a
certain project. However, the policy
does come into effect when such inquiries result in encouragement from the
potential sponsor to submit a letter or a written proposal or when the
inquiries proceed to a point where commitments or funding levels are discussed. The importance of following the procedures
referred to above whenever university personnel, facilities, equipment, or
supplies are to be employed cannot be overemphasized.
F. Clearance Procedures for Soliciting Gifts
Faculty
or staff members who wish to undertake any type of fund-raising project shall
contact their department or unit head, dean, or vice chancellor, as
appropriate, concerning the appropriateness of the proposed project and its
adherence to department, division, and university priorities. At the same time, they are encouraged to
contact the Office of Institutional Advancement to discuss the idea and its
possibility for funding. Once a project
has been approved through the originator's division, the originator shall send
a memorandum to the Office of Institutional Advancement containing, as a
minimum, the following information:
1. the purpose for which the solicitation
will be made,
2. the amount of money or type of gift to
be requested,
3. the name(s) of any known prospect(s) (individual,
corporate, or foundation) suggested for solicitation,
4. the approximate date recommended for
solicitation, if appropriate, and
5. a statement to the effect that the
project has been approved by the originator's division
In
evaluating the proposed solicitation, the Office of Institutional Advancement
will attempt to identify potential sponsors in addition to the prospect(s)
suggested by the originator of the project.
The Office of Institutional Advancement will consider each prospect's
university affiliations, other interests, past giving record, past and present
solicitation activity, and specific project interest, if known.
Clearance
through the Office of Institutional Advancement of the solicitation will be
given in writing outlining the level of involvement by the Office of
Institutional Advancement and the
individual or department submitting the request. For example, the entire solicitation project might be conducted
by the Office of Institutional Advancement; or a particular faculty member or
dean and a support group, such as the Friends of the Library, may be authorized
to conduct the project; or a combined effort with joint solicitation calls by
members of the Office of Institutional Advancement, key faculty members, and/or
volunteers may be endorsed.
Postponement
by the Office of Institutional Advancement of the project will also be given in
writing with the reason(s) for the decision.
The vice chancellor for institutional advancement will be available to
discuss the postponement, the relative priority of the project, and
rescheduling the solicitation with the sponsor and his or her vice chancellor.
G. Acceptance of Gifts
Acceptance
of a gift‑‑whether in cash or in kind‑‑imposes a legal
obligation to comply with the terms established by the donor. Therefore, it is necessary that the nature
and extent of this obligation be clearly understood. For this reason, the terms of each restricted gift will be
reviewed to ensure that they do not hamper the usefulness or desirability of the
gift to ECU. If a gift is deemed
unacceptable because of the restrictions the donor has placed on its use, the
donor will be requested to remove or modify the restrictions, as appropriate. A gift will be refused or returned when it
1... is determined to be for a purpose
inappropriate or not in the best interest of ECU or
2... would obligate ECU to undertake
responsibilities, financial or otherwise, which it may not be able or willing
to meet for the period required by the terms of the gift.
Gifts‑in‑kind
will be reviewed with special care to assure that acceptance will not involve
excessive financial commitments or other obligations disproportionate to the
usefulness or value of the gift.
Consideration will be given to such factors as the cost of maintenance,
cataloging, delivery, insurance, display, and space requirements for exhibition
or storage.
When
gifts‑in‑kind are given to ECU with the intent of the donor to
receive a tax deduction, it shall be the responsibility of the donor (not ECU)
to obtain an appraisal establishing the value of the gift for tax
purposes. ECU shall not become involved
in the appraisal process, as such involvement could result in the appraisal's
accuracy and objectivity being challenged by the Internal Revenue Service.
H. Recording, Acknowledgment, and Disposition of
Gifts
It
shall be the responsibility of the Office of Institutional Advancement gift
records office to officially record and receipt all gifts, including cash,
pledges, securities, trusts, insurance policies, real estate, and other gifts‑in‑kind
to East Carolina University or any agency thereof. Therefore, all gifts shall be processed through the gift records
office, where they will be entered on the central donor file and a receipt
issued before any gift is deposited in any university account, transferred to
any unit's property record, or otherwise disposed of. Gifts‑in‑kind will become the property of East
Carolina University or one of its foundations, as appropriate, and will be
handled, inventoried, and/or disposed of in accordance with applicable policies
and procedures.
Official
acknowledgment of gifts to the university shall be coordinated through the
Office of Institutional Advancement.
The chancellor will acknowledge all major gifts. Other principals in a particular gift
transaction are also encouraged to express their personal gratitude or the
appreciation of their department or school and are requested to forward a copy
of their letter to the Office of Institutional Advancement for the central
donor file.
I. Maintenance of Prospect and Resource Files
It
shall be the responsibility of the Office of Institutional Advancement to
establish and maintain prospect and resource files for the purpose of providing
timely and relevant information about prospective individual donors, private
foundations, and corporations. To
assist in the fulfillment of this responsibility, each solicitation or
cultivation contact (where specific information is gained that will be of use
in future solicitation at tempts) with a prospect or donor by any
representative or agent of the university shall be reported to the Office of
Institutional Advancement on a call report form, which identifies the purpose
of the contact, the major points of discussion, and the recommended action(s)
to maximize the benefit of the contact.
Call report forms will be made available by the Office of Institutional
Advancement.
J. Preparation of Fund-Raising Literature
All
literature, including brochures, booklets, and letters, used to attract private
funds to ECU shall be coordinated through the Office of Institutional
Advancement in order to ensure that the most accurate information appropriate
to a particular fund-raising effort is reflected.
K. Scheduling of Fund-Raising Activities
It
shall be the responsibility of the Office of Institutional Advancement to
establish and maintain a master calendar which incorporates the schedule of all
mailings, solicitations, and other fund‑raising activities to ensure the
potential for maximum success for each.
L. Budget Formulation for Fund-Raising Projects
The
formulation of budgets which are to be spent for private fundraising projects
in the name of the university shall be the joint responsibility of the vice
chancellor for institutional advancement and the appropriate individual or
group representing the project.
M. Involvement
of Volunteers in Fund-Raising Efforts
Whenever volunteers are to be involved in
fund-raising efforts, it shall be the responsibility of the Office of
Institutional Advancement to assist in the selection and recruitment of the
volunteers and to assist in their training in order for them to be more
effective in soliciting funds.
N. Public Statements Regarding Gifts
It
shall be the responsibility of the ECU News Bureau, in conjunction with the
Office of Institutional Advancement, to initiate the preparation of all public
statements concerning gifts to the university or to any of its units. Project sponsors and other appropriate
individuals will be asked to supply pertinent information and will be involved
in coordinating the public announcement.
O. Special Projects by Non-university Related
Organizations
The
university neither encourages nor endorses the use of the East Carolina
University name by non-university related organizations to solicit funds, even
though a portion of the funds to be raised may come to the university. To avoid embarrassment and possible legal
problems, it is emphasized that any individual or organization not directly
affiliated with the university should coordinate with the vice chancellor for
institutional advancement in advance
any plans for fund-raising activities involving the name of the university.
Approved: February
17, 1984
East Carolina University Board of Trustees