6. Office of Advancement Research

The Office of Prospective Development includes the units of Advancement Research (AR) and Prospect Management (PM) and carries out the following primary functions:

• Organizational Needs Awareness

• Proactive Prospect Identification

• Responsive Research Services

• Prospect and Solicitation Management

Organizational Needs Awareness

AR maintains awareness of the funding needs and priorities of the University of Georgia for the purpose of identifying potential private funding to meet those needs. AR uses information from both internal databases and external resources. AR employs standard research techniques and technologies for identifying individuals with both capacity and affinity for support of the University. The overall goal of AR is to provide information on prospective donors to the development staff in ways that will assist UGA’s fund-raising goals.

Proactive Prospect Identification and Responsive Research Services

AR staff will actively monitor material such as periodicals, news feed services, financial publications, University publications, and internal data analyses for the purpose of identifying individuals with interest and capacity for support of UGA. These same sources re used in response to requests from development staff for qualifying individuals’ interest and level of support for funding initiatives. Relevant information will become a part of archived data and shared with appropriate development staff. The process must also ensure timely decision making and effective communication between Advance Research and Development Officers.

POLICIES

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 institutional 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 institutional identity shall be concealed.

Recording

1. All briefing documents, contact reports, proposals and correspondence must be directly entered into the central database.

2. Researchers shall state information in an objective and factual manner.

3. Documents pertaining to donors or prospective donors shall be irreversibly disposed of when no longer needed (e.g., by shredding).

Use

1. Non-public information is the property of the institution 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 that institution.

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 institution for which it was gathered 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 record pertaining to anonymous donors.

Prospect and Solicitation Management

The Office of Prospect Management (PM) maintains a Tracking and Solicitation Management System that records and manages the contacts with and solicitation of prospects in order to avoid multiple solicitations that could confuse the prospect and/or diminish the effectiveness of the solicitation. All contacts are solicitations with donors will be recorded and in the alumni/donor master database and coordinated through the solicitation management system.

PM maintains a University-wide clearance system to help fundraisers move prospective donors through the development cycle and at the same time insure prospects are not “hoarded” by a particular campus unit. The Advancement Services Department oversees clearance assignments and changes.

The four main clearance levels are-

• Suspect Clearance

• Primary Clearance

• Soliciting Clearance

• Stewardship Clearance

Suspect Clearance is the least restrictive level of clearance assigned. It represents a group of individuals believed to be prospects for a particular area. These people normally have never been contacted and need a face-to-face visit to qualify them as a legitimate prospect. Suspects are identified through AR efforts or via screening sessions. Any development officer can make the qualification contact with a suspect. The suspect list ensures each development officer has a pool of potential prospects ready to be rotated on their Primary cultivation list.

Primary Clearance represents prospects currently under cultivation for a major gift solicitation. Other development officers may contact and cultivate these prospects with permission of the cleared primary officer. Prospects in primary clearance may still receive annual giving solicitations, but requests for major support are cleared exclusively for the assigned development officer. Primary clearance is established for one year. If no progress has been made within that time period, primary clearance will be dropped- particularly if another development officer wishes to solicit the prospect. If progress is being made, clearance can be extended past one year.

Soliciting Clearance is the most protective level of clearance allowed. This indicates a solicitation strategy or plan has been filed, and the solicitation is currently in progress. Under no circumstances should any development officer contact the prospect without approval of the assigned development officer. Soliciting clearance is monitored on a monthly basis to insure appropriate movement is being made to close the gift. These efforts are recorded in the ASCEND Solicitation Management System.

Stewardship Clearance is assigned after a major gift or commitment has been received. Normally, this level of clearance is assigned for one year period; however, this can be adjusted as warranted by individual circumstances. Other development officers are allowed to cultivate the donor with permission of the assigned development officer.

Prospect Resolution—If two or more development officers or units wish to approach a prospect within the same time frame, the development officers are expected to discuss and resolve the conflict. If a satisfactory resolution cannot be reached, the question will then be considered by the appropriate Senior Development Directors. Failing satisfactory resolution, further appeals can be made to the Associate Vice President for Development, to the Senior Vice President for External Affairs, and ultimately the President of the University.

Ethics

Members of the Prospect Development 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.

In their work, advancement researchers balance University’s needs to collect and record information with the prospects’ right to privacy. The following ethical principals apply:

FUNDAMENTAL PRINCIPLES

• Relevance – Advancement researchers shall seek and record only information that is relevant to the fund raising effort of the University of Georgia.

• Honesty - Advancement researchers shall be truthful with regard to their identity, purpose and the identity of UGA during the course of their work.

• Confidentiality - Confidential information pertaining to donors or prospective donors shall be scrupulously protected so that the relationship of trust between donor and UGA and the integrity of the advancement research professional is upheld.

• Accuracy - Advancement researchers shall record all data accurately. Such information must be verifiable or attributable to its source.

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