From the Cornell Assemblies

SAFC: 20120120 Guidelines Draft

These funding guidelines articulate the extent, limitations, and processes by which student organizations may obtain and use commission funds. All student organizations which have business with the commission are expected to understand and follow these guidelines. Should a conflict arise between these guidelines and the bylaws of the commission [1], the bylaws shall supersede these guidelines.

Adopted by the Student Assembly on Thursday, 24 April 2008. Amended: Thursday, 23 April 2009; Thursday, 3 December 2009; Thursday, 11 February 2010; Thursday, 22 April 2010; Thursday, 29 April 2010; Friday, 3 December 2010; Tuesday, 26 April 2011.

1 Definitions

1.1 Name

The name of this committee is the Student Assembly Finance Commission of Cornell University, a chartered committee of the Cornell University Student Assembly.

1.2 Terms

Allocation
A conditional allotment of funds by the commission in response to a request for funding. In releasing an allocation, the commission does not guarantee payment of any particular or reimbursement expense; rather, it promises to set aside funds which may be used towards certain expenses, subject to all applicable university and statutory regulations.
Applicant
The organization or organizations who are parties to the application.
Application
An application consisting of several requests for funding submitted to the SAFC by one or more applicants.
Business day
A business day shall be any day the Office of the Dean of Students is open for regular business and regular undergraduate classes are in session.
Commissioner
A member of the SAFC.
Fiscal year
A university fiscal year which extends from July 1 to June 30 in the following calendar year.
New organization
An organization that either did not receive or did not spend any funds allocated by the SAFC during the previous fiscal year.
Registered student organization
An organization which has a current and complete registration on file with the SAO.
Returning organization
An organization that received and spent funds allocated by the SAFC during the previous fiscal year.
SA
The Student Assembly [2] (the assembly) is the undergraduate student government of the university under which the commission is chartered.
SAFC
Student Assembly Finance Commission (the commission)
SAO
The Student Activities Office [3] is an administrative unit of the university which grants registrations to student organizations, allowing them certain privileges on campus, including the right to apply for funds from the SAFC. The office also provides extensive information and advisory resources to officers of registered student organizations.

1.3 Version of Record

The version of the bylaws posted online [4] is the version of record, and it shall supersede any other existing versions. The Office of the Assemblies shall maintain and modify this version according to the procedures for amendment. Commissioners and other parties may not alter the effect or applicability of the bylaws or guidelines by misstatement or misinterpretation.

2 Applicants

This section establishes rules and procedures governing the interactions of applicant organizations and the commission.

2.1 Eligibility

2.1.1 Basic Requirements

To be eligible to request new funds or to spend allocated funds an applicant must:

  1. register with the Student Activities Office [5] (SAO);
  2. have undergraduate members who comprise at least sixty percent of its total membership, excluding alumni members; and,
  3. be in good standing with the commission.

Officers of the applicant must also meet the following requirements:

  1. president(s) and treasurer(s) must agree to abide by standards for ethical conduct; and,
  2. president(s), treasurer(s), and advisor must affirm their approval for each request either by digital or by written signature as the commission provides.

The organization must meet all eligibility requirements as well as submit both requests and supporting materials before the deadlines set by the commission in order for the commission to accept and review such requests and materials. The commission may not accept submissions from organizations that have not met the eligibility requirements.

2.2 Ethical Conduct

Officers of applicants must agree to the Statement on Ethical Conduct prepared by the Office of the Assemblies by digital or written signature as the office provides.

2.3 Suspension and Revocation of Funds

2.3.1 Purpose

To prevent misuse of commission funds, the Executive Committee of the commission may act to temporarily suspend or permanently revoke allocated funds. The committee may revoke funds of an organization if it finds that the organization:

  1. does not meet one or more eligibility requirements; or,
  2. acted in violation of the Statement on Ethical Conduct.
2.3.2 Suspension of Funding

Either the Office of the Dean of Students or the Chair(s) of the commission may temporarily suspend an organization’s funds at any time. Any action to temporarily suspend funding of an applicant organization shall last no more than ten business days. Such a decision takes effect only after the following are informed:

  1. the Office of the Dean of Students;
  2. the Chair(s); and,
  3. the president, treasurer, and advisor of the affected organization.
2.3.3 Revocation of Funding

To revoke funding of an organization, the commission must follow this procedure:

  1. the Chair(s) of the commission must contact the officers and advisor of the organization, explaining the commission’s intent and reasoning for proposing revocation of funding; and,
  2. the Chair(s) of the commission, or a designee, must arrange for a meeting between the Executive Committee and the organization so the organization may:
    1. hear the commission’s intent and reasoning,
    2. examine any evidence associated with the proposed revocation of funding,
    3. present its case and additional evidence to the commission, and
    4. negotiate a mutually acceptable remedy; and,
  3. the Executive Committee, after deliberating in closed session, may vote to revoke funding.

The decision to revoke funding is subject to appeal. Any funds that are revoked remain unavailable to the organization until the appeal process is resolved.

2.3.4 Limitations

The Executive Committee may not revoke funding for more than one academic year and may reverse a decision to revoke funds at any time.

3 Request for Funds

3.1 Regular Budget Request

3.1.1 Purpose

Organizations may obtain funds individually by submitting a regular budget request. The application is prerequisite to all other requests for funding the organization may submit.

3.1.2 Basis on Which to Make Requests

Organizations may submit up to two regular budget requests per fiscal year. The commission provides at least one opportunity for such requests each semester.

3.1.3 Permitted Expenses

Organizations may request funds for the following kinds of expense in a regular application:

3.1.4 When Application is Due

The commission sets deadlines for online and hard copy submission in its calendar.

3.1.5 When Funds Become Available

The commission sets a date in its calendar when funding decisions are released and funds become available. Once released, funds may be used towards expenses that occur between the first and last days of classes in either semester of the academic year in which the funds are released. Funds remain available until revoked or reverted.

3.1.6 Maximum Allocation
3.1.6.1 Maximum Funding Determined by Tier Assignment

The commission assigns each organization to a maximum allocation tier, which determines the maximum amount of funding the organization can receive in response to its regular budget request.

3.1.6.2 Annual Adjustment of Tiers

The commission will annually evaluate the number of tiers and total number of organizations to assign to each tier before assigning organizations to such tiers. The commission may increase or reduce the maximum allocation for the lowest tier throughout the fiscal year depending on the amount of funds available and the number of new organizations that request funding. The commission may also reduce the amount allocated for the current fiscal year to organizations in other tiers if those organizations do not submit a regular budget request at the first opportunity the commission provides.

3.1.6.3 Initial Tier Assignment

The commission assigns every new organization to the lowest tier in the first year that it submits a regular budget request. The commission may assign a returning organization to the same tier as it assigned the previous year, the next highest tier, or the next lowest tier.

3.1.6.4 Requirements to Stay in Tier

The commission completes an annual evaluation of each organization to determine whether the organization may remain in the current tier or should be assigned to the next lowest tier in the next academic year. In order to remain in its current tier, the organization must:

  1. spend a proportion of its allocated funds relative to the total amount allocated that meets or exceeds the efficiency spending percentage set by the commission for the year (the spending requirement); and,
  2. remain in good standing with the commission.

If circumstances beyond the organization’s control prevent it from carrying out budgeted activities or cause the planned activities to cost significantly less than the amounts budgeted, the organization may request a waiver from the spending requirement. The organization must retain documentation of such circumstances at the time it encounters them and submit the documentation to the commission using the performance reporting facilities provided by the commission. If the organization fulfills the spending requirement by spending allocated funds on other eligible expenses not originally included in its budget, it does not need to submit a waiver.

If an organization does not submit a regular budget request in one academic year, the commission will assign it to the next lowest tier in the following academic year. If the organization does not submit a regular budget request for two consecutive academic years, the commission will treat it as a new organization and assign it to the lowest tier in the next academic year that it requests funding.

3.1.6.5 Advancement To Higher Tier

As part of the annual evaluation, the commission also provides an opportunity for organizations to request advancement to a higher tier for the next fiscal year. In order to advance to the next highest tier, an organization must:

  1. fulfill all requirements to remain in its current tier; and,
  2. spend a proportion of its allocated funds relative to the maximum annual allocation allowed for the tier that meets or exceeds the tier spending percentage set by the commission.
3.1.6.6 Fast Track Advancement

If the organization has advanced to a higher tier in both of the previous two consecutive academic years and meets criteria for advancement into the next highest tier in the current year, it may, at the discretion of the commission, advance more than one tier in the following year.

3.1.6.7 Additional Requirements for Performance Based Tiers

The commission may designate certain tiers, particularly tiers with relatively high maximum allocations, as performance based tiers. To remain in a performance based tier, organizations must:

  1. fulfill all of the basic requirements to remain in the current tier; and,
  2. submit timely performance information about its activities as they are carried on throughout the academic year.

To advance to a performance based tier, organizations must:

  1. fulfill the requirements to remain in the performance based tier; and,
  2. submit a tier advancement request using facilities provided by the commission.

The commission will consider information submitted in the annual performance report in determining whether an organization may advance into a higher tier if the higher tier is a performance based tier.

3.2 Special Project Request

3.2.1 Purpose

To allow organizations to request funds in certain new or special circumstances, the commission permits submission of special project requests.

3.2.2 Eligible Expenses

An applicant may request additional funding for any expenses in its budget or for entirely new expenses under the following conditions:

  1. applicant has received an allocation for the current year in response to its regular budget request;
  2. special project funding application is submitted before a deadline in the calendar such that the commission will render a decision before any additional requested funding must be used;
  3. additional funds are needed because:
    1. the applicant has new circumstances which:
      1. support a higher allocation than the original circumstances of the application, and
      2. could not have been reasonably anticipated or mitigated by the organization before it submitted its original request.

The applicant may request expenses solely in the following categories:

  1. local event,
  2. travel event, and
  3. publication.
3.2.3 Application Requirements

Organizations submit special project funding applications using a special project application form available online from the commission website. Forms must be signed by the registered president, treasurer, and advisor of the organization and must include:

  1. identification of the expenses for which additional funding is needed and how much more is needed for each; and,
  2. if the request arises from new circumstances, documentation of new circumstances necessitating the increased allocation, including a showing that the applicant could not have reasonably foreseen such circumstances at the last regular deadline.
3.2.4 Procedure for Review and Allocation

The commission:

4 Allocation

The commission allocates funds according to these guidelines and its bylaws. Allocations do not guarantee that specific reimbursements or payments will be issued. For this reason, organizations are advised to consult with the commission before entering into any commitment with financial consequences.

5 Budget Hearings

An applicant may only request a hearing regarding a request which:

The commission:

  1. provides no more than four and no less than two commissioners for the hearing;
  2. does not allow amendment of the originally submitted request;
  3. accepts additional documentation and statements provided by the applicant which clarify or support the requests included in the original submission; and,
  4. keeps minutes which document the names of participants in the hearing, the questions asked of the applicant, and the responses received.

The applicant:

  1. provides no less than one and no more than three representatives of whom all must be either undergraduate student members or registered advisors; and,
  2. limits responses to the questions posed by the commissioners.

The applicant may cancel a hearing until one business day before it is scheduled without penalty. If no representative arrives within ten minutes of the scheduled start of the hearing, the commission notes the absence or lateness and reduces the allocation to ninety percent of what it would otherwise be.

6 Appeals

6.1 Purpose

The external appeal process assures actions of the Commission are fair and reasonable. An organization may utilize this process to dispute any decision affecting its allocation of funds where it can demonstrate that the Commission:

  1. incorrectly interpreted or applied its guidelines or relevant policies; or,
  2. wrongly excluded or construed relevant information or supporting documentation in the organization’s application.

An organization may not appeal if it had, but did not utilize, an opportunity for a hearing with the Commission. The burden shall rest on the appealing organization to demonstrate that the Commission erred. The Student Assembly (the Assembly) determines the outcome of the appeal.

6.2 Format of Appeal

Appeals are submitted to the Student Assembly Vice President for Finance (the Vice President) via email to sa-vpfinance@assembly.cornell.edu [sa-vpfinance@assembly.cornell.edu]. Appeals must include:

  1. name of the organization;
  2. written rationale identifying the actions the organization wishes to dispute, citing the specific policies the organization alleges the Commission to have incorrectly applied, and what the organization believes to be the correct interpretation; and,
  3. signature of the president, treasurer, and advisor of the organization.

The organization may not include supporting documentation in the appeal except for those documents the organization alleges the Commission to have incorrectly excluded from consideration in its original decision. The organization must identify the specific policies it alleges the Commission has violated in excluding such documents.

6.3 Receipt of Appeal and Initial Action

  1. The organization must submit completed appeals before the deadline provided by the Commission or, if the Commission does not specify an explicit deadline, within five business days after the Commission releases the decision the organization wishes to dispute.
  2. The Vice President, after determining the appeal submission is timely and complete, transmits it to the Commission’s Executive Board.
  3. If the Executive Board agrees with the appeal request in its substance, the Chair of the Commission may notify the Vice President, who may grant the request without conducting a hearing.
  4. The Vice President, unless so notified regarding the appeal, contacts the members of the organization within five business days of receiving the review request to schedule a hearing with the Appropriations Committee.
  5. The hearing occurs within ten business days of receiving the appeal.

6.4 Appeal Hearing

In presentation and discussion, the Appropriations Committee reviews only the actions disputed in the appeal, and neither the affected organization nor the Commission may present new information or documentation that was unavailable when the Commission made its initial decision.

The affected organization and the Chair(s) of the Commission each:

  1. present their rationales; and,
  2. answer questions concerning its presentation.

6.5 Decision

The committee:

  1. deliberates in closed session and, for each disputed action, determines whether Commission erred in its original decision; and,
  2. for each determination that the Commission erred in its original decision, adopts a rationale explaining its determination.

In determining whether guidelines were correctly interpreted the Committee will consider whether the Commission’s application of guidelines was reasonable. In determining whether the Commission erred in its determination of facts, the Committee will decide based on a preponderance of evidence provided in the hearing.

For each appeal reviewed, the Vice President for Finance:

  1. compiles a preliminary report of all determinations and rationales approved by the Appropriations Committee;
  2. presents the preliminary report for the Assembly to adopt at the earliest practical date; and,
  3. transmits the adopted report to the Chair(s) of the Commission, the Office of the Assemblies, and the presidents, treasurers, and advisors of the affected organizations.

For each determination that the Commission erred, the Commission or its Executive Committee must within ten business days:

  1. reconsider the disputed action, adopting actions that are consistent with the rationale of the Assembly;
  2. report its revised decision to the Vice President, the Office of the Assemblies, and the affected organizations.

6.6 Further Appeals

Organizations may appeal a revised decision of the Commission in the same manner as the original decision, but only on the basis of new determinations that were made since the original appeal was filed. Organizations may additionally dispute outcomes of appeals through the university Ombudsman.

7 Spending Funds

This section establishes the procedures for applicants to spend allocated funds.

7.1 Reimbursement

7.1.1 Purpose

Both because of university policy and personal preference, some expenses are paid out of pocket by members or agents of the organizations. For these expenses, organizations may authorize reimbursement of the individual who has paid out of pocket.

7.1.2 Advantages

Reimbursement provides a mean to recover eligible expenses through the commission. It is the only way to obtain payment for expenses incurred without prior approval by the commission.

7.1.3 Limitations

The organization and its members risk the possibility of expenses not being approved because of insufficient remaining funds.

These risks are mitigated when direct payment is sought in advance of the expense, and the office therefore strongly encourages organizations to use direct payment methods whenever possible.

7.1.4 Procedure

Applicant must complete a Reimbursement Authorization Form provided online by the Office of the Dean of Students, including the following:

The office will not authorize payment for:

For payments less than $50, the office provides cash reimbursement. For larger expenses the office will issue a check. The office provides notice to the applicant of any discrepancies between the request received and payment issued.

7.2 Direct Payment

7.2.1 Purpose

Organizations may request that the university pay expenses directly, either because university policy or personal preference. The Office of the Dean of Students recommends that organizations utilize direct payment procedures whenever possible, because such expenses avoid personal financial risk.

7.2.2 Advantages

Use of a direct payment method is recommended when expense items exceed $500. Direct payments are not subject to state sales tax if the organization has registered with a university status.

7.2.3 Risks

All direct payments must be approved before the expense is paid to a vendor. Therefore, the organization must plan ahead to allow adequate time for processing of forms before payment is due.

8 Reversion of Funds

If an organization has unspent funds remaining in its account at the first business day after the last day of classes in the academic year for which those funds were allocated, those funds will automatically revert to the commission.

9 Categories of Supported Expenses

This section describes the kinds of expenses which the commission may fund.

The following general principles apply to all expenses funded by the commission:

  1. The commission funds only for expenses that relate to the purpose of the organization as specified in its registration with the Student Activities Office.
  2. In requests for funding, organizations must always break down the amounts requested in each expense category and specify the permitted expense in the category to which the amounts relate.
  3. Depending on the type of request and the category, additional documentation or conditions may apply to funding requests.

9.1 Administrative Expenses

9.1.1 General Purpose

Administrative expenses support the basic operation and administration of the organization.

9.1.2 Maximum Funding

Administrative expenses may not exceed $400 per academic year.

9.1.3 Permitted Expenses

The following expenses are allowed under this category:

  1. copying and printing services;
  2. chalk;
  3. advertising;
  4. repairs and maintenance of equipment;
  5. Willard Straight Hall mailbox rental fee.
9.1.4 Prohibited Expenses

The following expenses are prohibited:

9.2 Local Event

9.2.1 Purpose

This category includes expenses associated with putting on an event, program or practice.

9.2.2 Eligible Events

To be eligible for funding the event must:

9.2.3 Permitted Expenses

The following expenses are permitted under this category if they relate to an eligible event, are not among the prohibited expenses for the category, and are for:

  1. guest performers, including:
    1. honorarium or engagement fee,
    2. transport,
    3. lodging, and
    4. meals;
  2. venue rental;
  3. event production services;
  4. supplies and materials essential to event production;
  5. media rental and licensing fees; and,
  6. publicity, including:
    1. copies,
    2. chalk, and
    3. advertising.
9.2.4 Prohibited Expenses

The following expenses are prohibited:

9.2.5 Application Requirements

Applicant must submit at completed Letter of Intent Form for each guest performer for which it requests funds in this category.

9.3 Travel Event

9.3.1 Purpose

The commission funds expenses related to student participation in conferences and tournaments away from the university.

9.3.2 Eligible Events

To be eligible for funding the event must:

9.3.3 Permitted Expenses

The following expenses are permitted under this category if they relate to an eligible event, are not among the prohibited expenses for the category, and are:

  1. student travel expenses, including:
    1. transport, and
    2. lodging.
  2. entry fees; and,
  3. supplies and materials essential to participation in the event.
9.3.4 Prohibited Expenses

The commission does not fund:

9.3.5 Application Requirements

For each event that the applicant requests funds under this category, the applicant must submit documentation which:

  1. originates from the event organizer in the form of a letter, fax, or website printout; and,
  2. specifies:
    1. organizer of the event, including a phone, email, or web contact,
    2. date of the event,
    3. location of the event,
    4. description or subject of the event.

9.4 Durable Good

9.4.1 Purpose

The commission funds purchases of items with a useful life of more than a year that are necessary for an organization’s purpose.

9.4.2 Eligibility

To receive funding for expenses in this category, the organization must submit current information about each of the durable goods it has purchased in the last five years with commission funds using the performance reporting facilities provided by the commission. Such information is considered current if it was submitted in the current academic year.

9.4.3 Permitted Expenses

Expenses permitted under this category include:

  1. purchase or repair of a durable good which:
    1. has a typical and expected useful life of at least one year;
    2. will be held on campus for active use by the organization for its entire expected useful life;
    3. is necessary to carry out activities related to the organization’s purpose; and,
    4. is intended for use in activities that would be eligible local events, travel events, or publications.
9.4.4 Prohibited Expenses

Expenses are prohibited under this category for any item which:

9.5 Publication

9.5.1 Purpose

The commission funds production of publications for general distribution to the campus community.

9.5.2 Maximum Allocation

The commission allocates a maximum of $5,000 per academic year for production of a publication.

9.5.3 Eligible Publications

For expenses to be eligible under this category, they must support production of a publication that:

  1. circulates in the same academic year funds are issued;
  2. is available to the entire Cornell community and distributed at locations on campus frequented by this community, including campus dining facilities, student centers, libraries;
  3. issue at least 100 copies; and,
  4. include the e-mail, phone, or mailing address for the president, treasurer, and advisor of the organization in each issue.
9.5.4 Permitted Expenses

Expenses are permitted under this category solely for production of eligible publications.

9.5.4 Application Requirements

For each publication, the applicant must provide either:

  1. a copy of a recent issue of the publication; or,
  2. in the case of a new publication, a written outline detailing the format, content, and intended audience of the publication.

10 Performance Reporting

All organizations are strongly encouraged to report annually on the achievements they made with support from commission funds. Organizations seeking to remain in or advance to performance based tiers are required to submit an annual performance report.

To facilitate such reporting, the commission provides means for organizations to submit information about their activities throughout the academic year. Organizations’ reports on their activities and performance will be considered timely if they are submitted within a month after the activity is carried out. The commission then compiles this information into an annual performance report that becomes part of the organization’s record with the commission.

The annual performance report:

Copyright © 2005–2019, Cornell University.

Links

  1. assembly.cornell.edu/SAFCBylaws/Home
  2. assembly.cornell.edu/SA/Home
  3. sao.cornell.edu
  4. assembly.cornell.edu/SAFCBylaws/Home
  5. sao.cornell.edu
  6. www.activities.cornell.edu/AboutUUP/default.htm

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