A Case Study Research to Fund Raising Activities Conducted at other Fund Raising

Esther Smit

Ubbo Emmius Fonds, Rijksuniversiteit Groningen

Ready to Surprise!

A Case Study Research to Fund Raising Activities Conducted at other Fund Raising

Institutions to Inspire the Ubbo Emmius Fonds while Developing New Activities

E.E. Smit

Rijksuniversiteit Groningen, December 2003 Faculteit Bedrijfskunde, Business Development 1st Supervisor: Prof.dr.ir.J.M.L.Van Engelen 2nd Supervisor: Prof.dr.G.J.E.M. Sanders

The author is responsible for the content of this thesis; the copyright of this thesis rests with the author

Ready to Surprise!

A Case Study Research to Fund Raising Activities Conducted at other Fund Raising

Institutions to Inspire the Ubbo Emmius Fonds while Developing New Activities

Start by doing the necessary, then the possible and suddenly you are doing the

impossible (St. Francis of Assisi).

Preface

‘Kome wat kome mag, maar kome de punt op tijd’

¹

With the typing of the final words of this thesis, the curtain of my student days in Groningen drops. As of now, stories will evolve to heroic sages never surpassed ever after, yet at the same time small landmarks making Groningen mine, will slowly vanish.

With the acceptance of the proposal of the Ubbo Emmius Fonds to conduct research to new fund raising activities, I found myself studying literature about effective activities to raise funds. I never imagined the world behind fund raising being as big as it is. Even more surprising was the enthusiasm of all people who have been involved in this research both at UEF and at the fund raising institutions interviewed for this research who were willing to share their knowledge and great anecdotes with me. In particular I would like to thank my two supervisors, Professor Van Engelen and Professor Sanders.

Supervised by two professors both best characterized by their enthusiasm and optimism was very inspiring. They gave me the opportunity to experience this last part of my study as the biggest challenge.

The monthly meetings with Professor van Engelen gave me, besides the refill with new ideas and areas to explore, always the confidence that I was, with some little adjustments, at least heading in the right direction.

Something that was not always obvious for me.

I would like to thank Professor Sanders for giving me the chance to conduct part of my case studies in the UK hereby enabling me to actually experience first hand how fund raising is conducted at other development offices.

Besides, of course, a ‘thank you’ to all my friends, especially Adeline, who has been so kind to happily take me away both physically and mentally from behind my screen to drink some coffee, or in just a few cases…, some wine.

Lastly a word for, to remain in the terms used in this thesis, my ‘major donators’ both mentally and financially, my father and mother. I am very grateful to you that you have given me the space during the last years to brighten up my ‘Sturm und Drang’ phase. You definitely enabled me to the fullest extent to become the person I am today. Of course Elvira and Jorick did had their inimitable part in this process as well.

I hope that I have succeeded at giving a little insight into the fund raising branch and more specifically development offices. Perhaps even hereby stimulating people to support their alma mater…

Esther Smit

1 G. Komrij

Management Summary

Government funding for education has been steadily declining over the last twenty years and will continue to decline. This development urges universities to look for other sources of funding. In this light Rijksuniversiteit Groningen (RuG) founded a committee in 1994. This committee looked for possibilities of developing fund raising activities and the extent to which people were willing to support the RuG financially. This thereafter, resulted in the foundation of the Ubbo Emmius Fonds (UEF) in 1997. A foundation that ‘has the aim to build a bridge between business and universities to support groundbreaking research and education both of societal and scientific use, focused on the long-term’

²

.

UEF has now been in operation for over five years, starting its actual fund raising activities in 1999. During this period, UEF focused on fund raising activities organized for wealthy and/or prominent individuals. However, UEF would like to expand its horizon and gain insight into the activities used at other fund raising institutions to raise money as to inspire UEF to develop new fund raising activities. This resulted in the following research objective:

To give a coherent overview of fund raising activities conducted at some other universities and fund raising institutions and provide a conceptual framework to list and review those activities and by doing so inspire the Ubbo Emmius Fonds when developing fund raising activities.

The conceptual framework is based upon two theories, namely the process of fund raising and the process of managing product development within fund raising institutions. The process of fund raising is elaborated upon by means of the ROPES model of Kelly. This model is used to clarify the different stages a fund raising institution has to go through, before the actual ‘ask’ for a donation can take place. The management of product development is elaborated upon by Tidd. Tidd identifies four aspects that are of influence when the process of product development has to be managed. The aspects identified by Tidd are strategy, effective implementation mechanisms, supportive organizational context and effective external linkages.

To provide an overview of fund raising activities case study research was conducted at five fund raising institutions being Nederlandse Kankerbestrijding/ KWF and the development offices of successively London University, the University of Glasgow, Strathclyde University and the University of Durham.

At all of the above mentioned fund raising institutes semi-structured interviews were held, based on assumptions derived from a literature study.

The conclusions drawn based on the theories used in the literature study are:

ROPES model, only used as a model to gain insight into the fund raising cycle, proved to be successful for this purpose.

2 Bulletin UEF: Samen met u willen wij de toekomst binnen halen, Groningen, 2000, p2

The aspects for the management of product development identified by Tidd have given the following answers based on the case study researches executed:

An adaptive mode (the strategy aspect) is very important for a fund raising institution. This is the best way in which a fund raising institutions is able to operate in its environment. Fund raising institutions do not extensively make use of the product life cycle. They do develop new fund raising activities, but also use all fund raising activities developed in the past, if proven successful.

An updated extensive database (the effective implementation mechanisms aspect) is very important for a fund raising institutions. Based on data available in the database, fund raising activities can be developed, fund raisers are managed and the stage in which each prospect is concerning the making of a donation to the fund raising institution is easy to retrieve.

Support of the management (the supportive organizational context aspect) is an important aspect for a fund raising institution. However without a supportive management, the fund raising institution can still successfully develop new fund raising activities.

Fund raising institutions successfully interest prospects into donating money for example by means of publishing articles about ‘giving by will’ in the alumni magazine (this is a form of the external linkages aspect). Fund raising institutions also extensively make use of consultancy agencies when they develop new fund raising activities. Although consulting such an agency is not an absolute guarantee for the development of successful fund raising activities.

Effective external linkages proves, by means of case study research, to be the aspect which, if used, makes the biggest difference while developing and executing fund raising activities. The other three aspects are identified at all fund raising institutions as well, yet if the fund raising institution does not operate in the way one would expect based on literature study to conduct and develop fund raising activities most effectively, the fund raising institution can still be successful. However all aspects should be taken into consideration if fund raising activities are developed.

Recommendations made to UEF Alumni

~ By means of articles about giving by will in ‘Broerstraat 5’

³

UEF can bring this subject under the attention of its alumni hereby stimulating people to donate money this way.

~ By giving a gimmick to for example all first year students, UEF is known by students as well.

~ UEF can communicate to its current students the fact that research programs and Chairs are already supported by companies and individuals through articles in the UK

⁴

or by giving gimmicks. Hereby making students aware of the fact that companies and individuals already support the RuG, and the purposes this money is used for. So introducing more of a ‘culture of giving’ subtly.

~ To gain insight into the wishes and needs of its alumni, UEF can conduct a survey by means of a questionnaire among all alumni. This will provide a lot of information about the extent and the way in which alumni want to support the university.

3 Alumni magazine of the RuG

4 Weekly issued University paper of the RuG

~ UEF can start an annual giving program, approaching the alumni by phone by a current student body of the alumni’s former faculty, to ask him to financially support for example the EBF. This is yet another way of involving students in fund raising activities and at the same time approaching alumni actively, also the alumni that are not of interest for the larger projects.

~ UEF can stimulate the formation of alumni associations as those can help give the RuG more of a face in the rest of the world as well as strengthen the tie of RuG alumni worldwide. At the same time those groups can be stimulated to financially support their alma mater.

~ UEF can organize gift clubs. These gift clubs can be used as a ‘thank you’ towards donators and at the same time give donators the opportunity to meet like-minded people hereby creating a network opportunity for those donators.

~ UEF can promote smaller gifts and at the same time acknowledge those gifts by giving alumni the opportunity to for example buy a book for one of the libraries with the plate of the donator placed on the front-page of the book. Hereby acknowledging those gifts as well.

~ UEF can give its alumni the opportunity to apply for a RuG email address, as this give UEF the ability to keep its database up-to-date and alumni will keep feeling connected with the RuG.

Organization UEF

~ By monitoring the fund raisers in their activities through database management, UEF is able to gain a better overview of the progress of all contacts at any time.

Organization RuG

~ RuG should integrate the development office with both marketing and communications as to create synergy inside the RuG and transparency towards its environment.

Having given an overview of activities used at other fund raising institutions to raise funds, a few limitations are made in reference to this research.

Due to limited given at the fund raising institutions that participated in this research to interview people working there, probably some remarkable and distinctive features enabling the development office to operate the way they do have not fully been exposed due to this limited time.

The emphasis of this conceptual model, and thereby on the research, is mere on structure than process. The reason for this being that the theories chosen emphasize this perspective. Yet, only following the pre-described steps as given in theory does not guarantee a successful development of new fund raising activities if the process dimension is not taken into account.

One of the process dimensions is for example that a lot of fund raising has got to do with the emotions of the people that donate money. Yet the reason why people donate money has not been empirically studied in this research by for example interviews with prospects. This is a flaw in the research.

Some theories used in this research to explain the aspects identified by Tidd proved to overlap while describing the case studies.

All case studies, and thereby the fund raising activities conducted at other fund raising institutions, must be seen in the context in which the respective fund raising institution operates. They can not simply be copied by another fund raising institutions, this fund raising institution needs to adapt the activity to her specific situation.

The influence of culture on the donation behaviour of people has not been taken into account in this research.

Contents

P

REFACE

M

ANAGEMENT SUMMARY

CHAPTER 1 INTRODUCTION 10

1.1 R

IJKSUNIVERSITEIT

G

RONINGEN

(R

U

G) 11

1.2 R

ESEARCH BACKGROUND

11

1.2.1 H

ISTORY OF FUND RAISING FOR EDUCATION IN THE

N

ETHERLANDS

11

1.2.2 C

URRENT FINANCING OF UNIVERSITIES

12

1.3 U

BBO

E

MMIUS

F

ONDS

(UEF) 13

1.3.1 D

EVELOPMENT OF THE

U

BBO

E

MMIUS

F

ONDS

13

1.3.2 O

BJECTIVE AND

A

CTIVITIES

13

1.3.3 P

ROBLEMS IDENTIFIED WHILE RAISING FUNDS IN THE

N

ETHERLANDS

14

1.3.4 P

ROBLEM

-

OWNER

14

1.4 P

ROBLEM STATEMENT

15

1.5 D

EFINITIONS

15

1.6 O

UTLINE OF THE CHAPTERS

16

CHAPTER 2 METHODOLOGY 18

2.1 A

PPROACH

18

2.2 P

ROCESS SCHEME

18

2.3 C

ONCEPTUAL MODEL

19

2.3.1 J

USTIFICATION OF THE CONCEPTUAL MODEL

19

2.3.2 E

XPLANATION CONCEPTUAL MODEL

20

2.4 S

COPE

23

2.4.1 N

ATIONAL

23

2.4.2 I

NTERNATIONAL

23

2.5 D

ATA COLLECTION

24

2.5.1 S

ELECTION OF THE CASES

24

2.5.2 R

EPRESENTATIVENESS OF THE CASES

25

CHAPTER 3 THEORY 27

3.1 P

ROCESS OF FUND RAISING

29

3.1.1 F

UND RAISING MODEL

29

3.2 M

ANAGEMENT OF PRODUCT DEVELOPMENT WITHIN A FUND RAISING INSTITUTION

33

3.2.1 S

TRATEGY

33

3.2.1.1 L

IFE CYCLE

34

3.2.1.2 M

ODES

35

3.2.2 E

FFECTIVE IMPLEMENTATION MECHANISMS

36

3.2.2.1 F

IRST GENERATION KNOWLEDGE MANAGEMENT

36

3.2.2.2 S

ECOND GENERATION KNOWLEDGE MANAGEMENT

37

3.2.3 S

UPPORTIVE ORGANIZATIONAL CONTEXT

38

3.2.4 E

FFECTIVE EXTERNAL LINKAGES

39

3.2.4.1 A

GENDA

-

FORMATION

39

3.2.4.2 S

OCIAL PSYCHOLOGY ASPECTS OF INDIVIDUAL BEHAVIOUR

41

3.2.5 P

RODUCT DEVELOPMENT

43

CHAPTER 4 STATISTICAL DATA AND DEMOGRAPHIC DEVELOPMENT 45

4.1 T

HE

D

UTCH PHILANTHROPIC SECTOR

45

4.1.1 G

ENERAL

45

4.1.2 E

DUCATION

46

4.2 C

OMPARISON OF PHILANTHROPY FOR EDUCATION BETWEEN THE

UK, USA

AND THE

N

ETHERLANDS

47

CHAPTER 5 CASE STUDY RESULTS 49

CHAPTER 5 CASE STUDY RESULTS 50

5.1 P

ROCESS OF FUND RAISING

51

5.1.1 F

UND RAISING PLAN

51

5.2 M

ANAGEMENT OF PRODUCT DEVELOPMENT WITHIN FUND RAISING INSTITUTIONS

52

5.2.1 L

IFE CYCLE

52

5.2.2 A

DAPTIVE MODE

53

5.2.3 K

NOWLEDGE MANAGEMENT

55

5.2.4 M

ANAGEMENT BOARD

57

5.2.5 S

OCIAL PROOF

57

5.2.6 A

GENDA

-

FORMATION

58

5.2.7 M

ARKET RESEARCH

60

CHAPTER 6 CONCLUSIONS AND RECOMMENDATIONS 62

6.1 C

ONCLUSIONS

62

6.1.1 T

HEORETICAL CONCLUSIONS

62

6.1.2 A

CTIVITIES CONDUCTED AT OTHER FUND RAISING INSTITUTIONS

64

6.2 L

IMITATIONS TO THE RESEARCH

65

6.3 R

ECOMMENDATIONS

UEF 66

6.4 U

SEFULNESS OF THIS RESEARCH FOR OTHER FUND RAISING INSTITUTIONS

68

6.5 R

ECOMMENDATIONS FOR FURTHER RESEARCH

68

BIBLIOGRAPHY 70

APPENDICES

Chapter 1 Introduction

‘Charitable organizations exist solely to make an adequate and relevant response to needs unmet by statutory provision’

⁵

The above draft from a newspaper, although giving an individual view, shows the fact that people in Europe are more and more aware of the way USA financially shape their universities and the way European universities can learn from this method. This is at the same time the aim of the research conducted for this thesis. In this chapter an overview is given of the research background thereby giving the context in which the research objective is answered.

What lies beneath the research question? What was the reason Ubbo Emmius Fonds (UEF) was founded in the first place and in what light can the developments from there on be seen?

To give answer to the above-mentioned questions as well as to other questions that play a role in this research, the following themes are elaborated upon. First the foundation of the Rijksuniversiteit Groningen (RuG) is told.

Next the development of the way money is granted to education in the Netherlands during past centuries is explained. With both of these aspects illustrated the two main reasons for the foundation of UEF are dealt with.

Hereafter, the foundation of UEF and the services it offers are clarified. With the background of the research given, the problem-statement as well as the research-question is presented. Hereafter terms often used in this thesis are explained. Finally an overview is given of the subjects elaborated upon in the following chapters.

5 Mullin, R., Foundations for Fund-Raising, Hemel Hempstead (UK): ICSA Publishing Limited, 1995, p21

‘European universities should, like their American counterparts, attract more funds from companies and wealthy individuals. Otherwise, they will lose the competition with private universities in the USA.

If we really want to win the battle with US universities, then we will have to look for other ways of financing. Just like in the USA, a lot of money should be derived from the private sector, as said by miss Reding, European commissioner for the European Union.

Besides the competition between European and American universities, two other objectives are supported when these funds are raised, according to miss Reding. The funds raised can be used to compensate the financial setbacks in research and education resulting from declining of government funding. Besides, a lot of students from Asia, Latin America and Africa now attend American universities and thereby go home with an American view of the world. A more hybrid view of the world, as any university in Europe can give them, will be a healthy counterpart and yet another reason to attract those students’.

(NRC Handelsblad, September 19^th 2003)

1.1 Rijksuniversiteit Groningen (RuG)

The RuG is the second oldest university in the Netherlands, founded on the 23rd of August in 1614 and part of the Coimbra group

⁶

.

The former ‘hogeschool’ started with six professors. The first principal was Ubbo Emmius. During the first three centuries the money necessary to be able to continue to educate students was not always available. In the 17th and 18th century this was due to either the siege of Groningen or differences in views between professors. These sorts of problems led to a reduction in the number of students that started their education at the RuG. This in turn led to a decline in income several times. In 1815 King Willem I granted among other ‘hogescholen’ Groningen the standing of Rijkshogeschool. Several times hereafter the province as well as the city of Groningen had to financially support the Rijkshogeschool, since the minister of education could not provide the budget needed.

From 1876 on, the law on higher education provided the continuation of the Rijkshogeschool whereby, from that moment on, it became known as Rijksuniversiteit Groningen.

Due to the fact that it is the only university in the north of the Netherlands, it has a strong regional function. At this moment the university educates 21.000 students and employs about 5.600 people. It counts ten faculties and is the only university in the Netherlands that offers the whole spectrum of studies. From medicine to economics, social studies as well as engineering. Her budget is about 435

⁷

million Euro each year. The RuG is one of the three largest universities in the Netherlands

⁸

.

1.2 Research background

1.2.1 History of fund raising for education in the Netherlands

‘Fund raising activities have been established for over 2000 years’

⁹

. Though information about the Dutch non- profit sector is only available from medieval times onward, when the spiritual and the guild took care of those in need, mainly the poor and ill. Besides this, they also supported education

¹⁰

.

The development of the Dutch non-profit and the role it played in education can be divided into three periods.

‘During the first period, from the foundation of the RuG until 1870, education was financed by gifts of churches, philanthropists, mecenasses, the bourgeoisie and local government’

¹¹

. ‘Higher education was hardly an issue for parliament during this period’

¹²

. Higher education was entirely entrusted to the venerable universities of Leiden, Groningen and Utrecht. Freedom of education had been part of the new liberal Constitution of 1848, and in 1857 the official encumbrances discouraging private schools were removed as well. The religious communities, however, would be satisfied with nothing less than government financing for denominational schools. The second period, from 1870 onwards, started with the foundation of the first private university in the Netherlands,

6 The Coimbra Group is an association of long-established European multidisciplinary universities of high international standard committed to creating special academic and cultural ties in order to promote internationalisation, academic collaboration, excellence in learning and research, and service to society.

7 http://www.rug.nl/bureau/expertisecentra/fed/fedoud/hoofdadministratie/jaarverslag/kerncijfers

8 Informatiegids 2003-2004Rijksuniversiteit Groningen, Assen: Van Gorcum, p1

9 Mullin, R., Foundations for Fund-raising, Hemel Hempstead (UK): ICSA Publishing Limited, 1995, p14

10 Burger, A., P. Dekker(red.), Noch markt, noch staat, de Nederlandse non-profitsector in vergelijkend perspectief, Den Haag: Sociaal en Cultureel Planbureau, 2001, p81

11 Ibid., p81

12 Geiger, R.L., Private Sectors in Higher Education: Structure, Function and Change in Eight Countries, Michigan (USA): The University of Michigan Press, 1986, p90

the Vrije Universiteit in Amsterdam (VUA). ‘Founded and financed by the Calvinists and led by Abraham Kuyper. Funds where collected each Sunday at the Calvinist churches to provide the VUA with sufficient resources’

¹³

. This can actually be seen as the first structural private financing of higher education. Due to a new constitution ratified in 1905, the VUA gained authority to grant degrees. The third period started in 1948. The government increased the funding of private universities from 50% in 1948 up to 100% in 1970. Thereby levelling both public and private universities

¹⁴

. Although funds were raised in churches for private universities, other Dutch universities did not raise funds, mainly since the money appointed to them by the government covered the expenses. However, due to a decrease in government funding the last twenty years, the necessity for universities to raise money elsewhere became greater.

1.2.2 Current financing of universities

The current financing of universities in the Netherlands consists of three different ‘streams’. The so-called

‘direct government funding’ (eerste geldstroom). This money assigned to the Dutch universities by government can be used any way the universities deem appropriate. ‘They can use the money either to sustain, improve or develop and can make their own decision to use this money for education or research’

¹⁵.

The Dutch scientific research institutions NWO (Nederlandse organisatie voor Wetenschappelijk Onderzoek) and KNAW (Koninklijke Nederlandse Akademie van Wetenschappen) assign the money to universities, which is also known as ‘indirect government funding’ (tweede geldstroom). These institutions, being an intermediar for the government, determine which research projects meet the regulations set by the institutions and base their funding on the way in which research proposals meet these standards. The last way in which universities are financed, called ‘commercial funding’ (derde geldstroom), is the financial participation of companies and

C o l l e g e f e e

G o v e r n m e n t *

E d u c a t i o n D i r e c t G o v e r n m e n t

F u n d i n g

I n d i r e c t G o v e r n m e n t F u n d i n g

C o m m e r c i a l F u n d i n g

P r i v a t e s e c t o r S u b j e c t t h e s i s R e s e a r c h

N W O / K N A W

MinisteryofEducation University

* B e i n g f o r e x a m p l e a m i n i s t r y o r t h e E u r o p e a n U n i o n

Figure1.1 Financing of Universities¹⁶

13 Geiger, R.L., Private Sectors in Higher Education: Structure, Function and Change in Eight Countries, Michigan (USA): The University of Michigan Press, 1986 p91

14 Ibid, p94

15 Goey, C.A. de, Th.N.M. Schuyt, Filantropisch geld en Nederlandse universiteiten: Verkenning van de stand van zaken en aanbevelingen voor de toekomst, Amsterdam: Vrije Universiteit, 2003, p9

16 Ibid., p10

individuals in research and other projects as mentioned in paragraph 1.3.2. However government, like a ministry or the European Union, can also be a partner in the contract-research executed by universities and financed with commercial funded money. Universities in the Netherlands mainly depend on the first two streams of money for their research-projects. But the last twenty years these streams are steadily decreasing. This is why universities have to start focusing on commercial funding. Sometimes a fourth stream of money (‘vierde geldstroom’) is introduced

¹⁷

. By this money generated from sponsoring, alumni-policy, merchandising and the commercial rent of facilities, not from research and education results, is meant. In this research however, this distinction is not made.

1.3 Ubbo Emmius Fonds (UEF)

1.3.1 Development of the Ubbo Emmius Fonds

Besides the above mentioned developments in government policy with regard to the financial sources of the university, the Board of Governance was curious if the RuG could start with the structural acquisition of funds.

This resulted in the formation of a committee in 1994, which conducted a study in order to answer this question.

Based on the results of this study the Board of Governance gave fund raising consultancy agency Brakeley the order to conduct a feasibility study concerning friend raising and fund raising at the RuG. The advice Brakeley gave resulted in the foundation of UEF in 1997

¹⁸

. During the first three years an ‘in-house resident consultant’ of Brakeley worked at UEF as well. These years were mainly used to find staff members, members for the Board of UEF and of course the identification of projects that needed commercial funding. The melting of these activities resulted in the start of the Campaign in January 1999. As of January 2003 the Alumni relations department and the Fund raising department (which is UEF) are officially merged into the Centre for Alumni relations and Fund raising (A & F). Working relations had already been established in 1999. Due to the working relation it was mere a merge in name than in function. However, the name UEF is used in this thesis. The organization scheme clarifying the place of UEF within the university can be found in appendix I.

1.3.2 Objective and Activities The objectives of UEF are:

~ Enlarging the mutual commitment between society and the university.

~ Obtaining a culture change within the RuG with respect to fund raising and stewardship.

~ The raising of funds for special projects executed at the RuG.

In order to do this UEF is the mediator between university and society

¹⁹

. UEF receives projects from for example the faculties and the Board of Governance. These projects range from Chairs, research projects, and scholarships for students from third-world countries to the digitizing of a photo-archive. All support the objectives mentioned.

Besides the projects that are suggested by UEF, a prospect can also initiate a project.

Money for these projects is raised by companies and individuals. This is done in a few different ways:

17 Goey, C.A. de, Th.N.M. Schuyt, Filantropisch geld en Nederlandse universiteiten: Verkenning van de stand van zaken en aanbevelingen voor de toekomst, Amsterdam: Vrije Universiteit, 2003, p10

18 Ubbo Emmius Fonds RuG: terugblikken en vooruitkijken, een evaluatie, concept rapportage december 2000, p1

19 Bulletin UEF: Samen met u willen wij de toekomst binnen halen, Groningen, 2000, p1

~ Organizations in which members of the Board of UEF work are stimulated to contribute financially to research projects.

~ The network of board members is used to get in touch with new companies and individuals who can contribute to research projects.

~ Last Christmas the first alumni activity to raise funds was organized called the Erik Bleumink Campaign.

Funds were raised for the Erik Bleumink Fonds (EBF) through a direct mailing send to all alumni. EBF gives excellent students from third-world countries the opportunity to study at the RuG.

~ The last way in which UEF raises funds is by direct appeal to prosperous alumni.

1.3.3 Problems identified while raising funds in the Netherlands

During the years UEF is in operation it encountered a few problems while raising funds for the RuG:

~ Larger gifts, for example 2,5 million Euro are highly unusual. Even gifts of 500.000 Euro are rare.

~ A lot of donators only want to participate in a project if they are not the only ‘investor’.

~ Many regional prospects, like ‘KPN’ and ‘Gasunie’, were participating in other projects at the RuG already

²⁰

.

Besides these arguments Schuyt

²¹

finds in his research conducted that ‘the donation behaviour of Dutch people’

rarely includes education. Chapter four gives a statistical overview of this behaviour. Most people still hold the government responsible for the financing of universities. Whereas in the UK and USA it is already far more common to financially support education.

1.3.4 Problem-owner

In order to clarify the perspective from which this thesis is written, the problem-owner is defined. ‘A problem can be defined as a situation in which a subjective feeling of discomfort of a problem-owner is mixed with the wish to do something about that. A problem-owner is an individual member of an organization that has a problem, or is worried about something’

²²

.

UEF, more in particular Professor Sanders

²³

, has the idea that a lot is going on in the ‘fund raising-world’, yet that UEF has lost some of its dynamics to either see or grasp the opportunities. This is due to the daily business and lack of time to conduct a thorough study and adjust and develop where needed the necessary activities to raise funds. It is for this reason that Sanders wanted research to be executed towards new developments within this market. Sanders can therefore be addressed as the problem-owner. However, since the research is conducted for UEF, UEF is also affected by this research. UEF is after all the one that needs to develop new fund raising activities.

The RuG was the first university in the Netherlands that founded a development office and started a Campaign Team to conduct fund raising full-time. With this in mind, it is not surprising that the RuG, and especially UEF, is again the first university in the Netherlands to pursue new activities of fund raising. At this time other universities are starting to professionally raise funds. It is therefore in the best interest of UEF to continue this

20 Ubbo Emmius Fonds RuG: terugblikken en vooruitkijken, een evaluatie, concept rapportage december 2000, p6

21 Schuyt, Th.N.M., Geven in Nederland 2003, Giften, Legaten, Sponsoring en Vrijwilligerswerk, Houten/Mechelen: Bohn Stafleu Van Loghum, 2003, p129

22 Leeuw, Prof.Dr.Ir.A.C.J. de, Bedrijfskundige Methodologie, Management van onderzoek, Assen: van Gorcum & Comp B.V., 1996, p174

23 Geert Sanders is Managing Director of UEF

development, in order ‘to maintain its leading position in fund raising and at the same time guarantee that the RuG is and will remain a top university’

²⁴

, and search for new activities. This is why UEF wants to see how fund raising is conducted at fund raising institutions as well as at development offices at universities that are both 'longer in business' and, or, are in their branch known for their successful fund raising activities. It should also be noted, that the RuG is still the only public university in the Netherlands, which has a development office with full-time eight staff members.

1.4 Problem statement

With the research background given, the problem statement is presented. A problem statement can be divided in a research objective and a research question. De Leeuw

²⁵

explains the difference between the research objective and the research question accordingly:

'A research objective answers the knowledge purpose of the research, while a research question answers the knowledge interest'.

The research objective is:

To give a coherent overview of fund raising activities conducted at some other universities and fund raising institutions and provide a conceptual framework to list and review those activities and by doing so inspire the Ubbo Emmius Fonds when developing fund raising activities.

The research question is:

What can the Ubbo Emmius Fonds learn from other fund raising institutions concerning activities of fund raising?

Sub questions:

1. How can the process of fund raising be modelled?

2. How can the managing of product development in fund raising institutions be modelled?

3. How is fund raising conducted at the Nederlandse Kankerbestrijding/ KWF, London University, University of Glasgow, Strathclyde University and the University of Durham?

4. How is the process of fund raising conducted for the different groups addressed?

5. How are the ideas for new fund raising activities generated?

6. What are the pitfalls these institutions encountered while developing new activities of fund raising?

7. What are the results from these activities the above-mentioned institutions use to raise funds?

1.5 Definitions

Since some terms are often used during this thesis the definition is given of these terms. Both to clarify the terms and to provide the necessary demarcation.

Activities: By activities are meant the different approaches used by fund raising institutions to raise funds.

24 Bulletin UEF: Samen met u willen wij de toekomst binnen halen, Groningen, 2000, p1

25 Leeuw, Prof.Dr.Ir.A.C.J. de, Bedrijfskundige Methodologie, Management van onderzoek, Assen: van Gorcum & Comp B.V., 1996, p85

Figure 1.2 Continuum of donating money

Agenda-formation: By agenda-formation is meant ‘individual influence on decision making in an organization’.

The process of calling attention to an issue is described as an ‘agenda-formation’ process

²⁶

. Campaign: A campaign is a structured activity to raise funds over a longer period of time.

Contract research: Contract research is research executed by a researcher using money from for example a company in addition to the money given by NWO or KNAW. The company donates money because they have an own interest in the research results. As a consequence of the financial participation of a company in the research, the researcher is obligated to present and give the research results to the company as well. See also figure 1.2.

Development Office: A development office is the fund raising institution of a university.

Fund raising institutions: When talking about fund raising institutions in this thesis, both development offices and other fund raising institutions are meant.

Innovative: When searching for new developments within the fund raising market the word innovative is used.

Literally it means ‘to make something new’

²⁷

. However, in this research innovative is seen as an activity that is perhaps already executed at other fund raising institutes, yet has not been brought to practice at UEF. It is the successful exploitation of new ideas.

Philanthropy: ‘Philanthropy can be defined as voluntary giving of either time and or money for the common good’

²⁸

. In contrast with sponsoring the donator does not expect to get something in return. See also figure 1.2.

Prospect: Someone who can be of financial interest for a fund raising institution, a company or an individual, is named a prospect.

Sponsoring: ‘When a company conducts sponsoring, a contractual enforced return, for example the mentioning of the company’s name on promotion material, is agreed upon’

²⁹

. See also figure 1.2.

1.6 Outline of the chapters

The following chapters give an overview of the research conducted. The second chapter explains the methodology, how the research was executed. Next, in chapter three, the literature used to gain insight into the different points of view of developing fund raising activities at fund raising institutions is elaborated upon to

26 Dalen, van,J.Chr., Agendering in organisaties:afstemming tussen individuele en organisatieplannen en een gemeente-organisatie, Proefschrift, Sneldruk Enschede, 1987, p216

27 Tidd, J., J. Bessant, K. Pavitt, Managing Innovation: Integrating Technological, Market and Organizational Change, West Sussex (UK), John Wiley & Sons Ltd., p24

28 Schuyt, Th.N.M., Geven in Nederland 2003, Giften, Legaten, Sponsoring en Vrijwilligerswerk, Houten/Mechelen: Bohn Stafleu Van Loghum, 2003, p25

29 Burger, A., P. Dekker(red.), Noch markt, noch staat: de Nederlandse non-profitsector in vergelijkend perspectief, Den Haag: Sociaal en Cultureel Planbureau, 2001, p147

Sponsoring Contract research Philanthropy

Fund raising

With recompensation Nothing in return

provide a solid ground for the case study research. Before the actual data gathered is presented, chapter four

gives a statistical overview of the philanthropic sector in the Netherlands compared with the UK, where research

for this thesis has also been conducted, as well as with the USA. With the methodological and theoretical

framework the context of this thesis has been set. Hereafter the research results gained through case studies are

presented in chapter five. In chapter six, the conclusions of the research executed are presented, the limitations of

the research are elaborated upon and recommendations are made to UEF.

Chapter 2 Methodology

‘Structure follows strategy

³⁰

’

In the previous chapter the research background has been given. This chapter elaborates upon the way the research is conducted; the methodology. ‘The main purpose of the methodology, also known as research design, is to help avoid the situation in which the evidence does not address the initial research questions’

³¹

. Part of the methodology is the conceptual model, which provides the framework of the research. Besides the conceptual model a process scheme gives insight into the different steps of the research and the sequence in which these steps are taken. Next, the scope of this research is elaborated upon. Lastly, the way data is collected and the choice for the institutions that have been interviewed for the case study is explained.

2.1 Approach

‘To conduct research, a choice has to be made in reference to the different ways by which research can be executed. Research can be conducted in five forms namely experiment, survey, archival analysis, history and case study’

³²

.

Distinctive features on which the choice for that specific form of research is based characterize all of these options. This research can be labelled as case study research as ‘the case study is a way of investigating an empirical topic following a set of pre-specified procedures’

³³.

To be able to conduct a case study, one has to look at three different criteria. ‘First of all the question asked needs to be in either the ‘how’ or ‘why’ form. Second, the researcher does not have control over the events and third, the focus lies on contemporary events’

³⁴.

Case study research can be executed both as a single case study as well as a multiple case study. Since this research intends to learn from other fund raising institutions for new activities to raise funds, it is in the best interest for the results of this research to execute a multiple case study.

2.2 Process scheme

With the approach specified, a clearer understanding of the sequence in which the research is conducted is provided by the process scheme, figure 2.1

³⁵

. The process scheme divides the different stages of the research. It gives insight in the research construction. First of all the research starts with a literature study based on the conceptual model. The literature study concludes with assumptions. Interview questions used to conduct the case studies are based on these assumptions and ‘tested’ in practice in order to see if other organizations that raise funds successfully show the same features one would expect studying the literature. When the case studies have been conducted conclusions are drawn. These imply how fund raising works ‘in practice’. With both the theoretical and empirical research executed, overall conclusions and recommendations can be made to UEF.

30 Chandler, A.DJr., Strategy and Structure: chapters in the history of the industrial enterprise, Cambridge (UK): M.I.T., Press, 1962

31 Yin, R. K., Case Study Research, Design and Methods, Thousand Oaks (USA): Sage Publications, 1994, p20

32 Ibid., p6

33 Ibid., p15

34 Ibid., p9

35 Ibid., p49

D r a w c r o s s - c a s e

c o n c l u s i o n s

D e v e l o p p o l i c y i m p l i c a t i o n s

W r i t e c r o s s - c a s e r e p o r t C o n s i d e r

t h e o r y

D e s i g n d a t a c o l l e c t i o n p r o t o c o l

S e l e c t c a s e s

C o n d u c t 4 t h c a s e s t u d y C o n d u c t 2 n d c a s e s t u d y C o n d u c t 1 s t c a s e s t u d y

W r i t e i n d i v i d u a l c a s e r e p o r t

W r i t e i n d i v i d u a l c a s e r e p o r t

W r i t e i n d i v i d u a l c a s e r e p o r t M a k e

a s s u m p t i o n s

= L e a r n i n g e f f e c t b e t w e e n c a s e s

D e f i n e a n d D e s i g n P r e p a r e c o l l e c t a n d a n a l y z e A n a l y z e a n d c o n c l u d e

C o n d u c t 5 t h c a s e s t u d y C o n d u c t 3 r d c a s e s t u d y

W r i t e i n d i v i d u a l c a s e r e p o r t W r i t e i n d i v i d u a l c a s e r e p o r t

Figure 2.1 Process scheme (modified from Yin)

2.3 Conceptual model

The conceptual model identifies and integrates the different theories used. These are the theories that form the foundation of the research as ‘the use of theory, in doing case studies, not only is an immense aid in defining the appropriate research design and data collection method but also becomes the main vehicle for generalizing the results of the case study’

³⁶

. The conceptual model illustrates the basis for the structure of this research. ‘The model only covers the most important aspects and relations to provide an overall picture to answer the research question’

³⁷.

2.3.1 Justification of the conceptual model

This research is executed to identify fund raising activities used at other fund raising institutions to raise money and by identifying these activities inspire UEF in the development of her activities to raise funds.

To identify activities as to inspire UEF, different methods can be used. One of those methods could be to conduct a literature study towards activities used to raise funds in the philanthropic branch. By doing this, many activities can be identified. Yet, the experiences, so important in this branch can hardly be found in literature.

Literature study would indeed provide a lot of ideas, however, the aspects and context that heavily influence the actual execution of these activities are not taken in consideration at all. Hereby missing an important dimension.

For this research, case study research has been chosen (see also paragraph 2.1). Interviews at several fund raising institutions are taken as to be able not only to identify fund raising activities conducted at other fund raising institutions, but also to learn from those institutions, their successes and mistakes and being able to recognize the context in which the activities are executed. But to identify the aspects that influence the fund raising activities, one first has to conduct literature study to both fund raising institutions and the management of development processes. Both these processes are integrated in the conceptual model. This model can thereafter be used to diagnose the different fund raising institutions and the context in which the raise funds and have developed fund raising activities.

36 Yin, R. K., Case Study Research, Design and Methods, Thousand Oaks (USA): Sage Publications, 1994, p32

37 Leeuw, Prof.Dr.Ir.A.C.J. de, Bedrijfskundige Methodologie, Management van onderzoek, Assen: van Gorcum & Comp B.V., 1996, p56

Since the fund raising branch is complex and specific, theoretical information about fund raising is necessary in order to understand the environment in which fund raising institutions operate. ROPES model, a model developed to gain insight into this process of fund raising by Kelly

³⁸

, is used. ROPES model is chosen because it is a model clearly explaining the connection and the steps that have to be taken in a fund raising process clearer than for example the fund raising model of Mullin

³⁹

. Besides, references are made to ROPES in almost all fund raising literature studied for this research. It is a well-known and often used model.

Considering the management of product development, theoretical information is needed as well. With the development of new activities, one not just sits around a table, generates some ideas and immediately brings these ideas into action asking people straight away for the money needed. On the contrary, a good plan and support of the people both executing and supporting the plan are needed. Tidd identifies the ‘four components’

that influence the actual management of product development

⁴⁰

. The choice to use Tidd is based upon the argument that recent research in the field of innovation management, including product development, suggests that it is no longer sufficient to focus on a single dimension of innovation. Technological, market and organizational change interact. Therefore, an integrative approach to the management of innovation is required.

Besides, Tidd addresses not only the strategic but also the operational level for the knowledge to understand and the skills to manage innovation. As such Tidd provides a coherent framework in which to understand the various issues involved while managing innovation.

Lastly, the product-market matrix, developed by Ansoff

⁴¹,

is chosen because it gives the clearest insight into the different sorts of product development a fund raising institution can choose from. The choice for the product- market matrix is based upon the fact that it is the clearest model giving insight into the different paths a fund raising institution can choose from while deciding in which way it wants to develop new activities.

2.3.2 Explanation conceptual model

With the choice of theories used in the conceptual model elaborated upon, the model itself is presented. The above-mentioned theories are visualized in figure 2.2.

One remark has to be made. The conceptual model is used in this research as a framework, to diagnose fund raising institutions and hereby gain insight into the context in which fund raising institutions raise funds and develop new activities to raise funds. However looking at the conceptual model, development of fund raising activities might seem a static process, only depending on the four aspects identified in the model. But the model is only used to identify and integrate the different theories used, as to give insight in the correlation between the different theories. Developing fund raising activities can not be done successfully in the long run without giving enough attention to the several aspects that influence the development process.

38 Kelly, S.K., ROPES: A Model of the Fund Raising Process, in: Greenfield, J.M., The Non Profit Handbook, Fund Raising, Third Edition, New York (USA): John Wiley & Sons Inc., 2001, p97

39 Mullin, R., Foundations for Fund-Raising, Hemel Hempstead (UK): ICSA Publishing Limited, 1995

40 Tidd, J., J. Bessant, K. Pavitt, Managing Innovation: Integrating Technological, Market and Organizational Change, West Sussex (UK):

John Wiley & Sons Ltd., p48

41 Ansoff, H.I., Strategies for Diversification, Harvard Business Review, 35 (September – October 1957), 113-124 in: Urban, G.L. &

J.R.Hauser, Design and Marketing of New Products, Upper Saddle River (USA): Prentice Hall, 1993, p24

P r o d u c t D e v e lo p m e n t M a r k e t P e n e tr a t io n

M a r k e t D e v e l o p m e n t D i v e r s if i c a ti o n E x is ti n g M a r k e ts

N e w P r o d u c t s E x i s t in g P r o d u c ts

N e w M a r k e ts

S t r a t e g y

E f f e c t i v e I m p l e m e n t a t i o n

M e c h a n i s m s

S u p p o r t i v e O r g a n i z a t i o n a l C o n t e x t

E f f e c t i v e E x t e r n a l L i n k a g e s

F o c u s a r e a t h i s r e s e a r c h

F u n d R a i s i n g

Figure 2.2 Conceptual model⁴²

Although the model might underexpose the dynamic, process-oriented aspect and thereby seem static, this does not mean that that aspect is not of importance for the development of new fund raising activities. Yet, the choice was made in this research to use the approach clarified in the conceptual model. That the dynamic aspect is of influence on the fund raising activities at fund raising institutions does become clear in chapter five, when the case study results are elaborated upon.

Each of the four aspects and the product-market matrix is elaborated upon by means of theory in chapter three.

To be able to apply these theories in practice, assumptions are made for each theory (see also the process scheme). The assumption concerning the respective theory are also given in chapter three.

Process of fund raising

Effective activities to develop and improve fund raising within fund raising institutions can be used and seen in many ways. However, in this research product development and improvement is seen in the light of fund raising.

It is for this reason that a circle is drawn around the product-market matrix and the four aspects.

Management of product development within fund raising institutions

When looking into the different choices that can be made with the development of new activities, a few aspects influence the management of these choices. These aspects, identified by Tidd

⁴³

are: strategy, effective implementation mechanisms, supportive organizational context and effective external linkages. Each of these aspects has to be taken into account to come to an effective and sustainable product development. What is meant

42 Products in this conceptual model must be seen as activities

43 Tidd, J., J. Bessant, K. Pavitt, Managing Innovation: Integrating Technological, Market and Organizational Change, West Sussex (UK):

John Wiley & Sons Ltd., p48

by each of these terms is explained more in detail in chapter three. However the descriptions used throughout this research when talking about these aspects are:

~ Strategy: Since this research is about developing new fund raising activities for markets, a marketing definition of strategy is chosen. Strategy, operationalized as strategic management, is ‘the need to understand how organizations relate to, and interact with, their environments, and stresses the necessity of maintaining a match between the products offered by an organization and the opportunities created by environmental conditions’

⁴⁴

. In this research the identification of the environment and the position fund raising institutions have in this environment is elaborated upon. Among other things the way the fund raising institution is shaped to this environment as well as the different activities it uses to raise funds are explained.

~ Effective implementation mechanisms: With effective implementation mechanisms the following questions are addressed: How does the organization cope with new ideas, how are these implemented in the existing structure? How are new ideas generated and how does the institution remain renewing in its organization of fund raising activities?

~ Supportive organizational context: This aspect elaborates on the extent to which the fund raising institution is supported by their management. In case of the universities the extent to which development offices are supported by the Board of Governance in their mission to raise funds is elaborated upon.

~ Effective external linkages: The way different fund raising institutions involve their alumni and prospects in their fund raising activities is explored. By this the involvement of prospects and well-known people is investigated, as well as the way in which the fund raising institution is aware of the reason why people donate money and the way in which the institutions uses this knowledge.

The centre of the model, the product-market matrix

⁴⁵,

is used to clarify the different kinds of products and markets which a fund raising can address. The product-market matrix gives insight in the different choices that can be made within the development of new activities. Examples of all of the four boxes in which to develop fund raising activities are:

~ Market Penetration: Continuation of the current activities used to address prospects. For example the approach of rich individuals in a personal way by custom-made appointments.

~ Product Development: Instead of approaching rich individuals in a personal way, a meeting is now organized with a group of rich individuals, already known by the fund raising institutions and on their prospects list. Instead of the old method of the fund raising institution, approaching those individuals on personal bases, they now organize a reception for a number of those prospects. Hereby supplying the prospect a network opportunity as well. At the same time the fund raising institutions hopes to appeal to the emotions of the group in order to motivate all of them to donate money.

~ Market Development: With market development, activities already being used by a fund raising institution to raise money are applied on a new group. Where at first rich individuals were approached individually, now also high potential students are approached individually. Keeping in mind that these students are

44 Barksdale, H.C. & C.E. Harris, Portfolio Analysis and Product Life Cycle, Long Range Planning, vol. 15, no6, pp 74-83, 1982 in: Caroll, C., Strategische Management, Faculty of Management and Organization, Groningen, 2000

45 Ansoff, H.I., Strategies for Diversification, Harvard Business Review, 35 (September – October 1957), 113-124 in: Urban, G.L. &

J.R.Hauser, Design and Marketing of New Products, Upper Saddle River (USA): Prentice Hall, 1993, p24

perhaps the influential and rich individuals of the future. The fund raising institutions tries to involve them earlier in the fund raising process, as by at the time they have money, they already are an active participant in the process.

~ Diversification: Applying this method means the development of a new fund raising method for a new market. For example organizing a lottery for the citizens of Groningen.

The above-mentioned examples clarify the four options a fund raising institution has when developing new activities. Yet the distinction made between those four options is not as hard as the model might suggest.

Between those options, for example between market penetration and product development, ideas are generated and a development can be noticed as well. In this thesis therefore, the emphasis is not only on those four options, and the fact that every fund raising activity should be placed in one of the four boxes at all costs, but also on the areas in between the options. As the beginning of each creative activity starts with ‘out-of-the-box’ thinking.

At this moment the fund raising activities of UEF can be placed at existing markets with existing activities, see also paragraph 1.3.2.

2.4 Scope

‘With a multiple case study, case selection and the definition of specific measures are important steps in the design and data collection process’

⁴⁶

. With the kind of problem statement given, the research can be very wide. If all factors that can be of influence on new activities of fund raising are taken into account, the research takes more than the predefined six months. The biggest risk while conducting research is not defining the scope of the research properly. Considering the above, it is clear that in order to find new activities a right scope is necessary.

2.4.1 National

In the Netherlands there are momentarily no other universities that have a development office with eight full time staff members. The reason for this probably being that the necessity to raise funds for research and education is only beginning, unlike for example in the UK. This necessity is directly linked to the will of universities to spend money on a development office. Another reason could be the anxiousness of some Boards of Governance at universities that, ‘by letting companies support your research, the independent view which characterizes universities will be jeopardized’

⁴⁷

. Because other universities in the Netherlands have not yet started fund raising at a professional level, UEF cannot learn from development offices operating in the same cultural environment. Therefore, the choice was made to interview Nederlandse Kankerbestrijding/ KWF. This can give an impression of the way in which and the reason why Dutch people donate money, as Nederlandse Kankerbestrijding/ KWF of course operates in the same cultural context. Although Nederlandse Kankerbestrijding/ KWF is active in a different branch of fund raising, Nederlandse Kankerbestrijding/ KWF can give a good indication of the way philanthropy is experienced in the Netherlands.

2.4.2 International

Since professional fund raising at universities through a development office is not yet conducted at other universities in the Netherlands besides the RuG, one has to travel outside of the Netherlands to learn from other

46 Yin, R. K., Case Study Research, Design and Methods, Thousand Oaks (USA): Sage Publications, 1994, p49

47 Translation of the opening speech for the Academic year 2002-2003 of the vice-chancellor of the University of Utrecht Prof.dr. W.H.

Gispen

development offices. Nevertheless, there is no way every 'innovative' or ‘new’ activity of fund raising can be covered. A choice has to be made. Since this research is about activities of fund raising for UEF at the RuG, the focus of study abroad is on universities in the UK. Although the USA has a longer history with regard to fund raising for education, it was not included in the data gathering. This is mainly due to the fact that it was not possible to conduct interviews at universities in the USA. However in chapter four, while presenting the statistical data, the USA has been taken into account. This is done to give a more extensive picture of the philanthropic sector in modern western society.

The scope of this research covers Great Britain, since it is in this country that fund raising for education is steps ahead of that in the Netherlands. The UK is further with its fund raising activities because of the declining of government funding for education at the end of the 80’s and an upgrade of the polytechnic schools, which are somewhat similar to the HBO, to the status of university during that same period. This led to a more competitive education market. At the same time, The Guardian, Times and other prominent newspapers started to publish rankings of all the universities in the UK. These rankings were based upon achievements in the research area, however, fund raising and the scale on which the university generated money by means of fund raising also influenced the place of the university in the ranking. These developments urged the need at the end of the 80’s to start a development office, in order not to stay behind in the competition for students.

2.5 Data collection

Data is essential for a case study research. ‘Yet the collecting of data needs to be done carefully in order to retain both the relevance and reliability of the research’

⁴⁸.

Besides a theoretical framework, elaborated upon in chapter three, that is given before data is collected as to guarantee that the right questions are answered (by means of assumptions derived from theory that are tested in practice) to be able to answer the problem statement, the actual data needs to be collected. Yin distinguishes six sources of evidence used often while conducting case study research; documentation, archival records, interviews, direct observation, participant-observation, and physical artefacts

⁴⁹

. In this multiple case study documentation, archival records, and interviews have been used as sources of evidence. The selection of the case studies were data was collected is elaborated upon next.

2.5.1 Selection of the cases

The most important part of case study research is to select case studies that help giving answer to the problem statement. The selection of the case studies for this research is done accordingly:

All of the contacts with development offices at other universities as well as with the Nederlandse Kankerbestrijding/ KWF in the Netherlands where arranged with the support of Professor Sanders.

The choice for universities at first was based upon the fact that they should be comparable to the RuG in either student amount, number of faculties etcetera and that there would be a direct link, that they could be approached

‘peer-to-peer’. This resulted in asking the University of Nottingham and the University of Stirling if they were willing to participate in the research by giving an interview at their development office. Due to circumstances at both development offices and the time-constraint of this thesis, both were not able to participate.

48 Leeuw, Prof.Dr.Ir.A.C.J. de, Bedrijfskundige Methodologie, Management van onderzoek, Assen: van Gorcum & Comp B.V., 1996, p23

49 Yin, R. K., Case Study Research, Design and Methods, Thousand Oaks (USA): Sage Publications, 1994, p78

As is mentioned in paragraph 1.3.1, fund raising consultancy agency Brakeley, provided an ‘in house resident consultant’ for a period of three years, supporting in the set-up of the UEF. President and Managing Director at Brakeley, John Kelly, visited UEF each month during that period, also for consultancy reasons. It was in this context that mister Sanders asked mister Kelly which development offices at universities mister Kelly considered innovative, based on his experience in the fund raising branch for education as a consultant. Mister Kelly thereafter suggested the development offices of the University of Glasgow, Strathclyde University and the University of Durham.

Mister Sanders, being member of a committee for CASE Europe

⁵⁰

, knows Joanna Motion Vice-President for International Operations for CASE, and asked her which universities she would recommend considering the problem statement. Miss Motion, also having a lot of experience in the fund raising branch especially for education, suggested interviewing London University

⁵¹

.

Besides those universities interviewed in the UK, the Nederlandse Kankerbestrijding/ KWF (Dutch Cancer Foundation) was interviewed.

Semi-structured interviews at each institution were held using a topic-list (appendix II).

The reason mister Kelly and miss Motion chose these institutions is based upon the following arguments:

London University brings together in a single federated structure, five of the world's most prestigious Colleges for art and design and related activities. London University was chosen, since it has just begun fund raising and already is very successful at it.

The University of Glasgow was chosen, since it is very similar to the RuG. The University of Glasgow has about the same student capacity and has ten faculties. It has been conducting fund raising activities for over a decade now. The University of Glasgow has held a very successful campaign for a new medical building.

Strathclyde University is chosen, because it has developed a new activity, ‘Strathclyde 100’ not yet seen at other universities and very successful.

The last university to be interviewed, the University of Durham, has very well integrated the full spectrum of activities for alumni, prospects, marketing and communication and is therefore very interesting.

Nederlandse Kankerbestrijding/ KWF was chosen because it has a long history of fund raising and a good reputation. Because of this and due to the fact that it operates in the Dutch fund raising branch, it was taken into the data collection as well. Although it does not deal with the problems caused by conducting fund raising activities at an university, it is informative to see how others manage to raise money in the Dutch fund raising branch. Besides, it is one of the larger health fund raising institutions in the Netherlands.

2.5.2 Representativeness of the cases

This research is only executed at a small number of fund raising institutions hereby being a small sample.

However, the results should be representative for the fund raising branch. To give some idea to be able to put the conducted case studies in perspective the place each university ranks in the ‘The Times top 100 universities’

⁵²

,

50 The Council for Advancement and Support of Education, a professional organization for advancement of professionals at all levels who work in alumni relations, communications, and development.

51 London University is still known as the London Institute as of this date, however, she has just been awarded the university status and will, by means of a big marketing campaign which is due spring 2004, proceed by the name of London University.

52 http://www.timesonline.co.uk/section/0,,716,00.html. The ranking is based upon: teaching assessment, research assessment, entry standards, student: staff ratio, library / computer spending, facilities spending.