Research and Data Management Procedure

Policy Statement

Members of the Office of the Vice President of University Advancement research staff abide by the code of ethics established by the Association of Professional Researchers for Advancement (APRA). As such, they are committed to the ethical collection and use of information in the pursuit of legitimate institutional goals.

Reason for Policy

Adelphi University must balance the needs of the University to collect and record information with the alumni, donor and prospects’ right to privacy.

Who is Governed by this Policy

Staff

Policy

1. Fundamental Principles

   1. The collection and use of information shall be conducted in adherence with standards set by the Association of Professional Researchers for Advancement (APRA).
   2. Honesty – prospect researchers shall be truthful with regard to their identity, purpose and the identity of their institution during the course of their work.
   3. Confidentiality – confidential information pertaining to donors or prospective donors shall be scrupulously protected so that the relationship of trust between the donor and donee and the integrity of the prospect research professional is upheld.
   4. Accuracy – prospect researchers shall record all data accurately. Such information must be verifiable or attributable to its source.
   5. Prospect researchers shall encourage their colleagues to abide by these principles of confidentiality.

2. Policy

   1. The Office of the Vice President of University Advancement maintains the records of parents, students, graduating seniors, alumni, donors, friends, corporations, foundations, associations and others in Raiser’s Edge (Blackbaud software). Blackbaud Hosting Services provide their clients with an audit report of their internal controls for processing and maintaining data (SSAE-16, SOC1 Type II and SOC2 Type II). Which allows the Office of the Vice President of University Advancement and the University to conduct internal audits to detect internal control deficiencies periodically.
      1. Raiser’s Edge allows the Office of the Vice President of University Advancement to constantly update and verify the accuracy of their records as biographical information changes.
      2. The term “Verified” is used when a record has been confirmed by phone, email or mail.
      3. The term “Unverified” is used when information is not verified and an entity cannot be contacted.

       

      1. The Office of the Vice President of University Advancement staff will use codes within Raiser’s Edge to indicate how entities prefer to be contacted. Codes include:
         1. Do Not Send Mail
         2. Do Not Call
         3. Do Not Solicit by Phone
         4. Do Not Solicit.
      2. Additionally, staff record all information on the database, including:
         1. Previous Giving
         2. Employment Info
         3. Relationship Data
         4. Wealth Data
         5. Appeal Data
         6. History of Outreach Efforts
      3. Since the database contains confidential information (wealth management, giving history, etc.), user access will be limited.
      4. The Vice President of University Advancement, the Executive Director of Advancement Services and selected staff will be Global Users and can import files with current information.
      5. All other changes to data are limited and there is a review process connected to changes initiated by Office of the Vice President of University Advancement staff from returned mail and other correspondence.
      6. Each year, the University’s Chief Information Security Officer will review the data security procedures with the Vice President of University Advancement and the Executive Director of Advancement Services to verify the practices in place and offer recommendations (if any) for improvement.
      7. Mailing: When U.S. Mail (excludign bulk mail) is returned:
         • the staff will research the record to find a new address using online tools, Alumni Finder, and Lexis Nexus (Experian).
         • Once an updated address is found, the mailing is sent to the new address.
         • If no new address is found the mailing address in Raiser’s Edge will be updated to “inactive”.
      8. PhoneThe Office of the Vice President of University Advancement currently retains Ruffalo Noel Levitz (RNL) to perform their annual professional telephone fundraising. Database records are shared with RNL to accomplish phonathon objectives. During the phone campaign RNL verifies the accuracy of these records. In addition, individual staff members will forward updated phone number information as they discover new/disconnected numbers.
      9. National Change of AddressThe Office of the Vice President of University Advancement will use this service four times a year to find current addresses of alumni who have recently moved or transitioned from “Verified” to “Unverified” or vice versa. This process will be initiated and completed within Blackbaud by the Director of Advancement Services.
      10. GuidelinesThe Office of the Vice President of University Advancement will follow the guidelines issued by CASE when classifying graduating seniors and tracking alumni. Below are definitions by CASE to facilitate uniformity in reporting and classifying alumni records.
      11. Marking a Record as “Deceased”Only after Office of the Vice President of University Advancement staff review the details of the Alumni Finder record scan are the records coded as “Deceased” so that no further attempts at communication are made.
      12. US News and World ReportEach year, the University submits statistics provided by ORAP to USNWR which reflect the number of undergraduate alumni donors and the number of reachable alumni.US News & World Report use the alumni giving rate when calculating rankings. The alumni giving rate figures into 5 percent of the total ranking. This reflects the average percentage of living alumni with bachelor’s degrees who gave to their school during the previous two academic years, which is an indirect measure of alumni satisfaction.
      13. Reporting OutEach September the Office of the Vice President of University Advancement will report out to the Advancement/Alumni Committee of the Board of Trustees the number of solicitable undergraduate alumni. This number will be essential in determining the donor participation rate of alumni with undergraduate degrees.The Office of the Vice President of University Advancement will report out to the Advancement/Alumni Committee again in mid August after it has updated the solicitable undergraduate alumni number to reflect deceased, newly verified and unverified, and newly graduated senior donors.

3. Procedures

   1. Collection
      1. The collection and use of information shall be done lawfully.
      2. Information sought and recorded may include all public records.
      3. Written requests for public information shall be made on University stationery clearly identifying the sender.
      4. Whenever possible, payments for public records shall be made through the institution.
      5. When requesting information in person or by telephone, neither individual nor University identity shall be concealed.
   2. Recording
      1. Researchers shall state information in an objective and factual manner.
      2. Documents pertaining to donors or prospective donors shall be irreversibly disposed of when no longer needed (e.g., by shredding).
   3. Use
      1. Non-public information is the property of the University for which it was collected and shall not be given to persons other than those who are involved with the cultivation or solicitation effort or those who need that information in the performance of their duties for the University.
      2. Only public or published information may be shared with colleagues at other institutions as a professional courtesy.
      3. Prospect information is the property of the University and shall not be taken to another institution.
      4. Prospect information shall be stored securely to prevent access by unauthorized persons.
      5. Research documents containing donor or prospective donor information that are to be used outside research offices shall be clearly marked “confidential”.
      6. Special protection shall be afforded all giving records pertaining to anonymous donors.

4. System Access and Security

   The Office of the Vice President of University Advancement oversees and manages every aspect of the fundraising database, Raiser’s Edge (RE). This group is responsible for maintaining security, access rights, maintenance, reporting, and general training on Raiser’s Edge. The Office adheres to the rules set forth by the University’s Information Technology department and external auditors.

   The Office of the Vice President of University Advancement is the “custodian” of all alumni, donor, and prospect data for the University. RE is the central database of record for these records at the University and serves as the University’s fundraising database. It is a constituent relationship management (CRM) system designed to support the efforts of the Office of the Vice President of University Advancement and the Office of External Relations. The Office of the Vice President of University Advancement is charged with keeping biographical and donor information on the University’s alumni, donors, and friends as current as possible.

   1. User AccessOnly University employees with a need for the information within RE to fulfill their employment responsibilities shall be granted access.
   2. Closing User AccountsUser accounts will be closed within three business days of an employee transfer, retirement, or termination. User accounts will also be closed if no sign-in occurs within one month. This ensures access to the system is limited to employees who have a legitimate need as part of their regular job functions. Access will be removed automatically and employees may request reactivation through normal channels.
   3. Security LevelsAccess to RE will be granted based on the role the employee performs at the University. The security policy is designed to empower users to complete their tasks from beginning to the end within the system where possible. This provides a single source of data for all campus users, decreases the training needed when moving within the University, tracks interactions with constituents, and maintains data security.Security roles are assigned and maintained by the Office of the Vice President of University Advancement. They will assign the appropriate role based on an employee’s job function and data access needs.
   4. TrainingThe Office of the Vice President of University Advancement will handle all training related to the RE system. They will provide in-person, written and online training materials. In addition, this training group helps set the security role access needed by each user of the system.
   5. Requesting DataRequests for data may come from many different sources. This section is divided into the requesting/receiving source of each data request. All data lists outside the system, including “directory information”, should be considered sensitive information. All data must be properly destroyed (paper form) or deleted immediately after the project is completed.All requests for data lists must go through the Office of the Vice President of University Advancement. An University employee that is not an authorized RE user may have a need for data from the system. An authorized RE user may supply data after a proper request has been made and if the requester has been verified as having the proper credentials.
   6. Outside Vendor Requesting Data Lists for SolicitationThe University may, from time to time, contract with third parties to communicate with alumni, solicit potential donors, or screen data on behalf of the University or one of its units. The University protects information and limits use of this data. Employees may not disseminate information from the database to outside entities without the express written consent of the the Vice President of University Advancement or his/her designee. For a non-University entity to receive data, they must complete a formal contract which stipulates how they will use the information, when they will use it, if they are registered to solicit in each state, and when they will destroy the information.
   7. Non-University Entities Marketing Their Own Products or ServicesIndividuals and organizations external to the University often request access to data lists in order to market their own products or services. These offers may be in the form of a sponsorship, fee for data, or some other reciprocal arrangement. The University places a high value on its reputation, and the Office of the Vice President of University Advancement aims to be a responsible steward of alumni contact information. Providing data lists to these entities is strictly forbidden.
   8. Data StandardsConsistency in data entry is of primary importance to the Office of the Vice President of University Advancement. When an inconsistency of entry is found, the Director of Advancement Services will be notified to address the issue with the appropriate employee(s). If training attempts are made and the entry issues persist, the Office of the Vice President of University Advancement has the right to revoke access to individuals who repeatedly go against entry standards.
   9. AlumniRE uses the Registrar’s system as a source of new alumni. After each graduation, student information is moved to RE.
   10. Solicit CodesAll users granted access to run queries, pull mailing lists, run direct marketing appeals, send out e-mails, and invite individuals to events will adhere to the appropriate “do not solicit” codes in the system.

Definitions

Individuals of Record: defined as “…the number of living individuals in a given category (alumni, parents, etc.) for whom the institution believes it has a valid address or other way to make contact (telephone, e-mail, etc.). Missing (lost) and deceased individuals are not considered individuals of record.”

The Number of Donors: defined as “…the number of individuals in the given category (alumni, parents, etc.) who made one or more contribution during the reporting year. If a donation is made by a married couple, both of whom have a record in the database, count the contribution as coming from two donors – each counted in the appropriate individual category.”

The Dollar Amount of the Gift: reflected on the record of the spouse who signed the check or made the credit card donation. The other spouse will receive a soft credit. Soft credits are reflected in alumni giving records and in participation statistics. They are not acknowledged for IRS tax purposes.

Forms

This policy does not have forms associated with it at this time. Upon periodic policy review this area will be evaluated to determine if additional information is needed to supplement the policy.

Related Information

This policy does not have related information at this time. Upon periodic policy review this area will be evaluated to determine if additional information is needed to supplement the policy.

Document History

• Last Reviewed Date: December 31, 2017
• Last Revised Date: December 31, 2017
• Policy Origination Date: Unknown

Who Approved This Policy

Brady Crook, Vice President, University Advancement