Bulletin Number 5: Fund-Raising

Revised September 2003

PDF Version (pdf)

• Overview
• Indirect collection of personal information
• Published sources
• Other public sources
• Use of alumni records
• Disclosure of alumni information

Many local public bodies, including hospitals, universities, colleges and public libraries, have fund-raising programs. These programs often approach current and former clients, as well as members of the public and businesses. These organizations often compile donor profiles to help direct their fund-raising activity in the most effective way.

In 1999, the Select Special Freedom of Information and Protection of Privacy Act Review Committee considered the submissions by post-secondary institutions to allow them to continue fund-raising practices which are generally accepted in the fund-raising community and governed by a code of ethical practice. Post-secondary institutions also asked that they be allowed to continue the historical practice of using alumni data for fund-raising.

The committee recognized that indirect collection of personal information without the individual’s consent or knowledge, even for a good purpose, carries risks. It felt that the best solution was to allow the practice and set some limits in the Freedom of Information and Protection of Privacy (FOIP) Act. The committee agreed that collection from surveillance or second-hand reports of information are not appropriate at any time.

The committee recognized that post-secondary institutions have historically contacted alumni for fund-raising. While this practice may be generally accepted, there is a concern that using existing lists of alumni for this purpose may not be in compliance with the FOIP Act.

The committee, therefore, recommended that existing alumni data should continue to be used for fund-raising purposes, provided that some steps were taken to seek consent from these individuals for that purpose over a reasonable time period.

In the FOIP Amendment Act, 1999, the following changes were made to assist with fund-raising activities.

Personal information must be collected directly from the individual the information is about, unless the FOIP Act allows indirect collection. Section

Section 34(1)(f) of the FOIP Act allows for some indirect collection for fund-raising purposes.

34(1) A public body must collect personal information directly from the individual the information is about unless

(f) the information is collected from published or other public sources for the purpose of fund-raising,

This section allows for limited collection of personal information without the consent or knowledge of an individual. The information collected can be used only for fund-raising purposes.

It cannot be used for purposes such as extending invitations to attend events or to speak at a public body activity or function. Public bodies should keep such information collected for fund-raising purposes segregated in their records and allow access by only those employees engaged in fund-raising and fund development activities.

If an individual is contacted about donating funds to a public body and asks either not to be contacted again or for personal information about them to be destroyed, a public body must comply with this request and stop using the information for fund-raising.

"Published sources" are those that are normally available in print form or in some other generally accessible form such as audiotape or videotape formats.

Included are:

• Newspaper reports, including news clipping files.
• Birth, marriage and obituary notices.
• Corporate reports of public companies.
• Biographical dictionaries, including books such as "Who’s Who in Canada" and the
  "Canadian Parliamentary Guide".
• Books, periodicals and magazines.
• Donor lists printed in programs for cultural or sporting events.
• Audiotapes or videotapes available free or for sale.

Most of this information would be readily available to an inquirer in a public or specialized library. A public body can contract with a service agency to monitor newspapers and periodicals and provide copies of articles written about particular individuals or their families.

"Other public sources" includes information that is generally available to the public, either free or for a fee, which may not necessarily be published in a commercial format or as a matter of course.

Included are:

• Information available on the Internet.
• Information in reports of charitable groups filed either with the federal or provincial government.
• Information in a public registry.
• Honours or awards granted by or through a public body.
• Attendance at a graduation ceremony.
• Copies of speeches or speaking notes when the speeches are given at a public event.
• Videotapes of television interviews or profiles.
• Audiotapes of radio interviews or profiles.
• Records of attendance at public events or activities where such records exist.
• Biographical information considered by a public body in a meeting open to the public.

Published or other public sources would not include the following kinds of information:

• Background information or notes gathered by a reporter and not included in a published story.
• Original source material for newspaper or periodical articles or books.
• Curriculum vitae or resumes in the possession of a public body that were collected for employment purposes.
• Information provided by members of a governing board or employees based on personal acquaintance, friendship or observance.
• Information provided in confidence to a public body for consideration in providing an honour, award or position.
• Information that could only be gathered through surveillance or from private sources, even if it is available to the public for a fee.
• Patient information in a hospital.
• Next of kin or emergency contacts for nursing home or seniors’ lodge residents.
• Name and addresses of parents of children in a school or post-secondary program.

Section 39 of the FOIP Act relates to how a public body may use personal information.

Section 39(1) states that a public body can use personal information only for the purpose it was collected for or for a consistent purpose, with consent, or if the public body is allowed to disclose the information. Two subsections, sections 39(2) and 39(3), have been added which only apply to post-secondary institutions.

39 A public body may use personal information only…

(2) Despite subsection (1), but subject to subsection (3), a post-secondary educational body may use personal information in its alumni records for the purpose of its own fund-raising activities.

(3) A post-secondary educational body must, when requested to do so by an individual, discontinue using that individual's personal information under subsection (2).

Section 39(2) allows for a post-secondary educational institution's continuing use of existing alumni records for its own fund-raising. The alumni records must be in the custody or control of the public body doing the fund-raising in order for the section to apply. Note that for future alumni, consent from students at registration or at the time of graduation could be obtained for fund-raising.

Section 39(3) requires that a post-secondary educational body stop using personal information in these records for fund-raising if requested to do so by an individual. This implies that alumni should be informed of the use of their records for fund-raising and given the opportunity to request that this use stop if they object to it.

Post-secondary educational bodies can provide this information as opportunities arise, such as incorporating the notice in a scheduled mail out. Methods used to inform existing alumni might include:

• An article in the alumni newsletter.
• A telephone notification of local alumni.
• Making the notification a part of an address list update.
• A form to be returned if the individual desires not to be contacted for fund-raising.

Section 39(4) constrains all uses of personal information, not just the use of alumni information. It states that public bodies may use personal information only to the extent necessary to enable the public body to carry out its purpose in a reasonable manner. It is the same statement used to assist public bodies when disclosing personal information under section 40 of the FOIP Act.

Section 39(4) requires the post-secondary institution to consider what personal information is necessary for fund-raising. For example, name and address of the student, the program in which they were enrolled, and the year of graduation may be necessary information for fund-raising. Grades from individual courses are not necessary for the purpose of fund-raising and would not be a reasonable use of information.

Section 39(2) does not allow the use of alumni records for purposes other than fund-raising or the original purpose of collection. That original purpose will vary but may include providing information about offers of discounted services, benefits, travel, educational and cultural events and opportunities, career development activities, seeking feedback on issues related to the institution, and so on.

Section 40(2) states:

40(2) Notwithstanding subsection (1), a post-secondary educational body may disclose personal information in its alumni records for the purpose of the fund-raising activities of the post-secondary educational body if the post-secondary educational body and the person to whom the information is disclosed have entered into a written agreement

(a) that allows individuals a right of access to personal information that is disclosed about them under this subsection, and

(b) that provides that the person to whom the information is disclosed must discontinue using the personal information of any individual who so requests.

This section applies only to records in the custody or control of the post-secondary educational body. The records can be disclosed, under a written agreement, to a Foundation or any arms-length organization that has fund-raising as its objective. Care needs to be taken if the records are being disclosed to a "professional" fund-raiser to ensure the records are only used for raising money for the post-secondary body that discloses them.

A formal written agreement must be established and it must contain provisions to allow individuals to have access to their own personal information. It must also ensure that the person or organization doing the fund-raising stops using the information.

In addition to these provisions, the agreement should contain clauses ensuring that no further disclosure of the information will be made by the organization and that appropriate provisions for protection and destruction of the personal information will be made.

Section 40(4) places similar constraints on the disclosure of personal information that section 39(4) places on its use.

Section 40(4) says:

40(4) A public body may disclose personal information only to the extent necessary to enable the public body to carry out the purposes described in subsections (1), (2) and (3) in a reasonable manner.

As when using personal information, the post-secondary institution must consider what personal information needs to be disclosed for fund-raising. As when using personal information, the name and address of the student, the program in which they were enrolled, and the year of graduation may need to be disclosed to operate a successful fund-raising campaign. Other information may be reasonable for specific campaigns. But it would not be reasonable to disclose the entire student file, including academic results, evaluations, health records, and other personal information.

Purpose

FOIP Bulletins are intended to provide FOIP Coordinators with more detailed information for interpreting the Freedom of Information and Protection of Privacy Act. They supply information concerning procedures and practices to aid in the effective and consistent implementation of the FOIP Act across public bodies. FOIP Bulletins are not a substitute for legal advice.

Government of Alberta
Access, Privacy and Security
Service Alberta
3rd Floor, 10155 - 102 Street
Edmonton, Alberta T5J 4L4
Phone: (780) 427-5848
Fax: (780) 427-1120
Website: http://foip.gov.ab.ca