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UNITED WAY

of ROANOKE VALLEY Partnership Policies & Procedures


Introduction and Overview

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father” and earliest crusader for The Community Fund in Roanoke.

The reader will find information about various levels of partnership, expectations of funded programs, the Community Investment (CI) Process, outcome measurement, as well as information about the annual community campaign.

Just as the Valley’s economic, social and philanthropic landscape has evolved, so has the work of United Way. Along with our partners and volunteers, we continuously assess the needs of the community and respond with both long-term and shortterm plans focused on getting sustainable results. The UWRV coverage area includes the cities of Roanoke and Salem, the counties of Roanoke, Botetourt and Craig and the town of Vinton.

his document describes United Way of Roanoke Valley’s (UWRV) relationship with other organizations as we advance the common good. We do this through strategic investments and partnerships to further community priorities in education, income and health.

We hope you will find the document useful and practical and you will not hesitate to contact UWRV staff for more information.

History

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WRV has provided a strong foundation for people to improve their lives for the past 88 years. The organization was established in the summer of 1924 as The Community Fund. During the first three months, members of the Board enlisted support from all the major civic clubs, church groups, and business and industry leaders. W.C. Stephenson was the “founding

The Board is composed of community leaders serving as volunteers who are responsible for setting the vision and strategic direction of the organization, ensuring necessary resources, and engaging in issues in ways that will position UWRV to be a strong advocate in education, income and health. Standing committees of the Board include the Executive Committee, Board Development Committee, Community Impact Council, Campaign Cabinet, Audit Committee, Finance Committee, Marketing Committee and Policy Committee.

Photo Credits * This document was approved by the United Way of Roanoke Valley Board of Directors in May of 2012 and supersedes other past agreements and/or policies.

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Boyd Photography Roanoke Regional Partnership Botetourt Chamber of Commerce Edward Hamilton Wade in the Water Photography


mission, vision and values MISSION:

United Way of Roanoke Valley improves lives by mobilizing the caring power of people in our community.

VISION:

United Way of Roanoke Valley envisions a community where all individuals and families achieve their human potential through: • Education • Income stability • Healthy lives

Achievement of this vision requires that all partners assume responsibility for creating community change, for achieving organizational goals and for earning public trust through ethical conduct. To fulfill this special obligation, the following core values provide the foundation on which we base our actions and decisions.

CORE VALUES: Leadership: We present a strong, united voice that inspires people to build a better, more self-sufficient community. Diversity: We value each person’s unique gifts that strengthen our community through individual life experiences, skills and resources. Accountability: We are effective, responsible, equitable and ethical. Innovation: We promote a creative learning environment that motivates people to become catalysts for change.

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o accomplish our mission, UWRV leverages resources to increase the capacity of our communities to improve lives. We energize people to make a difference and bring all segments of the community together to promote individual well-being and advance the common good.

UWRV listens to donors, volunteers, nonprofit organizations, human service recipients and other stakeholders in order to be community-focused. We develop community agendas to achieve measurable, recognizable results and build coalitions around these agendas.

Overview

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nited Ways have undergone an evolutionary process from being known as successful fundraisers and fund distributors to a higher calling that now includes not only fundraising but focusing on issues, strategies and actions needed to improve lives and create lasting change in our communities. Since January 2010, UWRV has been engaged in a strategic planning process designed to make our United Way the most relevant and effective force possible. Through careful research and analysis of community indicators and trends in donor giving, we have identified several underlying challenges, which prompted a new direction for the organization. In spring 2011, with the help of more than 80 business and community leaders, who participated in many hours of research review and in-depth discussion, UWRV formed an action plan supporting this new direction. In January 2012, UWRV unveiled its Community Action Plan to Advance the Common Good, which was the culmination

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of the comprehensive planning and engagement process that took place over 24 months. UWRV remains committed to its mission of improving lives by mobilizing the caring power of people in our community. We will continue to make wise investments of resources, address the most important issues facing our community and provide accountability for gifts made by our donors. We are building on our existing strengths and implementing new strategies to achieve measurable progress over time in education, income and health. We are sharpening our focus as an organization by: • Engaging more people to expand our resource development efforts • Strategically investing in human service programs that support our efforts in the areas of education, income and health • Aligning our efforts and resources with community partners UWRV is changing conditions in the community in two ways: First, we work to create lasting changes in community conditions by focusing on underlying causes of problems.

Underlying these collaborations are a spirit of candor and mutual responsibility, appreciation for the experiences and expertise that our nonprofit partners bring to community renewal, and respect for the personal dignity and worth of every person.

By conducting research and broad-based needs assessments to better understand the nature and scope of community problems, we lay the foundation for getting results no one can accomplish alone. Using data to inform their decisions, UWRV volunteers from all walks of life – in collaboration with UWRV’s professional staff – focus their work on selected issues where we believe together we can make a difference over a defined period of time. Through this, businesses, government, neighborhoods, faith groups, nonprofits, caring individuals and UWRV can focus on some of the most important issues facing the Roanoke Valley. Second, we work to help individuals in need through organizations that provide core health and human services. UWRV makes strategic investments in many vital services through our Impact Partners. These investments are designed to provide critical, broad-ranging funding for a service infrastructure that UWRV has been committed to for many years.


Community Partnerships IN KEEPING WITH ITS MISSION TO IMPROVE LIVES BY FORMING INNOVATIVE AND EFFECTIVE PARTNERSHIPS, UWRV IDENTIFIES AND SOLICITS THE PARTICIPATION OF THE BEST POTENTIAL PARTNERS TO ENSURE POSITIVE COMMUNITY CHANGE IS ACHIEVED. PARTNERSHIPS WILL BE BASED ON RELATIONSHIPS THAT ACHIEVE A COMMON GOAL THROUGH COLLECTIVE EFFORTS. DEFINITION: A “Community Partner” is any organization or group that works with UWRV in a coordinated effort to achieve a shared community goal. Community Partners will play specific roles, which may include: • Impact Partners (formerly known as partner agencies) are organizations that utilize a focused approach to bring about community change related to the priority issues identified by UWRV. These organizations offer essential services that reinforce the health and human service system in the Roanoke Valley, and receive funding through UWRV’s Community Investment (CI) Process. • Coalition Partners help UWRV mobilize and work collaboratively with others to define priority issues, establish desired outcomes, determine strategies, advocate and take action. Coalition partners may also be Impact Partners. UWRV may assist with fundraising efforts on behalf of coalitions; and may host coalitions or choose to join coalitions organized by others. • Corporate/Sponsorship Partners are people or organizations that invest in and help UWRV leverage resources, build relationships and increase its visibility in the community.

Impact Partnership Responsibilities

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WRV and its Impact Partners share the responsibility for improving the quality of life in the Roanoke Valley, and providing efficient and effective services addressing important community needs. While there are mutual obligations, UWRV and its partners have specific expectations of each other that contribute to the success of the relationship. Impact Partners agree to:

• Maintain responsible management to administer their programs and/or services

• Cooperate with UWRV in the development of policies and practices regarding voluntary service and fundraising

• Use outcome measurements in order to implement effective and efficient programs with measurable results

• Conform with federal, Commonwealth of Virginia, and local laws pertaining to not-for-profit corporations

• Keep proper and accurate financial records (An Impact Partner must have a set of financial statements prepared and audited annually in accordance with generally accepted accounting principles.)

• Work in partnership with UWRV in meeting the needs of the community, ensuring active agency participation in surveys, events, agency meetings, committees and task forces.

• Provide equal opportunities to all individuals in accordance with federal and state laws and regulations • Promote efficient administration of its human service programs • Prevent duplication of efforts with other human service organizations

• Provide program, financial information and other documentation requested in the CI Process or out-of-cycle requests • Use UWRV funding in accordance with the purposes for which it was allocated, unless otherwise agreed upon by the UWRV Board

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Impact Partners agree to (Continued): • Report major program/budget changes to UWRV that may affect how allocated dollars are spent. (UWRV must receive at least a 30-day notice prior to any of these changes taking place.) • Immediately notify UWRV of any situation, occurrence or change in agency service delivery, which might have a detrimental effect on the agency or UWRV • Participate actively in the UWRV annual community campaign by conducting an annual community campaign among its employees and Board • Conduct supplemental fundraising activities with a spirit of cooperation between the agency and UWRV, with the agency providing advance notice of those activities as appropriate (Refer to Section V. Other Policies and Procedures) • Comply with all UWRV partner policies and procedures and agree to review this with all new employees and appropriate volunteers of the agency annually

Impact Partners can expect UWRV to:

• Recognize the responsibility and accountability of an agency’s governing board to determine its own policies and manage its own programs • Define and assess priority issues in the community and keep an open dialogue with regard to the future direction of UWRV • Promote the value and contributions of Impact Partners to achieve UWRV’s priorities in the community • Convene and/or participate in collaborative efforts organized and led by others whose efforts coincide with the mission and the priority issues and strategies selected by UWRV • Conduct an annual community campaign to emphasize the United Way Impact Fund • Maintain responsible stewardship in the collection, management and distribution of campaign funds, and provide appropriate recognition of donors

• Consider requests for program funding within the CI Process • Consider requests for emergency funding of unanticipated needs through contingency grants, loans, or other special financial arrangements in accordance with written procedures established by the UWRV Board • Carefully manage information provided by the agency (Due to the public nature of these organizations (501(c)(3) status), information may be made available to the public upon request.) • Offer support beyond funding such as: Providing technical assistance with outcome measurement, assistance in grant development during collaborative applications and guidance in other issues, where appropriate • Offer support for community issues that impact UWRV’s priorities in the Roanoke Valley

New Impact Partners

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o become an Impact Partner, an entity must apply for program funding and must have received a minimum of two years of funding through the CI Process. Candidates must agree to the expectations and responsibilities for Impact Partners.

UWRV staff will inform the Community Impact (CI) Council of appropriate organizations meeting these criteria. The CI Council may then decide whether to recommend these organizations to the UWRV Board as potential candidates for approval as Impact Partners.

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Responsibilities of Community Partners Impact Partners

Coalition Partners

Corporate/ Sponsorship Partners

• Support UWRV mission and vision • Advocate for their relationship with UWRV • Assist in the UWRV annual community campaign • Comply with campaign promotional policies • Comply with supplemental fundraising (self-support) policies • Comply with other UWRV policies and procedures outlined in the document

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• Conduct an annual UWRV campaign • Use UWRV logo on website and agency-printed materials • Be willing to participate in UWRV speakers bureau • Maintain a responsible governing board • Keep accurate and complete financial and program records, and submit them in a timely manner

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• Develop outcome plans and provide measurable results • Share responsibility for fund development (e.g. grants, bequests, corporate sponsorships, etc.) * UWRV encourages corporate/sponsorship partners to use the UWRV logo and run an annual campaign. **Coalition partners and their respective fiscal agents should have a governance structure for accountability. This table is for quick reference and not meant to be the actual policies.


Eligible Agencies

Definition

An “Eligible Agency” is an organization that has met basic UWRV standards (described below) to receive donor designations through the annual community campaign. Eligible Agencies are responsible for meeting UWRV eligibility criteria, following application procedures, and complying with campaign promotional policies. Eligible agencies are not reviewed by nor receive funding through the CI Process.

Applying for Eligible Agency Status Eligibility Criteria n organization seeking Eligible Agency status to receive designations from the UWRV annual community campaign must complete an application and provide evidence that it meets all applicable criteria set forth below.

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• The services provided by the applicant organization must substantially 1 consist of human services, which are defined as care, research or education in the fields of human health or social adjustment and rehabilitation; relief for victims of natural disaster or other emergencies; or assistance to those who are in need of food, shelter, clothing or other basic human services • The applicant organization must provide documentation of the specific human services, as defined above, that it has provided to residents of the counties of Botetourt, Craig, or Roanoke, the cities of Roanoke or Salem or the town of Vinton, and or contiguous communities. • The applicant organization must identify a local presence by having

a publicly identified business office located in the Commonwealth of Virginia with professional or volunteer staff regularly available for contact during normal working hours and a telephone number publicly advertised throughout the year and available to residents of the counties of Botetourt, Craig, or Roanoke, the cities of Roanoke or Salem or the town of Vinton, and/or contiguous communities.

except for personal legal advocacy services for individuals who are elderly or poor

• The applicant organization must provide equal opportunities to all individuals in accordance with federal and state laws and regulations.

• Activities that relate solely to natural resources or wildlife management or policy

For purposes of eligibility status, the primary focus of the applicant organization must not be any of the following (This list is not exhaustive of the types of activities that are not eligible.): • The support of institutions of postsecondary education

• Lobbying for the passage or defeat of legislation (political advocacy) • Sectarian activities, including activities aimed to promote the adoption of one or more religious or philosophical viewpoints

• Activities that relate solely to environmental management or policy If the applicant organization’s participation in any of the activities listed above is incidental to its activities in providing human services, and is not the primary mission of the organization, the organization may still be considered for eligible agency status in the UWRV annual community campaign.

• Litigation activities on behalf of parties other than the applicant organization itself (legal advocacy),

1 For purposes of evaluating eligible agency applications, “substantial” is defined as: • More than a minimal component of the applicant organization’s overall operation; or • Associated with the applicant organization’s ongoing program or history of providing the human service component; or • Having other indicators of substantiality.

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Application Process he following information is required for all organizations applying for eligible agency status:

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• A completed Eligible Agency application form • The organization’s IRS letter designating it as a nonprofit, 501(c)(3) charitable organization

• An extract from the applicant organization’s articles of incorporation or bylaws that describe the organization’s services as substantially consisting of human services and any additional materials that reflect the organization’s provision of services substantially consisting of human services • A current list of the applicant organization’s board and officers with names and addresses

• The organization’s registration letter exempting them from registration with the Virginia Department of Agriculture and Consumer Services, Division of Consumer Affairs, Charitable Solicitation Section, where applicable

• A description of services provided by the applicant organization with the number of persons in the Roanoke Valley served by each program

• The organization’s most recent (within the last 18 months) IRS annual filing (Form 990 or Form 990-EZ)

• Certification that the applicant organization: (1) is in compliance with the USA Patriot Act and other counterterrorism laws; and (2) will use all UWRV funds and donations in compliance with

all applicable anti-terrorism financing and asset laws, statutes and executive orders Eligible Agencies are required to re-apply at the end of every three years. UWRV reserves the right to conduct an eligibility review more frequently in cases involving unethical conduct, inappropriate administrative costs or activities or other reasons deemed sufficient by UWRV. Eligible Agencies due for reapplication who fail to submit their applications by the deadline will risk losing their eligible agency status at the discretion of UWRV. Eligibility will be determined by the UWRV Board upon the recommendation of the Policy Committee.

Terminating Relationships

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WRV reserves the right at any time to reduce or terminate a relationship previously established hereunder, if any of the following conditions occur:

• Changes in community needs or services and consideration of other factors relevant in the CI Process • Failure on the part of the entity to adhere to the standards or policies set forth herein • Failure on the part of the entity to deliver the agreed-upon services/program(s) • Significant changes in conditions that result in the inability of the entity to operate the program • Unethical or illegal conduct • Inappropriate overhead costs • Failure to abide by UWRV Promotional Policies for Designations • In the event of matters related to the availability of funds, UWRV reserves the rights to adjust funding For Eligible Agencies, continued eligibility to receive designations is contingent upon compliance with UWRV policies. Entities may terminate their relationships with UWRV at any time by written resignation. The UWRV President may offer to meet with representatives of the entities to discuss the resignation decision.

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IV. Investment Criteria & Procedures E

very year, individuals and companies throughout the Valley can support programs and community efforts aligned with achieving results in education, income and health by giving to the United Way Impact Fund. The United Way Impact Fund is an investment in the community to ensure that more people have the help they need to achieve long-term success. Most people seeking assistance during tough times need help from multiple programs and agencies. Those giving to the United Way Impact Fund have the assurance that their gifts cover a broad spectrum of needs in the community rather than just supporting one particular program or agency. The results from these investments are closely monitored by trained volunteers. Gifts to the United Way Impact Fund are pooled and are invested in the community through a volunteer-driven CI Process. Dollars available for investment are based on the results of UWRV annual community campaign less donor designations and an amount estimated for uncollected pledges.

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UWRV and its volunteers use this pool of undesignated funds to create impact in the community in two ways.

Program Funding

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unding to support a network of programs that are operated by UWRV’s Impact Partners. Community volunteers review program applications and make funding recommendations.

Community Initiatives

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oordinated efforts involving multiple organizations working to achieve important, issue-focused community outcomes.

Programs and initiatives in which UWRV wants to make a continuing investment are required to complete an online funding application. Funding applications due to UWRV must be submitted in accordance with guidelines outlined in the application.


Outcome Measurements

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WRV is accountable to its donors to ensure contributions are used wisely, deliver results and produce maximum impact. For UWRV, this accountability means placing focus on both program and community outcomes.

These two measurement systems assist UWRV in measuring the impact that funded programs make on specific populations and in measuring the impact of UWRV efforts in improving community conditions. Impact Partners receiving funding from UWRV are required to submit outcome data, and specify data collection and measurement methods. Outcome measurement is a major factor in UWRV’s investment decisions. UWRV will not expect outcome measurement to include experimental research designs or inappropriately expensive methods of evaluation.

Outcome Definitions and Categories Outcomes

Changes sought in knowledge, attitudes, motivation, skills, behavior, condition, status, or other characteristics of a specific individual or group of individuals

Program Outcomes

Changes that program activities create in program participants

Community Outcomes

Changes in a defined community population brought about by changing conditions in the community

Community Impact

Changes that improve lives across our diverse communities through the prioritization of needs in education, income and health

Community Change

Change in policy, practice, resource allocation or other characteristic of a community system or institution, association, organization, network, neighborhood environment, or other community element

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The Community Investment (CI) Process

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WRV’s CI Process is driven by the Community Impact (CI) Council and supported by a large number of community volunteers who review program applications and collectively make critical decisions. These volunteers recommend how to invest Impact Fund dollars in programs and initiatives to best achieve impact in education, income and health. Volunteers are trained to use a data-driven review process emphasizing alignment with UWRV’s priorities, collaboration and strong outcome measurement. Funding is awarded to programs and initiatives that make a measurable impact on important community issues. The CI Council conducts the first round of screening for programs seeking funding through a Letter of Intent (LOI) process, which contains a program description, amount of funding requested and an explanation of how the program helps to achieve UWRV goals. Programs are reviewed and scored for alignment with UWRV’s priorities. Programs determined as aligning then submit the rest of the requirements for the administrative and program review application.

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Program Review Panels, which consist of a group of at least six volunteers each, review program applications organized under UWRV priorities. Each panel reviews its set of programs, assigns scores and makes funding recommendations based on the following criteria: Program need, collaborations, outcome measurements and program budget/financials. The CI Council then meets to reconcile any differences between panel funding recommendations and the total amount of funds available for investment. Once funding recommendations have been finalized, they are forwarded to the UWRV Board for final approval for funding to begin July 1 and conclude June 30 of the following year. Funds available for investment come from donations to the United Way Impact Fund raised during the annual community campaign.

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Investment Process & Policies

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n 2012, UWRV and the City of Roanoke began utilizing a joint online application. Concerted efforts have been made to align questions and requirements between both organizations in order to streamline the process for programs seeking funding. All questions must be answered completely, or marked not applicable. Incomplete information and incorrect figures will negatively affect funding decisions. Additional information may be requested by UWRV at any stage in the proposal process. A. Administrative Review In 2012, UWRV and the City of Roanoke Human Service Committee combined their administrative applications, resulting in agencies only having to submit this section once when seeking funding from both organizations. The Administrative Application and required documentation need to be submitted online by the application deadline. The following is required information for programs seeking UWRV funding only; additional documentation will need to be submitted by those seeking funding from the City of Roanoke: • Completed administrative application information packet • Most recently completed audit (within the last 18 months) • Current year operating budget • Most recently completed Form 990 or Form 990-EZ (within the last 18 months) The Administrative Review Panel, comprised of UWRV volunteers with accounting backgrounds, will review the administrative section of the application and accompanying materials to determine whether the agency that houses the program(s) for which funding is requested is in good financial and administrative standing. A simple “pass/fail” determination is made based on compliance with the following standards: • The agency demonstrates adequate board participation (defined by regular quorums) and oversight of its operations, including review of financial statements on a quarterly or more frequent basis. • The most recent audit for the agency and other financial documents reveal sound financial management of the agency and no outstanding concerns that might compromise the agency’s ability to responsibly administer the program(s) for which UWRV funding is sought. • The agency’s operating reserves do not exceed a level equivalent to full operating costs for six (6) months unless there is an acceptable reason given the nature and function of the organization. • Personnel management practices reveal use of written job descriptions, regular performance reviews and reasonable annual salary increases unless an acceptable reason is provided. • The agency’s administrative and fundraising costs do not exceed 25% of total agency expenses unless there is an acceptable reason given the nature and function of the organization. If an agency is not in compliance with all five (5) of these standards and is “failed” by the Administrative Review Panel, its program application(s) will be flagged and funding will be withheld until the issue(s) in question is addressed by the agency in a manner acceptable to the Administrative Review Panel and the CI Council. For agencies seeking funding from both UWRV and the City of Roanoke, results of the UWRV administrative review will be shared with City of Roanoke reviewers as part of the joint application/review process.

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B. Program Application The Program Application and required documentation needs to be submitted on-line by the application deadline. The following information is required for programs seeking UWRV funding only; additional documentation may need to be submitted by those seeking funding from the City of Roanoke: • Completed program application packet • Sample of data source for outcome measurements (pre/post-tests, surveys, etc.) • Documentation of collaborative agreements • Submission of “UWRV Marketing Use Only” section For agencies seeking funding from both UWRV and city of Roanoke for the same program, information from the city of Roanoke application will pre-fill in sections of the UWRV program application where the questions are similar. Agencies are encouraged to review these sections and make edits as needed. In 2012, UWRV began placing a strong emphasis on alignment with the education, income and health priorities. For the 2012 CI Process, any programs scoring below 75 percent in the alignment section based on Letters of Intent (LOIs) will be reviewed and funded from a non-aligning funding pool rather than as part of the regular process. UWRV uses a Likert-scale (1-5) in scoring the items falling under each review criteria. The total number of points awarded for each criterion will be automatically converted to points based on the assigned weight of that criterion (e.g. if a program scored 5 out of 10 points for Outcome Measurement which is weighted at 30%, the program is awarded 15 points towards their total score). The final score for a program is the total based on the average of scores given by panel volunteers for each criterion. Any program scoring a 75 or less out of a possible 100 will be subject to ongoing monitoring by UWRV staff and may be subject to further ameliorative action. Agencies will receive a copy of the summary score sheets and comments for each of their programs at the end of the process. As UWRV begins to align its resources with its new impact areas and priorities, 2012-2013 will be considered a transition funding year for currently funded programs and previous multi-year investment procedures will no longer apply. Programs approved for funding this year will receive commitments as follows, in preparation for the “open” competitive processes for each area: • Programs aligning with Income - one-year funding; “open process” begins in 2013 • Programs aligning with Health – two-year funding; “open process” begins in 2014 • Programs aligning with Education – three-year funding; “open process” begins in 2015 During the funding period, programs identified by the CI Council and the UWRV Board as having performance or other serious issues will be reviewed on a case-by-case basis.  

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Funding Commitment Disclaimer

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lthough UWRV will be making multi-year funding commitments, there are no funding level guarantees. Funding levels are determined by the level of giving to the United Way Impact Fund. If funding dollars decrease in year two or three, then funding levels to the programs will be scaled proportionally. If the funding dollars increase, the CI Council will put a high priority on setting aside funding to support the “open process” occurring that year. Increases at the program level may also be considered. Increases will be subject to approval by the UWRV Board. Strong alignment with UWRV’s strategic directions and effective program implementation are imperative for any program funding increases. UWRV reserves the right at any time during the term of this agreement to reduce or withhold the program’s funding, place the entity on probationary status or terminate the funding agreement if any of the following conditions occur: • Extenuating changes in community needs, services and/or resources available • Failure on the part of the entity to adhere to the standards or policies set forth in this agreement • Failure on the part of the entity to deliver the agreed upon services/program(s) • Significant changes in conditions that result in the inability of the entity to operate the program

Consideration of New Funding Requests

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ew requests for programs to receive funding from UWRV through the CI Process will be accepted at the beginning of the appropriate “open process” beginning in 2013 (see Investment Process and Policies). Outside the CI Process, funding requests may be considered by UWRV if an Impact Partner has emergency need; or if a time-sensitive opportunity comes up that addresses a gap in service identified in the UWRV priorities. These requests must be approved by the UWRV board. Submission of a request does not guarantee funding.

These funds are not meant to supplement program funding lost from UWRV or other funding sources as a result of poor program performance. Programs requesting funds must score at least 75 in the most recent UWRV CI Process. Requests will be accepted throughout the funding year and awarded while funding is available. A letter outlining the following should be submitted to UWRV staff:

A. Emergency Funding UWRV has set aside funds to provide one-time additional program funding or to meet emergency needs of its Impact Partners. Requests to be considered in this category include:

• How the entity is addressing the revenue loss in the longterm

• Funds to meet an increase in demand for the service; or • Unanticipated or significant loss of revenue that would affect the level and/or quality of service being provided or the overall functioning of the agency. In this case, UWRV funding will serve as a stop-gap during the year and can help keep program operations going while other revenue sources are sought.

• Amount requested and purpose for which it will be used • Reason for the budget shortfall

• Latest financial statements Documents will be reviewed and processed on a case-bycase basis by a committee composed of the CI Council Chair, a member of the CI Council and a member of the Executive Committee, with the UWRV Board Chair as an additional optional reviewer. UWRV staff will help facilitate the review. Recommendations from the committee will be voted on by the UWRV Board. Additional information or a face-to-face meeting may be requested. Decisions will be relayed within 45 days of the receipt of a written request as outlined above.

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Consideration of New Funding Requests (continued) B. Out-of-Cycle Requests In addition to UWRV’s traditional program funding model, a pool of funds has been set aside to support collaborative efforts in the community that address the key strategies identified in the education, income and health priorities. This fund also allows UWRV to respond to an emerging need in the community that aligns with UWRV’s community impact direction, including capacity-building efforts to help organizations create greater community impact. • Entities seeking funding for projects may submit requests at any time during the year. Due to the competitive nature of these grants, applications must align with UWRV priorities and receive at least 75 out of 100 points to be considered for funding. • Although out-of-cycle requests will be entertained throughout the year, funding will be subject to availability. Proposals must be received 45 days prior to the following dates in the schedule of review times: - February 22 - May 22 - August 22 - November 22 • Applications for funding must demonstrate the following: 1. Two or more entities involved in planning and/or implementation 2. Leveraging of community resources from more than one source 3. Commitment to shared outcomes among collaborative partners 4. Strategies must be supported by research or have a proven track record of success 5. Indicators in place to measure effectiveness 6. Reduced duplication among those providing a similar service 7. How a gap is filled or a need is identified in the community by serving a specific target population in the community that has been identified as “at-risk” • An out-of-cycle LOI should be submitted online. Entities should contact UWRV staff to access the necessary forms. • Documents will be reviewed and processed on a case-by-case basis by a committee composed of the CI Council Chair, a member of the CI Council and a member of the Executive Committee, with the UWRV Board Chair as an additional optional reviewer. UWRV staff will help facilitate the review. This committee’s recommendations will be voted on by the UWRV Board. Additional information or a face-to-face meeting may be requested. Decisions will be relayed within 45 days of the receipt of a written request as outlined above. • Entities whose projects have been selected must agree to participate in continuing conversations with UWRV, and work collaboratively with UWRV and other service providers in the community to strengthen the community’s approach to address the target issue. • Continued funding for approved projects is not guaranteed, but further funding may be awarded through the CI Process.

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Donor Designations

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n addition to the United Way Impact Fund, Impact Partners and Eligible Agencies may receive additional funding through one or more of the following donor choice methods:

A. Designations to Impact Areas Donors have the option of designating their gifts to specific Impact Areas. Designations to Impact Areas of education, income and health are treated as “first dollars in” for that pool in the CI Process. B. Designation to UWRV Impact Partners or Eligible Agencies Donors have the option of designating their gifts to a specific UWRV Impact Partner or Eligible Agency. Donor designations will be in addition to the funding an Impact Partner receives through the CI Process. Designated gifts are considered unrestricted gifts to the agency, and as such are unrestricted as to their use by the agency. UWRV does not monitor the use of designated gifts and accepts responsibility only for the transmittal of the gift to the agency. C. Exclusion Donors have the option to “exclude” a gift from one specific UWRV Impact Partner. The excluded agency will not be eligible for any of the funds restricted against it. These funds will be distributed to the remaining Impact Partners in proportion to what each receives through the CI Process. Although the distribution is based on the CI Process, as with other designated funds, these are not monitored through the CI Process and are considered unrestricted dollars to the agency. D. Other United Ways For companies with regional or national campaigns, donors within that company may make designations to a United Way in another area and that United Way’s funded agencies. E. Other Designations Designations from the Combined Virginia Campaign and the Combined Federal Campaign will be processed in accordance with the state and federal regulations governing those campaigns.

UWRV Policies on Administering Donor Designations

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onor designations will be administered with special subject to an administrative fee. In the case of pledge loss attention to ensure accountability. Therefore, it shall be the from payroll deduction designations, appropriate adjustments UWRV’s policy to: will be made. UWRV reserves the right to reduce, increase or eliminate the administrative fee at its discretion; however, • Process only those designations and restrictions the administrative fee will not exceed UWRV’s overhead documented on the proper forms rate. UWRV reserves the right to reduce designated amounts payable in the event that an unanticipated pledge loss occurs. • Provide each impact partner, eligible agency, and other United Ways with a listing of donors who have designated their Designations to agencies will be paid on a quarterly basis gifts to them (A “pledge and donor names report” listing all with payments being made in March, June, September and donors processed to date will be provided to each designated December. An additional payment may be required in the agency with the first scheduled quarterly payout occurring spring of the following year, if late payments are received. by March 31 of each year. Only designation amounts will be Exclusions will be paid monthly to Impact Partners along listed for donors who wished to be anonymous.) with their program funding from the CI Process. Out-ofcycle requests will be paid either as a one-time check or in With the exception of designations to the United Way installments as appropriate for the size and nature of the Impact Fund and Impact Areas, all designations received funding. through the UWRV annual community campaign will be

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Other Policies and Procedures Campaign Promotional Guidelines for Impact Partners and Eligible Agencies

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ll Impact Partners and Eligible Agencies must comply with the following promotional policies:

• Impact Partners and Eligible Agencies are not permitted to use promotional activities to encourage designations to themselves. The term “promotional activities for designations” shall mean any communication written (e.g. newsletters, solicitation letters, flyers, etc.) or spoken in a public forum (e.g. meetings, agency fairs, special events, etc.) that requests or encourages designations to an agency. • UWRV Eligible Agencies may not use the UWRV logo or identification marks in any printed or other materials.

Sanctions

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iolations of promotional guidelines or supplemental fundraising policies may result in a reduction of the UWRV program funding or in non-renewal of the partnership agreement or Eligible Agency status. Violation of these policies will be reviewed by UWRV’s Policy Committee, which will recommend sanctions or penalties to UWRV’s Board.

Supplemental Fundraising by Impact Partners he following establishes the guidelines for community fundraising by agencies that have entered into partnership agreements with UWRV. The purpose of these policies is to permit the greatest amount of flexibility to partners in conducting their own fundraising, while setting aside a time to bring UWRV and its Impact Partners together to conduct an annual community-wide campaign to benefit all partners.

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• The period from Labor Day through October 31 will be designated for the UWRV annual community campaign. Since this is a time to focus combined efforts on raising funds for all partners, no fundraising activities of any kind to benefit an individual Impact Partner, except as provided in these policies, will be allowed from Labor Day through October 31 without prior approval.

Except as limited herein, Impact Partners are encouraged to develop alternative revenue sources to the fullest extent.

Requests for exceptions to this policy must be submitted in writing and will be considered on a case-by-case basis by the UWRV Policy Committee. Requests will be reviewed based on whether the activity can be conducted at another time during the year and whether the activity will impact the UWRV annual Community Campaign.

• No solicitation of employees at workplaces that conduct UWRV campaigns may be undertaken by a partner or on its behalf at any time. • No solicitation of employees in any other workplace may be initiated by an Impact Partner.

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Requests for approval of fundraising activities during the UWRV annual community campaign period must be submitted in writing to the Chair of the Policy Committee for consideration by the Policy Committee and contain the following: • Type of event • Date of the event • Compelling reasons for overriding the blackout period requirement • Amount expected to be raised • How the funds will be raised • How the event will be promoted • Names of potential sponsors, if applicable • Any additional information, as requested UWRV will respond within 45 days of receipt of the request. Approvals will be for one year only and agencies need to re-apply.

Activities of Associated/Unassociated Groups Fundraising by an Impact Partner, its auxiliary, or associated club, or by an unassociated group or company, which proposes to raise funds in the name or on behalf of the Impact Partner, is subject to all of UWRV’s restrictions on fundraising.

Guidelines to Supplemental Fundraising Activities that can be done at any time without approval

Activities that may not be done between Labor Day and October 31

Activities prohibited at any time

• Fees for service • Unsolicited memorial gifts • Bequests • Federal, state and local government grants • In-kind gifts • Requests for Proposal (RFP) submissions • Product sales • Disaster appeals of national agencies that have local affiliates

• Sustaining membership/donor solicitation campaigns sent to the home • Walk-a-thons, bike-a-thons, triathlons, etc. • Solicitation of civic clubs • Solicitation of area congregations • Corporate table or event sponsorship • Value-received activities, such as bazaars, festivals, tea parties, fashion shows, auctions, dances, concerts, testimonial dinners, raffles, and other special events • Solicitation in newsletters or enclosure of a solicitation envelope in a newsletter mailing • Requests to business entities or corporate foundations • Active electronic solicitation (sending or posting solicitations)

• Solicitation of employees at workplaces that conduct UWRV campaigns • Solicitation of employees in any other workplace, initiated by an Impact Partner

Acronyms Used: CI Council – Community Impact Council CI Process – Community Investment Process IRS – Internal Revenue Service

LOI – Letter of Intent RFP – Request for Proposals UWRV – United Way of Roanoke Valley

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Special

thanks to the

2012 UWRV Board

Directors and these dedicated volunteers for UWRV’s Partner Policies and Procedures:

of

leading the effort in reviewing and updating

2012 UWRV Policy Committee Chair: Jean A. Glontz Community Volunteer Dana C. Ackley, Ph.D. EQ Leader Rudy J. Austin Gentry Locke Rakes & Moore, LLP Rev. William L. Lee Loudon Avenue Christian Church Michael C. Maxey Roanoke College John Pendarvis Family Service of Roanoke Valley Kerri L. Thornton Carilion Clinic Thanks to the following UWRV staff for their assistance during the review process: Frank Rogan President and CEO Raquel Garza Administrative Assistant Jas Heim Vice President, Resource Development Roger Kienzle Vice President, Finance and Administration Stephanie Specht Communications Manager Amy Petersen Community Impact Manager Liz Scheidt Finance Manager Abby Verdillo Vice President, Community Impact

United Way of Roanoke Valley 325 Campbell Avenue, SW Roanoke, VA 24016 (540) 777-4200 uwrv.org

United Way of Roanoke Valley Partnership Policies & Procedures  

United Way of Roanoke valley's policies regading its partnerships.

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