Managing Processes and Records
CASE District II ConferenceAdvancement Services Track: Database and RecordsFebruary 11, 2002
Patricia BurchThe Stillwater GroupPatricia BurchThe Stillwater Group
The Problem
The typical advancement services process is paper-intensive. Documents are sorted, coded and filed to process transactions and support advancement activities that range from large-scale solicitations to specialized, person-to-person donor cultivation and solicitation.
Why Do We Generate So Much Paper?
Large-scale solicitations tend to be highly customized (e.g., multiple pledge card formats, multiple fund designations).
The process often relies on manual checks and duplicate record-keeping (i.e., paper and electronic) to maintain a low error rate.
The development information system is underutilized.
Why Do We Keep So Much Paper?
Paper is still considered the primary record format.
A significant number of records need to be retrieved frequently or moderately frequently (several times a month to several times a year).
There are no explicit policies for purging or destroying paper records that are no longer needed.
What Can We Do?
Redesign the Process
Develop A Document Retention Strategy
Redesign the Process
1. Analyze the Current Process
2. Identify Process Inefficiencies
3. Develop Redesign Strategies
Analyze the Process
What specific activities and products does the process comprise?
What does each activity in the process accomplish?
Why is the activity performed as it is?
What information, training, and record flows are required to perform these activities?
Tools: Flowcharts and process maps Transaction and cost analysis Staff activity and work distribution analysis
Sample Flowchart
Research
Fundraisers
Departments/Units/
Friends
DevelopmentOperations
Business Office
Solicit Record Acknowledge Steward
Identify prospects, Collect career information, Update data in system
Mailings, Phonathons, Visits
Receive pledge or gift
Produce letters
Publications, Events, Reports
Mailings, Phonathons, Visits
Run activity reports
Process and record funds, post to GL, reconcile
Reconcile, deposit, open accounts
Produce letters
Publications, Events, Reports
Maintain Records and Generate Reports
The prospect-to-donor processThe prospect-to-donor process
Sample Process Map
ADMIN SYS DATABASEPAPER FILES
RESEARCH SOLICIT
RECORDACKNOWLEDGE
DonationsTrip Reports
Verbal Reports
STUD INFO database (student and parent data)
Create paper prospect file
Create donor profile
Research biographical,
demographic and career data
Create prospect
record
Update prospect
record
Contact prospect
Record outcome of
contact
pledge or gift?
Update record
Receive information
about pledges and gifts
Record gift or pledge on
system
Run proof, tally payments and
reconcile
Copy checks, and tape
File
File in matching
gift file
Make 2 copies of the matching gift
form
Complete matching gift
forms
Matching Gift?Attach backup
documentation
Collate and separate
Print transmittal forms and
receipts
Make 6 copies of "proof" and place in campus mailboxes
Type envelope and send original
matching gift form to company
Attach 1 copy to the transmittal
form
Give trannsmittal to acknowledgement
staff
wait
post gifts to system (once a week)
Prospect Record SheetsReports
Mailing LabelsRated ProspectsDonor Profiles
Prospect ListsMailing Lists
Donor Profiles
Sort transmittals and
documents
Create list of matching
gifts
Code transmittals for type of acknowledgement letter (34
types)
Print and attanch to transmittal
form
Add additional or revised data
Merge data into Word document
over $250 or special case?
Attach card to
transmittal
Send to VP and President or
others for signature
wait
Receive documents with
signatures
File copy in donor file
Mail letters
Copy and send news notes to
appropriate officesSend to
Annual Giving
Phonathon SheetsLetters of IntentConversation Documentation
Gifts
TransmittalsReceipts
Daily Cash ReceiptsPosting ReportsCheck Copies
ReportsPledge Reminders
TransmittalsBack-up
DocumentationReceipts
Pledge Reminders
News NotesAcknowledgements
Donor Mailings
no
Activity Reports
Updated DataPledges/Gifts
PAPER FILES
no
yes
Major Donor?
yes
no
phonathons direct mail personalvisits
Create new record or account
if necessary
stock gift?
produce stock letter
Annual Giving?
no
yes
Give to acknowledgements
staff
yes
Send to appropriate department
Produce and sign letters
Send letter and receipt
File copies
no
Run pledge reminder
report
Distribute report
Annual Giving?
Send pledge reminder
letter
Send to stewardship
Produce and send letter
wait
no
yes
yes
Business OfficeFinancial System
STEWARDSHIP ACTIVITIES
Annual Reports, Newsletters, Events, Fund
Reports, Donor Recognition
no
yesInformation complete?
yes
Researchwait
no
Sample Transaction Analysis
86%
7% 1%
6%
< $500
>= $500 and <$1,000
>= $1,000 and <$10,000
>= $10,000
1% 6%
90%
3%
< $500
>= $500 and <$1,000
>= $1,000 and <$10,000
>= $10,000
. . . Which accounted for only 3% of total dollars received
A majority (86%) of gift and pledge payments processed were less than $500. . .
Work Distribution Analysis
Tasks that involve managing paper are time-burners
7.72 7.577.06 6.79 6.44
5.835.35 5.27
0
1
2
3
4
5
6
7
8
Percentage of effort
Preparecorrespondence
Open and sortmail
Create/maintaindatabase
Copy, distribute,and file
documents
Research data ondonors
Plan/conductsolicitation visits
Handle and sortdocuments for
mailing
Identifyprospective
donors
Identify Problems and Inefficiencies
Complex procedures for processing low-dollar transactions reduces staff time available for value-added work.
High level of customization (e.g., acknowledgement letters) increases processing costs.
Redundant checking and duplicate record-keeping reduces efficiency.
Guiding Principles for Redesign
Streamline the process…Streamline and standardize processing for low-
dollar transactionsMake effective use of technologyMinimize reliance on paper documentation Encourage and support self service for internal
users of information
Guiding Principles for Redesign
And improve service to donors…Devote more staff time to activities that increase
fundraising revenues and strengthen donor relationships.
Reduce the number of hand-offs required to resolve problems
Process Redesign Can Reduce Paper
Transmittals. This document will no longer be produced. All information printed on this document is available and accessible through the database.
Most Acknowledgement Letters. With the exception of high dollar gifts or donors requiring “special handling,” donors will receive a receipt instead of an acknowledgement letter.
Copies of checks. Copies of checks will no longer be made. Sufficient information about the payment exists in the database, and donors receive cancelled checks from their banks as proof of payment.
Process Redesign Can Reduce Paper
“Backup” donor response form. Once the donor response has been entered into the database, the original response form (e.g., pledge card) will be destroyed unless it contains special information or additional instructions.
Daily transaction reports. Institutional advancement staff will now be given access to on-line reports with information about all payments and pledges received.
Develop a Document Retention Strategy
1. Evaluate record retention needs Inventory of current records Classify records by retention and retrieval
frequency
2. Assess costs and benefits of record retention options
3. Develop record retention policies
Sample Results of a Record Inventory
91% of records are paper.
32% of paper records also exist in electronic format.
41% of records are retained permanently despite a policy or guideline that indicates a definitive retention period. Only 9% of records are destroyed or purged.
50% of records are retrieved frequently or moderately frequently
Approximately 500 cubic feet of campus space is used to store boxes of documents and 5000 cubic feet is rented from Pierce Leahy.
Evaluating Record Retention Needs
Finite Retention Period Infinite Retention Period
Fre
quen
t R
etri
eval
Infr
eque
nt
Ret
riev
al QUADRANT C
QUADRANT B
QUADRANT D
Easy access Plan for disposal
Easy access Secure, permanent
storage format
Temporary storage
Plan for disposal
Secure, permanent storage format
QUADRANT A
Record Retention Options
Paper File Storage
Paper documents labeled and stored either on site or off site
Microfilm or Microfiche
Paper documents converted to film accessible through reader or PC software
CD-ROM or DVD
Paper documents converted to electronic format, stored on CD or DVD with desk-top or networked access
Optical Disk Paper documents converted to electronic format, stored on optical disks with networked access
Internet-based Documents
Web access to electronic images through an Intra- or Internet site
Weighing the Costs
$0
$10,000
$20,000
$30,000
$40,000
$50,000
$60,000
Cost for 10,000 recordsPaper
Microfilmw/readerMicrofilm w/ PC
CD (stand alone)
CD (networked)
Optical disk
Develop a Records Retention Policy
Electronic vs. Paper Records. Should records that are available in electronic format be stored in paper format?
Record Ownership and Duplicate Records. Who is the official owner of a record? Can we identify a strategy to eliminate duplicate record storage?
Retention of Reports. Why are we keeping paper printouts of electronic reports? Can we make changes to eliminate this practice?
Develop a Records Retention Policy
The records retention policy should include detailed retention schedules that state the “lifecycle” of a record.
The schedule should indicate the official owner of the record, how long it is required to be retained and what should happen to it after that retention period.
Further research may be required to confirm that proposed policies are consistent with internal and external guidelines.
Critical Success Factors
Leadership: A sponsor who provides resources and a mandate for change
Process: staff involvement and ownership
Implementation: Realistic milestones and clear responsibilities