This policy establishes authority to approve the solicitation of gifts and private grants.
Bequest: transfer, by means of a will, of personal property (e.g., cash, securities, or other tangible property).
Demographic Information: name, date of birth, gender, ethnicity, insurance status, address and other contact information; exclusive of information about illness or treatment.
Gift: a voluntary, irrevocable transfer of something of value (e.g., cash, real estate, stocks, bonds, gifts-in-kind, mineral rights, inventions, patents) without consideration at the time of transfer or any time in the future.
HIPAA: Health Insurance Portability and Accountability Act of 1996
Pledge: a signed and dated legal commitment to donate a gift over a specified period of time; the total value of such a commitment.
Private grant: an award to UCSF in response to a proposal submitted to a private foundation, association, corporation or corporate foundation, or private trust that specifies reports on expenditures, guidelines for audits, consideration for the grantor, testing or evaluating, and/or satisfying specific conditions or requirements for a specified period of performance.
Protected Health Information (PHI): an individual’s health information, or data collected from an individual, that is created or received by a health care provider, plan, or clearinghouse related to the past, present or future physical or mental health or condition of an individual, the provision of health care to the individual, or the past, present or future payment for the provision of health care to the individual; identifies or could reasonably identify the individual; and is transmitted or maintained in electronic or any other form or medium.
This policy pertains to solicitations in which funding is sought for campus programs through gifts to The Regents or to the UCSF Foundation.
A. Approval by the Deans' Offices
Approval by the dean of the school in which funding is sought is required for all gift solicitations and projects of any kind valued in excess of $50,000, whether from individuals, private foundations, professional associations, societies, and other non-governmental agencies, and whether the gifts will be accepted by The Regents or the UCSF Foundation. Approval should be sought utilizing the Private Funding Source Form. This approval does not apply to governmental contract or grant proposals, nor to private health agencies (e.g., the American Cancer Society).
B. Approval by The Regents
Approval by The Regents is required to solicit any gift or private grant (including pledges, but excluding bequests) that involves:
- exceptions to approved University programs and policies;
- commitments for more than seven years (including, for example, commitments for expenditures or to run academic programs);
- obligations on the part of the University to expenditures or costs for which there are no established fund sources;
- construction of facilities not previously approved;
- an amount or value in excess of $5,000,000;
- an interest in real property valued in excess of $50,000, when such gifts are to be designated to The Regents.
C. Compliance with HIPAA
UCSF's fundraising practices must comply with federal HIPAA legislation and the related UCOP policies.
1. Workforce Training: UCSF faculty, staff and volunteers involved in fundraising will receive training regarding HIPAA requirements and compliance.
2. Use and Disclosures of Patient Information for Fundraising That Do Not Require Authorization: UCSF may use and disclose a patient’s demographic information and health care dates of service for the purpose of raising funds for UCSF without prior written authorization from the patient or the patient’s legally authorized representative.
All other uses and disclosures of patient information for fundraising require written authorization from the patient or the patient’s legally authorized representative.
3. Securing a Fundraising Authorization: For all UCSF patients, only the health care provider may initiate a request for authorization for fundraising using protected health information (PHI). Once the provider has obtained permission from the patient to use PHI, either a member of the patient’s health care provider team or a UCSF staff member may complete the process and obtain written authorization from the patient.
A UCSF staff member may obtain a fundraising authorization without prior conversation between a non-UCSF patient and his/her non-UCSF health care provider.
4. Office of Record for Fundraising Authorizations: University Development and Alumni Relations is the office of record for fundraising authorizations. Fundraising authorizations received by other Campus departments shall be forwarded immediately to University Development and Alumni Relations for processing. Campus departments should not maintain stand-alone databases of fundraising authorizations.
5. Providing an Opt Out Mechanism: All fundraising communications sent to UCSF patients must include information describing how the recipient may opt out of future solicitations.
The following language should be included in all printed fundraising materials:
If you do not want to receive further fundraising communications from (insert name of department or program), please contact: Records Manager, (insert name of department or program), UCSF Box 0248, San Francisco, CA 94143-0248.
Fundraising opt out requests should be made in writing. However, the Campus shall honor opt outs made verbally, via e-mail or through any other form of communication.
6. Office of Record for Opt Outs: University Development and Alumni Relations is the office of record for fundraising opt outs. Fundraising opt outs received by other Campus departments shall be forwarded immediately to University Development and Alumni Relations for processing. Campus departments should not maintain stand-alone databases of fundraising opt outs.
7. List and Prospect Clearance: University Development and Alumni Relations shall approve all fundraising lists that include patient data before fundraising communications in any form are sent.
University Development and Alumni Relations shall approve the targeted solicitation of individual patients before fundraising communications in any form are sent.
The deans of the schools have authority, with ultimate concurrence from the Chancellor, to approve a faculty member's or administrator's approach to potential donors. All such efforts must be coordinated through University Development and Alumni Relations.