. t. z . I. CA, .I .2312. . 3% .Ir »\ ..o A. up. it...) 3123?; '01.! utttuIn-rv’ is . 51.52.:th péi a, s . 31......” XI -\ . 3%...) 2: 3w..." tar, ......nS... n... : édéagauw» 01‘ $131.. 4 5'3‘\I.;‘ v. in?» . x ‘1 ”Eur... u. V. 33.23% 1:. vy is: ‘2‘ 4:37-79. .... I... \ h.» LEE... 5;. . : «.... ~ .o n... iv... .1: ixlv j“ “4,; ‘ ICHIGAN STATE llll ll :17?“ l lilill llfffl.lllililllllllllllll 3 1293 01026 9888 ll This is to certify that the dissatation entitled DEANS AS FUNDRAISERS: AN ANALYSIS OF FACTORS THAT CONTRIBUTED TO OR IMPEDED DEANS' PERFORMANCE DURING A CAPITAL CAMPAIGN presented by Bassey Iban Asuquo Ebiana has been accepted towards fulfillment of the requirements for Educational Ph - D° degree in Administration hazjor professor Date May 6, 1993 MSU L: an Affirmunw Action/Equal Opportunity Insrirulion 0 12771 LIBRARY . Mlchlgan State University ("v ‘- 1. -.. PLACE IN RETURN BOX to remove We checkout from your record. TO AVOID FINES return on or before date due. DATE DUE DATE DUE DATE DUE l MSU leAn Affirmative ActionlEquel Opportunity lnetltwm ‘ m1 DEANS :L‘ CONTRI DEANS AS FUNDRAISERS: AN ANALYSIS OF FACTORS THAT CONTRIBUTED TO OR IMPEDED DEANS’ PERFORMANCE DURING A CAPITAL CAMPAIGN By Bassey Iban Asuquo Ebiana A DISSERTATION Submitted to Michigan State University in partial fulfillment of the requirements for the degree of DOCTOR OF PHILOSOPHY Department of Educational Administration 1993 MAS FE COMRIBUI ABSTRACT DEANS AS FUNDRAISERS: AN ANALYSIS OF FACTORS THAT CONTRIBUTED TO OR IMPEDED DEANS’ PERFORMANCE DURING A CAPITAL CAMPAIGN By Bassey Iban Asuquo Ebiana Declining student enrollments, shrinking funds for research and reduced operating budgets have contributed to launching the academic deanship into the arena of educational fundraising. While deans are now involved in educational fundraising, no study has examined their fundraising roles in terms of the theory of fundraising. The focus of this study was an indepth description of academic deans' fundraising role during Michigan State University's first major Capital Campaign. Overall, the purposes of the study were ( 1) to use established theoretical concepts in fundraising such as leadership, planning and organization to describe the tundraising roles of the deans at H80, (2) to determine the fundraising expectation of each dean given their colleges' potential, (3) to obtain a qualitative reflection of deans' opinion.on.factors that aided or impeded them in their role as fundraisers, (4) to obtain the deans' perceptions of the desired qualities and qualifications a potential dean who would be successful in fundraising should possess. The study was a descriptive study which included nine deans and their development officers. Using a combination of literature review on fundraising theory and a pilot case study, a research question and sub-questions were formulated. Two interview questionnaires were constructed. One for the deans and the other for the development officers. The questionnaires were administered via personal interviews. Interviews were audiotaped and carefully transcribed. The data were analyzed and arranged in the order and sequence of the study's research objectives. The major findings regarding the role of the deans as fundraisers suggested that success in fundraising depended on a number of factors. The most crucial were: (1) Dean's leadership skill which incorporated a clear vision, spending time on fundraising activities, persuading influential personalities to raise funds on behalf of the college, giving fundraising visibility in the college and having the same approach to fundraising as the college director of development; (2) Dean's planning skill which incorporated the ability to contribute to the development of the needs list which reflected the dean's vision for the college and the ability to match college's needs to prospective donors' needs through cultivation; (3) Dean's organization which involved the dean' s ability to utilize the help of an organized body of volunteers in and being per: hnhxhd the t | . The use dean on factor then ac - Ability excelle qualiti in fund - Prior f StrOng With hi . Deans b. Educati the GQa ludergh 1p Of volunteers in his/her college's overall development activities and being personally involved in fundraising. Other findings included the following: . The use of a fundraising consultant to train the dean on how to raise funds was the most helpful factor to deans while the lack of time impeded them most. . Ability to interact with people and being an excellent scholar were the most desirable qualities in selecting a dean who would succeed in fundraising. . Prior fundraising experience and a tradition of strong program were common factors in colleges with high fundraising potential. . Deans believed that to improve or maintain educational quality, fundraising must be one of the deans' responsibilities. In conclusion, the leadership of a dean, coupled with the leadership of a capable development officer who managed development activities was the most important factor that contributed to or impeded a deans' ability to achieve his college's campaign goal. Eider En and Dedicated to my parents, Elder Ene Okon Iban and Mrs. Rebecca Okon Iban and to the memory of my late sister, Carol Okpok Ene Iban. Firs Christ a) finishing been p03 flithfulm A we: deeply gr: adviser, 1 available latter of in“ read Chapter. H llso deEpl ACKNOWLEDGEMENTS First and foremost I would like to profoundly thank Jesus Christ my Lord and Savior for His help in beginning and finishing my program. Without His help, this would not have been possible. Thank you Lord, for your everlasting faithfulness. A word of appreciation is due a number of people. I am deeply grateful to Professor Kathryn Moore, my dissertation advisor, for designing the study, generously making her time available to me and for her valuable insights on the subject matter of the study. I really appreciate the efforts she put into :reading, correcting' and. the timely' return, of each chapter. Her understanding and support were invaluable. I am also deeply grateful to Professor Marylee Davis, my academic advisor, who was like a friend to me throughout my study. Her concern for my well being, personally and academically, was a great source of encouragement to me. I am also very much appreciative of the contributions Dean Cassandra Book, a member of my Guidance Committee, made to the study. Her suggestions, comments and corrections were appreciated and well noted. Much thanks are also due Professor Eldon Nannomaker and Dean James Rainy for serving on my committee. I very much thank Mr. James W. Heald, the Michigan State University on-sight fundraising consultant and my internship supervisor, for generously spending time to educate me on the ii art of fur bury sche< nil insig invaluable Speci Central on financial P.z.o. for (1.9.5.). De“Wheat “shunts: pathmuons) her kindnes art of fundraising. I appreciate the fact that inspite of his busy schedule, he always made time for me to interview him. His insight into the intricacies. of fundraising was invaluable. Special thanks are extended to Reverend Sidney Short and Central United.Methodist Church, Lansing, Michigan, for their financial and emotional support. I am deeply indebted to P.E.O. for awarding me their International Peace Scholarship (I.P.S.). I am also grateful to Dr. Frank Fear and the Department of Resource Development for providing me a graduate assistantship. I would also like to express, albeit posthumously, my appreciation to late Ms. Nettie Young, for her'kindness and effort in typing portions of my dissertation. With deepest gratitude I thank my parents, Elder Ene Okon Iban and Mrs. Rebecca Okon Iban for their unfailing love, prayers, financial and emotional support. I am especially moved by their ability to deny themselves everything in order to provide for their children’s education. I would also like to thank my mother-in-law, Mrs. Ukpong Bassey Ebiana for her love, interest in my educational advancement and encouragement. I also would like to express my appreciation to my brothers, Mr. Enene Okon Iban, Mr. Otu Iban and Mr. Victor Iban for their moral support and numerous letters of encouragement. I would also like to thank my uncle, Mr. Ansa Otu Eno and his wife, Mrs. Arit Ansa Eno for their kindness and encouragement to reach for the stars. I am especially iii grateful to 1 trailblazer I fully. I visl Diana and a; “99011 which I ll qrat Diana, for pu I ‘PPI'ECiate ; ”“15 have bee: Tatetul to a; null financ educational Op! ”Gt hue be“ “critice. grateful to my aunt Mrs. Margaret Eno Okeke for being a trailblazer for women achieving higher education in the family. I wish to thank my sisters-in-law, Miss Nkese Bassey Ebiana and Mrs. Nkoyo E. Ukoh for their encouragement and support which I appreciate very much. I am grateful to my precious daughter, Victoria Asuquo Ebiana, for putting up with a mummy who always had to study. I appreciate her understanding, without which the program would have been abandoned. Last but not least, I am profoundly grateful to my husband, Dr. Asuquo Bassey Ebiana, for his moral, financial and emotional support to ensure equal educational opportunity. A Ph.D. with a very young child would not have been possible without his love, cooperation and sacrifice. iv 1. 2. TABLE OF CONTENTS 3HHD LIST OP TABLES ................. .................... x CHAPTERS INTRODUCTION ............... ..... . ............ ..... 1 Background of the study ......................... 1 Statement of the Problem ........................ 4 Statement of the Purpose ........................ 6 Need for Research ............................... 6 Significance of the Study ..... ......... ... ...... 8 Research Questions .............................. 9 Definitions ...... ..... ... ................. . ..... 9 Limitations .............. .............. .. ....... 12 Organization of the Study ......... ....... ....... 13 LITERATURE REVIEI ............ ..................... 15 Section 1 History and Influence of Philanthropy in Higher Education In America ..... ........... 15 Philanthropy in the Shaping of Higher Education Curriculum ..... .............. 21 Land-Grant Institutions ............. ...... . ..... 24 Rationale for Capital Campaigning In Institutions of Higher Learning . ........... 26 Section 2 Contemporary Campaigns in Public Institutions ............... ............ 31 Participants In a Public Institution's Capital Campaign: ........... .... 33 President Leadership ................ ...... .... 34 Chief Development Officer ..................... 39 Trustees/Governing Board ...................... 42 Campaign Chairperson .................... ...... 47 Deans ............................... ...... .... 48 The General Role and Responsibility of the Academic Dean .......................... 50 Historical Background of the Dean's role ........ 53 Role of the Dean ........................ ....... . 55 Recent Studies on Deans/Administrators as Fundraisers ........................ ........ 65 V 3. 4. Section 3 Introduction .................................... Leadership ...................................... Planning ........................................ Organization .................................... RESEARCH DESIGN AND NETHODOLOGY ................... Research Purpose .......................... ..... . Research Questions .............................. Research Design ................................. Site of the Study, the Participants and their Selection ................ Data Collection and Procedure: .................. Construction of Interview Questions .... ..... .. Descriptions of Interview Questions ........... Interview Procedure .................... ...... . Analytical Procedure ............................ Limitations of the Research Method .............. N80 2000: CAPITAL CAMPAIGN ..... ......... ... ....... The Vision and Rationale for A Capital Campaign ............................ Planning ........................................ Feasibility Studies ........................... Needs Assessment .............................. Goal Setting: Financial ............ ..... . ..... Goal Setting: Non-Financial ......... ..... ..... Case Statement ................................ Staffing .......................... .......... .. Prospect Research and Rating .................. Organizing ...................................... The Development and Utilization of an Appropriate Campaign Structure ........... Campaign Committees ........................... Prospect Research ............................. Cultivation and Solicitation of Potential Donors .............. ...... ........ Effective Management of the Many Details of the Campaign ................ Leadership ...................................... Lay Leadership ................................ Vision ........................................ Ability to bring divergent groups together to achieve the goal .... ......... ... Ability to fulfil certain role expectations ........................... Time .......................................... vi 99 99 100 100 102 104 104 107 109 110 114 116 116 118 120 127 130 133 135 137 138 140 141 144 147 148 149 151 151 151 152 152 153 Abil en The Dean Chai Vol Prof; Vid Resid 5. upon: or Introdu 5. Ability to enlist a solid coalition of support to achieve the vision successfully .. The Provost ................................... Deans OOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOOO Chair of Campaign ............................. Volunteers Professional Leadership ....................... Vice President for Development .............. Resident Campaign Counsel ..................... "PORT O, “8 DATA O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O IntrOduction O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O Section 1 Fundraising in each college prior to the Capital Campaign ................ Wealth .......................................... Fundraising Efforts ............................. Socioeconomic level of clientele ........... ..... Size of college ................................. Alumni and Community Leaders .... ......... ....... Section 2 Deans as Leaders, Planners and Organisers . ..... . Leadership .................................... Vision ...................................... Philosophy/Role Perceptions ................. Time ........................................ Deans' Use of Influence ..................... A Survey of Development Officers' View of the Leadership Role of their Deans ..... Deans' skill with Fundraising ............... Deans' Personal feelings toward Fundraising ........................ Deans' Leadership Role in charting the course of development in their colleges ... Deans' and Development Officers’ approach to fundraising ................... Matching Donors' and Colleges' needs ........ Fund Raising relationship between Deans and Development Officers ............ Planning ...................................... Needs List Preparation ...................... Feasibility Studies ......................... Case Statement .............................. Fundraising Activities and Plans to raise money ....................... Identifying Program Leadership .............. vii 153 155 155 156 158 159 159 160 163 163 164 167 167 169 170 170 172 172 173 176 180 188 190 197 198 199 199 203 204 209 211 212 213 215 217 Dear Pact Ro] 6. 7. Monitoring the Campaign status .............. 218 Organisation .................................. 218 The Structure ................. ..... ......... 219 Deans' Fundraising Responsibilities ......... 222 Fundraising Priorities ...................... 222 Solicitation ......................... ....... 224 What Deans believe their fundraising responsibilities should be ....... ....... . 224 Development Officers' Fundraising Responsibilities .............. ............ 225 Deans' Utilization of University Personnel .. 226 Use of Volunteers ........................... 231 Deans' Inclusion of Development Officers . in Meetings with Department Chairs .. ....... 234 Constituents and how they were reached ...... 238 Publication ................................. 239 Some Comments from the Deans on ways the University could have best organized the Campaign ...................... ...... 240 Section 3 Deans Perceptions of factors that helped or impeded them in their role as fundraisers ..... 255 Factors that impeded the Deans in Their Role as Fundraisers ............................ 261 Section 4 Qualities and Qualifications of a dean who would be successful in Fundraising .................. 268 Deans' Perspective .............. ............ 269 Development officers' Perspective ........... 272 DISCUSSION OF FINDINGS ......... ..... . ...... . ...... 276 SUNNARY, CONCLUSION, INPLENENTATIONS m RECOMATIORB O O O O O O O O O O O O O O O O O OOOOOOOOOOOO 2 9 4 smary OOOOOOOOOOOOOOOOOOOOOOOOOOOO OOOOO OOOOOOOO 294 Findings and Conclusions ............ ............ 296 Implications Of the Study OOOOOOOOOOOOOOOOOOOOOOO 310 Recommendations for future Research ............. 313 viii up: up: A. IIBLIO APP'DICES APPENDIX A. LETTERS AND OTHER MATERIALS PRESENTED TO THE DEANS AND DEVELOPMENT OFFICERS ..... B. QUESTIONNAIRES .............................. C. MSU 2000 OBJECTIVE CHART .................... D. NEEDS ASSESSMENT FORM ....................... E. AGGREGATE TOTAL OF NEEDS .................... F. NEEDS LIST SPREAD SHEET ..................... G. BRICKS AND MORTAR ................. ........ .. H. ENDOWMENT ................................... I. PROGRAM ENHANCEMENT ......................... J. DEVELOPMENT STAFF ORGANIZATIONAL CHART ...... K. CAPITAL CAMPAIGN ORGANIZATION CHART ......... L. QUESTIONS DERIVED FROM THE THEORY AND LITERATURE OF FUNDRAISING FROM WHICH THE INITIAL QUESTIONS WERE BASED ........... BIBLIOGRAPHY ix 315 320 327 328 329 330 331 332 333 334 335 336 340 1. ll 110 12. C011! Role Tine Unive in l LIST OF TABLES TABLE Page 1. College Fundraising Potential .................... 166 2. Role Perception of deans ........... .............. 177 3. Time Spent on Fundraising Activities . ............ 182 4. University Personnel Who Aided deans inRaiSing Funds OOOOOOOOOOOOOOOOOOOOOOOOO OOOOOO 190 5. Time deans spent with Development Officer discussing Fundraising in general ....... ....... 186 6. Time deans spent with Development Officer discussing the status of the Campaign .......... 187 7. Development Officers' perception of Deans' Comfort level with Fundraising ............ 195 8. Development Officers' perception of Deans' Skill with Fundraising .................... 197 9. Qualities and Qualifications a dean should possess (Deans' Responses) ... ........... 270 10. Qualities and Qualifications a dean should possess (Development Officers Responses) ....... 273 11. Percentage Increase in money raised as a result of the Campaign ......... ....... ......... 276 12. Characteristics of Deans who succeeded in reaching their Campaign Goals compared to Deans who did not OOOOOOOOOOOOOO OOOOO OOOOO OOOOOOOO 278 CHAPTER ONE INTRODUCTION Background of Study Since its inception in the American university, the role of the Dean has been a dynamic one. Several studies have been conducted on the role of the academic dean. Authors such as DuPont, 1956; Carson, 1960; Gould 1964 concluded that the academic dean is primarily concerned with the following: the goals and methods of education relevant to his/her college; the recruitment, retention and elevation of appropriate teacher-scholar ratio; the intellectual, informational and cultural context and. quality' of the curriculum. and its effectiveness and the future of the curriculum. In addition, the academic dean is concerned about the general climate of learning on the campus and the advisable support in facilities and funds for the basic academic ventures of the college. According to Deutsch (1952, p. 53), the major responsibility of the dean as the collegiate academic program administrator, is to strengthen the academic work of his/her college or school, find its weaknesses and seek to remove them. To provide educational leadership, the dean is expected to not only have a clear and comprehensive view of the goals of the school over which he/she presides, and the direction in which it should be moving; the dean should also function as a 2 change agent exercising some direction over the movement of the institution towards specific and clear cut goals devised through long range planning. In the 1950s and 603, economic well being prevailed in the United States. Society saw its future entrusted to the success of higher education, and rapidly growing student bodies brought vast numbers of private citizens into an informed acquaintance with colleges and universities. Consequently total giving increased at an annual rate of 11.6% (Smith, 1973, p. 12). However, the 1970s ushered in a difficult era for higher education. Ryan enumerates some of these problems as follows: By the mid-19708, the North. American university was confronted with new problems. Declining student enrollments, shrinking funds for research, reduced operating budgets, and increasing cynicism. with regard to its products provided the ingredients for what March (1974) has called a ”period of neglect" or decline. University organization has just begun to reflect the impact of these trends (Ryan in Griffiths and McCarty, 1980, p. 133). Public institutions of higher learning began to respond to these trends by getting involved in fundraising. According to Dove, federal cutbacks created the greatest need for educational fundraising especially in public institutions (Dove, 1988, p. 4). The following quotation from Davis (1988) expatiates on the need for educational fundraising in public institutions. Davis writes: 3 In a time when increases in tuition breed complaints and controversy, when state budgets suffer from multiplying pressures, and when the federal government is drowning in red ink, private fundraising offers institutions of higher learning the best hope for growth in revenue (Davis, 1988, p. 28). In response to these trends, central university administrators in public institutions have called upon the deans to assist the president in the execution of his/her fundraising :responsibility' (Trachtman, 1987, p. 11). The literature shows that the deans are in a better position to represent their colleges to prospective donors because of their philosophical knowledge about their college (Davis, 1986, p. 29). Davis is of the opinion that fundraising can help a dean live up to his/her potential as a dean. He explains that a new endowed chair can attract quality students and faculty, thus enabling the dean to strengthen the academic work of his/her college. Quoting Davis: If you can match your plans for innovative and important projects with energized major donors, you can accomplish your agenda for your school's future (Davis, 1988, p. 28). Besides functioning as a fundraiser, the dean is also expected to function as an advocate of fundraising for his/her college (Trachtman, 1987, p. 12) . Trachtman describes the dean as a bridge between the central administration and the faculty in accomplishing effective fundraising. Deans are in a unique position to carry out this responsibility because as "men in the aiddle 1974), dea ldlinistra “Patient the facult Hichi Wiptiv 1'”de 1 University 4 the middle" (Wicke, 1968; Meeth, 1971; Richman and Farmer, 1974), deans are hierarchically placed just below the central administration of the university and above the departmentalized administrators of the college which includes the faculty. Michigan State University (MSU) is the setting for this descriptive :research. of ‘the factors that facilitated. or impeded the dean's performance during Michigan State University's first Capital Campaign (MSU 2000). Statement of the Problem When the role of the dean was created in American institutions, it was for the purpose of relieving the president from his/her most critical responsibility, which is educational leadership; so he/she could concentrate on other responsibilities such as fundraising (Deferrari, 1956, p. 55; DuPont, 1968, p. 9). The major responsibility of the dean according to Gould (1964)is being an academic leader responsible for raising the school's academic standards. However, events such as changes in the student population, cost increases and decreased.governmental financing have once again led to the dean being called to provide leadership in these changing times. In response, the academic dean has turned over routine administrative responsibilities to the assistant or associate dean so he/she could concentrate on the task of welding college philosophy, objectives and personnel into a body responsive to societal needs (Cyphert and zimpher, 1980! p0 92). launched the at fundraieing. Wilbert ar univerelty pre M the object “Uncut, t)“ “Mb its in; mum" desil 5 1980, p. 92) . Events in higher education have therefore launched the academic deanship into the arena of educational fundraising. Cyphert and Zimpher (1980, p. 92) observed that "both.the university presidency and the university professorite have been the object of numerous studies. However university middle management, the deanship represents a void in our data, even though its importance is increasingly recognized." It is therefore desirable to study the deans especially as a number of authors (Davis, 1988; Barden, 1988; Goldman, 1988) have observed that the role of the dean is fast becoming that of a fundraiser. Bearing in mind Ryan's (1980, p. 134) criticism that the few studies on deans' role were mostly defined in terms of survey analysis and not by theory; it is therefore profitable to closely study the deans at Michigan State University who have responded to the institution's leadership call in fundraising, in terms of the theory of fundraising. This study of academic deans has the goal of analyzing and describing the factors that aided or impeded the performance of deans during a public institution's first Capital Campaign and will be done in the context of established concepts in Capital Campaigns, such as leadership, planning and organization using Michigan State University as the site of the study. It is anticipated that such a study will aid in identifying factors which proved helpful or unhelpful to deans in the performance of their fundraising responsibility. The put in in Ca] p11 the fac in Sec up "it. Thi: of, 6 Statement of the Purpose The purpose of this study is threefold: 0 First, to assess how each academic dean in a large public institution performed in the three elements of a successful Capital Campaign, namely leadership, planning and organization. Specifically, the research will seek to discover factors that aided or impeded each dean in functioning as a fundraiser; 0 Second, to determine the fundraising expectation/potential of each college within a public university; 0 Third, to obtain a qualitative reflection of each dean's fundraising experience. lead for Research Both the university presidency and the university' professorite have been the object of numerous studies. However, university middle management--the deanship represents a void in our data base, even though its importance is increasingly recognized (Cyphert and Zimpher in Griffith and McCarty, 1980, p. 91). This quotation reveals that there is a gap in the literature and in our knowledge base regarding the deanship. A review of over 500 reports on higher education completed within the past decade by Peterson (1974) on academic administrators revealed that the role, activities, attitudes and values of crucial officere in u researched . A review c report in 1974' have been the HMV”. lost c. the “WW tectl hm rePresent than, 1980, p. criticiud GS ' 7 officers in universities and colleges have not been well researched. A review of the literature confirms that since Peterson's report in 1974, the academic deanship and its various roles have been the subject of a number of research reports. However, most of the studies have relied mainly on the use of the survey technique on a sample of all types of collegiate deans representing different sizes and orientation of schools (Ryan, 1980, p. 134) . These types of researchers have been criticized as creating role typologies for deans with no theoretical underpinnings and consequently offering little terms for a systematic view of the deans’ role (Ryan in Griffiths and McCarty, 1980) . This reiterates Peterson's critique of work done on academic administrators. According to Peterson: studies of academic administrators have made little use of conceptual variables or theoretical models. In short, the dean's role has been described primarily through survey methods and little is known about the dynamics of that role (Ryan in Griffiths and McCarty, 1980, p. 134) . There has been a dearth of knowledge about the dean's various roles especially in view of critical events affecting the dean's role. Issues such as financial shortages and enrollment decrease need studying. Ryan writes: . . . Little is known about the role of academic administrators and about the effects of current issues and strains on that role (Ryan in Griffiths and McCarthy, 1980, p. 134). Since no conceptual var 4 Ned exists “in! perform “01! Opinions Since inst "team to giv MOI] .. fund tth‘iDiDg {Sp mm 1' theret 8 Since no research study has specifically utilized conceptual variables to study the dean's role as fundraiser, a need exists to analyze and document the dynamics of how deans performed their fundraising responsibilities and what their opinions are on what proved useful or not useful. Since institutions are different, the research is not an attempt to give a prescription on how deans must or should perform as fundraisers, but is intended to shed light on the fundraising aspect of the dean's role in a public institution. There is therefore some need to study the dean's fundraising role from an individual institution's perspective. Significance of the Study The significance of this study is as follows: first, it is a timely study. The study addresses a research need as identified by the literature associated with the dean's role and fundraising. Second, the study is an attempt to apply a set of theoretical concepts to the analysis of the dean’s role in fundraising. Third, the successful application of these theoretical concepts will provide fundamental data on the selection of deans in terms of fundraising success. Lastly, the study will provide Michigan State University data with which to assess the deans' active participation in the institution's first major Capital Campaign. The folio Hhat taci. coll: Capit insti 9 Research Questions The following research question will guide the study: What are the factors that impeded or facilitated the deans' ability to meet their colleges' fundraising potential during a Capital Campaign in a large public institution? Definitions Dean The term dean in this study is used to refer to the chief academic officer under the provost, primarily responsible for‘ the. quality and effectiveness of a faculty and academic quality of a school/college. Leader A leader in this study is defined as one who moves the group towards its goal. The essential ingredient in this definition are that there be movement toward the achievement of defined ends or goals and to be perceived as doing so by followers. Planning Planning in this study refers to the process an organization undergoes to design its own future on the basis of external environment, its opportunities and its constraints (George Keller, 1983). Organiset In all organizat Operation college m N Volunt W192). "“1an This institutic Potential. c‘“ itate In th Witten dc doc“lent 1 Cit-pug", ; 10 Organisation In a fundraising Campaign and as used in this study, organization refers to the. implementation or operationalization of the Campaign plans, and how the college development staff, university personnel, students and volunteers were organized to facilitate a successful Campaign. Feasibility study This study uses the term to refer to the test an institution undertakes to determine its philanthropic potential. Case statement In this research, the term is used to refer to the written document which describes the Campaign. Such a document includes answers to possible questions about the Campaign, reviews the arguments for support, and explains the proposed plan for raising the money. Fundraising This is defined as the practice of soliciting gifts and grants for the institution from interested individuals and organizations. Its single purpose is to enhance the interest or well being of the institution. Capital campaign (Dove 1998) The research utilizes Dove's (1988) definition of‘a Capital Campaign, which describes a Capital Campaign as an organized fundraising effort on the part of an institut ILSPCCII of tine Iftectiv. A31 hOt dapel th! doll Potentiaj through criteria: weal rep; The able fine spit C011 bigg and dire 11 institution to secure extraordinary gifts and pledges for a specific purpose or purposes during a specific period of time (Dove, 1988, p. 1). . Effective fundraising As used in this research, effective fundraising does not depend on the dollar amount raised in abstract, but the dollar amount raised in relation to a college's potential (Pickett, 1986). Potential is determined through a feasibility study, using the following criteria: 0 Wealth of the college; which is represented by the size of the endowment. The wealthier an institution, the more able it is to withstand short-term financial.distress‘without sending crisis spirals to its environment. 0 College size; the larger a college, the bigger the impact it has on its community and the more families are touched directly or indirectly by its service programs. Thus, it is more likely to raise larger amounts of money because of the size of its alumni and friends. 0 Socio-economic clientele and quality; a professional college such as medicine, engineering or business will tend to have 11. Th, int Sol cSSt Of l 10. 11. 12 more socially and economically successful alumni bodies (Pickett, 1986, pp. 231- 239) . . Fundraising as a college priority This does not imply making fundraising the most important thing to the college, rather, it is used to imply giving fundraising visibility in the college. College Development Officer This term refers to the professional fundraising personnel resident in each college, with the primary responsibility of assisting the dean in raising funds for the college. Although the study is not about college development officers, they are however, included in the study for the purpose of corroborating and illuminating the deans' assessment of their leadership, planning and organizational roles during the Capital Campaign. Limitations 0 The study is limited to the opinion of the deans interviewed. 0 Some deans interviewed for the study might have been appointed after the Campaign began, in which case, they were not involved in the planning phase of the Campaign. 0 Michigan State University is a large public institution conducting a Capital Campaign for the ii of 01’ out is ins ' The in Can Vhi Cam) Com Fin: 13 first time. For this reason therefore, the findings of this research cannot be generalized to private or small liberal arts institutions. 0 Michigan State University has the least endowment out of the ”Big Ten" institutions. Hence the study is not intended to ‘teach the other ”Big' Ten" institutions about Deans and fundraising. 0 The time frame of the study posed some limitations in that, the tremendous success of the Capital Campaign led to its extension. Therefore the data which. were collected prior to the end of the Campaign cannot be effectively used to make conclusion about goals. 0 Finally, the use of interviews as the primary source of collecting data imposed some limitations on the study because interviews are subject to bias, prejudice and personal opinions. Organisation of the Study The study is divided into seven jparts as follows: chapter one is an introduction to the study. It consists of the background to the study and statements of the problem and jpurpose of the study. It also discusses the need and significance of the study, as well as enumerates the limitations of the study. Chapter two, whidh is a literature review, is divided into three sections as follows: Section I consists of the history an education a public in: contelporar Micipant “ablation 'Cldenic dea 14 history and influence of philanthropy in American higher education and the rationale for educational fundraising in public institutions. It is also a discussion of the contemporary Campaigns in public institutions and examines the participants/leadership in those Campaigns. Section II is an examination of the general role and responsibility of the academic dean and recent studies on deans or administrators in fundraising. Section III is a discussion of the three elements of a successful campaign namely leadership, planning and organization. Chapter three describes the research design and methodology. It includes a description of the population, the instruments for obtaining data, the analysis of the data and the procedure used to obtain, handle and record data. Chapter four gives an overview of Michigan State University's first Capital Campaign. Chapter five presents the data. Chapter six provides a discussion of the findings. Chapter seven summarizes the study, discusses the conclusions, implications and suggestions for further research. CHAPTER TWO LITERATURE REVIEU The literature review will be divided into three sections: 1) fundraising, 2) the history and influence of philanthropy in higher education in America, including the rationale for capital campaigning in institutions of higher learning, and 3) leadership in contemporary fundraising campaigns in public institutions will be discussed. The role of the dean in fundraising will be the focus of section two. Under this section, the general role and functions of the academic dean will be discussed. Section three will examine the essential elements of an effective fundraising campaign; namely, organization, leadership and planning. Leadership, organization and planning will constitute the theoretical framework for the research on deans as fund raisers. Section 1 History and Influence of Philanthropy in Higher Education in America Since 1638, when John Harvard made the first educational contribution, United States higher education had attracted a major portion of American philanthropy. Income from gifts and bequests went a long way toward paying the expenses involved in founding and nourishing Harvard, and later eight colonial 15 16 colleges (Curtis and Nash, 1965, p. 3); such as the collegiate school of Connecticut (1701) (later called Yale); the college of Rhode Island (1764) which later took the name of Nicholas Brown Jr. in acknowledgement of the $160,000 he provided to the school during its early years (Bronson, 1914, p. 157); and Queens college in 1766, which later took the name of Henry Rutgers in.appreciationlof his $5,000 bell gift to the college (Schmidt, 1964, p. 18). Socially, prominent professional groups such as clergyman, merchants and magistrates, founded and supported these colleges. Their desire for these colleges was for them to be similar to those in England. This conservative bias appeared on the curricula and administrative practices adopted by the colonial colleges as well as in patterns of philanthropy. With few exceptions, the benefactors that nourished higher education in its New World beginnings were given and applied in such a way as to sustain traditional forms. When philanthropy did pioneer new departments, it was primarily because the college administration felt them harmless to established values (Curtis and Nash, 1965, pp. 3- 4). Curtis and Nash (1965) trace the failure of the first colleges to alter their curricula in response to the changed demands of a new environment, to the conservative nature of philanthropy. However, they concluded that if at that time philanthropy did not patronize departures in curriculum or throa ”SCI vere with eccoa any; gave, theas¢ tundra later 17 throw open the doors of higher learning to new groups, it did erect the buildings, fill the libraries, and support in large part several generations of students and professors. These were considered basic tasks, but at that time, in a society with relatively little money to give or bequeath, the accomplishment was remarkable. A successful start convinced many skeptics of the value of higher education and those who gave, created a bond of sympathy and interest between themselves and the struggling colleges. In the field. of philanthropy itself, techniques of fundraising and a habit of generosity were established that later had important effects on today's successful fundraising methods. For example, appeals to private individuals for funds were present in.the earliest attempts to found colleges in the New World, and when these colleges were in financial difficulties, donations came as a result of active solicitation (Curtis and Nash, 1965, p. 5). An example of this was the first appeal made by John Eliot to a well-to-do English antiquarian named Simonds D’Ewens in a letter dated September 18, 1633, which was a masterpiece of the philanthropic appeal. In the letter, Eliot made the point that: If we nourish not Learning, both church and 2pmmonwealth will sink (Curtis and Nash, 1965, p. Eliot was appealing to D'Ewens on more personal grounds for patronizing a colonial college. He went further in his letter 18 to write: God hath bestowed upon you a bountiful blessing: now if you should please, to employ but one mite, of that greate welth which God hath given, to erect a schoole of larning, college among us; you should doe a most glorious work, acceptable to God e man; and the commemoration of the first founder of the means of larning, would be a perpetuating of your name and honour among us (Curtis and Nash, 1965, p. 5). Another direct appeal was made to Elihu Yale by the Collegiate School of Connecticut as quoted by Gutek: The affairs of our school hath been in a condition of pregnancy; painful with a witness have been the throwes thereof in this General Assembly; but we just now hear, that after the violent pangs threatening the very life of the babe; Divine Providence as a kind obstetrix hath mercifully brought the babe into the world, and behold a man-child is born, whereat we all rejoice (Gutek, 1970, p. 54). The idea that the wealthy owed their fortunes to God and consequently had a duty to perform to society and that could be best executed by supporting good works, was fully exploited in English appeals of the time (Curtis and Nash, 1965, p. 5). The notion of stewardship as the foundation for philanthropy is traced to its earliest Calvinist roots in Colonial America by Gutek. According to Gutek, stewardship requires the wealthy to act as economic guardians by using their resources for the welfare of the public (Gutek, 1970, p. 55). Rudolph adds to the notion of stewardship in philanthropy this commentary on the role of philanthropy in support of higher education by stating: The American College, therefore was an expression of Christian charity, both in the assistance that it gave to needy young men and in the assistance that it received from affluent old men. While the colonial econosy (linens ll Caabridt the Ingi It fol colonial 1 j 19 economy would not support philanthropy of the dimension that founded colleges at Oxford and Cambridge, individual benevolence was nonetheless in the English tradition... (Rudolph,.1962, p. 78). It follows, therefore, that in spite of the poverty of colonial life, the ‘tradition. that. supported. the English college was not abandoned in the New World. The concept of stewardship nurtured by the Christian denominations kept this tradition alive. ' Consequently, in reminding D'Ewens of the stewardship of wealth, Eliot brought the force of religion behind his appeal. The final suggestion of perpetuating the donor's name was directed to personal vanity and pride. It was to become a favorite bait of later fundraisers. Another important concept in fundraising established by philanthropic sponsorship of higher education is the use of campaign brochures to state the institution's need for money. Several years later after ‘the founding' of Harvard, the institution was on the brink of collapse. The new president of the college, Henry Dunster, looked to England as the most promising and launched in the mother country, the first of many campaigns on behalf of colonial higher education. The choice was well-calculated. England had been exceedingly generous to higher education, contributing over two hundred thousand pounds since 1480 and almost 40,000 pounds in the single decade from 1621-1630 (Curtis and Nash, 1965, p. 6). The chosen solicitors - Thomas Weld, Hugh Peter and William Hibbins - were instructed to raise funds without 20 engaging in dishonorable begging. They arrived in London in September, 1641, and met with moderate success. However, the fundraisers felt a need for promotional literature to arouse interest. In 1642, Peter Weld and President Dunster prepared a tract that when published the following year, carried the ingenious title "New England's First Fruits” (Curtis and Nash, 1965, p. 17). It was the first of thousands of brochures that American educational institutions have issued in the hope of stimulating contributions. Armed with "New England's First Fruits," Weld visited several prospects, one of whom was Anne Mowlson. From Mowlson, a 100-pound gift was obtained to be used for the education of the poor, thus establishing the first scholarship or student endowment fund in an American institution (Rudolph, 1962, pp. 78-79). Philanthropy in American higher education also established another concept used in fundraising. That concept is mass solicitation. In the early days, donations were solicited also from the masses. Historians Curtis and Nash documented the article written for a subscription prospectus circulated for Harvard about 1663. The article, while appreciating the fact that the public was poor with little to spare for philanthropy, urged them to support higher education “lest temptation, barbarism, ignorance and irreligion doe by degrees breake in upon us" (Curtis and Nash, 1965, p.8). This documented the importance of higher education to the colonists 21 and the assumption that the first philanthropic support would be small. Harvard' s early records contain references of gifts as small as a fruit dish, a quarter bushel of grain and a simple pound (Curtis and Nash, 1965, pp. 8-15) . The perception that all gifts are important is still true today because big donors want to know what the alumni support is prior to making their donation. Philanthropy in the Shaping of Higher Education Curriculum Even though the New World inherited from England the habit of philanthropy to higher education, the New World differed in that its system of higher education was characterized by diffusion and diversity. England's higher education was dominated by two universities, namely Oxford and Cambridge. On the other hand, in the New World, Harvard, which had only been in existence for sixty years, had competition from other colleges such as the College of New Jersey, King's College, the College of Rhode Island, Queens College, the Collegiate School of Connecticut and Dartmouth College. Unfortunately, this diversity did not extend to the curriculum and the student body. The curriculum was still liberal arts and the student body was still mainly made up of children of the rich (Curtis and Nash, 1965, pp. 8-15). Some of the philanthropic support to the colonial colleges was conservative in that it sought to sustain the traditional pattern of sectarian instruction in divinity. While most colonial ph traditional min. phila role trans) mlivelrsitiea m liberal The 21. “kept-maul 22 colonial philanthropists sought to preserve and strengthen traditional patterns, a few looked in new directions. Once again, philanthropy in higher education played an important role transforming theologically oriented colleges into universities offering professional training in many phases of the liberal arts and sciences. The first generation after independence consisted of entrepreneurs, financiers and industrialists who, through philanthropic giving, pressured for change toward practical education. Instead of patronizing the classical colleges for the elite, many nineteenth century entrepreneurs sought to transform existing institutions or to found new ones that would be more responsive to current demands as they defined them. The great fortunes of the members of the new elite gave them the opportunity, through philanthropy to implement their novel educational ideas. They were well aware that graduates coming from the campuses of the classical colleges were totally unprepared to meet the problems involved in building a bridge, operating a bank, or designing a machine. With few exceptions these business people were not college graduates (Wyllie, 1954, pp. 95-112). The Americans who patronized practical education did so with the belief that they themselves could have profited from a few years of intensive training at the beginning of their own careers. The benefactors sought to correct a defect they perceived in the preparation America offered its young men and women by 23 reorienting higher education in a utilitarian direction. In the 1880s, attempts were made through the donations of philanthropists to offer scientific and technical education. For example, in 1823, the Gardiner Lyceum was opened with the purpose of instructing farmers and mechanics in the scientific principles of their professions. Others included the Maryland Institute for the Promotion of the Mechanic Arts, the Franklin Institute, the Rensselaer School (which gave the United States the honor of awarding the first degree in Civil Engineering), Lawrence Scientific School. Although applied science led the way, commerce and business administration soon followed in receiving the support of practical-minded philanthropists, enabling these subjects to enter the college curriculum. Some benefactors of practical higher education in the nineteenth century were not content to make their donations to colleges that already existed. In many cases, these philanthropists felt that only in their own institutions could their educational ideas be given complete and unopposed implementation. Rensselaer was the first American to use his wealth this way. In 1859, with an initial expense of more than $600,000, Cooper built the school of his dreams in the city of New York; for the advancement of science and art in their application to the varied and useful purposes of life. The founding of Cooper Union was a spur to other Americans with money and a belief in practical hi In lost education re Tor mp1s, Vith Edwin 1 24 practical higher education. In most cases, philanthropic support of practical higher education reflected the vocational interests of the donors. For example, invention and engineering were family traditions with Edwin A. Stevens. He bequested $650,000 to the Stevens Institute of Technology. Leonard Case donated more than two million dollars to science. The same was applicable to Rose Polytechnic Institute, Pratt Institute, Carnegie Institute of Technology, Drexel Institute, California Institute of Mechanical Arts, etc. (Curtis and Nash, 1965, pp. 60-86). According 'to several authors in 'the literature for fundraising, donors today invest in institutions with causes which meet donors' interests. Land-Grant Institutions Private philanthropy was not the only means by which practical higher education advanced in the United States. In the 1840s, it was becoming increasingly clear that the Western world was about to enter a new era of inquiry, or more extensive scientific research.with the publication of Charles Darwin's book, Ih§_Q:igin_Qf_the_§pegig§ (Brubacher and Rudy, 1976, p. 62) . The movement for land-grant colleges represented the American phase of the new emphasis on the role of science in.human affairs. Brubacher and Rudy state that by the 1940s, the so-called farmers' vote in America was becoming increasingly self-conscious politically. They wrote that, there was more grass root support for the program of ”vote yourself a 1 to till It lOlttl'theles: "9m lgrit the flrser': ”Adudlly e) 25 yourself a farm" at that time than for special training in how to till such farms (Brubacher and Rudy, 1976, p. 62). Nevertheless, they said, some farm Organizations came to regard agricultural education as at least a partial cure for the farmer's economic ills. In the 1850s, the agitation of a gradually expanding agricultural press and of various local and national agricultural societies built up a growing body of opinion which demanded the establishment of what were called "democratic colleges" (Brubacher and Rudy, 1976, p. 63). The Merrill Act of 1862, which created the land-grant colleges, was an act donating public lands to several states and territories which.may provide colleges for the benefit of agriculture and mechanical arts. This Act and subsequent legislation in the twentieth century, greatly increased the amount of federal aid to land-grant colleges. These colleges stood pre-eminently for the principles increasingly so important in ‘the ‘twentieth century; that every .American citizen was entitled to receive some form of higher education. Together, with the first state universities and municipal colleges, the early land-grant colleges represented the force of democracy working as a mighty lever in the world of American higher education. Michigan State University was the pioneer land-grant university. Philan institution WW Carr ”Cums, re. in th. late 26 Rationale for Capital Campaigning in Institutions of Higher Learning Philanthropy and charity to American educational institutions Icontinued. For’ example, capitalists such. as Andrew Carnegie and Jehn Rockefeller underwrote libraries, museums, research projects and sometimes, entire universities in the late nineteenth and early twentieth centuries (Dove, 1988, p. 3). The rise of industrialization enabled more people to give to higher education. This led to the establishment of fundraising corporations. Although philanthropy had been in existence in the United States for decades, successful major campaigns were conducted early this century by the campaign directors for the YMCA (Dove, 1988, p. 3). Over the past years, institutions of higher learning, especially public institutions, have gotten involved with capital campaigns for a number of reasons. The role of campaigns and their impact on the future of institutions are becoming very important. Several factors are responsible for educational institutions' involvement in capital campaigns, especially public institutions. According to Cheit (1971, p. vii), the decade of the 1960s was characterized by the most rapid growth and development ever experienced by institutions of higher learning. When the baby boom children reached college age, the college population rose astronomically. In addition, the post- Sputnik era was a period marked with heightened appreciation of and cha ass: inc1 the: ERIC fair rate rate 27 of the contributions by higher education to national growth and scientific development. Consequently, this was characterized by rising state government appropriations, massive federal aid programs, expanded private gifts, and increased student fees. Institutions of higher learning were therefore equipped financially to absorb the swelling enrollment of students (Cheit, 1971, p. vii). In addition, the United States' economy was growing at a fairly rapid space and university budgets were growing at the rate of 7-88, and total giving to higher education grew at a rate of 11.7% (Smith, 1978). However, the status quo changed toward the end of the 1960s as signs of financial stress began to be apparent in the institutions of higher learning. By 1970 a rising number of institutions were facing financial difficulties, as the flow of funds from various sources ceased to rise at the rapid.rate they had become acquainted with from the late 1950s to about 1967 (Cheit, 1971, p. viii). The massive growth of higher education during the early 1950s was partly responsible for the financial difficulties experienced in the late 1960s. During the early 1950s institutions had increased the quality and variety of the courses being offered and had responded to the demand for greater equality of opportunity in higher education. Unfortunately, when enrollment started to decline at both undergraduate and graduate levels, the institutions were saddled wit aoney to o; Anothe Itarted up to their in mduates c""“th The to ‘1” cont): “nation. intuit-Mien1 P- 13), How. lid-19608, “‘PticiSn 28 saddled with all these massive programs, which needed a lot of money to operate (Cheit, 1971, p. ix). Another reason. why institutions of higher learning started experiencing financial difficulty which eventually led to their involvement in capital campaigns was the increase of graduates as a proportion of the total enrollment and consequent rapid growth of expenditure. The federal funding programs which emerged in the 1950s also contributed to the financial troubles of higher education. The government poured out massive funds to institutions of higher learning in the beginning (Broce, 1979, p. 13). However, Crawford states that towards the end of the mid-19608, higher education Ibecame the object. of public skepticism and doubt. Following the post-Sputnik era, the strong public confidence and financial support enjoyed by higher education was replaced by a widespread disillusionment which raised the question of what priority higher education should have in the allocation of scarce resources (Crawford in Rowland, ed., 1977, pp. 341-342). Consequently, the federal government curtailed most of the massive aid programs, leaving educational institutions which had become overbuilt and overly dependent on federal aid stranded, so money had to be sought for from other sources. Another reason why higher education got involved in capital campaigning was as a result of the oil embargo of the 1970s, which resulted in increased utility costs, something the the: accc fund feve coup inst Chic; 29 the institutions were forced to underwrite, thus increasing their operational costs. In some institutions, the need fer new technology also accounted for higher education's need to seek additional funds. All these factors, in addition to the existence of fewer tax dollars because of the increase in unemployment coupled with inflation, contributed to the need for public institutions to become involved in capital campaigns. As one institution after another, such as Duke, Stanford, Chicago and Michigan, successfully conducted capital campaigns in the 1960s, other institutions saw the need to raise more money so as to raise their quality and become more competitive (Broce, 1979, pp. 13-14). To increase quality, many higher education institutions will need to seek substantially increased scholarship funds and/or increased endowment for student aid to enable them to compete for the fewer students (Cheshire, 1979, p. 7) now available to higher educational institutions (Hodgkinson, 1985, p. 13). Another reason why institutions of higher learning are engaging in fundraising to raise their quality, is as a result of the shift in emphasis in the principle of access to education to quality of education. Therefore, teaching ability is becoming more important to institutions as they increasingly focus more on excellence and on offering an education of value that is worth the high cost. Cheshire concludes that given the shift in emphasis it is not 3O surprising to see institution after institution get involved in fundraising to support improvement of teaching capacities, techniques and materials (Cheshire, 1979, p. 6). Other reasons why institutions of higher learning are involved in capital campaigns include an increase in competition for resources. According to Frantzreb (1981), the competition from other educational institutions and social programs is very intense. More charities are being formed at the same time as public grant programs are being reduced or eliminated as a part of the current federal administration's strategy (Dove, 1988, p. 4) . Therefore, institutions have undertaken to publicly expose their hopes and aspirations to critical market segments, for the purpose of asking them to invest their time, energy and financial support crucial to its quality and sometimes, its survival. Lastly, capital campaigns are popular with institutions of higher learning because the donor public is becoming both more pressed and more discriminating as resources are becoming more scarce. Consequently, institutions engage in capital campaigning partly for the purpose of matching donor interests with their needs. According to Broce (1979, p. 11), the campaign method of raising money had its beginnings in the YMCA movement of the 1900s. The campaigns grew'out of the concern of many that they were spending too much time on raising money. The campaign was a way of solving this problem, because it.had stated goals and tiju quic coni toda CQ'F plan endo 117) Cone: Situz taupe in a Never 31 time limits, enabling the money raising chore to be completed quickly' and. thus eliminating' the agony’ that accompanied continuous fundraising. . Cheshire was of the opinion that the capital campaign of today is different from early campaigns because traditionally campaigning was designed to meet the institution's physical plant needs. Today, however capital campaigns are also for endowment and money for current programs (Broce, 1979, p. 117) . Inflation, the oversupply of faculty, and the prevailing concern for responsible fiscal management are influencing the situation (Cheshire, 1979, p. 6) . According to Cheshire, campaigns are now occurring once in a decade rather than once in a lifetime, and ‘the goals are extraordinarily' high. Nevertheless, a review of the early campaigns and today’s campaigns show that both have many similar practices necessary for success, such as organization, selection of volunteers, team competition, powerful publicity, large gifts to be matched by the public, careful records, reporting meetings and definite time limits (Broce, 1979, p. 11). Section 2 Contemporary Campaigns in Public Institutions Fundraising as it exists today did not begin until the late nineteenth century when financiers such as Andrew Carnegie and.John Rockefeller started underwriting libraries, museums, research projects, and even entire universities. As vil bec. the} (Cm raae lone inst in ; bUdg 1988; to p. 'flrke finerg quali 32 the United States became industrialized and.major donors were willing to give to non-profits organizations, fundraising became a practice (Dove, 1988, pp. 2-3). Fundraising was a practice in private institutions as they were founded and maintained by philanthropic giving (Curtis and Nash, 1965; Rudolph, 1962). The more important reason that plunged public institutions into privately raising money was the decrease in state and federal support to public institutions. Other reasons for public institutions engaging in fundraising included the tightening of institutional budgets and decline in student enrollment (Gabor in Dove, 1988). Given the above reasons, public institutions have had to publicly expose their hopes and aspirations to critical market segments who are then asked to invest their time, energy and financial support, crucial to the institution's quality and sometimes crucial to the institution's survival. Organized fundraising activities such as capital campaigns are being undertaken for two reasons: the donor public is becoming both more pressed and more discriminating as resources are becoming more scarce; and fixed operating costs are escalating more rapidly than the rate of inflation (Dove, 1988, p. 4). According to a telephone survey conducted by the Chronicle of Higher Education ('Fact-File...," September 2, 1987, p. A76 in Dove, 1988, pp. 4-5), forty-three higher education institutions within one year (1987-1988) announced IC in reg: tucc lead BUCCE 35.“.t‘rfl c >- 33 a capital campaign with a goal of more than $100 million, and in February 1987 Stanford University announced a capital campaign of more than $1 billion (Dove, 1988, p. 5). Dove, like other fundraising authors, adds that regardless of the amount to be raised, every effective or successful fundraising campaign must have effective leadership, good organization and planning. Participants in a Public Institution's Capital Campaign Writing on the vital importance of leadership in successful capital campaign, Seymour (1966) writes: A good fundraising program has two kinds of leadership - the layman who leads and the staff member who manages and serves. The better each is and the better they work together, the better the results will be. Leadership in itself, let it never be forgotten, is always the key factor in successful fundraising, whatever the cause, whatever the goal, and whatever the scope of the campaign (p. 179). Hoisan agreed with Seymour in his dissertation on "the three year capital campaign at University of Virginia"--a public institution. He identified three principal elements that. made ‘the campaign. a success, namely: leadership, organization and planning. He divided the leadership team into two levels. On one level was the president and on the other level was the development team which included the chief development officer, top administrators and volunteers. The literature (Dove, 1988; Fisher, 1980; Fisher and Ouehl, 1989; Pocock, 1989) identify the president, the campaign chairperson, the governing board, the chief de pl: pr: of lead HcLa them instj 34 development officer and the deans as the major participants in an institution's capital campaign effort. The leadership role played by each of these participants will be examined. The president's role in a capital campaign will be examined first because he/she is the player most written about in a capital campaign. However, the focus of this research is on the role of the deans in a capital campaign. Presidential Leadership A number of authors have written about presidential leadership in a capital campaign (Fazio and Fazio, 1984; McLaughlin, 1984; Whittier, 1980; Fisher, 1980; 1985). Each.of these authors sees the president as the essence of the institution and that the general leadership role expected of any president is crucial to a capital campaign's success. According to Fisher (1980) Without strong presidential leadership, it is impossible for the institution to move and the institution will suffer (Fisher, 1980, p. viii). Each writer expects the president to take the responsibility for the institution's survival through the creation of an atmosphere in which the president' s constituents can be scholars and teachers. Presidential leadership in this context is twofold: (l) ability to contribute significantly to group mmwement in the direction of a recognized goal; (2) to be perceived as doing so by followers (Cohen and Rouch, 1969). It is for this reason that McLaughlin said: Thi: lea: out; to ; ShOL vi) ' big) Ric] ful: PIE: Dre: 35 The success or failure of both a college and an administration is...in the short term often judged on financial solvency. The fact that campaigns are measurable and other achievements are not, gives fundraising special tangible significance (McLaughlin, 1934, p. 6). This statement equates the president's role as a leader in a campaign with the president's overall role as institutional leader. It is no wonder therefore that Dr. Hardin (the then outgoing president of Michigan State University), when asked to reflect on the condition of American higher education, should reply: ”lousy, and it is our fault” (Fisher, 1980, p. vi). Fisher like Hardin is convinced that one way to restore higher education is presidential sophistication in fundraising. Sophistication in fundraising according to Richards and Sherratt (1981) begins when the college president fully“ realizes that. he/she is not. merely’ a manager or coordinator, but instead is the central person exercising presidential leadership for the institution. Fazio and Fazio (1984) best describe the importance of presidential leadership in a capital campaign in a memo they sent a president as follows: The capital campaign is one of the most critical activities of your administration. Your role in it is vital to the campaign's success. In fact, without your special involvement, your institution's (advancement) fundraising program is destined to fail (Fazio and Fazio, 1984, p. 10). This type of involvement, according to Fazio and Fazio (1984), :means that the president, as the leader of the campaign, has to be personally involved in the capital campaign planning. Fa: f 01 pm the to I81 of inv thi obj ace. Che: Scex C484 1984 36 Fazio and Fazio (1984) include selecting the right strategy for the right time with the right people as part of the president's planning responsibility. It is their belief that the president is not to trust the leadership of the campaign to the Vice President for Development and.then react to weekly memos (Fazio and Fazio, 1984). They contend that as the leader of the campaign, the president's personal and active involvement in making the campaign plans is crucial, because this plan contains the best estimate of scope, goals, objectives, process and timeliness of the campaign. The plan, according to Fazio and Fazio, also includes several checkpoints along the way as well as a number of alternative scenarios that the president must prepare in advance, just in case mid-course corrections become necessary (Fazio and Fazio, 1934, p. 6). The leadership role of the president also means he/she has to play a major role in determining feasibility. Fisher and Quehl (1989) advise that the president has to personally select the consulting firm that will conduct the institution's feasibility study. The president's role in determining feasibility is to give the consultant conducting the feasibility study a candid interview. This is because the president's perceptions are basic in the creation of a sound development program. The president's candor with the outside consultant is crucial to the success of the capital campaign. fc Uh 19 thc YES IEE rec the Con (Kc 37 Formulating the case statement is another area in which the president has to exercise leadership. The cases selected for support must recount the institution's needs and define why they deserve major support. For this to be accomplished, the president's personality and thoughtful participation must be evident throughout the printed piece (Fazio and Fazio, 1984, p. 7). Although the president has to be personally involved in the capital campaign he/she also has to delegate responsibility and authority. Thus, the president's leadership responsibility includes helping the development officer recruit the volunteer organization, providing encouragement to the volunteers and occasionally nudging them when they are not conscientiously following through on their assignments (McLaughlin, 1984, p. 8). The most important leadership responsibility of the president in a capital campaign is to convey the institutional message personally to potential donors. Fundraising theory holds that 90% of the goal is donated by 10% of the prospects (Pockock, 1989, p. 33). For this reason, it is of great importance that the president personally solicit donations from big corporations and big individual donors. Other leadership responsibility of the president during a capital campaign includes the following: bringing together the disparate elements of the academic community to support the campaign, and holding the professional staff accountable. 1e Chi C1] to] To; Put: 1.]... (jlpgltt0.hhum.nu.hwm O c 38 The president has to establish benchmarks for success and set levels of achievement and expectation (McLaughlin, 1984). Given the central role that the president plays in a capital campaign, President Hesburg of Notre Dame characterized the president as the definite leader in the campaign and gives a summary of the president’ s job as follows: The job of the president is to articulate the case, to present the vision. This assumes of course that the president has a clear vision for the institution. . .whatever else he is clear and enthusiastic about, the president must most of all elaborate his specific vision, rethink it as times change, and perfect it as he learns from resources. . . (Conklin, 1982, pp. 16-17). To summarize the role of the president in a capital campaign, Putnam's speech best illustrated it. According to Putnam: The president, particularly in fundraising campaigns, needs the support and understanding of faculty and staff. Department chairmen tend to be myopic, focusing only on their departmental needs without a concern for the overall institution. Vested interest surface quite quickly. Therefore, the case statement and the institution's needs must be pulled in a plan (by the president) reflecting the total institution.... The president however, must do more than appoint staff and delegate fundraising responsibilities. As far as the community is concerned, the president is the institution. The president alone is the chief spokesman and chief fund raiser for the institution, promoting a community awareness of the institution’s goals and needs. The president enlists community leaders to volunteer their talents and their dollars to the college. He encourages the staff and importantly, the faculty, to realize that the success of an institution's fundraising efforts are a direct result of the institution's commitment to this effort. The president, particularly in a state university, must assume an aggressive leadership posture in any development effort due to the very limited understanding by the public that a state-supported college needs private funds (Putnam, 1976, p. 4). pre. res; 198 of f and fun res sti Dre fou 40c 39 Chief Development Officer The chief development officer is a colleague of the president and a senior officer of the institution. He/she is part of the executive leadership team for development. The person occupying this position must be able to command the respect of the institution's top constituencies (Frantzreb, 1981, p. 24). In a capital campaign, the chief development officer has the primary function of obtaining understanding and support for the total program. According to Dove he also functions as a catalytic force--an educator, manager, researcher, communicator, facilitator, leader, guide and stimulator (Dove, 1988, p. 40). As an educator, the chief development officer assists the president in becoming a better fundraiser. Adams identifies four areas in which the chief development officer can accomplish the task of aiding the president to become a better fundraiser. 0 Aids the president to set the tone for the capital campaign. McGinnis' study concluded that the chief development officer and the president typically implement and direct fundraising policy (McGinnis, 1980). It therefore follows that as an educator, the chief development officer should build an overall capital campaign approach on the best practice of traditional management, augmented by new approaches, directional 4O techniques and attitudes (Dove, 1988, p. 42). The chief development officer' s responsibility as an educator during a capital campaign is to spend quality time with the president to keep the president abreast of the campaign's progress. In addition, the chief development officer has to ask his/her staff to adequately research prospective donors; utilizing this information, the chief development officer prepares the president for the solicitation call. The chief development officer has to have technique and talent. The chief development officer according to Adams, gives the president expert advice concerning such matters as: the subtleties associated with computerized direct mail; the best approaches to foundation relations; the strategies and legalities behind planned giving; minute details essential to dealing with alumni and the propriety and importance of good donor research. Finally, as an educator, the chief development officer has to possess talent. Through caring, tutoring, the chief development officer aids the president to develop the talent for interacting personally with a donor and the talent and commitment needed to state the mission and case lam thOI off: Spec rel: dew of j assj the dutj the 41 effectively (Adams, 1989, p. 18). As a manager, the chief development officer has the leadership responsibility of orchestrating the details of the campaign and organizing the campaign. Sherratt concluded that though the chief development officer leads the development office, he/she needs professional help in the performance of special tasks such as annual giving, corporate and foundation relations (Sherratt, 1975) . Dove adds that since the above named I functions are interdependent and related, the chief development officer must take advantage of the diverse talents of his/her staff 's talents and work with them rather than assigning them duties (Dove, 1988, pp. 41-42). Functioning as a communicator during a capital campaign; the chief development officer, has extensive public relations duties as part of his/her responsibility to plan and implement the campaign (Sherratt, 1975). The chief development officer functions as a facilitator during a capital campaign. He/she does this by being less authority oriented and more of a provider of work conditions, a helper in problem solving and good accomplishment. Dove analyzes the chief development officer’s role in a capital campaign ...as providing a climate in which staff members can gain confidence in each other, in which goals are felt to be understandable and meaningful, and in which all apple can participate successfully. . . (Dove, 1988, p. As a leader, the chief development officer provides 42 leadership and guidance to both the staff and the volunteers. Dove is of the opinion that today, the chief development officer’s leadership is considered to be more coordination of effort than actual fundraising. In conclusion, Dove lists seven responsibilities of a chief development officer in a capital campaign as follows: I recognize the needs of staff and volunteers; 0 delegate authority and/or responsibility; 0 .solicit and cultivate donor prospects; 0 involve staff and volunteers appropriately in every level of decision making; 0 provide meaningful support, direction and leadership; 0 recognize the challenge of changing times and human motivations; 0 provide adequate feedback and recognition of achievement (Dove, 1988, p. 42). Trustees/Governing Board Literature abound on the importance of trustees/governing board leadership in the success of a capital campaign (Frantzreb, 1981; Fillmore, 1984; Madalena, 1980; Pocock, 1989). Private colleges have survived mainly as a result of private philanthropy. The trustees had and still have the responsibility of obtaining and managing resources to maintain the institution. Now, public institutions are also depending on 1 prh lone (Poc II“! They 11 A: di 43 on private support to meet their costs. In both public and private institutions the board members are expected to raise money to ensure that the institution reaches its potential (Pocock, 1989, p. 1). Pocock (1989) gives two major reasons why the trustees are in a major leadership position in a capital campaign. They are: 0 Prospective major donors want to talk with those in whose hands rest the present and future health of the institution, the president is the logical person to talk to. However, the president is unable to handle all demands of a major fundraising program, the trustee therefore stands as a peer or surrogate of the president in the development of major donors. 0 Trustees represent a cross section of the leadership of the local community and of the society. As a result each trustee brings to the institution a distinct set of contacts and prospects (Pocock, 1989, pp. 1-3). Broce discusses the vital importance of trustee leadership as follows: Leadership from the governing board, is the single most critical factor affecting‘ the success of a campaign and even in determining whether an institution should.conduct a capital program. Without the board's visible and.unanimous commitment, it will be difficult if not impossible to motivate others to participate. And it is the governing board members, independent of others, who must eventually commit themselves to seeing that a stated goal is reached because they themselves are unanimously determined Ir ix 1: jc PC 1: ES ta 3: 90 Co Of at; th. 03 the 44 that it will be (Broce, 1979, p. 46). In reinforcing Broce's position Gerber (in Dove, 1988) states that "leadership from the top in. recruiting workers, cultivating, soliciting and giving is absolutely critical to a successful capital campaign” (Gerber in Dove, 1988, p. 32- 33). Leadership for the campaign therefore is the key ingredient that the board must provide. Through their leadership, trustees enlist alumni, parents and friends to join the volunteer organization that will work with the staff and faculty to accomplish the desired results. Handlan (1989) believes that other volunteers will not reach their full potential unless the board members first provide the leadership. It therefore follows that trustee leadership is essential not only to set the example for the institution's off campus constituencies, but as an important ingredient in rallying the campus community namely; faculty, staff and students, around the campaign (Handlan, 1989, pp. 73-82). In carrying out their leadership responsibility, the governance board members operate at two levels, namely; collectively and individually (Dove, 1988; Pocock, 1989). Collectively, the board reviews and approves the timing of the campaign after a full discussion of the perceived strengths and weaknesses of the institution as it approaches the campaign. Also, the executive and development committees of the board have to be substantially involved in preparing the needs list. The final needs list has to be presented to de it 27 fe P) as it hc 3t to "It 45 the entire board for consideration and approval. If approved, a capital campaign then is usually referred to the board's development committee for planning and overall supervision of its implementation (Dove, 1988, pp. 32-37; Pocock, 1989, pp. 27-30). It is also the responsibility of the board to approve money at the initial phase of the campaign to conduct the feasibility studies, and later, the board also has to approve the entire campaign budget. During the planning phase of the capital campaign, it is the board's role to ensure that the campaign is properly planned. This responsibility according to Dove, includes assessing the organization and structure, people involved, individuals, corporations, and foundations being solicited, how much they will be asked for, timing of efforts and marketing aids being used (Dove, 1988, p. 34). After the completion of the case statement, the board has the responsibility of approving it. According to Pocock, this step ensures the board’s full understanding and prepares them to assume ‘their individual role in ‘the campaign effort (Pocock, 1989, pp. 27-36). Individually, not every board member is expected to accept specific fundraising responsibilities. However, each of them is expected to be a solicitor according to Dove (1988) and Pocock (1989). LaMore (1989) agrees with Dove and Pocock and adds that board members by virtue of their caliber, know tc ca en in A1 Dr. re; the do: 46 some individuals and foundations from whom they will be the best persons to get a considerable commitment. He therefore articulates the reasons for trustee leadership in a capital campaign as follows: Board members must take on these individual assignments with enthusiasm and leave no stone unturned in ensuring that prospective donors are given the information that will enable them to make a sound and thoughtful decision regarding support of the institution. Trustees through deep commitment in the solicitation of gifts, authenticate their own deep involvement in the institution (LaMore, 1989, p. 93). LaMore, Pocock and Dove all are in agreement that people give to people, consequently donors will give to the trustees who carry the mission and needs of their institution in a positive enthusiastic way. Other leadership responsibilities trustees could be involved in, individually, include serving as members of campaign committees especially in large public institutions. Also trustees could work with professional staff to identify prospects. By so doing, trustees spread the perception and reality of their support and participation in all aspects of the campaign (Pocock, 1989, p. 94). since 904 of the goal in.a campaign is raised from 10% of donors (Pocock, 1989, p. 38), the trustees’ role in a capital campaign is very crucial to the success of the campaign as people give to people and not to institutions. In conclusion, Filmore states that trustee endorsement, support and leadership are key to any successful educational capital campaign (Filmore 1984, pp. 22-24). fc 47 Campaign Chairperson Broce (1979), Seymour (1966), and Dove (1988) are of the opinion that the selection of this individual is of the utmost importance in a campaign. They all agree that the campaign chair should come primarily from within. The qualities of this individual, according to Dove (1988) , should include the following: 0 be a respected individual with an immediate name recognition among the institution’s publics; 0 has established a substantial record of major gift support to the institution; 0 be a forceful dynamic leader with colleagues and friends who are also leaders representing the institution's various constituencies (Dove, 1988, p. 30). Consistently, the following are also listed by other authors as the principle duties of a campaign chair. Dove lists the following as the principle duties of a campaign chair during a capital campaign: 0 serve as the chief executive officer of the campaign; 0 cultivate or solicit a limited number of appropriate prospects; 0 assuming specific responsibility for the personal and] or corporate commitments from members of the campaign steering committee and all principal operating chairs; 0 serve as chair of the campaign steering committee and presiding over its meetings; 48 0 making day-to-day decisions regarding the problems of the campaign, in consultation with the chief executive officer and chief development officer and others at the .institution when important considerations arise; o acting as spokesperson for the campaign in all news stories, campaign. publications, special events and other functions (Dove, 1988, p. 31). These responsibilities are pivotal to the success of the campaign and Seymour (1966, p. 47) is of the opinion that the person chosen must have proven leadership capabilities, influence and affluence and be willing to use them on behalf of the institution. Deans The role of the dean in a capital campaign is the focus of this research. There is a dearth in the fundraising literature on the leadership role of the dean in a capital campaign. According to the literature, deans' active involvement in a capital campaign is a recent phenomenon (Trachtman, 1987; Davis, 1988; Barden, 1988). Other participants in an institution's capital campaign had been actively involved in capital campaigns longer than the academic deans. A study on ”fundraising at selected public universities" concluded that the president and chief development officer typically implement and direct fundraising with only limited involvement from other key personnel (McGinnis, 1980). However, the literature on educational fundraising indicates a.trend in the concept of teamwork. The teamwork concept also re to de. 881 fou Cip; QCCC hig/ respc {011° 49 focusses on the importance of involving the academic deans in the institution's capital campaigns (Trachtman, 1987; Davis, 1933; Barden, 1933). ' The academic dean as ”man in the middle" (Wicke, 1963; Meeth, 1971; Richman and Farmer, 1974) has fundraising responsibility as a whole and to his/her college. To the university, the deans (as in the case of Michigan State University), were expected to orchestrate the needs of their respective colleges to be included in the university's case for support statement (campaign files). With the college, the dean has two major fundraising duties. These duties are setting the school's fundraising priorities and representing the school to key alumni, parents, corporations and foundations (Davis, 1988, p. 30). Another leadership responsibility of the dean during a capital campaign is actually asking for donations. To accomplish this, the dean has to work cooperatively with his/her development officer, who identifies who to solicit and does the research on such a prospect. In a capital campaign, the dean has other leadership responsibilities. These responsibilities include the following: 0 Stewardship of gifts. This responsibility involves reporting back to donors who have established scholarship, lectureship and other endowments. Davis adds that the effective gift acknowledgment and stewardship programs guarantee a loyal and committed body of donors (Davis, 1988, p. 30). dear 50 it; 50 0 Lead the college development office by setting his/her college's fundraising priorities. 0 Build up the institution’s case statement, thus deans are expected to be visionaries for their colleges. 0 Integrate fundraising into the working of the school. This is accomplished by giving fundraising a high visibility in the school thus encouraging faculty and staff in the school to participate in the process. 0 Take a leadership role in the cultivation of ‘ prospective donors. Deans can accomplish this by enlisting prospective donors to serve in designated volunteer positions within his/her school. According to Davis, such positions could be in the school's alumni association, in the dean's advisory council or visiting committee. Such participation gives potential major donors the opportunity to be involved in the life of the school. 0 Maintain ties with alumni. The dean can accomplish this through the use of a school publication, dinners and special programs designed specifically for school alumni (Davis, 1933, pp. 31-32). Proffitt, commenting on the importance of maintaining ties with alumni for fundraising success said in a speech to deans: You must have some means of communicating on a more or less regular basis, with your alumni and other potential donors. You have to generate in them a real interest in ‘the school and create a feeling' of confidence in your programs. If your first or only contact with these nice people is a plea for money, you'll find it a waste of effort (Proffitt in Barden, 1933, p. 25). The General Role and Responsibility of the Academic Dean The role of the dean will be traced since its inception to its current role. Emphasis will be placed on how the dean's dc it of on an du‘ C0) Se< 0f (11:; di! 11nd fol hos ‘nd 0! int £33.; tee] he. 51 duties and responsibilities changed in response to events occurring in higher education. Prior to an examination of the evolving role of the dean, it is pertinent to mention that there is no clear definition of a dean's role. Dean Herbert E. Hawkes of Columbia College once stated, ”There is no such thing as a standardized dean. There is a dean of this and that college but.I have never seen any two deans who would exchange places and retain the same duties” (Hawkes, 1930, p. 245). Dibden gives two reasons for this observation. First, the existence of many colleges in the country, many deans, many presidents and even more professors. Secondly, the difference in the time, talent, vigor and vision of a president also explains why one academic dean will not duplicate the duties of another academic dean under a different president (Dibden, 1968, pp. v-vi). Coladarci (in Griffiths and McCarty, 1980) argues that an understanding of the role of the dean must include the following three factors: heterogeneity of schools and their host institutions; multiplicity of variables in decanal roles and performance; and the near-certainty that the performance of a dean is explainable most usefully in terms of interactions among personnel and situational characteristics (Coladarci in Griffiths and McCarty, 1980, p. 127). However, Edward Doyle noted that academic deans as major executives are responsible for the administration of academic programs. As executives therefore, they perform the following seven 3: st fc hi ‘P An 52 executive functions: planning, organization, staffing, directing, coordinating, reporting and budgeting (Doyle in Deferrari, 1957, pp. 3-14). Quoting Doyle, in defence of classification of functions for deans said: Being fundamental, these functions are proper to all academic deans; being general, they admit of reasonable adaptation by individual deans to the specific structural organization in which they operate (Doyle in Deferrari, 1957, p. 12). Several studies have been conducted on the role of the academic dean. Dibden (1968) concluded that in the more recent studies, the academic dean is primarily concerned with the following: "the goals and methods of education relevant to his/her college; the recruitment, retention and elevation of appropriate teacher-scholars; the intellectual, informational and cultural content and quality of the curriculum and its effectiveness on and for students and their futures.” In addition, the academic dean is concerned about the general climate of learning on the campus and the advisable support in facilities and funds for these basic academic ventures of the college. Dibden ( 1968) came to the conclusion that "the major emphases of the academic dean are on teaching, learning, research and service.” It therefore follows from Dibden’s conclusion that the academic dean's role will typically be in the following areas: ”the ends and means of higher education in his school; the teacher-scholars or scholar-teachers of the faculty; the academic program and its recipients; and academic budgets” (Dibden, 1968, p. viii). IE It co hm to (H; ‘de die tez the uni the ins of “0m in. Spec 53 The role of the dean as already mentioned has been responding to changes in the institution of higher education. It is pertinent therefore at this time to very briefly examine the dean's changing role. Historical Background of the Dean's Bole Thwing suggested that the word ‘dean' in universities could be traced to the church (Thwing, 1932, p. 3). The word however, did not originate in the church. Its origin goes back to the military or civil administrative offices in Roman times (Milner, 1936, p. 17). The church initially used the term ‘dean' to refer to a monk appointed to take charge of the discipline of ten other monks. Later the clergy applied the term to the head of the chapter in the cathedrals (Ward, 1934, p. 12). It was in this context that the term was applied to the university. Prior to the twentieth century European colleges and universities were the model for American universities. There, the dean was the head of the faculty, director of the instructional work of the college. The dean was also in charge of discipline, admission, record keeping and advising. Nonetheless, according to Gould, the deanship was not immediately established in American institutions. He gives speculative reasons for this as follows: 0 The president could handle all administrative affairs when colleges were small; 0 The president could still know enough of several academic disciplines to handle the proficiency of aid 195 “It. Pro! stud Elbee. ream IQ ft in D “nti. reSP0; 54 the faculty; 0 The president wanted to guard his own prerogatives and did not wish to share them; 0 There were insufficient funds to pay an additional administrator (Gould, 1964, p. 27). However, as colleges increased in size and presidents' responsibilities grew, the deanship became a phenomenon in American institutions. In appointing the first dean in the United States, President Eliot of Harvard said in 1870: v The discussion which preceded and accompanied the last election of president of the university showed clearly that the Governors and the Alumni thought that the president had ;Qg_mggn_tg_gg, and that he should be relieved of the immediate charge of the college administration (Scott, 1934, p. 17). The office of the dean was created in many colleges to aid the president (Deferrari, 1956, p. 55; DuPont in Dibden, 1968, p. 9). DuPont states that in the days of small enrollments, the president of many colleges handled all problems of the faculty and student body. In the 1900s as the student body grew, the president's primary responsibility became making contracts and raising funds. Due to the frequent absences of the president from the campus some of his responsibilities had to be transferred to members of the staff, committees or to other officers of the college (DuPont in Dibden, 1968, p. 9). The dean's position therefore as mentioned earlier, was created to take over the internal responsibilities of the president. 55 Role of the Dean As mentioned earlier, the role of the academic dean lacked uniformity in the definition of his/her duties. This is evident in the reports of different studies done on the role of the dean. Again the reports showed that, in each decade the responsibilities of the dean changed. The earliest studies done on the role of the dean were in 1929 and 1932 by Reeves and Russell. A list of thirteen functions most frequently assigned to the dean are listed as follows: 1. To‘direct the educational activities of the college. 2. To act as chief advisor to the president in matters of college policy, particularly in academic affairs. 3. To formulate educational policies and to present them to the president and faculty for consideration. 4. To direct the attention of faculty members to changing' educational thought and practice, particularly as they affect higher education. 5. To transmit to the president the budget recommendations for academic activities, offer details worked out with department heads. 6. To make reports relating to the work of the college. 7. To supervise curriculums, courses, and methods of instruction. 8. To cooperate with heads of departments in the nomination of new' members for the teaching staff, and to make suggestions to the president regarding the promotion, fa: 9. To 10. To (:1; 113 T0 of 12s To th 13 e To ed Rx: In 191 l. '1‘: m 2 e T 3 . 'I C 4 . 'I 5 , 1 C 6. n 7, ' 8, I 9 . 1 lo . 9. 10. 11. 12. 13. 56 demotion or dismissal of members of the faculty. To assist in the recruiting of students. To classify students and assign them to classes. To study the progress and academic welfare of students. To serve as chief disciplinary officer of the college. To represent the college at meetings of educational institutions (Reeves and Russell in Dibden, 1968, pp. 10-11). In 1936, Clyde A. Milner published his study on the dean of the small college. In it he published twenty most assigned functions to the deans in order of frequency ranging from 68% to 35%. They are as follows: 1. 2. 3. 4. 7. 8. 9. 10. 11. To interview students on all academic matters. To advise failing students. To correspond with parents on all matters of student welfare. To give counsel on all academic problems. To grant permission for changes of courses of study. To supervise the college curriculum. To excuse class absences. To grant permission for extra hours. To supervise all discipline. To interview applicants for admissions. To give general advice on all college policies. 12. ‘ 13. '. 14. 1 15. 'I 16. H 17. T1 18. Tc 57 12. To help estimate the teaching ability of faculty members. 13. To make annual reports upon the academic work of the college. 14. To estimate the constructive influence of the faculty members on campus life. 15. To recommend all changes in curriculum. 16. With heads of departments to make all changes in courses. 17. To improve instruction. 18. To determine entrance requirements for transfer students. 19. To give social guidance to freshmen. 20. To coordinate and improve the grading systems (Milner in Dibden, 1968, pp. 11- In the study, Milner reported that the deans considered the first six functions and.those:numbered.eleven to seventeen as their major responsibilities. In the mid 19403 when Ruth L. Higgins conducted a survey on the role of the deans; most of the functions already mentioned in previous studies were included. However, absent from the dean's role were such responsibilities as being in charge of admissions, registrations, discipline and general counseling. These roles had been delegated to other administrators. Higgins' study also showed that the role of the dean had expanded to include budget responsibilities (Higgins in Dibden, 1968, pp. 12-13). After the second world war, the role of the dean underwent.a revolutionary change. The deans' responsibilities —-—-— changed students MCG: Academic keep abr identi f i e £011Ws; 58 changed progressively from an almost sole concern with students to a concern for curriculum and faculty. McGrath in his article entitled "The Office of the Academic Dean,” said the major function of the dean was to keep abreast of educational development. Consequently, he identified the three major responsibilities of the dean as follows: 0 The dean's first major responsibility according to McGrath is to consider the ends and means of education and to arouse the faculty to similar activity. According to McGrath, the dean was to be an intellectual leader and scholar; and knowledgeable in educational theory. 0 The selection of faculty members is the second major responsibility McGrath ascribes to the dean. DuPont in supporting McGrath’s position states that: the dean has the opportunity and indeed the obligation, to mold the faculty and the entire college program (DuPont in Dibden, 1968, p. 21). 9 According to McGrath the third responsibility of the dean is the preparation of the budget. The budget, McGrath believed was the basis of the dean's educational leadership (McGrath, 1936, p. 423). In the 1960s, Corson made an important contribution to the literature on the role of the dean. In his book nggznangg WW (1960). for the first time. the responsibilities of the dean were seen as a function of his/her school's type and size. He identified three major types of deans and examined their role in small and large institutions. The three types of deans he identified were deans of arts and sciences, professional school and graduate, ——L-afi‘ evening a Cors the deans school, t financing, the alumni ”913 Also Vith etude 59 evening and extension school dean (Corson, 1960, p. 74). Corson made the following distinctions in the roles of the deans. According to Corson, in a small arts and sciences school, the dean has little responsibility for long-term financing, the acquisition of needed physical facilities or the alumni or public relations of the school the dean presides over. Also, the dean in a small institution is more concerned with student affairs. However, Corson's study showed that, in a large institution the opposite was true. The study showed that as the institution grew larger, the dean of students took over responsibility for students' affairs. The study also showed that the influence of the dean grew as he/she took on added budget responsibility. Corson also adds that the test of the dean often came in his ability to provide the progressive leadership that was needed. In comparison to the arts/science dean, the professional school dean had a smaller, more complex and different task. Corson gave the reason for this as the smallness in size of the professional dean's faculty who have a greater unity of purpose (Corson, 1960, p. 80). Corson also noted that a variety of demands arising from outside commitment were making the professional dean's role more complex and difficult. Corson lists these demands as follows: consulting obligations; fundraising; contacts with.prospective employers to facilitate student placement; contacts with professional groups (p. 80). °P th de1 811‘ de; Wt Obs. 60 For the first time, the dean' s role included raising money for new buildings, faculty salaries and scholarships. Shortly after Corson's work on the dean, Gould released his study on the dean in 1964. His study focussed on the administrative leadership of the deanship as it responds to the needs of a changing society. Gould’s analysis of the leadership functions of the deans revealed that the deanship was undergoing rapid changes in function, directed more by external events than by thoughtful analysis of the purposes of higher education. For example, the deans were forced to give up such responsibilities as teaching, counseling, faculty relationship and scholarly endeavors in order that they might spend more time on administrative duties which included making reports to foundations, government agencies and other institutions having a more than casual interest in higher education (Gould, 1964). The most reflective finding in Gould's study was the opinion of the deans about their role as educational leaders. There were conflicting opinions about this role. Some deans thought their educational leadership role should be that of a catalyst, facilitating action but playing no ,part in the determination of the outcome. Others thought their position should be that of functionaries working closely with department heads in an effort to bring into harmony the subject matter and differences of opinion concerning the objectives of the college. In describing their leadership role 61 very few deans expressed the opinion that the academic dean should be a serious student of the ends and means of higher education in a rapidly changing social order. The study also showed that very few number of deans thought the dean should (a) have a clear and comprehensive view of the goals of the school over which he presides, (b) the direction the school should be moving and (c) the ways in which its total resources should be used to reach its objectives (Gould, 1964, pp. v- vii). McGrath, commenting on Gould's finding wrote: These views of the deans' functions seem peculiarly unfortunate at this moment in our national history. There is much confusion about the purposes of higher education in American society. Critics outside and inside the profession assert that colleges and universities do not have a clear mission, that they try to be all things to all men.... Implicit in these criticisms is censure of academic leadership (McGrath in Gould, 1964, p. viii). McGrath observed that duties and demands of society on college and university presidents have prevented them from giving studied direction on educational developments therefore, this responsibility has fallen on the academic deanship. He therefore warns that: If the dean has no broad vision of institutional purposes and the means of achieving them or fails to express his views with conviction, the institution will inevitably drift with the ebb and flow of constituent. departmental strengths and. weaknesses (McGrath in Gould, 1964, p. viii). The statement reveals that the major responsibility of the dean is not just being an academic leader but a strong advocate of academia. It also parallels Deutsch's definition of the role mjor respo progra- admi Ml college then, and ta the] help a‘ In the :01. of tn. luduship. 0t . 'Chan Point that ‘c‘demic 1, 1950‘, Was wing '11; Went, Hen direct 1°“ spec“ is “Wing. 62 of the role of the academic dean. Deutsch (1953) said the major responsibility of the dean as the collegiate academic program administrator "is to strengthen the academic work of his college or school, find its weaknesses and seek to remove them, and.take note of the best teachers and scholars and.give them help and encouragement" (Deutsch, 1952, p. 53). In the 1970s Meeth contributed to the literature on the role of the dean in his study entitled ”Administration and leadership.” In it he described the role of the deans as that of a "change-agent" (Meeth, 1971, p. 47) . Meeth makes the point that perhaps the deans' nonchalant attitude towards academic leadership as McGrath and Gould also observed in the 1960s, was as a result of not knowing how to lead or not knowing what direction to go (Meeth, 1971, p. 48) . As a change agent, Meeth believed that the dean could ”exercise some direction over the ‘movement of the institution towards specific and clear cut goals devised through long range planning” (Meeth, 1971, p. 48). Meeth's conviction that academic deans can create a stable and harmonious college climate and lead the college toward having a more external focus was shared by Richman and Farmer (1974). In their book entitled W W, Richman and Farmer maintain that the dean can function as a change agent if during his [her selection as dean, the needs of the college were meshed with the prospective dean's philosophy and capabilities (Richman te in de. 9!: th the Phi 63 and Farmer, 1974, pp. 251-253). Richman and Farmer also strongly believe that external relations and fundraising are two "important responsibilities of the deans" (p. 253). Another responsibility Richman and Farmer ascribe to the (deanship is the capability to plan ahead for the future of the college. Richman and Farmer said: The truly effective dean will anticipate cutbacks through some meaningful contingency planning, if there is a chance that they will arise in the foreseeable future (p. 255). Buchen reiterated this position by referring to the role of the dean as that of a futurist (1974). A number of authors such as Davis (1988), Barden (1988) and Goldman (1988) have observed that the dean's role is fast becoming that of a fundraiser. Davis states that: In a time when increases in tuition breed complaints and controversy, when state budgets suffer from multiplying pressures, and when the federal government is drowning in red ink, private fundraising offers institutions of higher learning the best hope for growth in revenue (Davis, 1988, p. 28). The literature on fundraising emphases the concept of teamwork. They are calling on the constituents of an institution to get involved in fundraising. Once again the deans have been invited to assist the president in the execution of his fundraising responsibility. The literature shows that the deans are in a better position to represent their colleges to prospective donors because of their philosophical knowledge about their colleges. Ir 64 Davis (1988) is of the opinion that fundraising can help a dean live up to his potential as a dean. He explains that a new endowed chair can attract quality students and faculty. In an article addressed primarily to the deans, Davis wrote: If you can match your plans for innovative and important projects with energized major donors, you can accomplish your agenda for your school's future (p. 28). Besides functioning as a fundraiser, the dean is also expected to function as an advocate of fundraising for his/her college. Trachtman (1987, p. 7) describes the dean as a bridge between the central administration and the faculty in accomplishing effective fundraising. Deans are in a unique position to carry out this responsibility because as ”men in the middle" (Wicke, 1963) deans are hierarchically placed just below the central administration of the university and above the departmentalized administrators of the college which includes the faculty. In conclusion therefore, I would reiterate Reeves' and Russell's view that there are no clear cut definitions of the role of the dean. that. would apply' to all institutions regardless of size. They stated that: The size of an institution must be given consideration in dealing with the allocation of administrative functions. Also, the type of college, its control, location, ‘traditions, and. needs, as ‘well as its peculiarities of personnel, must all be taken into consideration (pp. 71-72). However, regardless of the institution's type and size, the dean as Doyle puts it, "is a major executive vested with 65 authority delegated by the president and charged with the administration of the collegiate academic program" (Doyle in Deferrari ed., p. 77). Discharging this responsibility calls for the dean to plan, organize and lead. Recent studies on Deans/Administrators as Fund Raisers In 1980, Coloia conducted a study on ”The Role of the Development Officer as Administrator." He concluded that the development officer has become a full partner in decision making at institutions of higher learning as evidenced by activities in planning, organization, staffing, leading, evaluation and developing (Coloia, 1980, PhD dissertation). In 1986, Robert C. Kochersberger conducted a survey on ”Criteria Ranked for Importance in the Academic Leadership of Journalism Programs. " The study was based on a mail survey of 519 journalism faculty members, journalism administrators, and presidents at BA, MA and PhD granting institutions. A list of criteria which seemed important was offered to them. The overall rank order results from most important to least were; leadership, creative planning, personality, using institution resources, professional media experience, outside contacts, keeping cool, fundraising, research interests and terminal degree (Hochersberger, PhD dissertation, 1986). Leonard Moisan in 1986 studied ”the three year capital fundraising campaign at the University of Virginia, 1981- 1984.“ The research was a case study of a successful 66 fundraising campaign. The findings revealed that, multiple forces, factors, activities and participants contributed to the campaign's success. However, three main interdependent components emerged as crucial: (1) Leadership included two distinct types: (a) The president was the primary leader; (b) The leadership team which included the Vice President for Development, top management, deans and volunteers; (2) Flaming: Seven specific areas of planning emerged as significant: needs assessment, feasibility study, case for support, public relations, information management, team building and the overall campaign plan; (3) Organization and implementation involved operationalizing the campaign plans. This required paying attention to many details, for which the development staff had primary responsibility. Specifically, this phase included the development and utilization of an appropriate campaign structure, the cultivation and solicitation of potential donors, the effective organization and coordination of activities, the production of results through an appropriate structure, and the evaluation of those results in developing new strategies. The Moisan study also identified the deans as participants in University of Virginia's capital campaign and as part of the leadership team. In studying the dean's participation in the campaign, the researcher utilized half of Hugo Uyterhoeven's description of middle managers as a reference. Uyterhoeven described middle managers as leaders of 67 their specialized units who delegate, guide and plan, but also, who have specific operating responsibilities and must roll up their sleeves to achieve output and meet targets. Uyterhoeven described middle managers as both delegators and doers; that is, functioning in a dual role within their college. However, in assessing the dean as one of the participants in the campaign, Moisan concentrated on the personality traits of the deans as reasons for their success in the campaign. He did not examine the deans' role in the capital campaign as planners, organizers and leaders in their colleges specifically, and in their institution in general. He ascribed success in the fundraising endeavor to the deans who were aggressive, able to maneuver themselves within the bureaucratic structure of the university/central development office, and persistent. Rosalie-Ann Turton in 1989 studied ”critical requirements of the alumni director in four year liberal arts colleges and universities in New York state." The purpose of the study was to identify behavioral characteristics which selected segments of four year liberal arts colleges and universities in New York, considered to be critical to an effectively functioning alumni director. The results showed that, the six critical requirements which evolved from the grouping of the 367 critical behaviors of alumni directors in four year liberal arts colleges and universities in New York are as follows: ( 1) the ability to plan, organize and direct programs and CE en ce “Q 150: pl] 68 activities, particularly fundraisers, homecoming and reunions; (2) the ability to remain cool headed, positive and able to make the correct decisions; (3) the ability to work well with people of diverse levels; (4) the ability to act quickly and decisively, especially in emergencies; (5) the ability to write and speak well and frequently enough to maintain a continuing sense -of communication by constituents and associates; (6) the ability to successfully create and implement new ideas and programs (Turton, 1989). Section 3 This section examines the three elements of an effective capital campaign namely: leadership, organization and planning. The research is an assessment of the role of the dean in these three elements of any successful campaign. Prior to a discussion on the three elements of the campaign, it. is expedient ‘to examine ‘the organizational positioning of the deanship. The literature surrounding the.dean describes him/her as “man [sic] in the middle" (Wicke, 1963; Meeth, 1971; Richman and Farmer, 1974) , placing him/her organizationally under the central administration and above the departmentalized administrators such as faculty and technical staff. This position makes the dean the chief representative of the president to the faculty through the schools and departments, end the the high P. 204) . the inst in the I II aidd‘ ldlihisi tern . “390m; tmctlol f0HOV-Ii; of Nth: existin degree Z“)- T: 69 and the recognized representative of the general faculty in the higher levels of university administration (Brown, 1977, p. 204) . D The deans' positioning in the organizational structure of the institution qualifies them to be referred to as men [sic] in the middle. However, their positioning should not be taken as middle management - carrying out the wishes of the top administrators. According to Richman and Farmer (1974), the term ”middle management applies primarily to job responsibility rather than job title”. They add that functioning' as a senior' or’ mid. manager depends on the following: importance of the decisions being made; the type of authority structure (such as centralized and decentralized) existing in the organization; power and influence; and the degree of autonomy with which the manager operates (pp. 244- 245) . They believe that in academic institutions, making major decisions about budget, personnel and raising and spending funds from external sources, independently constitute top imanagement. Typically, they described middle level management responsibility as the implementation of higher level decisions. Given the organizational positioning of the deanship in the bureaucratic structure of the institution, the role played by the dean in the three elements of a successful campaign, 'will be examined in terms of their job responsibilities to their colleges. 1130mm leadership 1955; Bro. “blustive Itate the “mastul “Viewed a Of the dea 70 Introduction The literature on fundraising states that the most important elements of a successful capital campaign are leadership, organization and planning (Dove, 1988; Seymour, 1966; Broce, 1979; Grezenbach, 1985). This is not an exhaustive list, but unanimously, the theorists on fundraising state the vital importance of these three elements in any successful capital campaign. Each of these elements will be reviewed as a basis for a conceptual framework.in the analysis of the dean as fundraiser. Leadership A good fundraising program has two kinds of leadership--the layman who leads and the staff members who manage and serve.... Leadership in itself, let it never be forgotten, is always the key factor in successful fundraising, whatever the cause, whatever the goal, and whatever the scope of the campaign (Seymour, 1966, p. 179). This quotation from Seymour reveals the vital importance of leadership in a successful campaign. The literature on fundraising is replete with the concept of leadership; mainly presidential leadership in other words, the chief executive leadership. The research is on the deans. In many ways deans function as chief executives in their colleges. For example, one way in which deans and presidents function alike is in their role as resource allocators. As resource allocators, ‘Ehew' function as financial. managers by allocating organizational resources of all kinds (Corson, 1960) . The deans and c leaders (F math, 1! Ind long n to Iotivat‘ 1985; Leed 13 118130: Baden, 1 ml’uttion‘n Public ‘ll'keter/l ““910pin. infomnt hus‘itt Outsiders between ‘ “treprer the it int 71 deans and chief executives of an institution both function as leaders (Fisher, 1980; Gould, 1964; Fisher and Quehl, 1989; McGrath, 1936) . Both are administrators/executives with vision and long range planning capabilities. They have the capability to motivate and activate their subordinates into action (Cote, 1985; Leeds, 1987) . The presidents and the deans also function as liaisons, spokespersons and fundraisers (Whittier, 1980; Barden, 1988; Davis, 1988; Goldman, 1988; Cote, 1985). Functioning in these capacities involves acting as follows: public relations specialists/image builders; marketer/salesperson; alumni liaisons and faculty advocate; developing and maintaining a network of outside contacts and informants who provide favors and information; and transmitting information about their organizations to outsiders (Cote, 1985, p. 667). Another role. similarity between presidents and deans is in their responsibility as entrepreneurs. As entrepreneurs, deans and presidents search their internal and external environment for opportunities and they initiate improvement projects. The difference between the presidents and the deans in functioning in the above capacities is that the president represents the whole institution while the deans represent their respective colleges. Therefore, the literature review on the dean's leadership role will borrow from the literature on presidential or chief executive leadership. 72 Leadership is one of the most observed and least understood phenomena on earth (Burns, 1978; Bass, 1960, p. 5). A number of definitions exist for this phenomenon. In a sampling of the literature prior to 1949, V. J. Bentz obtained over 130 definitions of the term leadership (Bass, 1960, p. 87). Herris and Seaman came up with four classifications of these definitions as follows: 0 Status vs. leadership 0 Esteem vs. leadership 0 A leader is a leader; simply defined anyone engaging in leadership acts as a leader. 0 Influence and leadership. These set of definitions defined leadership as influence. Specifically, leadership was equated with any positive influence act; to direct a group and with behavior making a difference among groups (Bass, 1960, pp. 88-89). Bass (1960) defined leadership as "an interaction between members of a group" (p. 89). Gurnee, LaPierre and Fransworth define ”leaders as agents of change” (Bass, 1960, p. 89). Most writers on leadership discuss leadership as a :relationship between leaders and followers. Burns in his book entitled Leadership defines leadership as "the reciprocal process of mobilizing, by persons with certain motives and values, various economic, political and 73 other resources, in a context of competition and conflict, in order to realize goals independently or mutually held by both leaders and followers” (Burns, 1978, p. 425). Cohen and.Rouche state that leadership cannot be defined without first defining the nature of the group to be led (Cohen and Rouche, 1969) . In order to have a group, goals must be apparent and the nature of these goals is crucial. They could be separate but must be related (Burns, 1978, p. 425). Therefore, without goals for which the aggregate is striving, there can be no group, hence, no leader. In the context of this paper, the type of leadership advocated is educational leadership and the group being led is the component of the institution known as constituents rather than followers (Birnbaum, 1987, p. 2). The type of leadership expected of an educational leader is for him/her to take responsibility for the institution's survival through the creation of an atmosphere in which the leader’s constituents can be scholars and teachers (Cohen and Rouche, 1969). In this context therefore, a leader will be defined as one who moves the group towards its goals. The essential is that there be effect. Without group movement toward defined ends, there has been by definition, no leadership exerted. Oshagbemi therefore, defined leadership as ”the element that makes the difference between an organization muddling through or merely surviving and another that is really making enviable progress" (Oshagbemi, 1988, p. 24) . According to Burns, effective of intends other hand latent ene 1988, p, 2 Accor C090 (1935 liuion nc ‘ chmglm “Neath,“i ‘I ex-pre: that the lousy, ar (Miller. 74 effective leadership is measured by the degree of production of intended effects (Burns, 1978, p. 22). Oshagbemi on the other hand defined effective leadership. as the degree to which latent energies are utilized to increase output (Oshagbemi, 1988, p. 24). According to McGrath (in Gould, 1964), Keller (1983) , and Cope (1988), colleges and universities have neither a clear mission nor strategic plans to be responsive to the needs of a changing society. It is against this backdrop that strong educational leadership is advocated. Educational leaders such as ex-president Hardin of Michigan State University observed that the state of higher education in the United States was lousy, and squarely puts the blame on educational leaders (Fisher, 1980, p. vi). Fisher, like McLaughlin, Fazio and Fazio, and.Richards and Sherratt, is convinced.that one way to restore higher education is presidential sophistication in fundraising. Davis (1988) reiterates this opinion by calling on the deans to get sophisticated in their colleges' advancement efforts. According to Davis, private fundraising offers institutions the best hope for growth in revenue, particularly in times of economic hardship (Davis, p. 28). He also said that fundraising could also allow the dean to live up to ihis/her potential as a dean. He said in his writing to deans: .A new endowed chair can attract the scholar around which you can build a program. Scholarship funds help your school to attract more diverse or more talented students. Seed.money makes possible new ventures that 75 bring your faculty to the front of their field and attract other research funding. If you can match your plans for innovative and important projects with energized major donors, you can accomplish your agenda for your school's future (Davis, 1988, p. 28). This brings out a central theme in leadership, which is influence, authority or power. Morphet et a1 (1974) state that there are many leaders with varying degrees and kinds of influence, and that a leader acquires leadership status through the interactions of the group, in which he participates and demonstrates his capacity for helping the group complete its tasks (Morphet et a1, 1974). The above discussion brings out a predominant leadership theory known as power and influence theory. This theory exists at two levels namely: 0 Social power approach]transformational theory-- considers leadership in terms of the influence or effects that leaders may have on their followers. 0 Social exchange approach/transactional theory - considers leadership in terms of mutual influence and reciprocal relationships between leaders and followers (Burns, 1978; Bensimon, Neuman and Birnbaum, 1989). Transactional Approach/Social Exchange Theory Burns explains transactional leadership as a process of social exchange between the leader and the follower for their mutual interests (Burns, 1978, p. 425). 76 Bensimon et al summarized transactional or social exchange theory as emphasizing a two-way mutual influence and reciprocal relationships between leaders who provide needed services to a group in exchange for the group's approval and compliance with the leader’ s demands. Proponents of this theory include Blau and Homaus (Bensimon et al, 1989, p. 9). The leaders and followers repeatedly interacted in order that they might build, reaffirm and alter their relationship. According to Bensimon et al, the group collectively agrees to reduce its own autonomy and to accept the authority of the leader in exchange for the rewards and benefits the leader can bring them (Bensimon, Neuman and Birnbaum, 1989, p. 10). Successful leadership in this case means the fulfillment of follower's needs. Transformational/Social Power Theory Transformational leadership‘was originally postulated by Burns (1978). Burns described transformational leadership as capable of shaping, altering and elevating the motives, values and. goals of followers. The premise. of this leadership according to Burns is that: ... whatever the separate interests they might hold, they are presently or potentially united in the pursuit of higher goals, the realization of which is tested by the achievement of significant change that represents the collective or pooled interests of leaders and followers ... (Burns, 1978, pp. 425-426). In this form, Bensimon et al said the theory had moral connotation; but as it gained in popularity, it evolved into 77 a code word for innovative or motivational leadership (Bensimon, Neumann and Birnbaum, 1989, p. 12). The leadership of the dean in his/her college will be examined using the transformational leadership theory as it currently exists - as a code word for innovative or motivational leadership. Dennis and Nanus' (1985) study showed transformational leaders as employing four strategies namely: 0 attention through vision (having a clear agenda and being oriented toward results); 0 achieving’ ‘meaning' through communication (interpreting reality to enable coordinated action, with the use of metaphors, images and models as particularly effective in conveying meaning and explanation; e gaining trust through position acquired by demonstrating accountability, predictability, reliability and constancy; O gaining recognition or attention through positive self regard (in Bensimon et al, 1989, p. 17). In relating the above four strategies to the leadership [literature in fundraising, a number of authors have written on the importance of the chief executive' s vision (Fisher, 1980, 1985; Hesburg, 1979; Fazio and Fazio, 1984; Whittier, 1980; McLaughlin, 1984) and his/her capability to communicate his 'vision and translate it into concrete reality. For example 78 Whittier states: It is the leadership responsibility of the president to know where he is taking the institution by having a vision for it. The president must then articulate and communicate that vision, for it is this sort of inspirational raising of aspirations upon which any successful fundraising is based. The president sets the tone and suggests the directions. Most important the president takes the lead in having those aspirations understood and adopted as their own by trustees and others critical to their future (Whittier, 1980, pp. 58-59). The literature on educational fundraising also emphasize the use of communication to achieve goals. Fazio and Fazio advised the chief executive in.a memo that if he/she wanted to attain his/her fundraising financial goal, the case for support statement must not only honor, reaffirm the institution's history, recount its needs and define why it deserves major support; it must, in addition, reflect the president's personality and thoughtful participation to the extent that people who read the case statement would understand that.he/she was active in its creation and respond to the needs of the institution because the chief executive believes in it so strongly (Fazio and Fazio, 1984, p. 10). Increasingly the concept of trust in fundraising leadership is gaining popularity. The literature is replete *with stories of donors who have made or withheld gifts based Inpon their perception of the chief executive leadership. When the stakes are high, there is almost no way that the chief executive can avoid involvement. It is the chief executive's jprestige, position and leverage which can tip the balance. A 79 chief executive/dean is still respected by donors as the one individual who can really influence institutional direction, or in the case of a dean, that of his/her college. This concept of trust is parallel to the concept of morality or credibility in educational fundraising leadership. According to Laney (1984), a chief executive's personal moral authority is rooted in his/her ability to inspire confidence. He goes on to say that a person is chosen for leadership because of his/her ability to inspire confidence. This ability is of a moral dimension arising from a perception of integrity and a sense of justice that most chief executives struggle to embody (Laney, 1984, pp. 17-24). Whittier supports Laney by saying that: Sound leadership inspires donor confidence and there can be no substitute for donor confidence (Whittier, 1930, p. 62). This confidence is based on people's perceptions of the president, and it is generated through the chief executive's. words, deeds and stewardship. The literature on educational fundraising shows that.prospective donors and volunteers want to hear what the chief executive says, want to see the results and especially want to see how the chief executive manages the affairs of the institution (Whittier, 1980; Dove, 1988). This is what Prentice (1961) refers to as the moral aspect of leadership, which he says should benefit both the institution and the donors. Burns also agrees that for leadership to be moral, it must benefit both the leader and 80 the follower (Burns, 1978). Finally, the literature on leadership places the responsibility of fundraising on the chief executive. According to Dove (1988) , how the chief executive officer accomplishes the fundraising task depends a lot on his/her individual personality and style of operation. Although he/ she needs help in this endeavor, the primary responsibility is the chief executive's. Regardless of the chief executive's contribution to the quality of the institution, if he/she does not meet the institution’s financial needs, then he would have failed (Dove, 1933, p. 33). McLaughlin reemphasizes this point by stating that: The success or failure of both a college and an administration is - in the short term - often judged on financial solvency. The fact that campaigns are measurable and other achievements are not, gives fundraising special tangible significance (McLaughlin, 1934, p. 6). In conclusion therefore, I would reiterate the definition of leadership as that which in any particular situation enabled an individual to contribute significantly to group movement in the direction of a recognized goal; and to be perceived as doing so by fellow members. Planning Planning is of vital importance to any organization. The literature is replete with articles on long-range and strategic planning and they all relate to the effective use of I’OIOUI'CGB e 81 There are many definitions of planning (Poulton, 1981). According to Poulton, planning means different things to different individuals depending upon the kind of organization involved, the nature of the primary activity of the organization, the role of the organization and.the role of the given individual in the organization. Poulton views planning as being synonymous with a perspective on management and decision making that emphasizes rationality, utilization of information and central control or influence of future events. He adds that planning may refer to a set of techniques for organizing and analyzing information. It may imply an organizational model, an ideal state of the organization or blueprint for some future condition (Poulton, 1981). As noted by George Keller, colleges and universities have been slower to enter into long-range and strategic planning than have business and industrial organizations. Keller defines planning as a management function developed to achieve goals in dynamic, competitive environment through the allocation of resources (Keller, 1983). Graff defines long range planning as a way to match an organization's resources to a changing environment. He says doing this requires a capacity to monitor changes in society, assess the strengths of the institution and a way to match the two (Graff, 1981). For higher education purposes, Cope defines long range planning as an open system approach to steering an enterprise 82 over time through uncertain environmental waters. Cope is of the opinion that long range planning in education is a proactive problem solving behavior, directed externally at conditions in the environment and is a means of funding a favorable competitive position in the continual competition for resources (Cope, 1988) . According to Cope, planning's primary purpose is to achieve success with mission while linking the institution's future to anticipated changes in the environment in such a way that the acquisition of resources, such as money, personnel and staff is faster than the depletion of resources. Hodgkinson is of the opinion that if institutions are to survive and advance, they will have to meet the challenges of an increasingly competitive market through effective planning. The use of market research in higher education was cited as an example of institutions addressing the issue (Hodgkinson, 1930). Lord (1988) concurs with Hodgkinson on the importance of strategic planning, by reemphasizing its importance in non- profit institutions. He said: Many forces outside individual institutions are trying to legislate how they ought to be doing their jobs. So an institution has to have a plan for its future particularly when it is preparing to embark on a fundraising campaign, if for no other reason, because people deserve to know how the institution intends to use the money-~and what kind of benefits are expected... (Lord in Dove, 1988, p. 16). Kohr reiterates Lord's position. He is of the opinion that as a prelude to any capital campaign, the institution 83 must engage in serious long-range planning (Kohr, 1977, pp. 236-265). According to Whaley, proper preparation for a capital campaign starts with developing an overall institutional plan and moves to getting the development program ready for the upcoming campaign with a campaign plan (Whaley, 1986, p. 14) . This means that planning will be in two phases namely; institutional and campaign planning. Whaley agrees with other fundraising authors such as Smith, Seymour, Broce, etc. that both processes of planning are crucial to the success of the fundraising effort and that planning should be a major part of the development officer's responsibility. Institutional Planning According to Whaley, institutional planning provides the basis from which the campaign will reach its potential. The first task of institutional planning is to review and perhaps revise the institution's mission statement to define the niche or place the institution intends to fill. He suggests that before institutional planning can proceed beyond that point, campus leaders including deans and constituents must agree on what the mission is. Adamson concludes that institutional planning has to be conducted from a holistic approach if it is to be successful (Adamson, 1986) . Kohr is of the opinion that to develop institutional goals and to suggest priorities, an institution should establish a subcommittee, perhaps headed by a trustee, for each school or academic subdivision (Kohr, 1977) . These 84 subcommittees should.review the program, suggest changes, and determine requirements in plant and other facilities, in faculty, and in the number of students. 'Questions asked should address the fundamental purpose of the institution. What are the institution's strengths and weaknesses? To what degree should the institution emphasize career training instead of a broad humanistic education? What should its plans be if the anticipated enrollment decrease becomes a reality? Studies of responses to these and other questions result in an institutional blueprint for the future, which can then be translated to financial goals, that when attained, will allow the institution to provide a higher level of service (Kohr, 1977). As important as the above questions are, Lord is of the opinion that the benefit long range planning offers is the opportunity it presents for involvement. He adds that the involvement of key personalities in the planning process promotes a sense of ownership among prospective donors, volunteers and administrators. He concludes by stating that: People are simply motivated to work for and invest in the realization of plans they themselves have helped to develop (Lord in Dove, 1988, p. 16). When the above step has been approved, the second important step in institutional planning is the formulation of the case statement (or the case for support). According to Seymour (1966), the case for support is a definitive piece of the whole campaign. It tells everything about the campaign, 85 answers all the important questions, reviews the arguments for support, explains the proposed plan for raising the money, and shows how gifts may be made and who the people are who vouch for the project and give it leadership and direction. It also provides a basis for prospective donor's understanding and is the official source book for all subsequent speeches and campaign literature. He goes further to say that the case for fundraising should be carefully planned and briefed aim high, provide perspective, arouse a sense of history and continuity, convey a feeling of importance, relevance, and urgency and have what is needed to warm the heart and stir the mind (Seymour, 1966). According to Broce the case statement is a selling document, but it must not oversell. It should reflect the institution and its leaders' credibility. The tenor should be such that it aims high, provides perspective, pays tribute to the past accomplishment, reflects continuity and conveys the importance, relevance and urgency of the program. He concludes by saying that those planning the case for support must ensure that established objectives meet the established institutional goals, and that the planners must also have a plan of attack that includes a thorough knowledge of the needs and the reasons for those needs. This reason he says is because donors give to meet objectives and not simply to give money away (Broce, 1979) . 86 Whaley is of the opinion that the case for support must define the total resources needed to reach its goals by deciding how'much is needed for each element in the plan such as building, endowment, equipment, curriculum, etc. In defining the institution's needs, planners must ensure that the final goals align with the mission of the institution, its objectives for the next five to ten years and a businesslike assessment of costs and income (Whaley, 1986, p. 15). Delassandro identifies four planning processes involved in arriving at the case statement. They are as follows: (1). The planning process should be broad-based to include all alumni, administrators, student representatives and faculty. (2). Planning process should link costs with the identified needs to include both cost, contingencies and inflation costs. ( 3) . The process should result in a comprehensive needs document. (4). The planning process should allow everyone involved to discuss the needs document and set priorities (Delassandro, 1989). On the completion of the case statement the next step in institutional planning is testing the case for support. This is known as the feasibility study. It is the step in planning where the accurate view of the constituents' opinions are measured before the other campaign plans can be embarked upon 87 (Whaley, 1986, pp. 15-16). Lord defines a feasibility study as a test of an institu- tion's philanthropic potential (Lord in Dove, 1988, p. 18). Doing a feasibility study has several benefits such as: building key supports' sense of ownership in the plan and its outcome. Other benefits include gathering information to help formulate basic campaign strategies and cultivating leadership gift prospects (Whaley, 1986) . Other benefits of a feasibility study according to Davis are that it can reveal the weaknesses in an institution and at the same time, mobilize the energy of the people who can strengthen the institution. Also, it can tell whether the financial goal is too low or too high and whether the approach is right. Davis concludes by enumerating the motivations for a feasibility study. They are to reveal the following: (1). The receptivity of an institution's prime constituencies to its case for support. (2) . To discover the availability of capable leadership either within the institution's family or elsewhere. (3). To discover the institution's fundraising potential at a particular time. (4). To determine the institution's ability to raise the money in terms of staffing, materials and publicity. (5). To determine the amount of time necessary 88 to carry out the campaign. (6). To formulate the plan of action which will be based on the grand design and estimated costs of the campaign (Davis, 1988). At MSU, some deans participated in the institution’s feasibility study. According toiDove (1988), participation at the campaign planning stages gives participants a sense of ownership of the campaign and gets participants involved in the campaign. At the college level, each college assessed its philanthropic appeal by identifying prospects and consequently, the amount of money the college is able to raise and how much it will cost to raise the identified goal. Campaign Planning According to Whaley, after the institutional planning which includes needs assessment, the preparation of a case statement and a feasibility study, the stage is set for campaign planning (Whaley, 1986). The first step in campaign planning is to set a campaign goal. At this point, the campaign goal is not financial, since that was already done during the needs assessment and formulation of a case for support. Campaign goals at this point are additional goals which the institution can reap as a result of the campaign. Such goals include increasing long-range fundraising capability; which means encouraging donors to give at a higher rate and planning to have annual gift drives. Another goal may be to strengthen constituency relations; in which case, the 89 type of campaign conducted will be dependent on this goal. For example Whaley says to achieve this goal, instead of having a low profile targeted campaign, a broad-based effort that includes large numbers of alumni and parents will be conducted, thus using the campaign to increase contact with constituents. Each college could also decide what its campaign goals should be. The second step in campaign planning according to‘Whaley and Seymour is the development of a comprehensive campaign plan which Seymour refers to as definitions (Seymour, 1966). At MSU, each college's Development Office developed what was referred to as a strategic plan. This plan was the road map which guided numerous individuals and a complex set of tasks toward a simple goal. Each college's strategic/operating plan consisted of campaign strategies, such as: annual programs; new prospect identification and cultivation; can a donor be found willing to provide a major challenge grant that will fuel the entire campaign?; how long should it last?; how much will it cost?; and ongoing internal/external relations. Regardless of the campaign strategy chosen, it should reflect proven fundraising principles such as 80% to 90% of the financial goal will be raised from 10% to 20% of the donors (Cheshire, 1977, pp. 123-124). The third step in campaign planning is preparing internally. Dove refers to this process as institutional development audit, and defines it as: 90 a formal, comprehensive evaluation of an institution's development program and its relationship to the people in the institutional areas that it touches (Dove, 1988, p. 25) . . To begin the process of preparing internally, Dove wrote: All internal constituencies of the institution must be made aware of the campaign and made to feel they have an active part to play in it (Dove, 1988, p. 24). It is at this point that key administrators are consulted or informed about all proposals on fundraising activities especially as it relates to their particular areas. Deans and other key personnel according to Dove (1988, p.25), should be actively involved at this stage, with providing the kind of information that will lead to securing large campaign gifts. Other areas in the process of internal preparation include assessing staffing needs. This will depend on the level of the existing staff and the campaign goal. Office systems involve taking a critical look at the institution's procedures for gift handling, prospect research and record keeping, to see if they need beefing up. Campaign management procedures involve accountability. The procedure must allow for the campaign's programs to be monitored and for predictions to be made at regular points in the campaign. Monitoring should enable the plan to be adjusted as soon as it is in danger of falling short of a specific goal. Management procedures work best when volunteers as well as staff know and follow them. The final step in campaign planning is the preparation of a prospect list. Much has been written about this aspect of 91 campaign planning. As Kohr and several others pointed out, conducting adequate research on prospective donors is crucial to the success of a capital campaign [because the more good prospects that are uncovered, the larger the yield will be (Kohr, 1977, p. 237). Prospects can be identified from a variety of sources, namely: donor lists, parent information, conversation with deans, faculty and staff, field research by Development Officers and more traditional research within the development department (Richards and Sherratt, 1981). Organisation According to Richards and Sherratt ( 1981) , fundraising has long been part of higher educational institutions. However, within the past decade, several changes have occurred to make fundraising much more critical to the well-being of higher education. Such changes include: declining student enrollments, shrinking funds for research and reduced operating budgets (Ryan in Griffiths and McCarty, 1980, p. 133). This led Davis (1988) to conclude that fundraising offers institutions of higher learning the best hope for growth in revenue (Davis, 1988, p. 28). Hines (1984) earlier noted that external funding was no longer regarded as a source of supplemental revenue, rather it is being regarded as an integral part of income for higher educational institutions. As cuts in financial support to higher education has become a reality, many people in advancement, such as Cheshire (1977) , are calling for stewardship of all institutional resources and 92 the effective use of people, time, space and money in advancing institutions of higher learning. The literature (Richards and Sherratt, 1981) shows ‘that institutions of higher learning are in some way organizing the function of institutional advancement, which includes fundraising. The deanship is feeling the impact of institutions' organizing for fundraising as they (deans) are being called upon to raise funds for their colleges (Davis, 1988). Although McGinnis (1980) concluded that there is no best organizational structure for fundraising, the literature (Davis, 1988) shows that, usually in big institutions in which deans are actively involved in fundraising, the organizational structure adopted is a combination of some elements of centralized and decentralized organizational structure. In this type of structure, the central development office assigns a staff member full time to work as a college development officer for a college. That person keeps an office in the school/college's building, reports directly first to the dean of that college and then to the chief development officer. Under such a structure, the dean is responsible for setting his/her college's fundraising priority. It is therefore the responsibility of the dean to make sure that the college development officer knows those priorities and can provide a plan for meeting them (Davis, 1988, p. 29). Since fundraising for the institution has procedural, legal and ethical implications for the institution's total 93 development or advancement program, it is not unusual for the person responsible for fundraising to be a senior administrator reporting directly to the president (Coloia, 1980) . However, since the dean is going to be involved in raising funds for his/her college, he or she must understand the institution's rules for fundraising. The reason being that, deans do not work in a vacuum, even if they are raising funds for their college from their alumni and friends. Fundraising for any college may have procedural, legal, and ethical implications for the institution's total development program. Therefore, Davis advises deans that before engaging in fundraising, they need to know the institution's policies on the following: o approaching’ corporate, foundation. and individual prospects; 0 accepting and managing gifts.of endowments, restricted and unrestricted funds, property and equipment and capital funds; 0 following up gifts in probate and planned gifts--such as those involving wills, charitable trusts, or pooled income funds; 0 working with prospects whose children are applying for admission (Davis, 1988, p. 29). Knowledge of these policies is essential for successful fundraising because donors see the university and the school 94 as synonymous with each other. Functioning as a fundraiser for his/her college, the literature (Davis, 1988) identify the following as the fundraising responsibility of the dean: 0 set the school's fundraising priorities; 0 represent the school to key alumni, parents, corporations and foundations; 0 responsible for actually asking for gifts (Davis, 1988, p. 30). The dean is first an academic leader (Gould, 1964) , thus, in functioning as a fundraiser, the college development officer plays a key role. To be successful at fundraising, Barden (1988) is of the opinion that the dean and the college development officer should function as partners. Barden went further to describe the partnership between the development officer and the dean by postulating that: in the partnership, both the dean and his/her development officer have specific responsibilities that complement the other's. He reiterated the fundraising responsibilities already mentioned by David (1988) but adds that the dean is responsible for evaluating the expressed needs of the faculty, judging them within the context of institutional importance and funding potential and deciding how much time, effort and money to allocate to each. On the other hand Barden (1988) describes the job of the College Development Officer as involving the identification of five Ws and one H, namely: 'whom to see; where and.when to see the ace que rev :11 his eff eff 10% his Adm HP 32) CM) the let to the id: re; 95 them; why the visit is important; what the visit should accomplish; and how to do it. Providing answers to these questions requires adequate prospecting, research and peer review on the part of the College Development Officer. Above all, Barden states that the relationship between the dean and his/her development officer should be characterized.by mutual trust and the dean's time must be used judiciously and effectively (Barden, 1988). Davis adds that a dean with an effective college development officer will only have to spend 10% of his time on fundraising or development when there is no campaign and 60% of his/her time on fundraising during a campaign period. He also adds that for a dean to spend 60% of his time on fundraising, he/she needs to have a good administrative assistant and able associate deans who can pick up various administrative responsibilities (Davis, 1988, p. 32). This brings out a trend in fundraising which is the concept of teamwork in fundraising. The concept of teamwork in the organization of educational fundraising encourages the deans to recruit and develop other participants in his/her school's fundraising. When appropriate, the dean is encouraged to ask the president and even the trustees to get involved in the school's development activities. With the school, the dean could also recruit other administrators such as associate and assistant deans to represent the school and articulate its case. org: vol) Itn com inv: wit) I d: the deal V011 Ace: Fri We be) Beg Con i d Vit 31) [01 96 Another group of people the dean must involve in the organization of his/her school's fundraising activities are volunteers. Dove writes The success of any campaign depends on an overall volunteer organization designed to facilitate rather than restrict effective prospect solicitation (Dove, 1988, p. 80). He also emphasized that the best organizational structures are those that permit efficient flow of communication and easy performance of functions by everyone involved. Each volunteer should be given a job description with definite assignments and specific results expected within a definite time period (Dove, 1988, p. 79). Dove is also of the opinion that volunteer recruitment should be done by the dean. Barden identifies two groups the dean could recruit volunteers from and gives reasons for their inclusion. According to Barden, parents of students in the school have a prized investment in the school and consequently a deep commitment to the school, and therefore might be willing to help with both giving and getting money for the school. The second group of people are professionals who live in the local community. Barden says they could be invited to participate on a dean's council or board of visitors that puts them in touch with professors and students in their field (Barden, 1988, p. 31) . By so doing, they are being cultivated for future solicitation. is pub u) rel ma chc the act or the foc inc 97 Another aspect of organization in educational fundraising is public relations. Argenti sees a linkage between proper public relations and success in fundraising (Argenti, 1988, p. 42) . As part of the organization for fundraising, public relations strategy should involve setting clear objectives, analyzing the audience, structuring an appropriate message and choosing the correct communications channel. He further adds that for fundraising’ to be effective, public relations' activities have to be tied into the school's mission statement or strategic plans, to reflect or involve the following: what the institution wants to accomplish; which constituencies to focus on; and which media to use to convey this information (Argenti, 1988). Part of the dean's public relations responsibility includes the following: 0 Developing ways of getting alumni away from the institution's community involved in fundraising. This Barden says could be achieved through the use of publications and alumni outreach programs. It is therefore the dean's responsibility to see that his/her school is well covered in university publications. If the school does not have adequate coverage, deans are advised to create their school's publication so as to nurture the bond 98 between alumni and the school. Encourage faculty to be involved in institutional alumni programs. Design. dinners and special programs specifically for school alumni. This gives the dean the opportunity to visit key alumni and also the opportunity to gather their opinions on the effectiveness of programs and proposed new initiatives (Barden, 1988, pp. 31-32). let par and of fun dur Cap aCCI CHAPTERTHREE RBBBABCE DESIGN AND IITBODOLOGY This chapter discusses the research design and methodology used in this study, as follows: (1) research purpose, (2) research questions, (3) research design, (4) participants/sample selection, (5) data collection instrument and procedure (6) analytical procedures, and (7) limitations of the research method. Research Purpose The primary purpose of this study is to describe the fundraising role of a dean in a large public institution during a Capital Campaign. Michigan State University's first Capital Campaign was chosen as the subject of the study. To accomplish the purpose stated above, the research attempts to (a) describe the current fundraising potential of each college in Michigan State University; (b) describe Michigan State University's deans' involvement in the Capital Campaign, in terms of their leadership, planning and organizational roles; (c) describe what factors aided or impeded the deans in their attempt to reach their colleges' campaign goals; and (d) provide a qualitative reflection of each dean' s view of his fundraising experience . 99 In): lath add: new ind 100 Research Questions Major Research Question - What factors impeded or facilitated the deans' ability to meet their colleges' fundraising potential during a Capital Campaign? Bub research Questions 1. What were the fundraising expectations of each of the selected colleges in general? ' 2. What were the deans' fundraising roles with respect to leadership, organization and planning as perceived by the deans and their college development officers? 3. What were the deans' perceptions of the factors that aided or impeded them in functioning as fundraisers during Michigan State University's Capital Campaign? 4. What qualities and qualifications are perceived by both the deans and their college development officers to be important for a dean to possess in order to be successful in fundraising? Research Design The research method chosen to study the deans' participation in MSU 2000 Capital Campaign is the descriptive method. A descriptive research method was chosen because it addresses itself to the question of "what is" the precise nature of prevailing conditions, practical, opinion, processes and effects. A descriptive research was deemed to be the 101 appropriate method to use in answering the question: ”What are the factors that impede and facilitate the deans' ability to meet their colleges' fundraising potential during a Capital Campaign?" In order to obtain answers to the above question, the opinions of people critical to the question’s solution were sought. Descriptive data are usually collected either through a questionnaire survey, interview or observation. For this study, the research design involved structured questions in open and closed ended form administered to the deans through a personal interview. An interview was chosen first, because of the small size of the population (14) and sample (10). Second, an interview produces in-depth data not possible with a questionnaire. Third, the interview is most appropriate for asking questions which cannot effectively be structured into a multi-choice format. Most questions asked of the deans involved personal reflections, and thus could not be constructed into a multi-choice format. Fourth, the interview format may also result in more accurate and honest responses since the interviewer can explain and clarify both the purpose of the research and the individual questions. Fifth, the interview format allows for follow up on incomplete or unclear responses by asking additional probing questions. Finally, the interview format allows the interviewer to determine reasons for particular responses. (Gay, 1987, pp. 202-203). re: im in: ii) vi) 2,) col st) dea Cl} lie to Vi to 102 Site of the Study, the Participants and their Selection Michigan State University (MSU), the site of the research, is located in East Lansing, Michigan. MSU became a university in 1855 and is the nation's premier land-grant institution. Although MSU is one of the "Big Ten" institutions, it had the least endowment fund prior to its first major Capital Campaign. Michigan State University is a large public institution with a student.population of over 40,000 and a faculty of over 2,000. There are currently fourteen academic deans and colleges at MSU. A population of all the deans could not be used for the study for the following reasons: first, a pilot study which involved two deans was conducted. Of these two deans, one was a dean in two colleges during most of the campaign's duration. Thus three colleges were eliminated from the final study. To avoid duplication, one college was not selected for the study because it is a multidisciplinary college with its students and faculty members already belonging to other colleges in the institution. Ten colleges were selected for the study and of those one dean was unable to participate. The two deans selected for the pilot test were selected because of their knowledge of the desired information, their willingness to give the information and their interest in the topic. .Additionally, they were recommended to the researcher by a member of the dissertation committee and a dean. ale sin of! or! tea res dea hi: ofi in) th: 1e Ye 0h 103 The development officers for each selected college were also interviewed. The development officers were selected simply because of their position as college development officer to the selected colleges and deans. The development officers were also included in the study for the following reasons: (a) for the purpose of gathering data which, as a result of time constraint, could not be solicited from the deans; (b) to solicit the development officers' opinions of his/her dean's work as a fund-raiser and (c) the development officers were more appropriate to provide answers to questions about their colleges’ fundraising potential because it involved facts in their possession. The final sample consisted of nine academic deans and their college development officers. The deans were all males. Two female deans participated in the pilot study. The deans' length of service as deans at MSU ranged from 6 months to 17 years. One dean had served for less than one year; two between one and five years; three between six and ten years and another set of three for more than ten years. Of the nine deans studied two had been deans at other institutions. Nine parallel development officers participated. Seven were females and two were males. Their length of service as development officers to their colleges at MSU ranged from 4 months to 5 years. One development officer was an interim development officer, not a permanent one. tv to it (h p) 104 Data Collection and Procedure General Description of Interview Questions The nature and scope of the study prompted the development of two original instruments which were to yield information through consistent classification of data in regards to the following: . the fundraising potential of each college - the deans' leadership, organizational and.planning roles during the Capital Campaign . factors which aided or impeded the deans in their role as fund-raiser Therefore the characteristics of the interview'questions included questions designed to be reactive within the range of the deans’ and development officers' fundraising experience, and questions which were categorized into specific areas relating to the format of the study. Construction of Interview Questions Two instruments (one for the deans and one for their development officers) which included both open-ended and closed-ended questions were developed since the research purposes were: (a) to describe the fundraising potential of each college prior to the Capital Campaign; (b) to describe ‘dhe leadership, organization and planning roles of the deans during the Capital Campaign; (c) to obtain a qualitative r-flection of each dean's experience during the Capital 01' sh: int I0); cor and in) fur adc‘ adc‘ 105 Campaign, which included their opinions on factors that aided or impeded their efforts as fundraisers and qualities and qualification desired in a potential dean who ‘will be successful in fundraising. However, most of the deans' interview questions were open-ended because the investigator sought an understanding of the deans' frame of reference and the reasons for their responses. The deans' interview questions (Appendix B) were constructed from.questions which.were derived from the theory and literature of fundraising. A professor on the investigator's committee examined the questions derived from fundraising theory and literature to ensure that they addressed the purposes of the investigation and recommended additional questions. The deans' interview questions and procedure were then protested on two deans not included in the sample. The investigator solicited the opinion of the two deans on any possible suggestions concerning instrument deficiencies as well as suggestions for improvement. There were no suggestions regarding instrument deficiencies but there were suggestions for the elimination of one question under the deans' organizational role and seven additions (questions 7- 13) were made under “reflection of fundraiser experience” (Appendix B). The second set of interview questions were constructed for the development officers. These questions were primarily lea fun we: dea p11 qua to 1 Put in con to em fun off col 106 meant to provide an understanding of the selected colleges’ fundraising potential. The secondary purposes of the questions were as follows: (a) to corroborate 'and/or illuminate the deans' description of their leadership, organizational and planning roles during the Capital Campaign; (b) to obtain a qualitative description of the development officers' approach to fundraising and their fundraising responsibilities, for the purpose of describing whether or not each dean's approach to fundraising and his fundraising responsibilities were complimentary to those of his college development officer; (c) to obtain the development officers' perception of the qualities and qualifications a dean who would be successful in fundraising should have; (d) to obtain the development officers’ assessment of what factors they attributed their colleges' success or failure in achieving their colleges’ campaign goals to. With the exception of questions 18 and 19 (Development Officers' Questionnaire; Appendix B) all development off icers' questions were derived from the literature of fundraising and the input of a professor on the researcher's committee. However, the actual dollar amount which reflected each colleges' fundraising potential was determined by the consulting firm that conducted a feasibility study for the institution. The primary criterion the firm used in arriving at these figures was the strength of each college’s programs as: determined by each college's record of attracting private 107 or federal dollars, its appeal to the general public and its faculty awards, prizes and recognition. The development officers' questions were not protested since they were not the primary focus of the study. Description of Interview Questions Two sets of questions were developed. The first set was administered to the deans (Appendix B). These questions were divided into two parts. Part one sought information on the leadership, planning and organizational roles of the deans. Questions under the deans' leadership role included the following: their vision for their colleges; their philosophy; how much time they spent on fundraising activities; whether or not they used their influence to recruit influential people to raise funds on their colleges’ behalf; their fundraising approach and how they communicated their colleges' needs to the central development office. Under planning, the deans' questions incorporated the following: to describe the process they utilized in arriving at their colleges Needs List; whether or not they participated in both the institution's and their colleges' feasibility studies, and if so, to discuss the effects of the feasibility studies on their role as fundraisers; to discuss their colleges' case statement in terms of who had the primary responsibility for its preparation and steps taken to ensure its effectiveness; what percentage of their colleges' needs were included. in. the institutions' Needs List and.*what 108 specific fundraising activities were planned to raise money for each college. Questions under organizational role of deans included asking deans to describe their relationship with their college development officers, the Vice President for Development and the President as the Campaign leader; their utilization of volunteers in raising money for their colleges and how they reached their constituents. Part two examined each dean’s qualitative reflection of his fundraising experience during the Capital Campaign (questions 1-13 (reflections of fundraising experience) Deans: Appendix B). This part of the interview solicited deans' opinions of factors that aided and impeded them during the Capital Campaign, how they felt about fundraising, whether they believed deans should be involved in fundraising, how in their opinion the Capital Campaign was conducted, if the institution should conduct another Capital Campaign and also what qualities and qualifications they perceived to be important for a search committee to look for in a potential dean who will be successful in fundraising. The second set of interview questions was administered to the parallel development officers (Development Officers: Appendix B). They were asked questions relating to their colleges' fundraising potential (questions 1-8, 15 and 16: Appendix B), questions to corroborate and illuminate the deans' functioning as a fundraiser (questions 11a, 11b, 12, 109 13, 14, 16a, 16b, 17). They“were also asked.questions relating to how complementary their fundraising responsibilities were with. those of their deans (questions 9-11; Development Officers: Appendix B). Question 18 solicited the development officers' opinion on the qualities and qualifications 3 dean who would succeed in fundraising should possess. The development officers were asked in question 19 to describe the factors they believe contributed to their colleges' success or failure in achieving their campaign goals. The interview questions consisted of 29 questions for the deans and 19 for the development officers. The interviews lasted approximately 60 minutes for the deans and 40 minutes for the development officers. Interview Procedure A few 'weeks prior to the interview, a letter of introduction was sent to both the deans and development officers selected for the study. The letter of introduction contained an introduction of the researcher; a statement of the purpose of the research; the importance of the research to the deans and MSU; an assurance of confidentiality; the length of time the interview would take (one hour) ; and the voluntary nature of participation. This letter was co-signed by the researcher's major advisor and sent to both the deans and their college development officers. To ensure timely access to the deans, the researcher's major advisor also sent a separate cover letter to each.dean emphasizing the importance 110 of the research to MSU (Appendix A). A separate covering letter from the researcher's major advisor was not sent to the development officers because of their ready availability. One week after the mailing of the introduction letters, interview appointments were made by telephone with each dean. The same procedure was repeated for each development officer. On the appointed day, each interview began either with the dean or development officer with the researcher reiterating the points in the introductory letter and then seeking permission to tape record the interview (Appendix A). After verbal permission to tape record the interviews was granted, interviewees were asked to sign a consent statement before the interview began (Appendix A). The interviews were conducted in the interviewees offices. Interview questions were administered personally and were tape recorded. Analytical Procedures Tape recorded interviews were first transcribed verbatim in writing for each interview. Second, responses for each respondent were arranged according to each question. For example, 311 deans' responses regarding Question 1 on deans' leadership role in a Capital Campaign were tabulated. The same thing was done for all questions on both the deans' and development officers’ questionnaires. Third, the researcher studied the responses; each interview question was analyzed and presented. Frequencies, percentages, and rank ordering 111 were employed to supplement the descriptive data and information. The responses were organized and analyzed according to the study's purposes. The open-ended questions were analyzed on the basis of their content and were classified into categories. However, the responses to two open-ended questions needed to be rated in order to be included in Table 1. One of the two open-ended questions is part of the deans' interview questions and the other is part of the development officers' interview questions. The deans' responses to Question 1 under Planning (Appendix B: Dean's Interview Questions) relate to the first open-ended question which addresses how the process of Needs Assessment helped deans to understand the fundraising process. This question was used to rate the deans' prior fundraising experience. The deans' responses were compared and three major categories emerged. This open-ended question provided the deans with an opportunity to discuss their prior fundraising experience. Deans (1, 2, 4, 5, 6 and.7) who»reported that the process of Needs Assessment helped them to understand the fundraising process because they had no prior knowledge of fundraising were given a rating of 'none" experience. Deans (8 and 9) who said the Needs Assessment process did not help them because they already had extensive experience in raising funds in other capacities (volunteer or dean in a previous institution) got a rating of a ”great deal” of experience in fundraising. Dean 3 who said he had little experience raising 112 funds in a small, non-educational setting and as such could still learn from the process got a rating of "some experience” in fundraising. He said he had actually raised money, but not on the scale he was confronted with as a dean at MSU. The rated responses to the second open-ended question were in regard to the colleges' fundraising experience prior to the Capital Campaign (Table 1). This open-ended question was asked of the development officers (Question 4 of Development Officers' Interview Questions: Appendix B). The development officers’ responses were compared and rank ordered and six distinct categories emerged because some categories were tied. The colleges' fundraising experience prior to the Capital Campaign were rank-ordered from least (F) to most (A) as follows: F: Colleges 1, 3, 6 whose development officers said their colleges had no fundraising experience at all prior to the Capital Campaign. 8: College 5 with minimal fundraising activities. D: College 9 had successfully raised funds but the fundraising activities were confined to one particular department. C: College 4 had a very dynamic fundraising activity in the college though not on the same scale as colleges with part-time development officers. For example, this college's development officer's response to the college's prior fundraising 113 experience was "the development activities of this college were very strong, stronger than that of any other college that did not have a resident development officer". B: Colleges 7 and 8 with part-time development officers who were raising money on their colleges' behalf. A: College 2 had a full-time development officer and was, according to this college's development officer, engaged in "comprehensive fundraising activities”. The letter ratings of F to A only suggest that there is a difference between the colleges' prior fundraising experience but does not measure the difference. For reliability, the responses of the development officers regarding their colleges' prior fundraising experience were given to three students in the researcher's methodology class for independent rank-ordering from least to most (F-A). They each arrived at the same rating. The analyzed and organized data were further investigated by comparing the responses of deans who succeeded in achieving their colleges' campaign goal with responses of deans who did not. The investigation was completed when some conclusions were. reached in 'terms of identifying’ and comparing’ the relationship among and between previous findings such as the role of leadership, planning and organization in successful 114 campaigns. The data analysis did not utilize inferential statistics which usually are used to generalize ' a finding drawn from sample data to a large population. Weinberg and Goldberg (1979) described inferential statistics as follows: Inferential statistics are used when the purpose of the research is not to describe the data that have been collected, but to generalize or make inferences based on it (p. 2) . Since the purposes of this study were simply to: (a) describe the fundraising roles of deans at MSU using theoretical concepts such as leadership, organization, and planning; (b) discover what factors aided or impeded deans at MSU in their roles as fundraisers; (c) obtain a qualitative reflection of their fundraising experience during MSU 2000 Capital Campaign; and not generalize this finding to other deans; the data analysis did not therefore involve inferential statistics. In addition, the study did not involve the use of inferential statistics because the study's sample size of nine was too small for inference. Descriptive statistics such as frequencies and percentages were utilized to supplement the descriptive data. It is believed that the use of frequencies, percentages and rank-ordering are sufficient for the purpose of this research. Limitations of the Research Hethod Limitations associated with descriptive research method involve sampling problems and generalization of results or 115 external validity. The entire sample was drawn from the population of deans at HSU since the study was about them. The analyzed data reported, referred 'to the deans at MSU. Therefore, the findings or observations may not apply to deans and other institutions in general. Second, not using inferential statistics in this study, limited its ability to establish. a direct cause-effect relationship between two variables and the confidence with which to state results and conclusions. A.third limitation related to the use of interviews as a data collection method is that respondents could say what they thought the researcher wanted to hear. Finally, another limitation associated with the use of descriptive research method is the reliance on self-report data which could produce bias either intentionally or unintentionally on the part of respondents. CJIAJKFEJKII H80 2000: Capital Campaign Although this is a research on the role played by the deans in Michigan State University's first Capital Campaign, an understanding of the entire Capital Campaign is necessary for an understanding of the context in which the deans performed their fundraising responsibilities. In this chapter, the following will be examined: reasons why a state university such as Michigan State University, is involved in raising money privately; the vision of President John DiBiaggio for Michigan State University; the various stages involved in planning the Campaign; the organizational structure of the Campaign and the Campaign leadership. Each of these steps will pay particular attention to the documented role played by the deans in the Capital Campaign. The Vision and Rationale for a Capital Campaign Michigan State University is currently involved in its first comprehensive Capital Campaign (1988-1992). The set for Michigan State University's Capital Campaign was born of a decision by President DiBiaggio, that a major fundraising event was both necessary and desirable. The theme of the Capital Campaign is MSU 2000: ACCESS TO OPPORTUNITY. According to the President of Michigan State University, the 116 117 theme "implies the vision and articulates the mission of the nation's premier land-grant university" (Campaign Quarterly, vol. #1, Spring 1988). President. DiBiaggio's 'vision. for Michigan State University called for a strong, new partnership between private donors and public resources. The President envisioned that this partnership will enable Michigan State University to keep its place among the world's greatest universities. The President also acknowledged that the realization of his vision of excellence would however require more money than the state alone could provide (Capital Campaign Quarterly). Although Michigan State University is a public institution, it is state-assisted and not state supported. For Michigan State University's vision for the future to materialize, private sector support was essential. President DiBiaggio gave the rationale for Michigan State University's Capital Campaign as follows: A.new century is fast approaching. We need to build our endowment, add to and improve our current facilities and programs to the degree and at the pace that the state of Michigan cannot maintain. Hence our Campaign for private support (Capital Campaign Quarterly, Vol. 1, #1, Spring 1988). The amount of money to be raised over a period of five years was $160 million. The goal was carefully determined by the entire university community and supported by a thorough feasibility study. Of the $160 million Campaign goal, one hundred million dollars will constitute Michigan State University's capital fund for the future, while increased 118 annual funds will account for the remaining $60 million (Capital Campaign Quarterly Newsletter: Special Campaign Edition). . The money will be used in the following ways: Faculty and Student Endowment, $50 million; Bricks and Mortar Projects, $37.5 million; Enhancement of Research and Service efforts, Electronic information technology, and libraries, $12.5 million. sixty million dollars in increased annual funds will provide a core of private funding necessary to meet Michigan State University's ongoing needs and emerging opportunities (Appendix C). A number of gift opportunities exist for corporations, foundations, alumni and other friends to make contributions to the Campaign. The Michigan State University Capital Campaign is being conducted within a prescribed structure for effective Capital Campaigns, namely; adequate precampaign planning, effective organization and capable leadership (Dove, 1988, pp. 5-10). Planning The importance of planning for the success of any Capital Campaign is well documented. According to Kohr (1977) planning is the prelude to any Capital Campaign (pp. 236-265) . Dove (1988) states the importance of planning as follows: "Before a Capital Campaign is formally undertaken, precampaign planning and sometimes, even pre-preCampaign planning is 119 necessary” (p.5) . Whaley (1986, p.14) reiterates the importance of planning by pointing out that planning provides the basis from which a Campaign reaches its potential. Planning for the Michigan State University Capital Campaign was both participatory and visible. For two years, vigorous research and discussion involving university faculty, trustees, administrators, political and business leaders, alumni, friends and consultants, identified those priorities which must be met to prepare Michigan State University for the 21st Century (Capital Campaign Quarterly Newsletter, special Campus Edition). Making planning a participatory exercise for both community and campus leaders was important to Campaign planners (Interview with Mr. Heald on January 14, 1990). The goal was to gain the constituents' broad support or consensus for the Capital Campaign and make them feel a sense of ownership in the Campaign. The support of these two groups of people was identified as vital to the success of the Campaign, since they would later be called upon to donate to the institution's cause (Interview with Mr. Heald, January 14, 1991). The participatory aspects of the planning was evident throughout the planning phase of the Campaign. The following individuals were listed as the major actors in the planning of MSU’s Capital Campaign; the President, the Provost, the Deans, various members of the Executive Advisory Council and Development Fund top executives (Status Report, June 27 , 120 1986) . Although planning was evident throughout the records of the Campaign, the following seven specific areas of planning will be reviewed. They are: needs assessment, feasibility studies, case for support, strategic planning, internal staffing and internal preparation. Some of these activities occurred in sequence while others occurred simultaneously, because of their interdependent nature (Review and analysis of Campaign files). Feasibility Studies Lord defines a feasibility study as a "test of an institution's philanthropic potential" (Lord, in Dove, 1988, p.18). Conducting a feasibility study is crucial to the planning process of a Capital Campaign because it is an accurate measurement of the opinion of the constituent’s view. This view is necessary because the other Campaign plans will be predicated on the result of the feasibility studies (Whaley, 1988, pp. 15-16). In the early 1980s, during the initial planning period of the Capital Campaign, MSU compiled a very long list of what they might be interested in raising money to fund. The cost of funding those needs totalled $162 million; of which $83 million was to be raised for bricks and mortar, $19 million for program enhancement and $60 million for endowment. Before Proceeding with the planning process, the philanthropic 121 response of MSU's constituencies to these needs had to be tested. In 1985, at the request of MSU, the consulting firm of John Grenzebach and Associates 'was ‘asked to conduct a feasibility study to analyze MSU's potential to conduct a successful major gifts Campaign designed to raise up to $162 million over a period of five years (report of Feasibility] Planning Study for a Capital Campaign for MSU, 1985). The consulting firm of John Grenzebach, through the use of structured interviews 'with. a selected sample of the university's most important and influential friends and supporters, sampled attitudes and perceptions of constituents towards the impending Capital Campaign. The following group of people were respondents in the study: MSU Trustees, foundation managers, corporate and business leaders, alumni, friends of MSU and MSU faculty and staff. Interviewees were chosen by the university on the basis of the following criteria: 0 Their close ties to MSU or to one or more of its schools or programs. 0 Their individual potential as donors and/or volunteer leaders in a major Campaign. 0 Their ability to identify and recruit others to contribute to, or work in, a Campaign. 0 Their familiarity with persons, 122 organizations, and/or conditions of key importance to the univers ity: fundraising programs, needs, goals and long-term plans. 0 Their roles as corporate or community leaders (Report of Feasibility/Planning Study for a Capital Campaign for MSU, p.3). In conducting the study, letters were sent to interviewees asking them to participate in the study as a service to the university (Report of Feasibility/Planning Study, p.4). Each request letter contained a concise summary of endowment, facility and program needs to be met through the Campaign. These identified needs, presented as a trial goal, amounted to $162 million (Report of Feasibility/Planning Study). John Grenzebach and Associates conducted confidential interviews with each of the respondents. Each respondent was asked fifteen questions designed to measure their attitudes, perceptions and level of support for’ the Campaign. The questions the feasibility study sought to answer fell into the following five categories (Davis, 1986, pp.20-26; Report of Feasibility/Planning Study): 0 The Campaign's case: How receptive was MSU's prime constituencies to its appeal; also was MSU' s case for support credible 123 and reasonable at that time? 0 Leadership: Was there available leadership within MSU's family or perhaps elsewhere within the state to lead the Campaign. 0 The goal: Did MSU at that particular time have the potential to raise such an amount; if so, were pace setting gifts in the multi-million dollar range available? 0 MSU's capability’ to raise the ‘money: These sets of questions were designed to assess the type of staffing pattern that would ensure adequate fundraising coverage and how Campaign and regular staff should be organized (Davis, 1986, pp.20-26). 0 MSU's Image: The feasibility study sought to examine the image MSU has within its constituencies and within the business, financial and industrial communities (Feasibility/Planning Studies). These five areas are often cited as prerequisites to any successful fundraising endeavor (John Grenzebach in Feasibility/Planning Study, pp.5-6). By asking formal questions and seeking informal comments, the interviewer in 124 each case sought to determine the presence of these five prerequisites to the degree judged essential for success. The findings were as follows: Favorable factors: 0 It was discovered that the educational programs and the faculty of MSU were highly regarded and were rated good to excellent by more than 75 percent of those interviewed. 0 There was virtual universal agreement that MSU is a substantial asset to the community, the state and the nation. Nearly 30 percent felt MSU was an international asset. 0 There was general agreement on the need for improved facilities and for professorships and scholarships. Responses indicated a strong concern for maintaining and increasing the quality of the academic enterprise in recognition of its value to students and to business. 0 More than two-thirds of the respondents were confident that leadership would be available, and a significant number of names were suggested . 0 There were positive indications among the 125 survey group, of gifts aggregating as much as $21 million. Support potential appeared particularly strong among foundations and corporations. Nearly two-thirds of those surveyed indicated a willingness to work in a Campaign, and. half of those surveyed ranked such work in the top of their personal priority list (Feasibility/ Planning Study for a Capital Campaign, conducted for Michigan State University, 1935, pp.6-7). Negative Factors Some respondents suggested that fundraising programming at MSU should be more productive. While there was wide spread trust and confidence for the top administrators of the development program, a number of concerns were raised regarding programs and staffing. There was a widespread concern that MSU does not receive appropriate public recognition for its quality and achievements. There ‘was some uncertainty among the respondents about. what. the ‘university 126 needed money for. The summary of needs was well accepted but there was some feeling that such a list requires considerably more detail and rationale. The feasibility study showed that the case for support was not as clear as it could be (Feasibility/Planning Studies, pp.7-8). Based on the broad concerns of the respondents, John Grenzebach and Associates made a number of recommendations which were incorporated into the planning process of the Capital Campaign. The recommendations included the following: improved criteria for goal setting objectives; improvements in public relations; the development of a comprehensive case statement; the involvement of the volunteer structure of the Alumni Association at the local and national levels; the identification of a national Campaign chair; changes in the organizational structure of the Development Office and the involvement of deans in the Campaign. It was hoped that the involvement of the deans in MSU's fundraising will continue beyond the period of the Capital Campaign (Feasibility/ Planning Report, p.12) . In summary, the feasibility study enabled MSU to gain a better sense of areas that needed strengthening and also to 9.1!! more appreciation of areas that are already strong (Brakeley, 1930, pp. 32-41). 127 leads Assessment As a result of the findings of the feasibility study, there was a need for MSU to refine its objectives (Review and analysis of Campaign files). Specifically, the feasibility study yielded a strong indication that the audience interviewed believed that the endowed chairs, fellowships and scholarships ranked in the top six items considered to be crucially important to MSU. This was consistent with the growing trend in Capital Campaigns. Educational Capital Campaigns stress endowment over mortar (Memo to Dr. Scott from Mr. Heald dated August 28, 1986). With the knowledge from the feasibility study, the university was prepared to begin the task of needs assessment. This process highly involved the deans in the Capital Campaign at the institutional level. The formal process of compiling and distilling university-wide needs for inclusion in the Campaign began in May 1986 under the direction of Provost David Scott, with the assistance of the retired Vice President of Development, Dr. Joseph Dickinson and the on-site representative of the consulting fundraising firm, Mr. James Heald (Campaign memo on Compiling needs list dated June 5, 1986) . The needs assessment process was conducted in three stages. The first stage consisted of a series of individual meetings over a period of five weeks with each dean and program director to: (a) review feedback from the feasibility study (Campaign files did not 128 indicate who compiled the initial list used for the feasibility study in 1985); (b) discuss the balance sought among bricks/mortar, endowment, and programmatic objectives seen in similar Campaigns at comparable institutions; and (c) to answer the deans' initial questions. Deans were given a Needs Assessment Form (Appendix D) to list their needs and prioritize them based on the guide- lines recommended. All needs lists were to be received in the Provost's office by the end of August 1986 (Campaign Status Report dated January 16, 1987). The aggregate of the deans’ needs exceeded $538 million (Appendix E). The second stage in the needs assessment was to distill the $538 million in aggregate needs to the $100 million amount suggested as a feasible major gift goal by John Grenzebach and Associates. Copies of the deans' need lists were circulated to Mr. Dickinson and Mr. Heald. Together, they transposed information on the deans' forms, to a spread sheet (Appendix F). Subsequently, Provost Scott, Mr. Dickinson and Mr. Heald reviewed the spread sheet. Where necessary, some deans were requested to provide supplemental rationale for needs identified on their college's list. Cuts in proposed needs were also made on items which should not be included in the Campaign (Memo from Mr. Heald to Dr. Scott dated June 5, 1986). In trimming the needs list to the recommended $100 million, the following six criteria were utilized: 129 . Consistent with land-grant mission. 0 Maximize impact across several key disciplines. 0 Consistent with feedback from feasibility study. 0 Strength of unit record of attracting private support in past. 0 Match with potential donor support identified to date. 0 Match with objectives seen in successful Campaigns at comparable institutions; Bricks and. mortar (25 percent to 35 percent), Endowment (50 percent minimum), Programs and enhancements (no more than 20 percent) (Capital Campaign memorandum dated September 26, 1986). In outlining MSU's needs, care was taken to ensure that the final needs list reflect the mission of MSU, its fundraising potential and its objectives for the next five to ten years. In the final stages of the needs assessment process, Provost Scott also held meetings with deans and program directors in September 1986 to: (a) brief the deans on the needs assembly process; (b) review individual college Campaign potential; (c) obtain deans' input and ensure a basic under- 130 standing of setting goals and objectives; (d) enlist the support of each dean for Campaign objectives (Campaign Memo dated September 11 , 1986 from Mr. Heald to Provost Scott). This led to the next step in the planning process namely, goal setting. Goal Setting: Financial In 1985, the consulting firm of John Grenzebach and Associates determined through a feasibility study that MSU could raise $160 million. Of the $160 million, $100 million could be raised for Campaign specific purposes to meet specific university needs and priorities. It was felt that the balance of $60 million could be raised in various non- restricted annual support programs, which were already in place and were to continue throughout the Campaign. The $160 million is a comprehensive figure in that all gifts secured during the period of the Campaign counted toward the goal (Capital Campaign memo dated July 9, 1986). The $100 million for Campaign specific purposes was broken down as follows: $35.5 million, Bricks and Mortar (Appendix G); $50 million, Endowment (Appendix H); $14.5 million, Program Enhancement (Appendix I). In setting the objectives for the Campaign, the challenges faced by university planners was the establishment of a set of generalized priorities which were to be used in striking a balance between the real needs of the university and those parts or programs of the university that will be 131 most successful in generating funds. Therefore, in articulating needs, specifics were avoided. Rather, fundraising priorities were generalized by categories of needs, instead of, by specific needs (Capital Campaign memo dated August 28, 1986). The main strategy in setting dollar goals was to build strength upon strength. Planners started with the broadest categories of programmatic strengths within the university and built on them. The colleges of Engineering, Business, Agriculture, Natural Science, Education and the three medical schools were believed to have the strongest programs (Capital Campaign memo dated October 15, 1985). Later in the study, efforts will be ‘made to ‘verify' this belief. The needs submitted by these colleges were carefully examined by Campaign planners to determine their relationship to programmatic strengths. The following is a list of indicators of strong programs: 0 Record of attracting’private or federal dollars. 0 Appeal to general public (as indicated by the feasibility study). 0 Faculty awards, prizes and recognition (Capital Campaign memo dated October 16, 1986). The second strategy utilized in setting dollar goals was to build. or’ maintain strength in areas of central 132 importance to the university's mission of teaching, research and service. Setting dollar goals for areas of central importance to the university's mission has the following advantages: 0 Allows donors to provide funds for weaker but not necessarily less important units. 0 Encourages active participation of all units, i.e., colleges in the Campaign. For example, while a specific dollar amount may not be set for Arts and Letters, Arts and Letters' access to the results of the Campaign was facilitated through Central University mission dollar goals. If Arts and Letters or any small college has access to the Campaign, it was believed, that college would be more likely to participate in identifying, cultivating and soliciting' potential donors. As will be discussed later, deans of all colleges were encouraged to be participants in the Campaign through their involvement in needs assessment, prospect identification and solicitation. 133 0 Sends a signal to internal and external constituencies that quality or excellence is a theme for. the whole university, not just those with great appeal to special groups (Capital Campaign memo dated July 9, 1986). On the completion of the setting of financial goals, non-financial goals for the Campaign had to be set. Goal Setting: Non-Financial Goals In conducting a Campaign, there are other fundraising goals that the Capital Campaign could be used to achieve. Setting additional goals during the Campaign planning enables the development office to reap more than the Campaign financial objective (Whaley, p.17). Besides the financial goal, MSU had four additional goals for the Campaign. The first goal was to increase its long-range fundraising capability; MSU wanted.to increase its private fundraising ability to 10 percent of its operating budget from its current private fundraising ability of 7 percent (Interview with Mr. Dickinson on February 7, 1991). The Capital Campaign according to Mr. Dickinson was therefore ideal for encouraging major donors to give at a higher level. The Vice President for Development hoped donors would continue to give at that level after the Campaign. The consulting firm of John Grenzebach and Associates recommended that $60 million of the $160 million Campaign financial goal, he raised in Cc Co 134 various non-restricted annual support programs which are already in place. It was hoped that the raising of the $60 million will continue throughout the Campaign period (Feasibility/Planning Study conducted for MSU, p.8) . The goal was to encourage increased annual gifts. The achievement or failure to achieve this goal will be an area of investigation in this research. The second goal MSU had was to strengthen constituency relations, especially the alumni relations. Prior to the Campaign, MSU had not effectively courted the alumni (Campaign files). To achieve the first goal of increased fundraising capability, alumni relations had to be improved. The achievement of these two goals influenced the type of Campaign that was conducted. MSU 2000 was consequently conducted as a broad based effort that included large numbers of alumni and parents. The Campaign provided the university with a good reason for increased contact with constituents and for presenting MSU' s financial goals and plans (Interview with Provost Scott on February 13, 1991). The third goal MSU hoped to achieve through the Capital Campaign was the expansion of the development office. Prior to the Campaign only the three richest Colleges had resident college development officers. As a result of the Campaign, all colleges had resident development officers. The concept of decentralization of development activities was the consequent result. This was a calculated act to get deans 135 involved in development activities with the hope that after the Capital Campaign, they would continue to be involved in fundraising. ' The fourth goal was the strengthening of the development staff's ability to raise money without the help of a full time resident Campaign counsel. To achieve this, the strategy was for the resident Campaign consultant to work very closely with institutional planners and to deeply involve the development office staff in the Campaign. It was hoped.that by so doing they would have the opportunity to develop professionally. Case Statement The feasibility study revealed that MSU was not well understood or appreciated by the Michigan or national public (Feasibility/Planning Reports on MSU Capital Campaign, p.6). The case statement which is the simple definitive written piece associated with the Capital Campaign (Seymour, '66, p. 42) , is required to make the case for the university. The MSU case statement was a selling document. It aimed high, provided perspective, paid tribute to the past accomplishment of MSU, reflected continuity and conveyed the importance, relevance and urgency of the programs to be funded. In planning for the case statement, planners ensured the following: (a) that established objectives met MSU's established goals, mission and objectives for the next five to ten years; (b) goals were written in a businesslike manner 136 with assessment of costs and income; (c) thorough knowledge of the needs and the reasons for those needs. Including the rationale for needs is essential for fundraising success according to Broce (1979) . Broce explains that people give to meet objectives and not simply to give money away (pp. 38-39); (d) define the total resources needed to reach its goals by deciding how much is needed for each element in the plan such as building, endowment, equipment and curriculum. The deans were expected to include the rationale for the needs they listed for their college. Broce (1979) also stated that a case statement should reflect the institution and its leader's credibility (p.38). MSU's case for support included statements from President DiBiaggio and Provost Scott on MSU's history, its accomplishments and their respective aspirations for MSU. The statements from the President and the Provost are of significant importance in the success of the Campaign especially where the President was concerned. As chief executive and chief Public Relations official (Cote, 1985, p.664) , the president represents the university to the public. Fazio and Fazio (1984) are of the opinion that the president's personality and thoughtful participation must be evident throughout the case statement for fundraising to be successful. They write: The person who reads the case statement must understand that the president was active in its creation, must believe that he personally selected the Campaign's direction, most 137 important, must be motivated to respond to the needs of the university because the president believes in it so strongly (p.10). Many' donors including foundation and corporation executives cited President DiBiaggio's ability to articulate the university's needs as a reason for their giving (Campaign monthly reports; Interviews with Mr. Heald [January 17, 1991] and Provost Scott [February 13, 1991]). Staffing Based on the Campaign goals, two decisions were made. The first was to increase the.development office staff and.the second was to hire a resident Campaign counsel. Prior to the beginning of the Campaign, the development office had twelve professional development officers and eight support service staff. In strengthening the staffing needs of the development office, more development officers and support staff were hired to bring the number of development officers to twenty-eight and eighteen support staff (Capital Campaign document dated October 15, 1985). At the beginning of the Campaign, the staff needs were as follows: a Campaign director, an assistant Campaign director, three support staff who worked as central Campaign coordinating team, a new executive management.position titled assistant director of Development and directors of College programs. Hiring’ priorities for the college development officers were given to colleges with the largest Campaign potential. The deans were strongly encouraged by the Vice 138 President for Development to participate in the hiring of their college's development officer (Memorandum by Mr. Joseph Dickinson dated October 15, 1985). Later in the study, this will be one of the areas of investigation, in assessing the deans' role in the Capital Campaign. Prospect Research and Rating The Michigan State University Capital Campaign searched for prospects nationally. Prospective donors included corporations, foundations/associations and individuals. To find prospects, more research staff were hired and the prospective firm of Marts and Lundy Electronic Screening Potential Plus Rating was utilized for geodemographic prospect rating. MSU had at least 4,000 potential alumni prospects nationwide (Review'of the Campaign files). The services of the electronic geodemographic consultant, therefore became necessary to narrow the number. By running their names through the computer, the potential prospects were identified as probable prospects. The data base contained information on potential prospects' residential area. Living in an affluent area was indicative of affluence and worthy of being researched. Once identified as Campaign prospects, individuals were added to the Capital Campaign file for inclusion in the rating process. From December 1987 through January 1989, the process of identification and rating of major gift prospects took place. The identification and assessment of each prospect's 139 giving capabilities, influential personal contacts and interest area(s) were treated as priorities in the process. Then individualized solicitation strategies were built from the facts gathered during a series of rating sessions. Lastly, the solicitation. process for each. prospect. was determined and volunteers assigned (MSU 2000 Strategic Planning file). Three types of prospecting sessions were conducted: 0 Michigan State University development fund staff conducted initial screening of prospects. 0 MSU faculty, administrators and directors of development within college units developed prospect information list. In developing such lists, gift capabilities, influential. contacts, specific interest area(s) and past relationships with a particular unit were explored. This involved the college development officer working in close cooperation 'with the dean to decide who might be the appropriate individual.to)solicit for assistance in rating potential donors. 0 Geographic rating sessions drew on the advice of volunteer raters (alumni, 140 major donors and top level executive) who knew potential prospects, gift capabilities and influential contacts on a different level. They supplied MSU with additional information to develop the solicitation strategy (Campaign strategic planning files). More than 2,100 prospects were identified and rated internally based on their giving capability and interest areas. Of the 2,109 prospects, 70 percent were individuals, 21 percent were corporations and 9 percent were foundations. Of all prospects, 63 percent were found in the state of Michigan. Of the Michigan prospects 80 percent were individuals, 13 percent were corporations and 7 percent were foundations. Organisation The organization phase of the Campaign operationalized plans which were conceived during the precampaign phase. The precampaign plans were to culminate in the raising of $160 million. The organization and implementation phase of the Campaign required attention to many details for which the development office had primary responsibility. The primary responsibility of the Development Office was to orchestrate the Campaign to raise the $160 million. To accomplish this task, the Development Office had the following responsibilities: to identify those who can, should or might give support to'MSU; taking the necessary steps to obtain the 141 gift; recording the gift and thanking the donors. Organizing for the task of raising $160 million for the Capital Campaign involved the following steps: a) the development and utilization of an appropriate Campaign structure; b) prospect research; c) cultivation and solicitation of potential donors; d) effective management of the many details of the Campaign. (a). The development and utilisation of an appropriate Campaign structure. This comprised of two major structures; the central development (Appendix J) which served as liaison and professional resources to the groups involved with the Campaign and the Capital Campaign committees comprised.mainly of volunteers (Appendix H). The staff organizational chart of the Development Office is headed by the Vice President who reports to the President of the institution. Two important offices under this structure are the MSU Foundation and Capital Campaign counsel. The MSU Foundation is a part of the structure of the Development Office but it functions independently of the Development.Office. The Foundation solicits private financial support for the university in the form of planned gifts, estates, wills, gifts-in-kind and stocks. The Development Foundation is not an administrative unit of the university. It is a separate, not-for-profit corporation. The Development Fund and the Foundation work in partnership to raise money for 142 MSU through private gifts. The two organizations share a common office space, share data-retrieval and record keeping systems, use the same donor recognition programs and cooperate in almost all fundraising activities (Capital Campaign News- letter). This was the case with the Capital Campaign. The organizational chart for the MSU Campaign was developed around the concept of using all Development Fund and Foundation staff. The reason was to enhance the professional development of staff through the Campaign, so future Campaigns could benefit. Duties and responsibilities were defined for each staff member. To preserve the team approach to the Campaign, lines of authority were established to ensure appropriate reporting (Interview with Marti Heil; May 2, 1991). During the Campaign the MSU Development Fund acted as business agent for the Capital Campaign. Staff members served as liaison between the colleges and the Campaign volunteers; conducted background research on prospective corporate foundation and individual donors; assisted colleges with the preparation of funding proposals; prepared materials for use by volunteers, and recorded and acknowledged gifts to the Campaign. The Development Fund also helped match university and college needs with donor interests to insure maximum support for the.Campaign objectives (Capital Campaign files). Consequently, the Development Fund acted as the agent of the university and its colleges in providing technical assistance and in performing those tasks most efficiently handled in a 143 centralized office. In organizing to function in this role, the Development Fund office adopted a combination of centralized and decentralized structure. It was decentralized in that each college in the university had/has its own Director of Development located right in the college's building reporting directly to the dean of the college first, and secondly to the Vice President of development (Interview with.Marti Heil, May 2, 1991) . Each college director of development was expected to work with his/her college's dean in conducting background research of prospective donors, assist in the college with the preparation of funding proposals, preparing materials for use by volunteers and planning fundraising activities. The recording of the gift was done solely through the central development office. The following were part of the central development office structure: Major gifts; Corporation and Foundation Relations; Annual Giving; Telemarketing and administrative Services. The Administrative Services included services such as Alumni Donor Records, Budget, Personnel and Gift Administration, Communication, Data Services, Development Relations, Information Services, Researoh, Systems Administration and Stewardship. The Administrative services functioned as a support unit for both college directors of development and development officers in the Central development office (Staff Organizational Chart for MSU Development Office). 144 As earlier mentioned, in order to raise the $160 million, the Development office involved volunteers. Volunteers were critical to the attainment of the Campaign goal as they both gave and got money (Capital Campaign strategic plan). Volunteers were involved in the Campaign through various committees established to achieve the financial goal of the Campaign as illustrated in the Campaign organizational chart (Appendix K). This organizational chart did not replace the staff organizational chart. This organizational set up was headed by the chair of the Campaign, the four national co-chairs and the President of MSU. The Provost, Vice President for Development and the resident Campaign counsel were ex-officio members of the office of the chair. Reporting to the chair were the members of the Campaign steering committee. The following committee Chairs reported to the steering committee. They are: Major Gifts; Corporate Gifts; Foundation Gifts; Individual Gifts; Alumni Gift and University Gifts. Each of these committees was chaired by two volunteers and a development officer as a support staff person. Each committee was charged with a specific duty as follows: Individual Major Gifts Committee Charged with raising $30 million. Committee members were responsible for: (1) identifying and evaluating the giving capability of potential Campaign donors; (2) working 145 with staff to outline effective approaches to potential donors; (3) cultivating or taking the lead in involving potential donors with various elements of the Campaign; (4) asking individuals for gifts; (5) continuing cultivation through following up a solicitation in an appropriate, effective and timely manner (MSU 2000 Strategic Plan files). Foundation Gifts Committee . Had the responsibility of raising $30 million. In general, committee members assisted in identifying and contacting prospects, advising on development of strategies, providing entry into foundation] associations, and assisting in proposal presentations. The development fund staff coordinated and prepared research, strategy, briefing presentation and proposal materials. Corporate Gift Committee Had the responsibility of raising $27 million. The corporate committee organization consisted of a chair and twenty to thirty volunteers and corporate executives. The committee members assisted in the identification of prospective donors, advised on the development of strategies and proposal, provided access to prospective donor corporations and served as advocates during presentation and proposal situations. Staff support to the Corporate Gifts Committee was the responsibility of the Director of Corporate Relations. 146 Additional support was provided by the Capital Campaign staff, and, when appropriate, faculty experts, college deans, the Provost and the President also were of help (MSU 2000 Capital Campaign Strategic Planning files). Special Gifts Committee The Special Gifts Committee had the responsibility to raise $6 million for the Capital Campaign in gifts ranging from $1,000 to $50,000. The special gifts Campaign required an estimated 2,000 prospects to be solicited by a volunteer structure comprised of 100 to 150 alumni and friends. The deans were asked to become involved in the Special Gifts Campaign.with their voluntary and financial support (Campaign files). It was noted that the special Gifts prospects were members of the President's Club and major gifts club donors, who only donated to the university to support specific causes (MSU 2000 Capital Campaign Strategic Planning files). It was therefore decided that they needed much more education and cultivation in order for them to support the various colleges' academic needs. The development of the case for support for academic needs both at the college and the university level was seen as being critical to making the special gifts Campaign a success. The development of the college case for support statement was the responsibility of the deans. The deans were also expected to cultivate alumni and friends in order to give them a deep understanding of the university and 147 its goals and needs, before solicitation occurred. As a result of the large number of prospects, they were divided into regions and cultivation was through small groups. This was achieved through the coordination of a small function in which a university official or major volunteer presented the case for support, followed by a one-on-one personal visit from the volunteers to receive the pledge. In conclusion, although the academic deans were asked to participate in the university Capital Campaign through the Special Gifts Campaign, very little documentation describing their responsibility were found in the Campaign archive. (b). Prospect Research As part of the organization for the Capital Campaign, the Development Office was charged with the primary responsibility of researching donors. Research support for the university wide Capital Campaign was centrally based. The research unit worked with development directors in the colleges, identifying possible sources of private funds for faculty projects and college needs. Research also provided assistance in defining solicitation strategy and review of written proposals. As college directors of development were hired, research assistants were assigned to work with each college director of development, thus enabling the researcher to focus on the needs of the college. 148 (c). Cultivation and solicitation of Potential Donors The cultivation process took place before solicitation. The process was regarded as one of the most important steps in the process of securing a major gift and one in which the volunteers played a key role. Cultivation was an on-going process which developed in the prospective donor a sense of personal understanding and involvement in one or more university programs. It was believed that involvement will result in a commitment on the donor's part to ensure that a specific project or program will come about and at the quality level the donor desired. The gift came about as a result of donor's commitment. Cultivation of prospective donors spanned the entire gift securing process and was given a high priority by committee members, Development staff, university administrators, key deans and faculty members (MSU 2000 Capital Campaign Strategic plan file). Key action steps in the solicitation process included: (a) identification of prospective donors; (b) background research on interest areas and giving capabilities; (c) definition of individual strategies; (d) volunteer assign- ments; (e) completion of cultivation activities; (f) preparation of proposals; and (g) submission of proposals (MSU 2000 Capital Campaign Strategic plan file). In general leadership gifts ($1 million or greater) and major gifts ($100,000 or greater) were solicited first, and face-to-face solicitations were used in all high level 149 gifts. The President, the deans, the department chairs and the volunteers solicited major and leadership gifts. The solicitation of leadership and major gifts will be conducted throughout the Campaign, however, the major portion was completed prior to the official Campaign (Campaign files). (d). Effective Management of the Many Details of the Campaign. 9 Campaign Management Procedure: An important Campaign detail is the management procedure. Every fundraising plan is expected to have a way of monitoring or reviewing its progress (Campaign files). At the beginning of the MSU Campaign, a group called the strategy group was formed to monitor the Campaign. This group consisted of the Associate Vice President for Development, the resident consultant, the Associate Provost, the Provost, the Deans, the Vice President for Research and Graduate Studies and the Executive Assistant to the President. This was a coordinating group, convened to learn all about the proposals being written to individuals, corporations and foundations. Their responsibility was to ensure that proposals meshed with donors needs and the university's mission (Capital Campaign Strategic Plan file). At the development level, weekly and monthly staff meetings were used to monitor the progress of the Campaign. Each committee had an operating plan which was used weekly to check their progress. This provided continuous monitoring to 150 ascertain that the staff were on target given the timetable. Other methods utilized in monitoring the Campaign involved monthly Campaign reports, Campaign quarterly reports and periodic volunteer meetings. These techniques provided the vital link between plan and implementation. 9 Recording and Acknowledging Gifts: The third basic function of the Development Office is to receive, record and acknowledge gifts (Campaign files). The Development office organized to accomplish these tasks by doing the following: (a) separating records for each contributor - individual, corporation and foundation; (b) keeping records that show giving according to constituent groups; (c) records to show the purpose of gifts such as unrestricted, restricted, current and capital gifts in kind or any other type of gift (Capital Campaign Memo from Mr. Joseph Dickinson to Campaign Committee Staff Directors and Gift Processing Personnel, dated January 18, 1989). Each gift received is a preparation for the next, acknowledgements and stewardship reports were designed to be timely, accurate and a recognized part of the continuing cultivation process. The responsibility for acknowledging gifts and sending stewardship reports was to rest either with those who received the gift or the development officer responsible for the program being funded or the dean of the beneficial college (MSU 2000 Capital Campaign Strategic Plan file). 151 Leadership Campaign leadership according to Seymour (1966) is the key factor in successful fundraising, whatever the goal and the scope of the Campaign (p.179) . Seymour identified two types of leadership: the layman who leads and the professional staff who manage and serve. The MSU Capital Campaign exhibited these two types of leadership. The chair of the Campaign, the chief executive, the Provost, key volunteers and the deans represent lay leadership in the MSU Capital Campaign. The Chief Development Officer (Vice President for Development) and the resident Campaign Council represented professional leadership during the MSU Capital Campaign. Lay Leadership 0 President DiBiaggio MSU’president, John DiBiaggio, was the primary leader and visionary of the Campaign. President DiBiaggio took over the Presidency of MSU with the initiation of a Capital Campaign as one of his major goals (Interview with Mr. Joseph Dickinson, February 7, 1991). He had the primary responsi- bility for the Campaign's success. Several factors qualified the president as the primary leader of the Campaign. 0 Vision It was and still is the president's vision to maintain and build upon.MSU's uniqueness as the premier land- 152 grant institution in the nation and for MSU to keep its place as one of the world's greatest universities. This vision called for access to opportunity. He I equally foresaw that access without excellence denies opportunity. He also realized that access, opportunity and excellence require money which the government alone could not finance. Therefore, private sector support was essential for fellowships and scholarships, for endowed faculty positions and for top-flight physical facilities (Campaign Quarterly). 0 Ability to bring divergent groups together to achieve the goal The president's ability to mobilize the university community to get involved in the university's first all university wide Capital Campaign could be attributed to his leadership. 0 Ability to fulfill certain role expectations As expected of an institution's chief executive, President DiBiaggio set the pace and established the mood for the Campaign with the help of the then Vice-President of Development Mr. Dickinson and the on-site representative from Grezenbach and Associates, Mr. Heald. He was also very actively involved throughout the Campaign, more so during the planning stages. He made sure that the planning stages were completed correctly and precisely and that all the tools necessary for a successful Campaign were present; namely, a market survey, a case statement and a comprehensive Campaign 153 plan. He also personally looked at the list of prospects and then matched prospective donors with university needs (Capital Campaign Memo from Mr. Heald to Joseph Dickinson and Richard Meyer dated October 5, 1987). 0 Time During the period of the Campaign, the president was involved in over 50 percent of the solicitations of $50,000 or more. He was also deeply involved in the cultivation of prospects and in the various special Campaign events that were held.on.campus and.around the country such as attending a series of regional major gift dinners to meet and cultivate prospective major donors. He allowed the Campaign staff easy and quick access to his calendar in addition to regular monthly meetings with the Vice President of Development and the President's Campaign Council. 0 His ability to enlist a solid coalition of support to achieve the vision successfully In achieving this vision, the president worked very hard to strengthen alumni relations by increasing contact with alumni and by making them feel good about the university. The President was also totally committed to building relationships with corporations and foundations. The President promoted the university to external constituencies and was able to communicate to them why it was important for them to invest in the university and.vhat the benefits of their investment will be to Michigan and the world. That process won him many 154 supporters (Interview with Provost Scott on February 13 , 1991). President DiBiaggio's ability to highlight the value of and uniqueness of MSU in an articulate way, so different groups of people could identify with MSU in an exciting manner, was cited by some donors as the reason for their giving. The President was capable of translating the details of the proposal to donors at their level (Interview with Mr. Dickinson, May 3, 1991). His enthusiasm about The Campaign also won.many people. He worked endless hours and met person- ally with donors. He also personally recruited the Chair of the Campaign and members of the steering committee. Personal attention by the President was required not only to convey to the volunteers the importance of their support, but also, it was a cultivation technique. Each of the individuals to be recruited.was a prospective major gift donor. The President’s personal attention to donors and volunteers increased his support (Interviews with Mr. Heald on January 23, 1991). 0 Presidential ability to share responsibility President DiBiaggio's ability to share responsibility was evident in his involvement of the university community in the Campaign. Provost Scott was put in charge of the needs assessment process. All the deans were encouraged to get involved in the Campaign at the college level. Key administrators namely the Vice President for Development, Mr. Dickinson; the resident consultant, Mr. 155 Heald; the Vice President for Research and Graduate Studies; the deans, the Provost, Dr. Scott; the Assistant Vice President for Academic Affairs, Dr. Lou Anna Simon and the Executive Assistant to the President, Dr. Marylee Davis served as members of the Campaign strategy group. They had the responsibility for meeting monthly to coordinate proposals to ensure that they match with donors' needs and the university's mission (Interview with Provost Scott, February 13, 1991). e Provost Scott Provost Scott, although new to his position, headed the needs assessment procedure. After a series of 23 meetings spanning three months, the process was completed. The Provost also assisted the President in some cultivation calls and.was involved in rating some prospects. He also met regularly with the Vice President of Development to remain active, knowledge- able and involved with the Campaign. 0 Deans All deans were encouraged to both work for the institution's Campaign and their college's Campaign. On the institutional level, the deans were supposed to be responsible for listing their needs in terms of endowment, scholarships, buildings, equipments and.program.enrichments. On the college level, they were responsible for the following: 0 Building a case for support for their individual college; 156 0 Cultivation and solicitation of donors to get their prospects funded. 0 Review of specific prospective donors for their unit. 0 Responsible for using different means to jprovide the needed advocacy for their college's projects. 0 Responsible for defining the levels of cooperation, communication and interaction with the Central Development Office to ensure that their colleges! prospects. are supported (Capital Campaign files). 0 Chair of Campaign According to Dove (1988) top leadership should consist of individuals who have the following characters: 0 An immediate name recognition with the institution's public; 0 Strongly identified with the institution; 0 A history of association and active involvement with it; 0 Established a substantial record of major gift support to the institution; 0 .Ability to be a forceful dynamic leader with colleagues and friends who are 157 also leaders representing the nation's various constituencies; 0 Commitment of time, effort and giving (p.30). The person chosen to chair the MSU Capital Campaign, Mr. Robert Rowan, was believed to possess the above qualities. Mr. Rowan was the Chair and Chief Executive Officer of Fruehauf Corporation. First, he was chosen not only because he is an influential and affluent man, but because of his willingness to use his influence and affluence on behalf of MSU to gain access to top leaders in the public and private sectors, both in Michigan and nationally. Second, he was perceived as having persistence that compels others to follow. Third, he was chosen because he had time to devote to running the Campaign. Fourth, he was chosen because of his interest in and concern for MSU. Fifth, he was chosen because of his awareness that the early phases of planning and recruiting may require a considerable amount of a Chair's time (Campaign Status Report dated January 23, 1987). His responsibilities included the following: 9 Recruit co-chairmen and committee chairmen. O Participate and take lead in solicitation of several key leadership gift requests. 0 Review case statement and Campaign 158 brochures. 0 Assist in the recruitment of volunteers to various committees. - e Participate in setting kick-off date and take lead role in kick-off activities. 0 Assist in selection of professional Campaign fundraising counsel. 0 Make jpolicy' decisions regarding' the director of the Campaign in consultation with Campaign Director, University Director of Development, Staff and fundraising counsel. 0 Act as the spokesman for the Campaign in news stories, Campaign publications and at key meetings (MSU 2000 Capital Campaign Strategic planning files). 0 Volunteers Volunteers were also critical to the success of the Campaign because they both gave and got money (MSU 2000 Capital Campaign Strategic files). For the MSU Capital Campaign, volunteers were recruited primarily from two major sources namely, the nucleus of volunteers existing within the Development Fund Board and Foundation Board and MSU alumni. Development Staff who were responsible for the various committees identified individuals, primarily MSU alumni to 159 recruit into the various committees to assist with the Campaign. . Volunteers provided the Campaign with the necessary expansive work force needed for the successful completion of the Campaign. Working in the various committees as a volunteer meant providing information on prospective donors, making financial contributions to the Campaign and making solicitation calls on peers for financial support to the Campaign. Working as a volunteer also meant opening doors for university development staff to cultivate potential major donors. Sometimes, it also meant presenting the University's case to top donors. Professional Leadership 0 Vice President for Development The most important leadership role of the Vice President for Development was to give structure and design to the Campaign. Mr. Joseph Dickinson prior to his retirement in 1990 served as an effective manager of the Development Staff and also provided support to the President and key volunteers. Though he was personally responsible for the effective management of the Campaign, he was believed to be a team player (Interview with Lenora O'Jibway on February 20, 1991) . Dr. Joseph Dickinson's leadership role in the Campaign was in the background. His principal purpose in the Capital Campaign was to obtain understanding and support for the total Campaign by giving it structure and design (Dove 1988, pp.40- 160 42) . Dr. Joseph Dickinson accomplished the above by possessing three distinct capabilities: ability to be a team captain, effective manager and possessing expert knowledge. As a team captain and manager, Dr. Joseph Dickinson was said to have delegated responsibilities to the various directors in the Development Fund and they were permitted to manage their responsibility without interference. It was believed that he provided an atmosphere where the staff could gain confidence in each other, where goals were felt to be understandable and meaningful. It was also said that he provided the necessary climate that facilitated the best work of all his subordinates. Mr. Dickinson also worked cooperatively with the President, deans and volunteers and provided them with needed support. As an effective manager, he had the overall responsibility for ensuring that planned solicitation calls were actually made to prospects (Interview with Mr. Heald on January 23, 1991). Mr. Dickinson's expert knowledge in fundraising enabled him to contribute to the Campaign through actual involvement in professional activities and also through the employment of successful fundraising techniques. His knowledge in fundraising enabled him to orchestrate the details of the Campaign (Interview with Mr. Dickinson, February 7, 1991) . Resident Campaign Counsel MSU 2000 was Michigan State University's first Capital Campaign. The Development staff had no Campaign experience. 161 It was therefore necessary to have a resident Campaign counsel. President. DiBiaggio :retained. the services of a fundraising consulting firm, known as John Grezenbach and Associates. A representative of that company; Mr. James W. Heald was the resident Campaign counsel. He provided on-the- job training to the Development staff. The Campaign Counsel set standards and held Development Staff to those standards through teaching and by spending time with the Development staff on a one-on-one basis. This type of training was given to the Development staff with the belief that in subsequent Capital Campaigns, the development staff will conduct the Capital Campaign without the help of a resident Campaign counsel (Interview with Mr. Heald on January 23, 1991). Besides training Development staff on the art of fundraising, Campaign counsel was particularly concerned.with the strategy and timing of every phase of event which occurred during the course of the Campaign. As such, Campaign counsel was aware of or involved in.every activity that was related to the Campaign. The Campaign counsel shared accountability with the Vice President of Development for success or failure of the Campaign. It*was therefore, his responsibility to continually monitor Campaign progress and advise the Vice President for Development of problem areas and possible solutions. Counsel was useful in the resolution of situations with similarity to those of his firm’s experience at other institutions in 162 similar situations. Counsel was deeply involved in the planning of the Campaign especially in the meshing of needs to meet MSU's fund raising capability. He was also deeply involved in the execution of the Case Statement, Campaign brochures and publications. Counsel also reviewed or prepared all other Campaign materials such as proposals and briefing materials. Counsel and the Vice President had close lines of communication (Memorandum from Mr. Heald to Mr. Dickinson; dated January 23, 1987). The next chapter will now focus specifically on the role of the deans in the Capital Campaign. CHAPTERS REPORT OF THE DATA This chapter presents the research data. The study included nine of the fourteen. deans at Michigan State University. Each dean.has a resident director of development, who works directly under the dean on development matters. College directors of development were also included in the study. Two sets of interview questions were designed. The first set of interview questions was designed to solicit from the deans their reflections on their fundraising experience and to discover the role they played during the MSU 2000 Capital Campaign using such theoretical concepts as leadership, organization and planning. The second set of interview questions was designed for college directors of development who worked with the deans selected for the study. The college director of development questionnaire was designed to solicit information on the fundraising potential of the respective colleges and to corroborate and/or illuminate the respective dean's role in functioning as a fundraiser. Since most of the interview questions were open-ended questions, responses were collated and categorized into content classifications. The important issues are discussed. Where applicable, data will be presented in tables, percentage and rank order. 163 164 SECTION I Fundraising in each college prior to the Capital Campaign The data reported in this section describe fundraising in each college prior to the Capital Campaign. The objective here is to determine the fundraising potential/expectation of each college Sub Research Question 1: What were the fundraising expectations of each.of the selected colleges? The actual dollar amount which reflected each college's fundraising potential was determined by the consulting firm that conducted a feasibility study for the institution. The primary criterion the firm used in arriving at the dollar amount was the strength of each of the college’s programs as determined by the following: each college's (a) record of attracting private or federal dollars; (b) appeal to the general public (as indicated by the feasibility study); and (c) faculty awards, prizes and recognition. However, in assessing the fundraising potential of each college, this researcher constructed the development off icers' interview questions from the literature of fundraising and the input of a professor in the researcher's committee (Appendix L). The literature (Pickett, 1986) identifies size (number of students and alumni), orientation of college and the college’s socio-economic clientele, wealth of college (as indicated by size of its endowment), involvement of community leaders and alumni in the colleges' activities and prior fundraising 165 efforts of the colleges as factors that determined their potential or expectation for success in fundraising. Through the input of a professor in the researCher's committee, other factors such as the deans' prior fundraising experience, the number of prospects identified for cultivation in each college, and the aggregate dollar amount expected from those prospects were identified as additional determinants of a college's~fundraising potential or expectation for success in fundraising. In describing each college's fundraising potential or expectation, each development officer was asked to discuss each of the above named factors. Table 1 provides a summary of most of these factors. Looking at.Table 1 it can be seen that: (1) six colleges had a population of over 1,000 students and over 10,000 alumni; (2) five are professional schools; (3) two of the deans had a great deal of fundraising experience and one had little fundraising experience prior to the Capital Campaign; (4) one college had comprehensive fundraising experience, three colleges had a lot of prior fundraising experience, two had little while three colleges had no fundraising experience at all; (5) three colleges had a college director of development in residence prior to the beginning of the Capital Campaign; ( 6) six colleges had fundraising activities prior to the Capital Campaign. 166 deem sec 2 more... oe> So as) 02 ee> oz ee> 2; 02 as) c2 oz ee> oe> 02 oz ee> ee> 02 78:0 .60 35.630830 3 832.5. rt .23 ...-c 8 8.... oz ee> ee> .28.... «35>qu ee> 02 Ti 02 234528 sees .scs as: 02 :> ee> oe> ee> oo> oe> ae> oe> 22258 easel-s. 5 d... e 3e... cusses coco comp gap poa— 502. 002. com— camp aha— moa— sconce 8:. 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His explanation was that if a college wanted to fund research interests, the college will be more successful in raising funds on their own rather than the institution raising funds for it because alumni ”tend to identify more with their departments and colleges than with the institution as a whole." Keeping in Touch with Pormer Students Dean 9 expressed the opinion that deans ought to be involved in fundraising because fundraising provides them with a way to keep in touch with the colleges alumni. He explains: I think that anything the dean does to keep in touch with the products they turned out is important and that is one reason that helps deans to raise funds. PLANNING Kohr (1977) , in emphasizing the importance of planning in the success of any Capital Campaign, referred to planning as the prelude to any Capital Campaign. Whaley (1986, p.14) concluded that planning provides the basis on which a Campaign reaches its potential. As used in this study, planning refers to the process an organization undergoes to design its own future on the 210 basis of its external environment, its opportunities and its constraints. Deans at MSU were not very much involved in the institutional planning process of the Campaign. According to the ex-Vice President for Development, the primary responsibility for planning rested with the Vice President for Development and the President. The deans' involvement with the institutional planning process was as it related to their colleges. The deans' planning role included the following: participation in the institution's Needs List Assessment (pp.122 - 125); formulation of their colleges' Case Statement; their colleges' feasibility study; additional fundraising plans deans made; deans' plans to identify program leadership and plans to monitor their colleges Campaign, these will be described in order to determine the extent to which deans were designing their colleges' future on the basis of the external environment, its opportunities and its constraints. The objective for this is to describe how deans' planning skills facilitated or impeded their ability to achieve their colleges' Campaign goals. Needs List Preparation and the Percentage of a College's Needs included in the Institution's Needs List As earlier indicated on pp. 122-125, all deans reported that the process began with the Provost asking them to submit a "wish list". Since this occurred more than five 211 years ago, four of the deans (1,3,6 and 8) in the study did not participate in all aspects of the planning process because they had not been appointed as deans at that time. Eight deans were able to discuss this process. Deans (1 and 6) who were not. present. throughout. that. process expressed dissatisfaction with the previous deans' wish list, and they had since made changes and/or additions in the needs lists .An analysis of the data revealed the following: 0 Three deans (6, 7 and 8) believed that fundraising priorities should be directed at achieving the vision they have for the college given the reality of the external environment impacting the college and the direction they want the college to move towards. 0 Through the process of needs preparation, the faculty was involved in the fundraising process. The deans' estimate of the percentage of their colleges' needs included in the institution's needs list ranged from 2 percent to 65 percent. One dean "did not know" and another dean indicated that only one feature from the college's needs list was included in the institution's needs list. The data revealed that the four colleges (2, S, 7 and 8) with a high percentage of their needs included in the university's needs list reached their fundraising potential and even exceeded it. These four deans received some help from the Central Development Office staff. Nonetheless, the college (6) that had one feature of its needs included in the 212 university's list hopes to reach its fundraising potential prior to the end of the Campaign. Based on the six criteria (p. 124) used in trimming the colleges' Needs List for inclusion in the institution's Needs List, it would appear that deans who had a high percentage of their colleges' needs included had a higher capability to plan. Peasibility Studies The consulting firm of John Grenzebach and.Associates conducted a feasibility study for Michigan State University as a whole. The Central Development Office conducted a feasibility study for the colleges. Six deans participated in this process. Analysis of the data from the development officers revealed that some of the deans who took part in the college feasibility studies were more involved with planning than others. The following comments were provided by development officers to buttress their opinion on the deans' involvement in planning. Development officer 7 remarked: The dean was the overall strategic planner for the college. He maintained the cause that way and allowed the development officer to be in charge of day-to-day planning. A development officer commented that "the dean had no planning role ”while another remarked that "the dean asked the develop- ment officer and faculty to do the planning". The dean knows the college better than anyone else; therefore, his/her active participation in planning was basic to setting an appropriate 213 financial goal for the college. Shedding more light on this issue a dean, who was actively involved in planning, remarked thus: As a result of the feasibility study, we suggested to the university that we could raise $10 million dollars. This college exceeded the $10 million dollar amount. Development officers from colleges that did not achieve their Campaign goals cited inappropriately high Campaign goals as a reason . Case Statement All colleges had a case statement for support either in the form of college publications or as.a part of individual proposals sent to prospective donors. An appraisal of the data showed that one dean (5) was primarily in charge of the preparation of his college’s case statement. With many interactions with the deans and department chairs, two development officers (2 and 9) were primarily in charge of preparing their colleges’ case statement. Dean 7 in conjunction with his assistant dean prepared the college's case statement. Deans 8 & 1 made changes to the case statement when they became deans. In the last two colleges (3 and 4) the development officers were solely in charge of the preparation of the case statement. Although in the case of college 3, this took place prior to the appointments of both the dean and development officer interviewed. Commenting on 214. the fact that the development officer was solely in charge of the case statement preparation, development officer 1 reflected on development activities prior to when he/she and the dean were appointed as follows: ”Development activity was not focused because the dean was not interested in development." Agreeing with the development officer, the current dean stated that without the involvement of the dean in the preparation of the case statement, development activi- ties lack purpose or focus. He remarked: The development officer put together plans received from all the departments and not a lot of thought was put into it. The dean reported that when he was appointed dean, he "worked with the new development officer to revise the college's case statement to make it more focused." The second college in which the development officer was solely in charge of preparing its case statement, had to reformulate its priorities to match donors' interests. From the data, it seemed that those deans who either primarily or in conjunction with their development officers developed or changed their case statements achieved their colleges' Campaign goals. Steps to Ensure Effectiveness of the Case Statement According to the deans, the Central Development Office revised all of the colleges' case statements for effectiveness. The deans, also added that the revisions were 215 needed to give the case statement document technical Campaign language. However, it is interesting to note that the five deans who indicated that they spent time cultivating donors in order to uncover their special interests achieved their colleges' fundraising potential. Dean 7 provided an insight into the importance of discovering the donors' interest. He indicated that his college's case statement: Vocalized clearly our needs but not from our point of view. Donors may or may not give based on just your needs because they are not sure if the appeal is strong enough or valid, even if you have a worthwhile reason to ask them for money. It would seem that for success the needs of colleges had to match donor interests. Pundraising Activities and Plans to Raise Money Cultivation meetings and special dinners planned by the Central Development Office as part of the Campaign design were the two major fundraising activities utilized by deans to raise money. However, the data revealed that only the three colleges (2, 7 and 8) that had a resident development officer prior to the beginning of the Campaign planned and utilized both fundraising activities. All other colleges relied on the Special Dinners organized by the Central Development Office. The three colleges that had "cultivational meetings" with their alumni and friends, used these meetings for informational purposes as part of their cultivation technique. Meetings were held in different cities with alumni and 216 friends. Alumni and friends of these colleges met with the colleges' deans, department chairs and faculty to discuss the colleges' programs and needs. No one was solicited for money during any of those meetings. Rather, they were thanked for their contributions to the college in the past and given information on what the college had done with their donations. The Central Development Office also planned regional meetings with alumni all over the country especially in areas where the colleges had targeted people for cultivation and solicitation. All deans participated in a number of these meetings. With the exception of the "cultivational meetings", the other two fundraising activities were new activities designed because of the Capital Campaign. It is worth noting that three additional deans ( 5, 6 and 9) from the colleges with no resident development officer prior to the Capital Campaign, developed plans to cultivate and involve more people in their colleges. Dean 5 established an organization he referred to as "the dean's Board of Visitors" and Dean 6 established "the dean's Community Council." Dean 9 indicated that he planned to obtain funds for the college by identifying and developing letters to be sent to a group of alumni who have been active within the alumni organization with the hope of inviting them individual- ly to a reception where the colleges’ needs will be addressed. At the time the interview took place, the dean had not implemented this plan. Deans 2, 5, 6, 7 and 8 planned and 217 implemented additional fundraising activities through which they cultivated prospective donors and communicated their colleges' needs. Identifying Program Leadership College 2 already had what the dean and development officer referred to as "developed alumni" group, active in fundraising. The dean tapped into this group to seek leader- ship for the college’s Campaign. The same college also had a fundraising committee that assisted the dean and development officer in fundraising Deans 7 & 8 utilized alumni and professionals to provide them a link between the college and the corporate world. Just prior to the start of the Campaign, Dean 6 established a fundraising committee designed to aid him directly with raising funds. Dean 5 established the Deans' Board of Visitors designed to aid him with fundraising. Those deans that made the effort to reach out and seek lay leadership for their fundraising programs were more successful at achieving their Campaign goals. Three other deans did not plan to identify and.recruit lay leaders for their development activities of which fundraising was one. These colleges did not reach their colleges' financial potential. 218 Monitoring the Campaign Status The analyzed data showed that all deans planned to monitor the progress of their colleges' Campaign through the development officer. Deans and development officers met regularly to discuss the status of the Campaign and their progress towards the achievement of the goal (see Tables 5 and 6) It was interesting to note that the five deans (2, 5, 6, 7 and 8) who were involved in "planning strategies" to achieve their colleges' financial goal achieved their Campaign goals. However for Deans 1 and 4, their meetings primarily provided an avenue for the development officer to inform them of the Campaign’s progress. ORGANIZATION In a fundraising Campaign and as used in this study, organization refers to the implementation or operationalization of the Campaign plans and how the college development staff, university personnel and volunteers were organized to facilitate a successful Campaign. A description of the deans’ organizational skills as a contributing or impeding factor in their ability to achieve or fail to achieve their Campaign goals included the following: (a) the fundraising structure through which deans implemented their Campaign plans, including the role of the Central Development Office in the colleges' fundraising 219 process; (b) the fundraising responsibilities of the deans and development officers; (c) the deans' utilization of the president, university administrators, faculty and volunteers to raise money; (d) deans’ inclusion of their development officers in the deans' meetings with department chairs; (e) how deans organized to reach their constituents, and (f) some comments from the deans on ways the university could best organize a Campaign. The Structure As earlier mentioned on p. 92, McGinnis (1980) concluded that there was no best organization structure for fundraising. Nonetheless, later literature (Davis, 1988) shows that, especially in large institutions in which deans are actively involved in fundraising, the organizational structure adopted is a combination of some elements of centralized and decentralized organizational structure. MSU adopted this combination for its fundraising organizational structure for all colleges. In this type of structure, the development officer was located in the college's building and reported directly to the dean of the college first, and second to the Vice President of Development (see Appendix J). The structure, though decentralized, had some elements of centralization such as all colleges had to obtain clearance from the university's Central Development Office prior to approaching a prospect. In addition, the Central Development Office handled prospect research and the accounting of all 220 money donated, including money designated for the colleges. According to the deans, (Question 11a, Deans Question: Appendix B) the Central Development Office also provided the following services to their colleges: (a) records derived through their data base; (b) researched prospective donors; (c) helped colleges 7 and 8 to contact prospects; (d) helped all colleges to set up gift opportunities; (e) helped colleges 5, 7 and.8 in the timely involvement of the President in their colleges' fundraising; (f) provided the colleges with no prior development officer with the initial fund to support their development. officer; (9) helped. all colleges in. writing proposals when their help was needed, and (h) supported colleges 3 and 8 in their fundraising efforts when they had no permanent development officers. Dean 3 who did not have a development officer for most of the Campaign's duration indicated that the Central Development Office took over the functions of a college development officer. He found them very helpful and said, ”without the Central Development Office, the college could have gotten nowhere." The Central Development Office was helpful "in the organizational sense" to Dean 1. Commenting on that, the dean said, ”the Central Development Office has been useful organizationally in backstopping our efforts by supporting them and also making other occasions such as Campaign dinners available to us." 221 Finally, Dean 6 reported that by "providing momentum and structure" the Central Development Office helped his fundraising efforts. He provided the following insight: through the Central Development Office "the entire broad university structure knew that something was going on and we could ride along with it." The element of decentralization was that each college had a full time development officer who devoted all of his or her time to fundraising for the college. Three colleges (1, 3 and 6) had part-time development officers. Five colleges (2, 4, 5, 7 and 8) had full-time development officers while college 9 had no permanent development officer. For the first three years the university was solely financially responsible for the development officers after which the financial expense was shared between the college and the Central Development Office. The Central Development Office, however, provided support to the development officers in the colleges. Deans' Fundraising Responsibilities as indicated by the Development Officers. (Development Officers Question 13: Appendix 8) According to Barden (1988), in order for deans to be successful in fundraising, they have to function in a partnership with their development officers. In this partnership, both the dean and his development officer have specific responsibilities that complement the other's. Barden (1988) and.Davis (1988) both.ascribe the following fundraising responsibilities to the dean: 222 0 setting college's fundraising priorities. 0 representing the college to key alumni, parents, corporations and foundations. 0 being responsible for actually asking for gifts. 0 being responsible for evaluating the expressed needs of the faculty, judging them within the context of institutions importance and fundraising potential. Fundraising Priorities According to the development officers, all nine deans were primarily responsible for setting the colleges' priority for development. Deans set these priorities in conjunction with department chairs and some deans solicited advice and suggestions from the college development officer. One development officer provided insight into why the dean had to be the one setting the college's priority for development: The development officer and staff take great pains not to set the priorities of the col- lege because we are not trained in that area of discipline.-*we (development Officers) are just fundraisers and not technical experts in any college we serve in. So because of that, development officers take great pains not to set the direction of the college's develop- ment. Our role as development officers is to help deans realize the goals they have set with additional funds. In addition, deans were responsible for advocating these fundraising priorities to constituents and representing the college to constituents. What set Deans 2, 5, 6, 7 and 8 223 apart from the rest of the deans were as follows: 0 They were very active in cultivation. For example, one development officer from college 7 remarked that "the dean was a very active leader in terms of cultivating the donors." The other four deans (1, 3, 4 and 9) cultivated on the urging of their development officers in most cases. These deans did not have prior agreed upon projects and donors for which they (the deans) were in charge of soliciting funds. Most of the deans who reached their college's financial potential adopted a leadership style in which both the dean and the development officer not only formulated "programmatic and dollar goals," but the dean also took the initiative with agreed upon projects and donors. 0 Deans who participated in strategizing how to approach some major donors were more successful at reaching their fundraising potential. Solicitation The analyzed data showed that no dean was primarily in charge of solicitation in his/her college. The analyzed data also revealed two distinct groups of deans in regards to differences in solicitation procedure. The first group of deans (2, 3, 5, 6, 7, 8, 9) perceived solicitation as a shared responsibility between.the dean, faculty, development officer and any university official best suited to obtain a gift from a prospect. The second group comprised of deans (1 & 4) who 224 believed solicitation should be the development officer's responsibility. that Deans believe their Fundraising Responsibilities should be? (Deans Question 5b: Appendix B) The deans' responses were classified into the following categories: 0 Oversee the fundraising objectives of the college to ensure that the objectives for fundraising are consistent with the vision he/she has for the college. 0 Oversee the management of the fundraising activities. 0 Support fundraising in the college by making it a college priority. 0 Personally support other people such as the chairs and faculty involved in fundraising in the college 0 Be personally involved in fundraising. Commenting on the personal involvement of the dean in fundraising, Dean 2 said: It is highly unusual that any major gift giver will provide a major gift without having direct involvement with the dean or the president. He explained that major donors want to "get comfortable with the dean as an individual" before making their gift. 225 Development Officers' Fundraising Responsibilities. (Development Officers' Question 10: Appendix B) The data indicated that the overall responsibility of the development officer during the Capital Campaign was to “prepare the dean to be successful when he/she makes a solicitation visit." In order to perform this primary responsibility five development officers (2, 5, 6, 7 and 8) had the following duties: (a) orchestrating the movements of the dean; (b) conducting research to target the most prospective donors and then putting them in contact with the dean; (c) monitoring the progress of the dean’s cultivation of prospective donors, to ensure that it does not lapse; (d) write proposals to be sent to prospective donors. Development officer 8 remarked that "the responsibility of the development officer is to orchestrate development from the background with the leaders in the forefront." Development Officers 1, 3, 4 & 9 included the following as part of their duties during the Capital Campaign: “to cajole the dean into fundraising"; "get the dean to do things that only the dean could do"; taking responsibility for cultivation and solicitation; reestablishing the development office; "getting to know alumni and changing the negative feelings they have for the college"; "trying to help the dean establish direction"; and "getting faculty interested in fundraising." It was therefore not surprising that none of these development officers' colleges achieved their fundraising potentials. 226 Deans' Utilisation of the President, Faculty and Top University Personnel in their Colleges' Pundraising Campaign. (Deans' Question 1 under Organisation: Appendix B) The concept of teamwork in the organization of educational fundraising encourages the dean to recruit and develop other participants in his college's fundraising. The data showed that fundraising at the college level typically was a team effort between the dean, faculty, President, Central Development Office staff, volunteers and students.' Paculty. All deans were primarily involved with setting their colleges' priorities. In setting priorities for the college, the deans involved department chairs and faculty members. Some faculty members also were involved in cultiva- tion/solicitation of donors. In college 2, the dean made a practice of delegating cultivation and solicitation to "any faculty member with the closest connection to the prospective donor." That college was unique in terms of the number of faculty members that took part in cultivation and solicitation of donors. The major difference between college 2 and the rest of the colleges was in the number of faculty members who actively participated in fundraising activities. Fewer faculty members participated in the fundraising activities in other colleges. Commenting on the faculty's involvement in the college's fundraising efforts, Dean 3 said, ”only one faculty member took part in it." 227 Use of the President, University Administrators and Students. The President and university administrators were not a part of the fundraising structure of any of the colleges. However, since none of the colleges existed in a vacuum, the President and university administrators, as the leaders of the institution, aided the deans in their fundraising efforts when their "help was needed" (see Table 4). Seven deans reported that the President helped them to raise money for their colleges. Dean 2 commented on the importance of the President's help in fundraising: There is a certain time that donors do not want to talk to deans, but want the Presi- dent. This is because he brings the prestige of the institution... This dean expressed his observation as follows: The President has been good at meeting with donors. He has gone out to meet with prospective donors - Presidents of corporations and foundations and major donors - whenever asked. While four deans praised the President’s fundraising efforts on behalf of their colleges, three deans remarked that the President was barely or minimally involved with their colleges’ fundraising efforts. Two deans said the President was not involved at all with their colleges’ fundraising efforts. Dean 6 who received a lot of help from the President in his college's fundraising efforts, made the following observation: I found that the President is agreeable to working on college matters once he knows well 228 in advance what those expectations were. He is not interested in working on anyone's agenda when he is surprised by them. The data showed that the university's top administra— tors assisted three deans in their colleges' fundraising efforts. The data also showed that faculty members helped to raise funds on behalf of their colleges, though some colleges had.nore faculty involvement than others. Fundraising in one particular college was a team effort between faculty and the dean. The data showed that all colleges utilized students to operate the phonathon exercise. Students made calls to the alumni of their colleges. However, only college 5 involved students in the Campaign beyond the phonathon exercise. In this college, graduate students were asked by the«dean.to:make presentations to groups visiting the college. Relationship Between Dean and Vice President for Development Information was solicited from the deans on what they believe their (deans) relationship with the Vice President for Development should be. There was a difference of opinion on how much access to the Vice President for development deans should have. Four out of nine deans (1, 5, 7 and 8) expressed the opinion that deans should have open access to the Vice President for Development; Deans 4 and 9 disagreed with that. Of those wanting open access to the Vice President for Development, 229 Dean 1 expressed his reason as follows: "The Vice President for Development ought to meet on a regular basis with all deans to discuss and to reaffirm priorities for the Campaign." He believed that the Vice President for Development should meet with individual deans on "a little more than once a year" basis on certain kinds of issues. Three Deans (3, 5 and 9) believed that it. was important for deans to keep the Provost informed on what was going on with fundraising. To accomplish this, they believed that the Vice President for Development has to meet regularly with all deans so each dean will be clued in to what is going on with fundraising at other colleges. Although agreeing that having open access to the Vice President for Development was important, deans 2 and 6 felt the amount of access deans have with the Vice President for Development was adequate. Deans 7 and 8 expressed the opinion that the relationship between deans and the Vice President for Development should be "cordial and friendly" because the Central Development Office is absolutely essential to coordinating the fundraising activities of the deans and the directors of development. The necessity for the cordial and friendly relationship between deans and the Vice President for Development was explained as follows by Dean 8: "what you do not want to ever happen to you is to visit a company and discover that another dean had just been there." This is, 230 however, similar to the opinion of those who would like the deans' fundraising relationship with the Vice President for Development to be characterized by ”more open access to discussing fundraising." Dean 1 expressed the opinion that the type of relationship he would like the Vice President for Development to have with deans is for the Vice President for Development to become more involved in their colleges' fundraising to the extent that the Vice President for Development becomes "a personification of where the college wants to go." Providing further insight into this response, the dean explains that "if a college wants something, the Vice President for Development should provide support and look into the feasibility of that thing and be able to say he will provide support to determine if it is a feasible goal or not. If it is, he should look into it and provide strategy for achieving it." Use of Volunteers According to Dove (1988), another group of people the deans must involve in the organization of their colleges’ fundraising activities are volunteers: ”The success of any Campaign depends on an overall volunteer organization designed to facilitate rather than restrict effective prospect solicitation" (Dove, 1988, p.30) With the exception of college 2, with a 'highly developed' fundraising structure, the Campaign at the college level did not have a very elaborate network of alumni or 231 corporate representatives raising money for the colleges, a lot of the organization and implementation that occurred took place close to the college. However, four other deans (5, 6, 7 8 8) had a structure through which they involved volunteers in their colleges' development and fundraising activities. Two of these deans (5 S 6) developed this structure as a result of the Capital Campaign and the other two had this structure prior to the Campaign. Raising the funds for the college involved the dean, development officer, a few faculty members, local professionals and community leaders, alumni and in some cases, Central Development staff and the President. Alumni. The Campaign at the college levels utilized alumni in two different ways: as part of an organized structure for development activities, and as part of a loose structure of people who happen to be alumni living within the United States who could be called.upon.to cultivate or solicit other alumni. A development officer observed that "in spite of its success, the college had no organized alumni who aided it in its fundraising activities." However, besides the college with a highly organized fundraising structure, four other colleges attempted to have an organized structure of volunteers for development activities as a whole. The discus- sion on the volunteer data will be divided into two; namely, organized and unorganized use of volunteers. Unorganised Use of Volunteers. This group consisted mainly of alumni. All but one college utilized alumni in 232 their fundraising efforts. The only college that did not utilize alumni in raising funds reported having "difficulty in recruiting them" because of the "extremely poor relationship" that students/alumni had with the college. That college utilized the wives of faculty members as volunteers. Colleges that utilized volunteers did so in various degrees. Five deans took the responsibility of recruiting volunteers. One dean shared the responsibility with the college's development officer and in three colleges, the development officer had the responsibility for recruiting volunteers. The volunteers, mainly alumni, had the responsibility for working in their residential locality to do the following: (a) organize and coordinate gatherings that the dean attended, to address the audience on the needs of his/her college; (b) make contacts with and visit alumni similar in age and background to them in order to cultivate and solicit donations from them. Development officer 6 commented that these activities were "generally done on an individual basis and not as a group." Organised Use of Volunteers. Only college 2, prior to the Campaign, had a "fully" developed alumni body and a highly organized fundraising committee. The fundraising committee consisted of nine members (mostly alumni) organized to solicit support and input from leaders in industries, to fundraise on behalf of the college. This college’s development officer 233 described the committee as follows: The members of the committee did nothing else but raise money for particular interests of the college. Commenting on the college's use of an organized volunteer structure, Dean 2 remarked that "the most successful utiliza- tion of volunteers resulted in an endowed chair." Volunteers took the lead in establishing that chair. Dean 6 established a fundraising committee early in the Campaign, to raise money on behalf of his college; but the structure was not as highly developed as that of college 2. The development officer observed that only two or three members of that committee are comfortable with fundraising." An analysis of the data revealed.that.those.deans who achieved their colleges' Campaign goals had in common the use of an organized body of volunteers. Colleges 2 and 6 had fundraising committees that raised money on these colleges' behalf. In addition to these fundraising committees, the deans of colleges 2 and 6 also had other committees or boards working on their colleges' overall development activities. Colleges 5, 7 and 8 also had such committees or boards but they did not have a fundraising committee. These committees or boards were organized by the deans on the premise that the colleges' alumni and friends would have a positive impact on the quality of the colleges' educational and research programs. The committees or boards had the following responsibilities: (a) assisting in establishing broader and 234 deeper academic-industrial linkages to further the educational preparation of students; (b) help the college and its programs remain responsive to the needs of induStry; (c) facilitating the exchange of information between the colleges and its alumni and friends; (d) being an advocate of the college to the university administration and to those outside the university--especially in the corporate world; and (e) assisting the college in the identification and solicitation of external support, both financial and otherwise. Deans' Inclusion of Development Officers in Meetings with Department Chairs. All development officers were invited once a month by their deans to present the status of development to the department chairs. However, five of the development officers (2, 3, 5, 7 and 8) interviewed were invited by their deans to routinely attend all meetings they held with their department chairs. Three development officers (1, 4 and 6) were not invited to such meetings and one development officer could not respond to the question. Usefulness of Participation in Department Chairs' Meeting to Development Officers' Ability to Aid the Dean Raise Punds Of the five development officers from colleges 2, 3, 5, 7 and 8 who routinely attended the department chairs’ meetings, four (2, 3, 5 and 8) mentioned that the meetings were "very useful" to them in their fundraising efforts. The 235 one from college 7 believed that the meetings were not useful because there was open access to discussing fundraising with each department chair. The question 'of the usefulness of these meetings to the development officers' ability to aid their deans' fundraising efforts prompted all development officers to elaborate on the issue. Four of the development officers (2, 3, 5 and 8) commented that attending the dean's meeting with the chairs kept them apprised of the general concerns of the college and consequently they could speak more knowledgeably about issues and challenges that the college had before it. They explained that one benefit of participation was that when meeting with alumni who inquired about issues and challenges faced by the college, they could speak knowledgeably and not guess. The development officer from college 2 also added that, attending the dean's meeting with department chairs enabled him/her to ”pick up all kinds of information that helped in putting together a total picture when working on a particular fundrai- sing problem." Other benefits of attending the meeting with department chairs as articulated by two development officers from colleges 2 and 8 are as follows: Perception wise, attending the meeting with the department chairs signals to the chairs that development is a college priority to the dean and that the college development officer is a member of the team and not just a staff support. This therefore enabled the development officer to be a part of the decision making process of the college. The other 236 development officer from college 8 expressed the opinion that such meetings: Establish rapport with faculty and chairs. Otherwise you are a stranger to them. Getting to know them is very important, information wise, for the development officer to know what the priorities are within the various areas in the college, so they can be represented to donors and alumni. By hearing what their needs are, financially, we can better serve them. The three development officers from colleges 1, 4 and 6 who were not invited to sit in on the dean's meeting with department chairs, felt that, if they had been invited to attend on a regular basis, they probably could have raised more money for their respective colleges. The explanations for this belief are as follows: Development officer from college 1 commented that, "if invited, then maybe, I can identify what their match will be, given their needs.” All three development officers mentioned that, "not knowing everything going on in the college presented a gap" in their knowledge of how best to serve the college. One of the three development officers expressed great frustration over the fact that the dean did not include the development officer in his meetings with the chairs. This development officer from college 6 expressed having "awkward feelings" because of hearing about something going on in the college for the first time from alumni. The development officer added that, if he/she were invited to the dean's meeting periodically, he/ she would get to know what is happening in the college and then be 237 in a better position to raise funds for the college. However, another development officer who was not invited to the dean's meeting with department chairs was content with not being invited. This development officer from college 4 commented that "if invited, I believe it could have helped me with my fundraising efforts for the college, but I could live without it." However, the development officer explained that the dean was very conscientious in informing the development officer about things he/she needed to know about the college. The development officer seemed genuinely content with not attending these meetings and expressed this by saying that; The dean might not want the development officer in such meetings because of the confidentiality of such meetings, but I had access to the faculty and have solicited advice from them on fundraising. The consensus among the development officers on the issue of their attending the deans' meeting with the chairs, was that, the meetings were useful. Meetings were considered useful because they enabled the development officers to obtain an understanding of the college and consequently, better articulate the vision and mission of the college to prospects. Finally, it was observed that the development officers believed that, coordination between the dean and development officer was of great importance, if they (deans and development officers) are to send the same message about the college to prospects and both be seen as representing the 238 college. Constituents and How Deans Reached Them Each college's primary constituent was their alumni and friends. Foundations and corporations were the other two big constituencies colleges had. Seven deans reported using personal contacts either personally, through the development officer or a faculty member, as the primary mode of contacting their constituents. The dean with a "fully developed" fundraising organizational structure reported using the structure to reach the college's constituents. Other methods, such as general mailings and telephone calls, were used by two deans to reach their constituents. One dean reached the college's constituents through the college's alumni association. Publication All colleges had a college publication. Some were published once a year while others were published three or four times a year. College publications were sent to alumni and other prospective donors. The college publication played a part in the implementation of each college's Campaign plan. College publications were used both for cultivational and informational purposes. Commenting on the cultivational role publications played, Dean 8 explained how his college's publication was used for cultivation. "The college publication was used for cultivational purposes". According to the dean, 239 the college mailed its publication to prospective donors with return envelopes from the college and urged prospects to send the envelopes back if they either needed more information or wanted to send money to the college. All colleges included motivational articles in their publication. The development officers reported using the college publications ”for informational purposes" to inform constituents about the Campaign and the needs of the college. Information regarding the Capital Campaign reported in the publications included the Campaign goal, needs, progress and types of giving opportunities available. Some Comments from the Deans on Ways the University could have best Organized the Campaign. Since this research was conducted in part to provide MSU with information with which to assess the deans’ active participation in the institution's first major Campaign, the deans' qualitative reflections on some organizational factors they deemed needed changing is included in the interview. These data could provide insight into why some deans succeeded at reaching their colleges' Campaign goals while others did not. The following comments by the deans were discussed: (a) what deans' fundraising experience should include; (b) deans' recommendations for changes in how to conduct the next Capital Campaign; (c) other ways development officers could have been more helpful to the deans; (d) how the Central Development Office could have been of more help to the deans during the 240 Capital Campaign; (e) capability of colleges to raise funds without the involvement of the Central Development Office; and (f) different goals and approaches deans recommend MSU could use to raise funds. "What Should Deans' Fundraising Experience Include?" (Question 5b: "Reflections of Deans", Deans' Questions: Appendix B) This question solicited the deans' opinion on what they believe a dean’s fundraising experience should include in terms of preparing him/her for the Campaign. Most of the deans expressed the opinion that their fundraising experience should have included more preparation than the university provided them. It was interesting, however, to note that Deans 2, 7 and 8, who felt comfortable with fundraising, expressed this opinion on behalf of deans who were uncomfortable with fundraising. Only Dean 6 believed that the preparation was particularly good. "There was attempt to familiarize the deans with most of the objectives of the Campaign and how the Campaign was actually run." He also added that deans had been ”kept abreast of the developments of the Campaigns and have been invited to special dinners" which be believed helped him in his fundraising efforts. He went further to say: As far as the experience itself is concerned, I think the more frequently a dean is meeting with alumni (leaving aside corporations and foundations), the better able the university is to sustain its fundraising efforts. 241 However, the same dean conceded that ”not everybody is good at fundraising" since "some people cannot raise funds personality wise." Such people the dean said could have been helped if the university had given them suggestions on the following; “Alumni groups formation, board of advisors and publications that can reach people." The dean's observation was that "this was not done on a one-on-one basis but collectively." Although attempts were made to acquaint deans with fundraising and the kinds of activities that will be neces- sary, most deans still believed that they needed more preparation. Four expressed the opinion that deans' fundrais- ing experience should include some sort of education in the principles of professional fundraising. They believe that participation in some workshops/seminar such as those run by CASE (Center for the Advancement and Support of Education) designed to bring deans up to date with fundraising could have better prepared them. Deans 1 and 3 believed that, where possible, deans "should accompany others who are good at fundraising on solicitation/cultivation visits." Dean 3 added that ”on-the-job training" would be useful and that putting together ”some short programs on techniques of fundraising for the new deans would be useful." Dean 1 added that it would be a "good idea to keep deans in a quite controlled setting until they are comfortable with fundraising" before they attempt to raise funds on their own. Surprisingly, two deans mentioned that they should be educated on the reasons why funds are 242 being raised. One of the deans acknowledged that he needed training on "how to approach people" and how to "close a fundraising deal." It was interesting to observe that although, according to the data, the university provided deans with ”good information such as a list of alumni and other donors to the college” and tried to encourage them to meet with donors, most deans felt ill-prepared for fundraising. Deans' Recommendations for Changes in How to Conduct the Next Capital Campaign. (Question 9: "Reflections of Deans", Deans Questions: Appendix B) Deans were asked if they would advise the university to conduct a similar Capital Campaign. Unanimously, they all responded that they would advise the university to conduct a similar Capital Campaign, but not until the year 2000 or the sesquicentennial celebration of the institution in the year 2005. Although the deans wanted the university to conduct a similar Capital Campaign, they believed that "there was room for change" since this Capital Campaign was the first for the institution. With the exception of two factors (better coordination and cultivation), there was no unanimity in the changes deans wanted during the next Capital Campaign. Deans 2 and 8 advised that for the next Campaign, coordination between the central office and the colleges should be "much tighter and.better." Dean 6's advice was that 243 in the next Campaign, the university should not depend on corporations to the extent it did in this Campaign. The dean made the observation that "in the future it is clear that MSU will be successful largely with individual gifts." In order for the university to be successful in its next Capital Campaign, Dean 7 said, "the university has to prepared to better cultivate individuals." On a similar note, Dean 7 also made the observation that during the first Capital Campaign, "we were not as close to our alumni as we should have been to launch a Capital Campaign." His explanation was that because there had never been a Capital Campaign in the past, the institution had never cultivated its alumni. He was however hopeful that the next Campaign will enjoy the benefit of a better cultivated alumni body as a result of the first Capital Campaign. However, he sounded a note of caution that "provided the university maintains a good level of stewardship between this Campaign and the next", the advantage of a cultivated alumni body as a result of this first Campaign will be lost. For the'next Campaign, better research on donors was the advice given by Dean 9. Dean 3 made the observation that since MSU 2000 was the first Campaign, "vast expansion" of the Central Development Office took place. He advised that for the next Campaign, the Central Development Office should "re- evaluate and upgrade its management structure and people. " He 244 also added that the Central Development Office should “identify good staff and weed out bad ones." More improvement in the "information system" (data- base) was identified as an area needing improvement for a subsequent Campaign. Commenting on this, Dean 7 said: We did not have the information system we needed for the Campaign, That was very obvi- ous when the Campaign started. Our informa- tion system was not as good as it should have been. The dean was nonetheless optimistic that since "major steps" were taken to improve the information system, "it will be far superior to what it was during the next Campaign." Another area of change recommended by the same dean is in ”the timing of the launching of the special gifts phase of the Capital Campaign." The dean advised that in a subsequent Campaign, all launching of special gifts Campaigns should be done fairly close to each other instead of the two years gap between its launching in some places and in other places. Dean 2 made the observation that during the next Campaign "more time should be spent on organizing to ensure that more realistic goals are set" especially for smaller colleges with very little potential to raise money. He was sympathetic towards deans of smaller colleges who could not attain their colleges' financial goals because the goals were beyond their potential. The dean also observed that during this Campaign, a lot of strain was being put on the President. He advised that in a subsequent Campaign, the President's work 245 load should be reduced. He did not foresee the President as being able to sustain his current level of fundraising involvement. However, it was interesting to note that Dean 3 expressed dissatisfaction with the President's fundraising involvement with his college. For the next Campaign, he would “like to have more interaction with the Vice President for Development or the President to give me the feeling that not only is the Capital Campaign an all university effort, but it is an effort where the university officials are paying attention to the colleges, also." The dean added that although he got the feeling that the university officials were paying attention to his college through the Assistant Vice President for Development, "but just like donors want to see the dean because he is the leader of the college, I too want some interaction with the Vice President and the President. I would like that to change during the next Campaign.” Dean 4 complained about "the tremendous amount of money spent on social activities to make potential donors feel good about giving to the college” as being too costly. He expressed the fear that such spending might portray the wrong impression to donors even where such expense was justified in order to raise money. He said: It may be that the professionals know it is necessary in order for it to be successful but however, there is a risk that the donors might think that the nature of these high riding events means that the university is affluent and maybe is not in need of a gift. 246 He hopes that such spending will be curtailed during the next Capital Campaign. Before the next Capital Campaign the same dean would like to resolve the question of whether to utilize a development officer with some experience in his college's discipline even if the person does not have enough fundraising experience or whether to utilize a professional development officer-with little or no knowledge of the college's disci— pline. He concluded by saying that "a person with knowledge about this college can better develop a rapport with the alumni of this college.” A development officer with a knowledge of the college's discipline will be his preference. Dean 9 expressed that he would like to see changes in three areas. His first recommendation for change is that for the next Campaign "more time" should be spent on "pre-Campaign activities and that more leadership gifts should be obtained before actually announcing the Campaign." His second recommendation for next Campaign is that "a more thoughtful and careful preparation" of needs will enable the institution to prevent a recurrence of the situation where gifts asked for were not received. The third recommendation provided by the dean is that "to a great extent more individuals should be put within the college in order to help the dean early in the Campaign." The dean added that such help would not be needed once the Campaign started. With the exception of the above recommended changes for the next Campaign, the deans rated the first Campaign as 247 "very successful." Their comments included the following from Dean 5 : The overall design was done very well, the use of Grenzebach (consulting agent), the way the priorities were done, that is talking to people about the priorities; these were very wise steps. Three Deans (3, 7 and 8) said "the university did a good job." Dean 6 said "from our prospective, the Campaign was pretty well conducted." Dean 2 commented that ”I think the conduct of the Campaign went pretty well. It raised a lot of money and gave this college legitimacy to continue with its fundraising efforts." Generally, all the deans were willing to be involved in a similar Campaign in the future. Other Ways Development Officers Could Have Been More Helpful to the Deans. (Question 10: "Reflections of Deans", Deans Question: Appendix B) Deans were asked if their development officers were of help to them in their fundraising efforts and if there were other ways their development officers could have been of more help. Eight out of nine deans interviewed responded that their development officers were of help to them in raising money. One dean could not respond to the question because he had no development officer until a few months prior to the interview. One of the deans who responded that the development officers were of help to them provided insights 248 into how his development officer was of help. Dean 1 said the development officer was "extremely helpful in encouraging me to be more directly involved in fundraising." The dean added that he wished he "could be of more help” to his development officer. In general all deans reported that their development officers did the following: identified potential donors; conducted background research, developed strategies to work with alumni, provided support and kept the ”dean and faculty away from someone that the university had already decided would go to someone else." With the exception of the dean who was not in a position to rate his development officer, four deans responded that their development officers could not have been of more help to them during the Campaign. The other four deans expressed the opinion that their development officers could have been of more help to them. Dean 6 said his development officer could have been of more help to him if the development officer's.position was a full time;positions Dean 8 said that his development officer could have been of more help in two ways: first, if the development officer had been "more aggressive in representing the concerns the college had in managing the phonathon Campaign with the central office"; second, in "being more vigorous in getting reports on donors." Dean 7 expressed that he wished his development officer could be as good in raising large gifts as he/she is, in raising 249 small gifts. He, however, understood that sometimes people who are good at raising small gifts are not good at raising big gifts. Dean 4 responded that his development officer could have been of more help to him in the following two ways: first, "if the development officer could have been a colleague (having knowledge in the college's discipline) of those being solicited, it could have been better." Second, the dean said his development officer could have been of more help to him "if he/she (because I do not like fundraising), could take responsibility for fundraising, rather than feeling that he]she is the support staff of the dean." The type of fundraising responsibility he expected from his development officer was for the development officer "to take more initiative and responsibility in contacting people.” How the Central Development Office Could Have Been of More Help to the Deans During the Capital Campaign (Question 11b, "Reflections of Deans", Deans' Questions: Appendix 8). Three deans reported that the Central Development Office could not have been of more help to them. One said ”I do not know in which other way the Central Development Office could have been of more help." The second dean remarked that ”I have no complaints at all." The third dean commented that ”I do not.have any suggestions, I got everything I wanted from them." However, the remaining six deans believed the Central Development Office could have been of more help to them in the following ways: 250 0 Provided faster research. 0 Maintained better records. 0 Provided more interaction with the Vice President for Development. 0 Provided a development officer to the college without one. 0 Provided assistance in writing proposals to the dean whose development staff ”did not know how to write proposals effectively." 0 Paid a little more attention to colleges whose fundraising priorities were not primary in the university's needs list. Capability of Colleges to Pundraise Without the Involvement of the Central Development Office (Question 12, "Reflections of Deans", Deans Questions: Appendix B) With the exception of one Dean 3 who could not respond to the question, because the absence of a development officer made the college solely dependent on the Central Development Office, all eight deans agreed that their colleges could "reasonably" raise money without the help of the Central Development Office. However, they unanimously expressed the opinion that with the involvement of the Central Development Office, they would be "more efficient" and.would "do better." Although they welcome the involvement of the Central Develop- ment Office in their fundraising efforts, they were "opposed tolhaving the Central Development Office do all the fundrais- ing from incl; office.” Expressing his feelings on the issue _Dean 1 said: 251 Fundraisers have to be in the colleges working for the colleges in order to be useful to the colleges. Deans preferred fundraising to be done on the college level with some involvement from the Central Development Office. The Central Development Office's involvement will be welcomed for the following reasons: 0 For coordination purposes, so "everyone including the dean knows that fundraising is important to the university." 0 To present a united front so that "the outside world looks at MSU's fundraising efforts as a single unit." 0 To provide "support not available within the college to individual college Development Officers." 0 To provide "energy and momentum" to individual college's fundraising efforts. The consensus among the deans was that their colleges' effort at fundraising will not be successful in raising large amounts of money over a long period of time without the involvement of the Central Development Office. Different Goals and Approaches MSU Could Use to Raise Punds. (Question 13, "Reflections of Deans", Deans' Questions: Appendix B) The deans’ opinion was solicited on what other goals and approaches MSU could use for fundraising. Four of the 252 nine deans (2, 4, 8 and 9) interviewed expressed the opinion that the goals and approaches used by the university during this Campaign were right. Dean 2 said; "The procedure was quite satisfactory." Dean 4 said; he has "no suggestion for anything different.” Dean 9 agreed that there are a lot of ways a university could approach its fundraising efforts but MSU ”used an appropriate approach." However, Dean 2 criticized the university's practice of "sending people information over and over" as being "unproductive." The other five deans expressed various opinion on what other goals and approaches MSU could have used for its first Campaign. Dean 5 expressed the opinion that he would have liked ”other needs such as bricks and mortar to be met" through his college's Campaign. He however added that he understood that giving to scholarships and endowments was the "national trend." Dean 1 expressed the opinion that "the university could do a better job with foundations than they have done." He added that MSU has not been "as successful as other institutions" with foundations. In terms of goals the dean also said that "the university ought to look at its fundamen- tal.mission as a Land-Grant institution." The dean commended the institution for doing this with industries but criticized the university for not doing "enough with outreach." The dean's advice is that the university should "go out to the community" and identify some of its "premier programs" and 253 target some of these programs as "center pieces" for fundrais- ing and put the development office to work on them in various academic schools which could participate in them. The best approach to fundraising is a personal approach was the response of Dean 3. He added that, "to have personal contacts with prospects would have been very difficult". He commended the university for trying to have personal contacts with prospects through dinners and calls. However, be criticized the university’s phonathon as being a failure. Nonetheless, he did not recommend that the university should do away with it, rather he suggested that ”something has to be done to make it (phonathon) a successful venture." His suggestion was that "it would be better for people higher (in the institutional hierarchy) to have these personal contacts with prospective donors once they (prospective donors) have been contacted by students." The dean was highly supportive of a faculty member doing the follow up contact. Dean 6 believes that the institution "needs to have more development programs on campus." He believed that the institution needs to "fully take advantage of people when they come to the campus" in terms of cultivating them. The dean also thinks that "the institution has not fully exploited the use of faculty. Giving an insight into his response, the dean said "we have not made it possible for academic units to be involved in fundraising. We have not created opportunities 254 for this to take place." SECTION III Deans' Perceptions of Factors that helped or impeded them in their role as Fundraisers This section is designed to uncover the factors that deans believe, based on their experience during the Capital Campaign, helped or impeded them in their role as fundraisers. Sub Research Question 3. "What factors as- sisted or impeded each dean in his/her role as a fundraiser during the MSU 2000 Capital Campaign?" Both open- and closed-ended questions were used. The open-ended question was designed to solicit the deans’ opinion on what factors aided or impeded them in functioning as fundraisers. The closed ended question solicited the deans' opinion on a specific question, to discover whether or not, their involvement in the needs list preparation helped them in functioning as fundraisers. Factors that Aided the Deans in their Fundraising Efforts During MSU 2000 Capital Campaign Question 16 on the deans' questionnaire (see Appendix B) exemplifies an open-ended question designed to facilitate an understanding of the deans' points of view on factors that aided them in their fundraising efforts during MSU 2000 Capital Campaign. An analysis of their responses to the question is grouped under the following four categories: supportive personnel, Campaign structure, Campaign design and 255 personality. Supportive Personnel The on-site representative of the consulting firm of John Grenzebach and Associates, was mentioned by four of the deans as being most helpful. Commenting on Mr. Heald's help during solicitation calls, Dean 7 stated, The factor that helped me the most was the help of the consulting firm of John Grenzebach represented by James W. Heald, who headed the Campaign for Grenzebach and Associates. He is actually superb! I really learned a great deal from him. He is a master fundraiser, so without a doubt I would say the one factor that aided me the most was Mr. James Heald. He never complained. I could call him at any time and say 'Jim, help me' and he was always willing to help. The other three extolled the on-site consultant’s capability to educate them on the art of fundraising. "The consultant's teaching on how to approach people and how the gift pyramid works were useful,” said Dean 5. Two deans cited the President's help as a factor that aided them in achieving their colleges' Campaign goal. Reflecting on the President's help, Dean 2 said, "Obviously, the support of the President and his presence at key times were helpful.” The dean also added that the President's fundraising ”expectation" of his college helped him in his fundraising efforts during the Capital Campaign. The support of the Assistant Vice President for Development was mentioned by Deans 1 and 3. 256 The college's development officer was mentioned by Dean 4 as being quite helpful. The dean explained that having a ”good development officer who pushed very hard and was very organized" helped him in his role as a fundraiser. Campaign Structure Campaign structure was the second highest factor cited most by the deans as aiding them in functioning well as fundraisers during the Capital Campaign. Specifically, the decentralized structure of development at Michigan State University was mentioned by three deans. Dean 8 elaborated on this issue thus: The critical important feature of a develop- ment effort is a dispersed development effort. There is an institutional belief in the importance of deans and some of their administrators and faculty members engaging in development. Not all institutions allow development to take place below the central administration. The creation of the network of development officers in each college coordinated centrally allowed development to take place in each college. That was criti- cal. Commenting on the benefits of a decentralized structure of development centrally coordinated, Dean 2 remarked that the "support of the central administration" helped him to raise funds because it gave each college the ''freedom to go and raise money any way they wanted.” Another helpful factor cited by three other deans is the central administration's active support in raising funds. Dean 2 said, ”The central administration.was helpful and supportive. 257 They always brought in people specifically related to the college's discipline." Dean 6 said that among the list of what helped was "good support from the central administration." Dean 5 attributed his ability to raise funds to the central administration's provision of "literature explaining and describing the Campaign.” Providing an insight into the benefits of the central administration's help, Dean 4 expressed the following thoughts: The university helping to provide money for the development office helped us to be more committed to fundraising; so it was the university's commitment to a Capital Cam- paign; a part of which was to build a cadre of professional development people and pro- viding this expertise to the college, that really helped. Campaign Design The overall design of the Capital Campaign was mentioned by three deans as an important factor in their fundraising efforts. They stressed the effectiveness of the ”kick off dinners" as a part of the Capital Campaign plan. "The overall fundraising plan was very good and excellent" mentioned Dean 6. The provision of an information data base was cited by one dean as another Campaign design factor that helped him in his fundraising effort. Elaborating on the importance of an information data base the dean said: If your information base is inadequate you are dead. You have no ability to raise money or reach people. I consider raising money directly related.to being able to communicate Dean 6 one cu colleg said: Ptrloha interes fulldread. 258 with people. You can go to a foundation or corporation and submit a proposal in an impersonal fashion, that is, have no relationship with the CEO, but if you are talking about raising' money from an individual, it must be in a personal manner. It is a question of personal trust. Dean 6 attributed the publicity surrounding the Campaign as one of the factors that helped him raise money for his college. Commenting on the effect of publicity, the dean said: The publicity surrounding the Capital Cam- paign made many alumni aware that there was a Campaign and that was an important event in the history of the university and that there were needs that were unmet by the public funds. Personal Characteristics of Dean/Experience Personal traits such as the "ability to be sincerely interested in the people cultivated" helped Dean 4 in his fundraising efforts. The dean explained that : The only thing that helped me was the will- ingness to try to make friends of potential donors - I think I conveyed to them a seri- ousness and an honesty that would earn their respect. Previous experience in fundraising and the length of time as dean, which exposes a dean to many alumni, were very helpful factors to Dean 9. The Effects of Needs List Preparation on Deans' Fundraising Capability All deans were required to assemble a list of their colleges' needs. To examine the effects of this process on 259 the deans' fundraising ability, the deans were asked a closed ended question (see question 7 on The dean's Questionnaire, Appendix B). The data showed that seven deans responded that Ithe process helped them to understand fundraising in terms of what their colleges' needs were and how to prioritize them. It also made them understand the problems an institution has in determining institutional priorities. Others benefitted from the process because it ”provided the mechanism to have a lot of interactions with the chairs" and to others, the process "got everyone thinking about fundraising." The process was an eye opener to Dean 4 who made the observation that the process changed his college's ”preoccupation from what their needs were to what the interests of the donors were." Deans 6 and 8 reported that the process was not of help to them in their fundraising role. Dean 6 did not take part in the process. He inherited the needs list from his predecessor and he disapproved of it. He classified it as ”dull and unimaginative" so he ignored it and.made "fundamen- tal changes" to the college's programs and then raised money for the programs he believed in. Dean 8 mentioned that he did not benefit from the process because he had "a lot of fundraising experience" and ”already had an idea about the process." 260 Factors that Impeded the Deans in Their Role as Fundraisers Time. Three deans cited the lack of time due to the pressure of their position as the factor that impeded their ability to function as fundraisers. Explaining this, Dean 9 commented: "A dean has a lot of things to do and fundraising has to be fitted into all other kinds of things." Adverse publicity. The response with the second highest frequency was the adverse publicity surrounding the Board of Trustees' appoint- ment of the Athletic Director over the objection of the President and the misconduct surrounding’ MSU's athletes reported in the news media. The deans' assessment were that the negative publicity does not escape the alumni's knowledge, and they felt it was a hinderance to successfully raising funds. Partial failure of the management of the coordinating effort This was another factor cited by Dean 8. The dean was disappointed over the "slowness in screening out a potential donor and assigning the donor to a particular college." Closely related to the issue of slowness in checking out potential.donors and.assigning them, is the issue of clearance articulated by Dean 2. He expressed minor frustration over the fact that the college had to obtain clearance prior to Di (1., up the 91v.- 261 approaching a prospect and sometimes losing prospects to other colleges because ”the university said no, this college should solicit them.” However, the dean understood because he “recognized that there were certain restrictions that the central administration had to make to safeguard the interest of the university as a whole." He concluded by saying that ”these, on the surface, were impediments but in actuality were university policy." Defective data Defective data was a major impediment to Deans 6 and 7 inltheir efforts to raise funds during the Capital Campaign. Dean 7 said: I think some of our problems is that we still do not have an effective data base. It is much better now than at the beginning of the Campaign. Here we are at the third year of the Campaign and we have still not reached the 300,000 alumni. The data base is not free of defects. The information is there but sometimes it is defective and that can sometimes cause difficulty. Also the data base is not sorted to ensure easy usage. It is not fully developed though a lot better than it was at the beginning. Difficulty in obtaining donations from prospects This factor was cited by three deans as another impeding factor in their effectiveness as fundraisers. The deans experienced varying degrees of difficulties. Dean 6 explained his difficulties as follows : "The fact that it was the first Capital Campaign, people were not in the habit of giving to the university." Second, "many of the alumni are 262 scattered all over the country, so accessibility was a problem. Also, there was the frustration of being able to meet appointments. Generally, it was the logistics as we are far from alumni.” Dean 3 attributed his difficulty in obtaining gifts from prospects to "the dynamics of the economic outlook in the nation." He added that "this probably made people not give as much." He also added that, he was unable to obtain funds from prospects because he was unable to aggressively solicit donations or funds. The dean said of himself, ”I am not very good at asking for money." Dean 1 was discontented with the university's Campaign design because it did not suit his college's needs and he cited this as an impediment to his fundraising efforts. The dean's primary constituents were a particular group of people who were angered by students' calls. The dean was not happy that the university insisted on using phonathons as a means of reaching its alumni. Explaining, the dean said: The overall university strategy is a good one, but does not necessarily meet the needs of this college. For example, the university likes to do phonathons. When the students call alumni who have been very busy all day, it angers these alumni and still the univer- sity wants to do it that way. The last factor mentioned was the aggressive fundrais- ing tactic used by college 4's development officers. Dean 4 saw it as an impediment to his faculty's ability to develop a successful fundraising relationship with prospects. Elucidat- ing, he said: 263 A difference in perspective between the professional fundraiser and the dean and faculty was an impediment because profession- al fundraisers are 'much. more aggressive, whereas the faculty will like to make friends of donors and have the donor spontaneously give because they like what the faculty is doing; On the other hand, professional fundraisers think it is necessary to persuade people and to ask them to give. The impedi- ment is that faculty feel that it is possible their relationship with potential donors is jeopardized by aggressive fundraising tactics of the professional fundraisers. Though the dean personally disliked fundraising he encouraged his faculty to be involved in it and he himself raised funds when it was absolutely necessary. Development Officers' Reasons for College Achieving Campaign Financial Goal Although this section is a reflection of factors deans' believe aided or impeded them during the MSU 2000 Capital Campaign, their development officers' response as to whether the college has achieved or not achieved its financial goal for the Campaign is worth documenting. In addition, the development officers’ opinion on the reasons why their respective colleges achieved or failed to achieve their goals for the Campaign could aid in the understanding of why some deans succeeded whilst others failed to achieve their colleges Campaign goal. Development officers from colleges 2, 5, 7 and 8 reported that their colleges have achieved and exceeded their Campaign goals. The development officer from college 6 said 264 the college was very, very close to achieving its Campaign goal and. was therefore ‘very confident. of achieving' the Campaign goal prior to the extended closing date of the Campaign. The development officer from College 4 claimed that "as far as this college is concerned we have reached our financial goal for the Campaign." The development officer explained that the Central Development Office established a goal higher than their college's potential. Based on their belief that they will or have reached their goals, both development officers from Colleges 4 and 6 gave their reasons why their colleges succeeded in reaching its financial goal. However, for the purpose of analysis, gnly College 6 will be analyzed as having reached its goal because it was a few thousand dollars short of the goal and was very optimistic about several proposals coming through. College 4 was analyzed as not reaching its goal because it was more than a million dollars short and the development officer did not think the college will be able to raise any more money. The following represent the reasons given by develop- ment officers whose colleges achieved their Campaign goals. The reason with the highest frequency was the "leadership of the dean". These deans represented Colleges 2, 5, 6, 7, 8 and 4. Development Officer 4 qualified the Dean's 4 leadership by saying: "Though the dean hates fundraising he did a good job when asked to". 265 Three reasons tied for second with the highest frequency. They were: a) "the tradition of strong programs offered by this college" was the response from development officers from Colleges 2, 7 and 8; b) "good projects for which.money can be raised". This response was also given by development officers from Colleges 2, 7, and 8. c) "Team work on the part of the dean, development officer, Department Chairs and faculty members. This response came from develop- ment officers from Colleges 2, 5 and 6. Two other reasons tied for the response with the third highest frequency. They were: a) "Special events to honor donors” (Colleges 4 and 7); b) ”The good job done by the development officer", was the response from development officers 4 and 6. Other explanations offered represented single responses. They are as follows: 0 "Strong relationship with research within the various departments"; mentioned by development officer from College 2. 0 "Love and loyalty on the part of alumni for some professors" was one explanation offered by the development officer from College 4. 0 Ability of the College to coordinate its development activities with ‘the Central Development Office and the 266 President's Office" was one reason the development officer from College 5 said they achieved its financial goal. 0 "The ‘willingness of the College to spend the time, energy and.money needed to see best prospects on a person-to- person basis" was an additional reason given by Development Officer 8. 0 "The ability to match the College's needs to the needs of donors" was another reason College 7 reached its financial goal according to the College's development officer. Development Officers' Reasons for College not Achieving Campaign financial goal. Three development officers from Colleges 1, 3 and 9 responded that their colleges had not reached its Campaign goal. They were not hopeful that they would. The development officer from College 1 advanced one major reason for the College's failure to achieve its Campaign goal: "the dean's minimal interest in fundraising." According to College's 3 development officer, the college failed to reach its Campaign goal because of the following reasons: a) bad relationship between alumni and the college due to the bad relationship that existed between the former dean and alumni, when they were students; b) the 267 former dean's complete lack of interest in the college's development activities; and c) the absence of a development officer for most of the Campaign's duration; d) non-feasible goal set for the college. The development officer believed that the college's goal was beyond its potential. The development officer from College 9 attributed the following reasons to the College's failure to achieve its financial goal for the Campaign. They were: a) non- feasibility of goal; b) the use of an interim development officer whose primary responsibility was to the Central Development Office; c) lack of response to fundraising proposals sent to prospective donors. Section IV Qualities and Qualifications of a Dean who would be successful in Fundraising Sub Research Question 4: "What qualities and qualifications are perceived to be important for a dean to possess in order to be successful in fundraising?" The objective of this section is to describe, from the perspective of the deans and development officers, what qualities and qualifications they think are important for a dean who will be successful in fundraising to have. Deans' Perspective Deans were asked to respond to the question; "what qualities and qualifications should a dean who would be 268 successful in fundraising have.” From the deans' perspective, the following responses represent the qualities and qualifications they perceive are important to look for in hiring a dean who will be effective in fundraising. Table 9 summarizes deans' responses and the following is a description of those responses. Six deans gave insights into their responses. Dean 8 explained that ”faculty want a person who tomorrow will be a valued colleague in the usual activity of the enterprise." Dean 5 was of the opinion that "the Provost needs to look for somebody who likes to work with people and has a sense of the total enterprise." Eight of the deans listed the ability to work and interact with people as one of the qualities a dean who will be good at fundraising should have. A good knowledge of the college's business was mentioned by six of the deans as a quality of a good fundraising dean. Another dean expressed the opinion that university officials have to "first define the position to reflect and demonstrate fundraising as a component of the position." Two other deans expressed the opinion that a dean who will be good 269 TABLE 9 QUALITIES AND QUALIFICATIONS A DEAN SHOULD POSSESS. Deans response to the question : "What qualities and qualifications would you advice the search committee to look for in a dean who would be .successful in fundraising?" Responses Frequency 0 likes to work and interact with people. 8 0 Very knowledgeable about the college's discipline. 6 0 Experience in fundraising. 3 0 Sees fundraising as part of responsibility. 3 Note n = 9 at fundraising will have to see fundraising as part of his/her responsibility. Dean 6 cautioned that since it is now the university's policy to involve the deans and their colleges in fundraising, the university should always seek to hire someone who is interested in fundraising and will continue with fundraising, to the position of dean. Otherwise, the advantage of involving deans in fundraising will be lost. Emphasizing this importance, the dean explained that the search committee: Should definitely seek someone who will continue with the job (of fundraising). It will be extremely unfortunate if after developing ties with alumni, corporations and foundations, that the next dean will simply say I'm not 270 interested in fundraising. It will be damaging for the college” Our needs have not been.met - that is our needs with student scholarships, etc. - so we have an obligation to request that a person coming into the position should be prepared to give 10 to 15 percent of his/her time to fundraising. It should be part of the job description. To ensure that a person will raise funds, the search committee should look for a person with a track record. Two other deans mentioned experience in fundraising as a qualification/quality needed for effectiveness in fundraising by a dean. Dean 4 came to the conclusion that academic leadership should be the most important qualification for the position of a dean. He added that if fundraising was the only responsibility of a dean then, the search committee should be looking for a person or people who are entrepreneurial with a salesperson's capability. He concluded that since fundraising is now a responsibility of the deanship, the search committee should look for a person who can be an "academic leader" and has an "extrovert personality." Dean 1 agreed with the dean who mentioned academic leadership and an extrovert's personality as the most important qualities for an effective fundraising dean by mentioning that ”most characteristics of being a good dean will translate into being a good fundraiser." Characteristics such as being an academic leader, dealing with a variety of constituents, problem solving, having had major management responsibility, Deans 1 and 4 believe translate into being a good fundraiser. Dean 1 also added that "deans ask for money 271 from the university and the legislature as part of their "regular" responsibility; therefore, being able to do that, predisposes deans to being able to ask for money from the public. The ability to deal effectively with the public, in other words, people, was therefore the quality with the highest frequency. Eight deans out of nine mentioned this quality. Dean 7 expressed his thoughts on this fundraising enhancing quality as follows: ' Most important, the person chosen should be able to talk and interact with people he/she does not know, keep the conversation going and show interest in people since fundraising involves talking to people. Giving further insight into the importance of the dean's ability to interact well with people, the dean added that it is the responsibility of the dean "to cultiyatg the potential donors, even if the dean is uncomfortable with asking for money, he has to do the ground work" and then the development officer can ask for the money. Qualities/Qualifications of a Dean Who Will be Effective in Fundraising: Development Officers' Perspectives Since development officers work directly with deans on fundraising, their opinion on the qualities and qualifications of a dean who will be effective in fundraising was solicited. Table 10 summarizes their responses and the following is a presentation of those responses. 272 EEABIJB 10 QUALITIES AND QUALIFICATIONS A DEAN SHOULD POSSESS (Development Officers' reSponses) Responses of development officers Frequency e Comfortable with interacting with people. 5 e Ability to articulate the goals and objectives of the college and sharing the educational mission of the college with others. 3 e Willing to make fundraising a college priority. 3 o Willing to devote a certain amount of plug to fundraising. 3 e Not intimidated by fundraising, can ask for money. 3 e Ability to have a good trusting relationship with his/her development officer and direct development activities of the college. 2 0 Experience in fundraising. 2 0 Ability to represent the needs of the college in a motivating way. 1 e Able to realize the importance of positive relationships, public relations and how this relates to the efforts of fundraising. 1 e Able to get other people to do things. 1 Note n - 9 The quality most cited by development officers as necessary for a dean, who will be effective in fundraising, is the ability to interact with people. Explaining, development officer 1 said, "A dean has to be comfortable with interacting with people." With a note of disappointment, the development officer added that "many deans shy away from doing this." 273 Another development officer observed that "if a dean has a natural affinity for people or is people oriented" that will aid the dean in being effective in fundraising. Development Officer 8 provided an explanation as to the importance of a dean's ability to comfortably interact with people as follows: The dean has to be willing to spend time with people and be able to feel comfortable in social situations since cultivation.of¢donors is not just visiting them in their business offices, it includes knowing something about their families to the extent that they (the deans) want to share it. The ability to spend time on fundraising activities was one of four responses with the next highest frequency. Development Officer 5 believes that the dean has to have "the commitment to spend the time." This development officer explained that "the dean has the primary responsibility to get on the road and raise funds if the President cannot go"; and added that "there are only so many places the President can go." Three development officers identified the ability to articulate the goals and objectives of the college and sharing the educational. mission of the college ‘with others, as qualities that will enable a dean to succeed at fundraising. Development Officer 8 stated that: I think a successful dean.has to be complete- ly committed to the educational mission of the college. Once believing in that, he/she has to be able to articulate and share it with others in such a way that it excites people and brings them to share in his/her vision and interests in the college. 274 Also citing the importance of the dean's ability to articulate the goals and mission of the college to constitu- ents, development officer 6 remarked. that in order to be effective in fundraising, the search committee has to pick someone *who *will be able to "articulate the goals and objectives of the college at a level that a lay person can understand." Two other responses mentioned by three development officers as qualities a dean who would be successful in fundraising should possess are the ability to make fundraising a college priority by ”giving it visibility” and by getting faculty involved in fundraising and secondly, the ability not to be intimidated by fundraising. In summary, the data revealed the following: (A) Rich colleges as indicated by their endowment size, their current fundraising efforts, the socio-economic status of their clientele and their ability to involve their alumni and community leaders in their colleges' activities were expected to achieve their campaign goals; (B) Deans who spent time on fundraising, had a complementary working relationship with their development officers, made fundraising a college priority, matched donors' and colleges' needs and got influential people to both identify with their vision for their colleges and to raise money on their colleges' behalf , achieved their campaign goals; (C) Supportive personnel, the campaign structure and design were factors deans believe aided 275 them in their role as fundraisers; while lack.of time, adverse publicity and defective data base impeded their efforts as fundraisers; (D) The ability to work and interact with people, regard fundraising as a responsibility , as well as being very knowledgeable about the colleges' discipline and experience in fundraising were the factors both deans and development officers cited as qualities and qualifications a dean should possess in order to be successful in fundraising. CHAPTER6 DISCUSSION 0’ FINDINGS Based on the definitions of leadership, planning and organization, each of the deans exhibited some characteristics of leadership, planning and organization in their attempt to raise funds for their colleges. Table 11 is a summary of the deans' estimate of the percentage increase in the money they raised as a result of the Campaign. TABLE 11 PERCENTAGE INCREASE IN MONEY RAISED AS A RESULT OF THE CAMPAIGN % increase in money raised No. of Colleges as a result of the Campaign 0 - 25 1 26 - 50 3 51 - 75 2 76 - 100 3 The deans reported that as a result of the Campaign, all colleges raised more money than they could have without the Campaign. All deans were absolutely certain that the 276 277 Campaign helped them to raise more money. There were several comments including the following "we always got some gifts, but the Campaign intensified it." Dean 1's comment was that: The college raised no money prior to the Capital Campaign, The college has just started to bring in millions of dollars. The Capital Campaign I believe has helped this college to be interested in development and to be focused, in our fundraising activity rather than limiting it to faculty contribu- tions. It was interesting to note that even colleges with prior fundraising experience raised significantly more money in.this Campaign. One of the deans in such.a college expressed hope that "as a result of the Campaign, annual giving should increase by about 50 percent." In raising' money for their colleges, all deans responded unanimously that their colleges received much more than they spent on development. However, in this research, effectiveness in fundraising was measured by whether or not a dean achieved his college's Campaign goal as determined by his college's fundraising expectation/potential. Therefore, for the purpose of this research, only deans who achieved their colleges' Campaign goals would be considered effective. Table 12 summarizes the factors that aided or impeded the deans in their attempt to achieve their colleges' Campaign goal. The following observations were made from the data: TABLE 12 CHARACTERISTICS OF DEANS WHO SUCCEEDED IN REACHING THEIR CAMPAIGN GOALS COMPARED TO DEANS WHO DID NOT 278 swede.“ lumen been ’oooiupulsgnmsahuogjossno E 5 5. >3. 5 £ f g 2° m '9’”! '.°°!V“'.'"I '! 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" ‘ " ”W‘O’Wsé 2.22.2.2 .25 'pogiumupung meow . u e . e 2 .2 .2 .2 .2 .2 2 2° 2 2 smog/sofa“); N n o F C - 0'! Q 0 slump ulgedwvg [Ii-g air-dun.) lugaogqav Sugnmunv ug in parenting ponnnng 0: "Nina 3.»..- See 15.-mu m 279 College Sise. Five out of the six deans whose colleges had a student population of over 1,000 achieved or hope to achieve their Campaign.goals These were Deans 2, 5, 6, 7 and.8. However, Dean 9 whose college has a student population of about 2,000 students did not achieve the college's Campaign goal. Three other deans (1, 4, S 3) whose colleges had a student population under 1,000 also did not reach their colleges' goals. .Although a large college is believed to have a bigger impact on the community because more people are touched directly or indirectly by its educational, research and public service programs (Pickett, In Rowland (ed), 1986, p. 234); such effects were taken into consideration by the Central Development Office prior to establishing each college's fundraising potential. (Campaign files) Orientation and age of College. According to the literature on educational fundraising (Pickett, 1986, p.235), professional colleges and therefore their deans have a higher capability to reach their colleges' fundraising goal. However, from the data, this was not the case. The data revealed that deans who achieved their colleges' Campaign goals did so as a result of what either they or their development officer referred to as ”the tradition of strong programs" offered by these colleges and good. projects for 'which. money could. be raised. .Another similarity between deans whose colleges achieved their 280 Campaign goals was the age of the college. The professional and non-professional colleges that achieved their Campaign goals, were established over 50 years ago. According to one development officer, deans from older colleges are more successful at reaching their colleges' Campaign.goals because their alumni are more successful than alumni from newer established colleges. Endowment Fund Size. The data showed that deans whose colleges had an endowment fund of $.75M and above prior to the beginning of the Campaign achieved and even exceeded their colleges' Campaign goal. It ‘was not surprising that the three colleges (2, 7 S 8) with the biggest endowment funds prior to the Capital Campaign achieved their goal. A possible explanation could be that endowment, which is a measure of a college's wealth, is acquired as a result of past fundraising success. An interesting development was the success of Deans 5 and 6 inspite of their colleges' small endowment funds. LEADERSHIP PACTORS Development officers' whose deans succeeded in achieving their colleges' Campaign goals, were asked to name the factors they believe contributed to their deans' successes. The overwhelming response was "the dean's leadership” (Development Officers' Question 19: Appendix B). The following are the leadership factors deans who succeeded ‘ 281 at reaching their colleges Campaign goal shared in common: Dean's Vision and Ability to Communicate Vision to Identified Prospects. ' The literature is replete with articles on the importance of a leader's vision to the success of a Capital Campaign (Conklin, 1982, pp. 16-17). The data showed that all deans had the vision of improving the educational quality of their colleges and they even perceived improving the educational quality of their college as their primary responsibility; but not all deans achieved their colleges' goal. A further investigation into the data revealed that those Deans (2, 5, 6, 7 8 8) who achieved their goals made additional plans (beyond those made by the Central Development Office) to communicate their vision to identified prospective donors. Deans' ability to make additional plans to communicate their vision to prospective donors seemed relevant to their achieving their college's Campaign goal. Spending time on Fundraising Activities. The data showed that deans who spent at least 20% (40 hours per month) of their time on fundraising activities achieved their colleges' fundraising goal except in the case of College 2. A further investigation of the data showed that Deans 6, 5, 7 a 8, who succeeded in achieving their goals, not only spent more than 40 hours per month on fundraising activities such as meetings, cultivation and solicitation, they spent time meeting with their development officers, strategizing how 282 to change fundraising plans so as to achieve their Campaign goals. Dean 2 also did that» However, Dean 2 spent less time on cultivation and solicitation because fundraising in this college was shared between the dean, development officer and faculty members. The dean delegated cultivation and solicitation to any faculty member thought to be the best qualified to carry out such responsibilities. The deans' ability to spend time on fundraising activities seemed relevant to their capability to achieve their college's Campaign goal. Use of Influence to Recruit President and top Administrators. The evidence demonstrated that deans who achieved their colleges' goals were able to recruit the President, faculty members and top university administrators to raise funds for their collegese However, the President, faculty members and top university officials also raised money for Dean 1 whose college did not achieve its' Campaign goal. It is pertinent to mention again that Dean 1 delegated a senior faculty member to work with the development officer on development activities., From the evidence, a dean’s ability to use his influence to recruit the President and top administrators to raise money on his college's behalf was relevant to his ability to reach his college's Campaign goal. 283 Deans having the same Fundraising Philosophy as Development Officers. An analysis of the data showed that Deans 2, 5, 6, 7, 8 who had the same philosophy as their development officers achieved their colleges' Campaign goal. These deans had a pattern in common. These deans not only formulated programmatic and dollar goals with their development officers, they also mapped out who should take the initiative with agreed upon projects and donors. 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APPENDIX L; Questions derived tron the Theory and Literature of tundraising iron which the Initial Interview Questions were based 1. What were the fundraising expectations of each of the selected colleges in general? Bubguestions i. What was the size of the college? ii. What type of prospects did the college identify prior to the start of the campaign? iii. What type of college is this college? (professional or arts or science?) iv. What is the size of the endowment of this college? v. What is the prior fundraising experience of the following? 0 dean 0 college vi. Prior to commencement of the capital campaign, did this college have a development office? 2. What were the deans' fundraising role with respect to: a) leadership? b) planning? c) organization? Subguestions on Leadership 1. What type of vision did the dean have for his/her college? ii. How much time did the dean devote to fundraising in a week? iii. Was the dean influential enough to recruit the 336 iv. vi. Vii Viii. sub( 11, iii. iv Vi. Vii iv. vi. vii. viii. 337 president and/or facpltyfmembers to get involved in his/her college's fundraising activities? How many times did the dean communicate his/her college's financial needs to the university central development office? Did the dean have supportive staff to pick up various responsibilities of the deanship during the duration of the campaign? Did the dean have the same philosophy of fundraising as his/her college development officer? Did the dean personally solicit money? Did the dean personally advocate his/her college's fundraising priorities to constituents? Suhquestions on Planning i. ii. iii. iv. vi. vii. Was the, dean involved. in 'the needs assessment exercise? Was the dean involved in his/her college’s feasibility study? What were the fundraising goal(s) of the college? Did the dean have a case-statement for his/her college? Who did the dean involve in the planning of his/her college fundraising activities? Did the dean define how the money raised would be spent? Were this college's needs included in the Vi Vii 0 ii 338 institution's needs list? Bubquestions on Organization 1. ii. iii. iv. vi. vii. viii. What was the fundraising structure of this college? Who set fundraising priorities for this college? What were the fundraising responsibilities of the college development officer? What type of relationship existed between the dean and the college development officer? How often in a month did the dean and his/her college development officer meet to discuss fundraising and review the college’s fundraising goal? How did the dean utilize volunteers? How did the college reach its various constituencies? How was stewardship handled in the college? 3. What factors aided or impeded the dean in functioning as a fundraiser during the M80 2000: Capital Campaign? 4. What qualities and qualifications should be possessed by a dean in order to be successful in fundraising? Bubquestions i. ii. iii. What is the dean’s educational philosophy for the college? Why should the deans be involved in fundraising? What should the deans’ fundraising role and responsibilities include? iv. vi. vii. viii. 339 How does educational fundraising function? What type of relationship did the dean have with the institution's chief development officer? What was the dean’s disposition towards fundraising? How does the dean feel about fundraising? What has the dean learned from this fundraising experience? BIBLIOGRAPHY: 340 BIBLIOGRAPHY Adams, Nichael F. "The Development Officer(s View." 9553 Currents, July/August 1989, 17-18. Adanson, Willie. “Institutional Planning: A Systems Approach," Arlington: ERIC Document Reproduction Service. Argenti, Paul A. ”Professional Interest." §A§E_ggzzgn§§, June 1988. Harden, Dennis. ”Two for the Money: Make the Dean Your Partner in Fundraising.“ QA§E_anzgnt§, June 1988, 22-25. Bass, Bernard. fighgyigz. New York: Harper and Row, 1960. 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