FS_donors

Faculty Senate Ad Hoc Committee on Donor Influence Policy

Established October 2018

September 2018 Faculty Senate motion:

Committee charge:

• The charge of the ad Hoc Committee on Policy Concerning Donor Influence Over Academic Matters is to examine current Faculty Manual provisions, current University Policies, and best practices of other research universities and institutions, and to consult with SLU administration in order to develop recommendations to the Faculty Senate Executive Committee and the Faculty Senate concerning any modifications to existing policy or the development of new University policies which will clarify or define the role or influence of donors in (1) Faculty hiring; (2) staff hiring; (3) academic programs; (4) curriculum; and (5) research.”

Committee membership:

• Tony Breitbach (Doisy), Beth Freeburg (Education; December -), Scott Isbell (Medicine), Yvette Liebesman (Law), Huliyar Mallikarjuna (Parks), Mike Mancini (Public Health and Social Justice), Norma Metheny (Nursing), Takako Nomi (Education; October - December), Gregory Pass (Libraries), April Trees (A&S), Daniel Warren (A&S), Bonnie Wilson (Business; October - March 6)

Committee activity and related communications

• 03.06. Meeting, 2:15 - 3:45. Fitzgerald Hall 229. Agenda

• 02.20. Meeting, 2:15 - 3:45. Fitzgerald Hall 224. (4:00 meeting with CFO David Heimburger in DuBourg 202.) Agenda

• 02.13. Meeting, 2:15 - 3:30. Fitzgerald Hall 224. Agenda

• 02.06. Meeting, 2:15 - 3:45. Fitzgerald Hall 224. Agenda

• 02.01: Meeting with Provost Gillis, 2:00 - 3:30. Fitzgerald Hall 224. Agenda; slides; questions (currently internal); minutes (currently internal)

  • UPDATE (01.28) from Provost Gillis: CFO David Heimburger, General Counsel Bill Kauffman, and VP Sheila Manion will join

• 01.23: Meeting, 2:15 - 3:45. Fitzgerald Hall 224. Agenda; minutes

• 01.16: Meeting, 2:15 - 3:45. MDD 2101C. Agenda; minutes

• 01.16: email invitation to VP of Development Shelia Manion (see also 11.05 and 11.27) and CFO David Heimburger

• 01.11: CANCELLED DUE TO WEATHER AND UNIVERSITY CLOSING. Meeting with Provost Gillis, 1 - 2:30, MDD 2101C. Agenda; slides

  • Meeting planning google doc (internal).

• 01.11: New Walton Family Foundation-funded center in the School of Education announced via the St. Louis Business Journal.

• 12.13: Meeting with VP Ken Olliff and Provost Mike Lewis, 10:30 - 11:45, DBG-450. Agenda; minutes

• 12.11: Resolution passed in the Faculty Senate recommending that that the president consult the full Faculty Senate and affected faculty assembly bodies before making any decision to establish a new center or institute until policy and guidelines are developed. Response from President Pestello (02.01).

• 12.11: Meeting, 1:30 - 3:00. MDD 2101C. Agenda; minutes

• 12.07: email invitation to VP and General Counsel William Kauffman and Senior Associate General Counsel Danielle Uy; 12.14 follow-up

• 11.28: Meeting, 10:30 - 12:00. MDD 1001 - Agenda; minutes

• 11.05: email invitations to VP of Development Sheila Manion and VP for Research Ken Olliff; 11.07 follow-up; 11.27 follow-up

• 11.01: FS President and Chair of the AJCU Faculty Senate Presidents’ Council Doug Rush contacts Jesuit University Faculty Senate Presidents requesting policies and other information related to donor influence.

• 10.31: Meeting - Agenda; minutes

• 10.19: email - scheduling, web page, shared folder

Committee working documents (internal to committee members until finalized)

• Draft report; draft presentation

• Best practices; principles and ethics; faculty manual; Gift acceptance policy

• COI policies research (from Tony)

  • Summary of research: shows consensus among multiple stakeholder groups recommending a process that is more transparent and inclusive of faculty input

  • ICOI policies at US Research Universities [New - 02.13]

• Original outline

• Questions for VP Olliff and Provost Lewis

Documents and links

• SLU Faculty Manual

• SLU Staff Recruitment Policy

• SLU Gift Acceptance Policy

• SLU Policy on the Distinction between Gifts and Sponsored Programs

• SLU Policy on Externally Sponsored Programs

• SLU Research Policies

• SLU Guidelines for the Selection and Review of Endowed Chairs and Named Professorships

• SLU COI policies. Institutional; research

  • Need to find Board COI policy

  • https://sites.google.com/a/slu.edu/coi

• Higher Learning Commission Criteria for Accreditation (CRRT.B.10.010) [see Criterion 2. Integrity: Ethical and Responsible Conduct]

• Association of Governing Boards (AGB) - Statement on External Influences

• CASE

  • Donor Bill of Rights

  • Perspectives on Ethical Decision-Making in Fund Raising

    • Ethical Principles Behind Acceptance of Gifts (Europe)

  • Maintains a library of gift acceptance policies by institution type (login needed through institutional membership)

  • Links courtesy of VP Sheila Manion:

    • https://www.case.org/Samples_Research_and_Tools/Ethics_Resources_and_Issues/CASE_Statement_of_Ethics.html

    • https://www.case.org/Samples_Research_and_Tools/Ethics_Resources_and_Issues/CASE_Statement_on_the_Management_of_Conflicts_of_Interest.html

    • https://www.case.org/Samples_Research_and_Tools/Principles_of_Practice/Donor_Bill_of_Rights.html

    • https://www.case.org/Samples_Research_and_Tools/Principles_of_Practice/Principles_of_Practice_for_Fundraising_Professionals_at_Educational_Institutions.html

    • https://afpglobal.org/sites/default/files/attachments/2018-10/CodeofEthics.pdf

    • https://afpglobal.org/sites/default/files/attachments/2018-10/ValuesAFPCodeEthics.pdf

• AASP Best Practice in Gift Acceptance

• ADRP

• AAUP

  • Principles to Guide Academy-Industry Engagement; Principles and Standards

  • Restrictive grants

• Donor Control Over Charitable Gifts - The Catholic Foundation's The Good Advisor, volume XXI, issue III

• Guidelines for Reporting and Counting Charitable Gifts

• Gift Policy (CASE has a library of policies)

  • Columbia University Gift Policy Manual

  • GMU Gift Acceptance Policy

  • Loyola University Maryland Gift Acceptance Policy

  • Grinnell College

• Model Policies to Protect Against Donor Interference

• Declaration of research independence - WFU Eudaimonia Institute

• Academic patronage and research independence - from Heterodox Academy

• UFF-FSU statement on donor agreements

• GMU Report of the Review of Gift Agreements - October 2018 [Includes recommendations regarding gift acceptance policies, procedures and protocols]; FS motion to pause funding of gifts with temporary support of permanent positions.

• Wake Forest Report of the ad hoc senate committee on the Eudaimonia Institute; Committee of Academic Freedom and Responsibility Report

• UIUC senate resolution (2007); AAUP policy committee action

• FSU faculty senate ad hoc committee report

• WCU ad hoc committee report

• Syracuse Senate Committee on Research report

• University of Utah statement of faculty concern

  • Wayne State

    • • https://www.insidehighered.com/news/2016/08/31/wayne-state-donor-agreement-goes-under-microscope

      • https://www.insidephilanthropy.com/higher-education/2016/9/6/under-the-influence-agreement-provisions-and-donor-power-on.html

• University of Oregon and "University of Nike" book

  • https://www.insidehighered.com/news/2018/11/02/new-book-renews-debate-about-donor-influence

• Coca-Cola and academic health research

• Yale - distinguishing between gifts and sponsored awards.

• Harvard - gifts versus sponsored research policy.

• AJCU May 2018 Connections magazine: Building a Culture of Philanthropy

• Chronicle: How Academic Corruption Works

• Times Higher Education: University Donations: No Strings Attached?

• Plutocratic Philanthropy, Journal of Politics

  • Dave Rapach's Academic Capture web page

• Establishing Centers or Institutes

  • Marquette

  • WCU

  • UConn

  • some information on centers at SLU

• IRS rules and regulations on donor influence

  • http://www.nonprofitlawblog.com/public_charitie/

  • IRS control test for type III supporting organizations (see part 3)

  • Treas. Reg. 1.509(a)-4(j)

    • "An organization will be considered controlled, for purposes of section 509(a)(3)(C), if the disqualified persons, by aggregating their votes or positions of authority, may require such organization to perform any act which significantly affects its operation or may prevent such organization from performing such act. This includes, but is not limited to, the right of any substantial contributor or his spouse to designate annually the recipients, from among the publicly supported organizations of the income attributable to his contribution to the supporting organization."