Referral Tracker

1. Referral Tracker Sandia Laboratory FCU Passageways powWOW 2007 Best Tie in with a Third Party Application

2. SLFCU Background • Sandia Laboratory Federal Credit Union ($1B) • Albuquerque, NM and Livermore, CA • MEMBERS Financial Services CUSO $200 million in assets under management • Shared Branching, and Business Lending/Services • 55,000 total membership • Eight physical branches and one electronic branch • Approximately 235 staff members • Passageways client since April of 2005 • Development Environment • Intranet is managed from the Technology Services Department • 1.5 FTEs (Application Development, Content Development, and Training, and Help Desk Support)

3. Introduction The Credit Union allows employees to submit member referrals to Business Services, MEMBERS Financial Services and CU Auto Sales. Additionally, members have the opportunity to rate an employee through a Mystery Shopper program and the end result is a potential monetary award to the employee. Referral Tracker is a custom “in-house” programmed Intranet application built around the custom IBM DB2 i5 core system to handle all aspects of the referral and Mystery Shop lifecycles. The Referral Tracker can be accessed from either the teller platform or the Portal.

4. Project Time Breakdown • Application Development • Approximately 40 hours • Web Developer • Content Developer • Project Meetings • Approximately 5 hours • Quality Assurance, Testing and Customer Review • Approximately 15 hours • Staff Training and Roll-Out Plan Development • Approximately 15 hours 75 Total Hours

5. Rationale and Background Prior to Referral Tracker, the Credit Union utilized an in-house Microsoft Access database application to keep track of our incentive referral program. Although this system worked for several years, the procedure for submitting a referral through this application was tedious and employees sometimes lacked confidence in the system. To improve the efficiency of submitting referrals, a new in-house application needed to be developed that tied in with the core system, was feature rich, user friendly, and could grow.

6. Project Objectives Supporting the rationale and understanding the project background, the Technology Services Department was tasked with creating an application that would: • be more efficient and reliable than previous system • interface with the core system • be web enabled and integrated into both the Passageways Portal and teller platform • reduce errors by connecting to the core system to generate referral forms pre-populated with the member’s and employee’s information • easy and intuitive as well as customized to the user and supervisor • provide tiered authority and security

7. Originality and Innovation • Referral Tracker consolidates incentive process by allowing submission of different types of referrals within a single system supported by Passageways Portal technology as well as integration into IBM i5 core system • Utilizes Passageways Portal Framework for employee identification, unique view, and security as well as the core system for member information • Streamlines incentive programs from start through payout • Referral Tracker is the first SLFCU Intranet program to bridge the C#/.NET to core RPG/iSeries disconnect

8. Significance of the Application • Referral Tracker demonstrates the extensibility of Passageways’ Portal Framework • First SLFCU Passageways Portal application to connect to core IBM iSeries system for both proof of concept and information input error reduction • Dynamic reporting tools allow managers to see detailed information in a customizable time span • Permission to reports is based on Portal user roles • Electronically delivers referral information cross-departmentally (paper process elimination) • Customizable for other uses as it is fundamentally a lifecycle process management application

9. Improvements in Collaboration • Employees can reliably and quickly submit referrals • Previous system required employees to manually type referrals into two systems • Accessing referrals through the teller platform auto-populates member information • Employees can see all referrals that were submitted in the past month and when they were given credit for their referrals • Previously, employees had no method of tracking their individual referrals and had to wait until they were paid to see if they received credit for referrals • Dynamic back-end tools increased productivity for the staff • Branch managers can now see recorded Mystery Shops for their employees • Tracking CU Auto Sales referral is now easier. The prior system required employees to keep hand-written referrals, an employee at the end of the month typed hand-written referrals into Microsoft Excel, and then had to manually track which referrals resulted in a member buying a car

10. Quality of the Implementation • Seamlessly added to Portal headquarters, public pages, and SLFCU “Announcements and Links” page, and core teller system • 637 referrals submitted in the first six months • Brief orientation for all front line employees as to how the Referral Tracker will work • The application’s development and construction is thoroughly documented • Established proof of concept in connecting to core system and teller platform with the Intranet Portal

11. Application ROI/Cost Savings • Enhancing and supporting SLFCU’s purchase and transition to Passageways Portal Framework • Referral time was reduced by 80% resulting in staff time savings of almost $1,000 in the first six months • During this same period, the system logged 361 MEMBERS Financial Services referrals, 109 Mystery Shops recorded,128 CU Auto Sales referrals submitted, and 39 Business Loan referrals • This represents 28% increase in referrals each month compared to pre-project figures • Increased referral numbers may be attributed to this new application which has resulted in additional revenue through loan growth, business accounts, and asset growth

12. Features and Functionality • Referral system consolidation and referral lifecycle management. • Allows quick submission process for referrals • Crosses different operating systems • Can be accessed within Portal or teller platform • Auto-populates employee information from Portal Framework through access via the Portal or teller platform • Personalized to each individual • Employees can see their submitted referrals and when they are compensated for their referrals and recorded Mystery Shops • Dynamic back-end reporting tools with permissions set on Portal Framework Roles

13. Referral Tracker Main Page An employee can see referrals he or she has submitted during the current month as well as when he or she is paid for the referrals or recorded Mystery Shops Access to the different referrals are available on the main page and throughout Referral Tracker

14. Referral Tracker Core System Integration Referral Tracker can be accessed through the core system by displaying the member’s account and then selecting the type of referral

15. Business Loan Referral Business Loan Referral is where employees can refer members for business loans and credit cards When the business loan referral is accessed through the core system, the member’s account number and contact information are auto-populated The employee’s name and employee number are auto-populated from the Portal Framework

16. CU Auto Sales Referral CU Auto Sales referral is where employees can refer members who may be interested in purchasing a vehicle The member’s account number and name are auto-populated when accessed through the core system. The employee’s name and employee number are auto-populated from the Portal Framework

17. MEMBERS Financial Services Referral MEMBERS Financial Services referral is where employees can refer members who may be interested in investment planning, insurance, or other CUNA Mutual products When accessed through the core system, the member’s address and contact information are auto-populated. The employee’s name, employee number, and department are auto-populated from the Portal Framework

18. CU Auto Sales Back-end The CU Auto Salesback-end screen allows the CU Auto Sales referral administrator to view all submitted CU Auto Sales referrals After CU Auto Sales informs the referral administrator of the members who purchased an automobile, the administrator clicks the Update button and marks the referral as purchased automobile

19. CU Auto Sales Report

20. Discussion/Conclusion • Portal Framework in conjunction with the core system was utilized to consolidate incentive process while: • reducing error rate through auto-populated forms • authenticating employees through core system and Portal • tunneling two-way communication between Portal and core system • connecting to the customer information file (CIF) on the core system to retrieve up-to-date member information • promoting quick and easy to use forms

21. Thank You Thank you for considering SLFCU and Referral Tracker for the 2007 Passageways Best Tie in with a Third Party Application Award Sandia Laboratory Federal Credit Union 3707 Juan Tabo Blvd NE Albuquerque, NM 87111 (505) 293-0500 www.slfcu.org