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AAD 540D, Unit 16: Ethics and Course Review

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UK Arts Administration

on 20 December 2014

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Transcript of AAD 540D, Unit 16: Ethics and Course Review

Unit 16:
Ethics and Course Review
1. Fundraising Ethics
2. Common Ethical Violations
3. Incentives vs. Commisions
Professional Obligations
Solicitation and Use of Philanthropic Funds
Presentation of Information
Compensation
http://www.nytimes.com/2006/03/24/national/nationalspecial/24cross.html?pagewanted=all&_r=0
WATCH: Excerpt from an AFP presentation on the Code of Ethics, 2010
VISIT: New York Times
Members shall not engage in activities that harm the members’ organization, clients, or profession.
Members shall not engage in activities that conflict with their fiduciary, ethical, and legal obligations to their organizations and their clients.
Members shall effectively disclose all potential and actual conflicts of interest; such disclosure does not preclude or imply ethical impropriety.
Members shall not exploit any relationship with a donor, prospect, volunteer, or employee for the benefit of the member or the member’s organization.
Members shall comply with all applicable local, state, provincial, and federal civil and criminal laws.
Members recognize their individual boundaries of competence and are forthcoming and truthful about their professional experience and qualifications.
Members shall not engage in activities that harm the members’ organization, clients, or profession.
Members shall not engage in activities that conflict with their fiduciary, ethical, and legal obligations to their organizations and their clients.
Members shall effectively disclose all potential and actual conflicts of interest; such disclosure does not preclude or imply ethical impropriety.
Members shall not exploit any relationship with a donor, prospect, volunteer, or employee for the benefit of the member or the member’s organization.
Members shall comply with all applicable local, state, provincial, and federal civil and criminal laws.
Members recognize their individual boundaries of competence and are forthcoming and truthful about their professional experience and qualifications.
Members shall not engage in activities that harm the members’ organization, clients, or profession.
Members shall not engage in activities that conflict with their fiduciary, ethical, and legal obligations to their organizations and their clients.
Members shall effectively disclose all potential and actual conflicts of interest; such disclosure does not preclude or imply ethical impropriety.
Members shall not exploit any relationship with a donor, prospect, volunteer, or employee for the benefit of the member or the member’s organization.
Members shall comply with all applicable local, state, provincial, and federal civil and criminal laws.
Members recognize their individual boundaries of competence and are forthcoming and truthful about their professional experience and qualifications.
Members shall take care to ensure that all solicitation materials are accurate and correctly reflect their organization's mission and use of solicited funds.
Members shall take care to ensure that donors receive informed, accurate and ethical advice about the value and tax implications of potential contributions.
Members shall take care to ensure that contributions are used in accordance with donors' intentions.
Members shall take care to ensure proper stewardship of philanthropic contributions, including timely reports on the use and management of such funds.
Members shall obtain explicit consent by the donor before altering the conditions of contributions.
Members shall take care to ensure that all solicitation materials are accurate and correctly reflect their organization's mission and use of solicited funds.
Members shall take care to ensure that donors receive informed, accurate and ethical advice about the value and tax implications of potential contributions.
Members shall take care to ensure that contributions are used in accordance with donors' intentions.
Members shall take care to ensure proper stewardship of philanthropic contributions, including timely reports on the use and management of such funds.
Members shall obtain explicit consent by the donor before altering the conditions of contributions.
Members shall not disclose privileged or confidential information to unauthorized parties.
Members shall adhere to the principle that all donor and prospect information created by, or on behalf of, an organization is the property of that organization and shall not be
transferred or utilized except on behalf of that organization.
Members shall give donors the opportunity to have their names removed from lists that are sold to, rented to, or exchanged with other organizations.
Members shall, when stating fundraising results, use accurate and consistent accounting methods that conform to the appropriate guidelines adopted by the American Institute of Certified Public Accountants (AICPA) for the type of organization involved.
Members shall not disclose privileged or confidential information to unauthorized parties.
Members shall adhere to the principle that all donor and prospect information created by, or on behalf of, an organization is the property of that organization and shall not be
transferred or utilized except on behalf of that organization.
Members shall give donors the opportunity to have their names removed from lists that are sold to, rented to, or exchanged with other organizations.
Members shall, when stating fundraising results, use accurate and consistent accounting methods that conform to the appropriate guidelines adopted by the American Institute of Certified Public Accountants (AICPA) for the type of organization involved.
Members shall not disclose privileged or confidential information to unauthorized parties.
Members shall adhere to the principle that all donor and prospect information created by, or on behalf of, an organization is the property of that organization and shall not be
transferred or utilized except on behalf of that organization.
Members shall give donors the opportunity to have their names removed from lists that are sold to, rented to, or exchanged with other organizations.
Members shall, when stating fundraising results, use accurate and consistent accounting methods that conform to the appropriate guidelines adopted by the American Institute of Certified Public Accountants (AICPA) for the type of organization involved.
Members shall not accept compensation that is based on a percentage of contributions; nor shall they accept finder’s fees.
Members may accept performance-based compensation, such as bonuses, provided such bonuses are in accord with prevailing practices within the members' own organizations, and are not based on a percentage of contributions raised.
Members shall not pay finder’s fees, or commissions or percentage compensation based on contributions, and shall take care to discourage their organizations from making such payments.
Members shall not accept compensation that is based on a percentage of contributions; nor shall they accept finder’s fees.
Members may accept performance-based compensation, such as bonuses, provided such bonuses are in accord with prevailing practices within the members' own organizations, and are not based on a percentage of contributions raised.
Members shall not pay finder’s fees, or commissions or percentage compensation based on contributions, and shall take care to discourage their organizations from making such payments.
Members shall not accept compensation that is based on a percentage of contributions; nor shall they accept finder’s fees.
Members may accept performance-based compensation, such as bonuses, provided such bonuses are in accord with prevailing practices within the members' own organizations, and are not based on a percentage of contributions raised.
Members shall not pay finder’s fees, or commissions or percentage compensation based on contributions, and shall take care to discourage their organizations from making such payments.
Backdating donations (dating a donation December 31 for tax purposes, when in fact it was given months later)
Accepting commissions on donations and grants
Accepting personal gifts from donors and foundations
Designating gifts for reasons other than what the donor intended
Persuading donors to make gifts they can’t afford (the high pressure sales meeting)
Selling donor lists
Altering conditions of pledges and donations
Entering a contract to receive a percentage of funds raised
Backdating donations (dating a donation December 31 for tax purposes, when in fact it was given months later)
Accepting commissions on donations and grants
Accepting personal gifts from donors and foundations
Designating gifts for reasons other than what the donor intended
Persuading donors to make gifts they can’t afford (the high pressure sales meeting)
Selling donor lists
Altering conditions of pledges and donations
Entering a contract to receive a percentage of funds raised
Backdating donations (dating a donation December 31 for tax purposes, when in fact it was given months later)
Accepting commissions on donations and grants
Accepting personal gifts from donors and foundations
Designating gifts for reasons other than what the donor intended
Persuading donors to make gifts they can’t afford (the high pressure sales meeting)
Selling donor lists
Altering conditions of pledges and donations
Entering a contract to receive a percentage of funds raised
Clear conflict of interest for board members
‘Buying a seat’ on the board (donating a large gift in exchange for a board seat)
Full and fair disclosure
Donor privacy issues
Donations in exchange for services i.e. construction bids, marketing firms, auditors
Accepting or offering Finder’s Fees (donor, financial advisor, lawyer, etc.)
Clear conflict of interest for board members
‘Buying a seat’ on the board (donating a large gift in exchange for a board seat)
Full and fair disclosure
Donor privacy issues
Donations in exchange for services i.e. construction bids, marketing firms, auditors
Accepting or offering Finder’s Fees (donor, financial advisor, lawyer, etc.)
Clear conflict of interest for board members
‘Buying a seat’ on the board (donating a large gift in exchange for a board seat)
Full and fair disclosure
Donor privacy issues
Donations in exchange for services i.e. construction bids, marketing firms, auditors
Accepting or offering Finder’s Fees (donor, financial advisor, lawyer, etc.)
Managers stole donations and government grants, totaling over $1 million
Companies donated goods in exchange for bid selection
Excessive executive bonuses
Bookkeeping not in accordance with GAAP
Forged signatures for aid meant for disaster victims
Managers stole donations and government grants, totaling over $1 million
Companies donated goods in exchange for bid selection
Excessive executive bonuses
Bookkeeping not in accordance with GAAP
Forged signatures for aid meant for disaster victims
A policy that rewards performance-based compensation
Policy is approved by governing board
Fundraising goals and incentives are stated in advance of the fundraising campaign/project
Shall not be a percentage of contributions
A policy that rewards performance-based compensation
Policy is approved by governing board
Fundraising goals and incentives are stated in advance of the fundraising campaign/project
Shall not be a percentage of contributions
Percentage of salary (not contributions) if fundraising goals are exceeded
Improvements in divisions of fundraising, including, annual fund, special events, major gifts, grants and planned giving
Incentive compensation based on non-financial indicators:
Number of new donors acquired
Numbers of gifts upgraded
Number of “asks” made
Percentage of salary (not contributions) if fundraising goals are exceeded
Improvements in divisions of fundraising, including, annual fund, special events, major gifts, grants and planned giving
Incentive compensation based on non-financial indicators:
Number of new donors acquired
Numbers of gifts upgraded
Number of “asks” made
Percentage of salary (not contributions) if fundraising goals are exceeded
Improvements in divisions of fundraising, including, annual fund, special events, major gifts, grants and planned giving
Incentive compensation based on non-financial indicators:
Number of new donors acquired
Numbers of gifts upgraded
Number of “asks” made
Full transcript