Overview
Establishes authority to solicit funds through gifts, private grants and events.
Purpose
This policy establishes authority to solicit funds through gifts, private grants and events.
Definitions
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A voluntary, irrevocable transfer of something of value (e.g., cash, real estate, marketable securities, gifts-in-kind, mineral rights, inventions, patents) without receiving something of value in return at the time of transfer or any time in the future. Includes outright gifts, pledges, trusts, and bequests, but excludes grants from private sources.
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An expressed intention or legal commitment to donate assets of a specific value over a mutually agreed upon period of time.
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An award to UCSF in response to a proposal submitted to a private or corporate foundation, association, corporation, 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.
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Any individually identifiable health information transmitted by electronic media, maintained in electronic media, or transmitted or maintained in any other form or medium. Records covered by the Family Educational Rights and Privacy Act of 1974 (FERPA) are excluded from the definition of PHI.
Policy
Under Standing Order of the Regents 100.4 and Presidential Delegation of Authority - To Solicit and Accept Gifts (DA2631), prior approval is required for all solicitations in which funding is sought for campus programs through gifts and pledges to The Regents, the UCSF Foundation, and the Children’s Hospital Oakland Foundation. Authority to approve solicitations is re-delegated to select individuals within University Development and Alumni Relations (UDAR).
In addition to prior approval, all fundraising solicitations involving patients must comply with the requirements of federal and state laws, including Health Insurance Portability and Accountability Act of 1996 (HIPAA) and Confidentiality of Medical Information Act of 2012 (CMIA).
- Solicitation Approval
- Implicit approval is granted for all solicitations conducted in coordination with UDAR not requiring other approvals as noted below. Solicitations not conducted in coordination with UDAR are not allowed.
- Approval by the President or the Regents is required for solicitations meeting any of the following conditions:
- Amount of proposed gift exceeds $10,000,000
- Exceptions to approved University programs and policies
- Commitments for more than seven years
- Obligations on the part of the University to expenditures or costs for which there is no established funding source
- Construction of facilities not previously approved
- Includes an interest in real property
- Approval by the Chancellor is required for solicitations exceeding $5,000,000
- Approval by the appropriate Dean or Vice Chancellor is required for solicitations of $250,000 or more meeting any of the following conditions:
- Requires the recruitment of new faculty/staff or creation of an endowed faculty position
- Requires additional space to complete the proposed work
- Requires new or changed curriculum, programs, or capital projects
- Requires matching funds
- Includes the purchase, installation, or provision of service contracts for equipment valued at $100,000 or more
- Includes naming rights for facilities or programs
- Compliance with Health Insurance Portability and Accountability Act of 1996 (HIPAA) and Confidentiality of Medical Information Act of 2012 (CMIA)
- UCSF may use only a limited data set of demographic and encounter information for fundraising activity and communications without prior written authorization from the patient or the patients legally authorized representative.
- Use of diagnosis or treatment information for fundraising purposes without prior authorization is strictly prohibited.
- Willful violations of the limitations on the use of patient information can result in significant fines or imprisonment under HIPAA or CMIA, and restrictions on future fundraising from patients.
- UCSF faculty, staff, and volunteers engaged in fundraising will receive periodic training concerning compliance requirements and the appropriate use of protected health information (PHI).
- UDAR is the office of record for fundraising authorizations and opt-outs. Other units receiving authorizations are to forward them to UDAR for processing.
- Opt-outs can be requested by completing the form at https://giving.ucsf.edu/optout, calling (888) 804-4722, or mailing to UDAR at UCSF Box 0248, San Francisco, CA 94143
- Opt-ins to use expanded PHI from UCSF encounters may only be initiated by health care providers.
- All fundraising communications must include information describing how the recipient may opt out of future solicitations. Contact the UDAR Office of Annual Giving for the current required text.
- All fundraising mailing lists must be screened by UDAR against HIPAA opt-outs and other mailing controls.
- External vendors providing service for fundraising communications with patient data must have a current business associates agreement (BAA) on file.
Responsibilities
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 UDAR.
References
- Standing Order of the Regents 100.4, UC Office of the President
- Delegation of Authority to Solicit and Accept Gifts (DA 2631), UC Office of the President
- Development Reference Guide, UC Office of the President
- UCOP HIPAA Systemwide Standards and Implementation Policies (System Standards)
- UCSF Privacy Office (HIPAA, CMIA)