Arch Foundation for the University of Georgia

POLICIES & PROCEDURES

Policies and Procedures

VI. ACCESS TO DONOR AND ALUMNI INFORMATION
(ASCEND)

POLICY: VI.
Effective Date: 07/01/05
Last Modified: 07/01/05

INTRODUCTION

The Alumni/Development database (ASCEND) which is maintained by the University of Georgia External Affairs Division/ Arch Foundation is a powerful records system designed to support the development, public relations, stewardship, academic, and school/college programs, etc., of the University of Georgia. The Division of External Affairs is charged with keeping as up-to-date biographical and donor information as possible on the university's alumni and friends, such as addresses, degrees, campus memberships, family relationships, contributions, pledges, planned gifts, due/membership records, demographic data, etc. While most users are currently within the Division of External Affairs, we encourage and are open to serving other organizations and units across the University of Georgia campus with their alumni records needs.

To protect the confidentiality and privacy of our constituency, access to the ASCEND database is granted on a need-to-know basis. Restricting access to information to employees who truly need it to perform their jobs lessens the possibility of misuse of the data. The following access policies will apply to all forms of information held by the division including electronic and hard copy formats. Printouts of information will be treated in the same manner as electronic files, downloads, or photocopies of alumni files.

Because the University of Georgia is a public institution, records held by this division can be considered part of the public domain and are subject to the Open Records Act. While the Buckley Amendment deals with the confidentiality of student records and allows access to directory information only in its attempt to insure the student's rights to privacy, it does not specifically address what happens to this information after the student graduates. In keeping with the spirit of the Buckley Amendment, however, many alumni records offices throughout the country grant directory information upon request. Directory information includes name, address, degree and year received, and major. Many schools will limit this access only to graduates of the institution. It follows then, that directory information should be the maximum amount of data made available by this division to entities outside of the University of Georgia to insure our constituents' rights to privacy. TOP

ACCESS TO THE ALUMNI/DEVELOPMENT DATABASE -ASCEND

The Alumni/Development Database is maintained by the Information Technology staff of the University of Georgia External Affairs Division and Arch. This division is responsible for access to the system, training, security levels, and the types of information that are available to each of its users. In an effort to help eliminate the need for departmental databases and duplicated efforts spent maintaining the same types of information, entities campus-wide are encouraged to use the ASCEND database for their source of information and alumni records needs. TOP

ACCESS:

INDIVIDUAL user ID #s and passwords are mandatory.

To access the Alumni/Development Database, an individual must have a user ID and password issued by the Information Technology office. Prior to receiving a user ID and password (and once a year thereafter), the employee will be required to fill out and sign a confidentiality statement (see Exhibit VI.A) indicating that he or she recognizes and understands the confidential nature of the data and agrees to use the data only for legitimate University related purposes. Misuse of the data may result in disciplinary action that may include termination of employment. User ID#s and passwords are not to be used by any person other than the individual originally granted access, which applies to student workers as well. Student workers performing tasks for their employer shall be assigned a separate ID# and password with security based on the tasks they are to perform. It is important that employers, department managers, etc. remember to notify the Information Technology Office of any personnel terminations so that access to the system can be revoked immediately. In the case of student workers, supervisors will receive an email from the IT office concerning the continued employment of their student workers at the end of each semester. Passwords for students leaving for the summer will be de-activated and re-activated upon their return in the fall of each year. TOP

TRAINING:

The Information Technology staff will train all users in the basics of how to sign-on to the system, navigate the attention key menus, and retrieve biographical information. They will also provide the training for SelectPlus, Capital Campaign screens, and Vanguard Imaging systems. Training for prospect management will be provided by the Advancement Services staff, and training for the gift and pledge information will be provided by the Gift Accounting Office staff. In addition, a Help Desk hotline will be staffed in the Information Technology office to provide telephone assistance to all users during normal business hours. Specialized training sessions will be available on request to enhance user capabilities on the system. TOP

SECURITY LEVELS:

Security levels and the types of information provided will be granted in accordance with the following guidelines and broad groups:

Office of the President

Viewing capabilities for the following: Name Scan screens; Master Entity screens together with reminder activity and historical ID# information; Address screens; Alumni Membership screens; Degree screens; Drop Code screens; Gift, Gift Batch and Match Gift Company screens; Appeal Tracking screens; Capital Campaign screens; Contact System screen; Faculty/Staff screen; Filter screen; General Ledger/Account screens; Ledger Batch screens; Pledge screens; Presidents Club screens; Planned Gift screens; Premium/Special Activity screens; Setup screens; Volunteer screens; Prospect management, major gift tracking, and demographic ratings. TOP

Vice Presidents

SCHOOLS AND COLLEGES:

Deans

Offices of Development Campus-Wide

College Based Alumni Relations Staff

Same as the Development Officer but can only view donor/pledge information whose funds directly benefit their school/college unit. TOP

College Based Annual Fund Staff

Same access as a Development Officer, but can only view donor/pledge information whose funds directly benefit their school/college unit. TOP

Campus Entities

Administrative departments on campus will have access to Name scan, Master Entity, and Address screens- view only. TOP

External, Non-University Affiliated Entities

On-line access to the Alumni/Development database will not be granted to any non-university affiliated entity.

Directory information may be provided over the phone by the Records Department staff. This includes name, address, degree, major, and year of graduation. Email addresses, phone numbers and restricted addresses will not be confirmed or provided.

Miscellaneous requests for biographical or genealogical information that require verification research should be made in writing to the Records Manager. They must state the type of information needed and the purpose for which the information will be used. These requests will be processed only as time permits and may involve a service fee.

Gift and pledge information will not be released to a non-university affiliated entity. Exceptions may be granted by the Associate Vice President for Development based on legitimate institutional interests and would require a signed confidentiality statement. TOP

EXCEPTIONS

Exceptions to the above security levels and types of information will be made if the Dean or Department Head provides sufficient documentation or "proof of need" in writing to the Information Technology Manager. This information will be shared with the division responsible for the data and the Associate Vice President for Development, and, if all are in agreement, access will be granted. If it is determined that the information requested is too confidential or the opportunity for error is too great (particularly if update capability is requested), access will be denied. TOP

REQUESTS FOR DATA

All requests for data retrieval should be made in writing to the Information Technology Help Desk or via email to The request should specify the set of names needed, the type of media/output, and the purpose for which it is intended. A return address or phone number should be included in the correspondence in case there are any questions. No report or retrieval will contain social security numbers unless it is for internal use or has been approved by the Information Technology Manager. If labels or specialized programming are required, a nominal fee will be charged. The requestor will not be required to sign a confidentiality statement, but there will be a clear understanding/documentation that the information will not be duplicated, sold, or used for any purpose other than that for which it has been stated. TOP

Requests from non-University entities

It should be noted that data will not be provided in any format to non-university entities for non-university related projects. However, if an outside vendor is working in conjunction with an entity on campus, it is that entity's responsibility to make sure that the vendor understands the confidential nature of the data. Any working agreements or contracts between the two parties should clearly state that the information being provided will not be duplicated, sold, or used for any purpose other than that for which it was intended. Therefore, any misuse of information, once it has left this division, becomes the responsibility of the campus entity. TOP

Requests from alumni and about alumni

Any alumnus who requests to see his or her alumnus file will be allowed to view the file upon request with proof of identification. Access pertains only to the individual whose name is listed on the file. Contents of alumni files will not be photocopied, faxed, or transmitted to any individual or entity without prior consent of the Director of Advancement Services. Alumni files are not to leave the building in which they are permanently housed.

Research reports compiled for prospect cultivation will be kept confidential by the prospect manager. Information may be shared with the appropriate Dean at the discretion of the prospect manager.

Research reports are not to be shared with volunteers. All confidential reports should be shredded or returned to the Research Department for disposal when they are no longer needed. If it is necessary to keep these reports in working files, those files must be secured in locked cabinets or in a locked office at all times.TOP

Requests for gift and pledge information

Giving histories and pledge information should be treated in the same manner as research reports. They are not to be shared with volunteers or University employees whose primary function is not fund raising. Remember, reports that contain information over and above directory information should never be shared with anyone outside of the University even if it is someone who is helping with an event or a family member wanting a list of donors who made a gift in memory of their loved one. Names and addresses can and should be provided along with the total amount raised; however, gift amounts from individuals should never be included.

Printed giving histories should be kept in locked files, or returned to the Gift Accounting office for shredding.TOP

Proper disposal of confidential documents

Any correspondence which contains a donor's name, social security number, and/or gift/pledge amounts should be disposed of in such a manner so that the name is disassociated with the SS# or amounts. Lists of donors with donations to specific funds must also be disassociated. Research reports, contact reports, and strategy notes must be shredded. TOP

This page was last updated on Thursday, February 8, 2007 06:24 PM EST