Ethics and Accountability in Advancement Services

1. Ethics and Accountability in Advancement Services Rebecca Boughamer

2. Agenda • Introduction • Defining Ethics and The Role We Play • Management • Accountability • Q&A

3. Introduction • Rebecca Boughamer • Assistant Vice President, Advancement Services • Database Management, Gifts Processing, Prospect Research, Budget and Finance & some Donor Relations and Career Services • UMUC since 2012 • Prior to that UDC, Marymount U and the Cystic Fibrosis Foundation

4. EthicsDefine Ethics eth·ics ˈeTHiks/ noun plural noun: ethics; noun: ethics • 1. moral principles that govern a person's or group's behavior. "Judeo-Christian ethics" • the moral correctness of specified conduct. "the ethics of euthanasia“ • 2. the branch of knowledge that deals with moral principles.

5. EthicsDefine Your Role • The Person Part • Define your own moral standard • Trust your gut – as long as your gut is informed • What are you working to accomplish? • The Group Part • Do you and your colleagues share core values? • Do your missions and goals align? • Where do you fit in? • Combining the Two Parts • Strategy, management, communication and documentation

6. Ethics in Advancement ServicesEthics Management • Strategic Management • Policies and Procedures • Strategic Plan Setting • Benchmarking

7. Ethics ManagementStrategic Management • Guides or assists ethical decision-making and establishes accountability standards • Clearly defined management structure and division of labor • Security checks and balances • Ethical checks and balances • Accountability and trust • Clear chain of communication and open communication channels • Who is able to communicate what information to whom? • Transparency speaks volumes. Communicate policies and procedures. Communicate decisions. If you don’t feel comfortable communicating it to the masses, ask yourself why? • Strategic delegation of responsibilities and power • Division-wide • Department-wide • Organization-wide

8. Strategic ManagementConfidentiality Agreements • Employees • Usually held by HR and IT departments • Protect the organization and constituents of the organization • Students or Volunteers • Usually held by Manager of the student worker or volunteer • Certain access granted; protects the organization and constituents and the volunteer! • Example for Student Agreement

10. Strategic ManagementMaintenance vs. Inquiry • USM = Ellucian Advance • All databases have some form of Inquiry vs. Maintenance vs. “Super User” • Inquiry Access • Access to view specific information through the system. • Maintenance • Actual maintenance of data; access to change information and run reports • Super User • Back end access and reports creation • Why does this matter? • Super users should be rare. Maintenance access should also be limited within a department • Procedures as to data work flow and who updates what are needed

11. Strategic ManagementIn-Office Information Privacy • Secure Credit Card Numbers and SSNs • Prospect and Patient Files • Hard copy under lock and key/Digital files encrypted and password protected • No medical or health information for Higher Ed • Available to prospects or patients at any time. Healthcare is seeing more patients logging into online portals to access their own information. • Access and checks/balances. • Example: If you hold the key to the safe, someone else should have the code.

12. Ethics ManagementPolicies and Procedures • The unauthorized “AdvServ Bible” • Outline the management structure, responsibilities, and expectations • Donor Bill of Rights, FERPA, HIPAA, as well as internal policies already established. • Don’t reinvent the wheel like I did: document management is actually easy. • Document security access, confidentiality agreements, gift agreements and other ethical happenings • Revisit, edit or adjust as appropriate, but try and remain consistent

13. Policies and ProceduresPledge Agreements • Verbal vs. Written • Verbal cannot be entered as a technical pledge and cannot be enforced • Written pledge agreements should be kept as you keep your gift files • Should specify exactly what the donor and institution have agreed on (time, contingencies, programs, etc.) • Where are these files stored and who has access? • Example of our Gift/Pledge Agreement

15. EthicsStrategic Plan Setting • Set goals • Individual and/or team goals • Align with the organization’s mission and department’s mission • Gather input • Be specific and realistic. It is OK to set “stretch goals” if you have a plan for accomplishing them! • Communicate goals • Revisit progress toward goals • Document metrics and progress • Keep the metrics and progress for historical purposes, benchmarking and accountability • Promote your results. Data speaks volumes! • Fun fact: UMUC’s President hails from the Institutional Research department.

16. Higher EducationSpecial Cases • Campaign Planning and Campaigns • Campaign Consultants • Interviews with Potential Donors • Record keeping and reporting out • Specific campaign-related agreements and policies • Naming Opportunities, anonymous donors • Special Events • Auctions, ticket purchases and donations, oh my! • Record keeping and reporting out • Know the rules and policies and the expectations

17. EthicsBenchmarking • Benchmarking builds trust • Should be multi-faceted: quality, quantity, pace, performance • Compare against others • Consider the relevance and importance • Consider short-term and long-range impacts • Specify desired outcomes • Remain consistent • Examples

19. EthicsAccountability ac·count·a·bil·i·ty əˌkoun(t)əˈbilədē/ noun noun: accountability • the fact or condition of being accountable; responsibility. "their lack of accountability has corroded public respect"

20. AccountabilityWhy? • Why is it Important? • Organizational integrity, trust • Speaks to the mission • Trust with donors and constituencies • Trust in the public eye • Personal integrity • Your rep is at stake • Your career is at stake • Why not? • Short-term and long-term impacts of unclear accountability

21. AccountabilityHow? • Decision-making • Have clearly defined roles and responsibilities • Have a basis for decisions • Look at short-term and long-term impacts. • Documentation • External • CASE Reporting Standards & Management Guidelines • AASP best practices • Internal • Core data best practices • Document management policies • Departmental project plans • Consistency • Reliable work flow and communications channels • Reliable data, benchmarking and metrics (again!)

22. AccountabilityExample • Higher Education is being scrutinized across the nation and asked to justify or prove their value. • Gainful employment is a key factor • Get ahead of this “new” accountability standard • Analyze your existing data for support • Prepare your database for new measurements • Discuss with your department and across departments • Familiarize all staff with the issues at hand and keep an open discussion. Get your staff involved!

23. Ethics in Advancement ServicesIn Summary • Ethical decision-making is important at all levels across all organizations. • Everyone plays a role • Strategic management and transparency are key • Understand the significance of accountability and the part you play; guide your own moral compass.

24. QUESTIONS