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. 诚实——有前景的研究人员在工作过程中应当如实表明自己的身份、目的和所在机构的身份。
   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. 大学发展副校长办公室的工作人员将使用抬高边缘内的代码来表明实体喜欢如何联系。Codes include:
         1. Do Not Send Mail
         2. Do Not Call
         3. Do Not Solicit by Phone
         4. 不征求。
      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. 所有其他对数据的更改都是有限的，并且有一个审查程序与大学发展副校长办公室工作人员从退回的邮件和其他通信中发起的更改有关。
      6. 大学的首席资讯保安主任每年会与大学促进处副校长及促进处执行主任检讨有关的资料保安程序，以核实有关的措施，并提出改善建议(如有的话)。
      7. Mailing: When U.S. Mail (excludign bulk mail) is returned:
         • 工作人员将使用在线工具，校友查找器和Lexis Nexus (Experian)，研究这些记录以找到一个新地址。
         • 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. 全国地址变更大学发展副校长办公室将使用这项服务，每年四次，以查找最近从“已核实”到“未核实”或从“已核实”到“未核实”的校友的现有地址。这一进程将由促进事务主任在Blackbaud内发起和完成。
      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 withbachelor’s degrees在前两学年为学校捐款的人数，这是衡量校友满意度的间接指标。
      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. 寻求和记录的信息可能包括所有公共记录。
      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. 与捐赠者或潜在捐赠者有关的文件在不再需要时应不可逆地处理(如粉碎)。
   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. 对数据的datarequest请求可能来自许多不同的来源。这一部分分为每个数据请求的请求/接收源。系统外列出的所有数据，包括“目录信息”，都应被视为敏感信息。所有数据必须被妥善销毁(纸质表格)或在项目完成后立即删除。所有资料清单的申请必须通过大学发展副校长办公室。非授权RE用户的大学雇员可能需要从系统获取数据。经授权的RE用户可在提出适当的请求后，并经核实请求者拥有适当的凭据后，提供数据。
   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. 非大学实体营销自己的产品或服务大学外部的个人和组织经常要求访问数据列表，以营销自己的产品或服务。这些提议可能以赞助、数据费用或其他互惠安排的形式出现。大学非常重视其声誉，大学发展副校长办公室的目标是负责管理校友联系信息。严禁向这些实体提供数据列表。
   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利用注册局的系统作为新校友的来源。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