APA thesis format

384 Pages·2014·4.12 MB·English

University of Tasmania

Growing the University’s funding through philanthropy:
An Australian and a Malaysian case study

By
Rohayati Mohd Isa
Dip. Statistics, B.Ac. (Hons), Adv. Dip. IS, M. IT

A thesis submitted in fulfilment of the requirements for the degree of
Doctor of Philosophy

University of Tasmania
April 2014
Declaration

This thesis contains no material which has been accepted for a degree or diploma by this
University or any other institution, except by way of background information and duly
acknowledged in the thesis, and, to the best of my knowledge and belief, it contains no
material previously published or written by another person except where due
acknowledgement is made in the text of the thesis.

Rohayati Mohd Isa

i
Approval to copy

This thesis may be made available for loan and limited copying in accordance with
the Copyright Act 1968.

Rohayati Mohd Isa

ii
Statement of ethical conduct

The research associated with this thesis abides by the international and Australian
codes of human and animal experimentation, the Guidelines of the Australian
Government’s Office of the Gene Technology Regulator and on rulings of the Safety,
Ethics and Institutional Biosafety Committee of the University.

Rohayati Mohd Isa

iii
Acknowledgements

I would like to acknowledge the many people whose contributions have
supported me throughout this journey.

My appreciation goes to the Universiti Sains Malaysia (USM), for giving me
the opportunity and support to embark on this journey. My thanks also go to the
people in University of Tasmania (UTAS) particularly the staff of Faculty of
Education for their warm hospitality. I also would like to acknowledge the
universities leaders, administrators, donors and Alumni, for their openness and
support in sharing their invaluable input for the study.

My special thanks go to the great team of supervisors who have helped me to
complete this thesis. I would like to thank Professor John Williamson for his constant
advice, undivided guidance and motivation in helping me to complete my journey.
My sincere gratitude also goes to Associate Professor Trevor Willmshurt, and Dr
Marion Myhill for their warm support, and invaluable advice.

Finally, my thanks and appreciation goes to my family, friends and colleagues
who have offered me support and encouragement to complete this thesis. Most
importantly, my deepest gratitude goes to my mother, Fatimah, for her constant
support and sacrifices and for always being there during my high and lows. Lastly,
for the living memory of my father, Mohd Isa, I hope, the completion of this PhD
would make him proud.
iv
Contents

Declaration ......................................................................................................................... i
Approval to copy ...............................................................................................................ii
Statement of ethical conduct ........................................................................................... iii
Acknowledgements .......................................................................................................... iv
Contents ............................................................................................................................. v
List of Tables ................................................................................................................... xv
List of Figures ...............................................................................................................xvii
Abstract ....................................................................................................................... xviii
Glossary ........................................................................................................................... xx
Chapter 1 Introduction ................................................................................................... 1
Background ................................................................................................................... 1
Research Aims and Impetus for Research .................................................................... 2
Declining funding from Government for higher education ..................................... 3
Sharing cost-burden of higher education with others .............................................. 4
The Context of the Study .............................................................................................. 4
Some philanthropic similarities and differences: Australia and Malaysia ............... 5
Philanthropic Support for Public Higher Education Institutions: Malaysian
Context .......................................................................................................................... 6
Malaysian Public Higher Education and Funding System ...................................... 6
State of Philanthropy in Malaysian Public Higher Education System (PHEI) ........ 8
Background and the State of Philanthropy in University I ............................... 10
Philanthropic Support for Public Higher Education Institutions: Australian
Context ........................................................................................................................ 11
Australian Public Higher Education and Funding System .................................... 11
State of Philanthropy in Australian Public Higher Education System .................. 12
Background and the State of Philanthropy in University II .............................. 14
Rationale for the Study ............................................................................................... 15
Significance of the study ............................................................................................ 16
Research Questions ..................................................................................................... 18
Research Approach ..................................................................................................... 19
Research Design ......................................................................................................... 19
v
Conceptual framework ................................................................................................ 19
Data Gathering and Data Analysis Methods .............................................................. 22
Limitations of the Research ........................................................................................ 24
Structure of the thesis ................................................................................................. 25
Summary of Chapter 1 ................................................................................................ 26
Chapter 2 Literature Review ........................................................................................ 28
Introduction ................................................................................................................. 28
Literature review process ............................................................................................ 28
Philanthropy in the context of the study ..................................................................... 29
In Australia ............................................................................................................. 30
In Asia .................................................................................................................... 30
In Malaysia ............................................................................................................. 31
Literature underpinning successful Higher Education Philanthropic Fundraising ..... 32
Features of successful PHEI’s philanthropic fundraising ...................................... 33
Getting the university fundraising fundamental right ....................................... 34
Getting the university environment right .......................................................... 37
Literature on donor’s motivational factors for giving ................................................ 41
Donor’s determinant factors for giving .................................................................. 42
Demographic Characteristics ............................................................................ 42
Socio-economics characteristics ....................................................................... 47
Donor’s motivational factors ................................................................................. 49
Internal motivational factors ............................................................................. 49
External motivational factors ............................................................................ 51
Types of giving and solicitation approaches .......................................................... 53
Summary of Chapter 2 ................................................................................................ 54
Chapter 3 Methodology ............................................................................................... 55
Introduction ................................................................................................................. 55
Research Approach ..................................................................................................... 55
Case study method ................................................................................................. 56
Role of the researcher ................................................................................................. 57
Researcher Identity ..................................................................................................... 57
Researcher reflexivity and reflection .......................................................................... 57
vi
Research Design ......................................................................................................... 58
Case Study: Institutions ......................................................................................... 59
Case Study: Interview Participants ........................................................................ 60
Case Study: Questionnaire Respondents ............................................................... 61
Ethics Approval .......................................................................................................... 61
Data Gathering Methods ............................................................................................. 62
Data Gathering Methods: Interview ....................................................................... 62
Data Gathering Methods: Questionnaire................................................................ 63
The Questionnaire Content................................................................................ 63
Data Gathering Methods: Document Analysis ...................................................... 64
Sample Selection ........................................................................................................ 64
Sample: Case Study Participants............................................................................ 64
Sample Selection: University Representatives interview participants .............. 65
Sample Selection: Universities Donors-Alumni ............................................... 65
Sample Selection: Donors-Alumni interview participants ................................ 66
Sample Selection: Donors-Alumni questionnaire respondents ......................... 66
Changes in the composition of the case study cohort ............................................ 67
Pilot Test of Instruments ............................................................................................. 67
Validity and Reliability ............................................................................................... 68
Project Timeline .......................................................................................................... 71
Data Management ....................................................................................................... 71
Interview Data ........................................................................................................ 71
Questionnaire Data ................................................................................................. 72
Data Analysis .............................................................................................................. 72
Qualitative Data Analysis: Interview Data ............................................................ 73
Thematic Analysis ................................................................................................. 73
Quantitative Data Analysis: Questionnaire ............................................................ 74
Non-parametric tests ......................................................................................... 74
Analysing multiple responds questions ............................................................. 75
Analysis of open-ended questions ..................................................................... 75
Analysis of the rank order questions ................................................................. 75
vii
Internal Reliability ................................................................................................. 76
Document and Textual Analysis ............................................................................ 76
Data Reduction ........................................................................................................... 77
Summary of Chapter 3 ................................................................................................ 78
Chapter 4 Results: Research Question 1 ...................................................................... 79
Introduction ................................................................................................................. 79
Organisation of the Chapter ................................................................................... 79
Institutional Advancement Background ................................................................ 79
Fundraising History from philanthropic sources ................................................... 80
History of the University’s Foundation ............................................................. 81
History of the Institutions’ University Alumni Association/Committee .......... 81
University fundraising capacity ............................................................................. 82
Institutional Philanthropic Governance ...................................................................... 84
Governance Structure of the University Foundation ............................................. 84
Vision and Mission............................................................................................ 84
Role ................................................................................................................... 84
Structure ............................................................................................................ 84
Governance Structure of the Development and Alumni Relations Offices ........... 85
Vision and Mission............................................................................................ 85
Fundraising goals .............................................................................................. 85
Role ................................................................................................................... 85
Structure ............................................................................................................ 86
Resources .......................................................................................................... 86
Governance Structure of the University Alumni Association/Committee............. 87
Institutional Fundraising Policies ............................................................................... 88
University’s Gift Policy ......................................................................................... 88
Institutional Philanthropic Operations ........................................................................ 89
Institutional Fundraising Approaches .................................................................... 89
Types of giving.................................................................................................. 89
Fundraising Approach ............................................................................................ 91
University Leaders and Faculty members as fundraisers .................................. 91
Parents, Students and Alumni as Fundraisers ................................................... 92
viii
Soliciting channel ................................................................................................... 92
Institutional Fundraising Strategies ............................................................................ 94
Branding and Campaign ........................................................................................ 94
Stewardship for Fundraising ....................................................................................... 96
Reporting ................................................................................................................ 96
Relationship Building ............................................................................................ 96
Alumni Engagement .......................................................................................... 97
Community Engagement ................................................................................... 99
University Internal Community Engagement ................................................. 100
Issues in Raising Philanthropic Support ................................................................... 102
Ethical Fundraising and Conflict of Interest ........................................................ 102
Fundraising risk and confidentiality .................................................................... 103
Culture of giving and asking ................................................................................ 103
Philanthropy as a revenue stream for the universities.......................................... 104
Alumni Giving ..................................................................................................... 105
Government participation in philanthropy ........................................................... 107
Solicitation Approach .......................................................................................... 107
Summary of Chapter 4 .............................................................................................. 108
Chapter 5 Results: Research Question 2 .................................................................... 109
Introduction ............................................................................................................... 109
Organisation of the Chapter ................................................................................. 109
Donors at University I and University II ................................................................... 110
Background factors: Individual’s characteristics ................................................. 110
Individual’s demographic characteristics ........................................................ 110
Individual’s socio-economic characteristics ................................................... 113
Background factors: Organisation donor characteristics .......................................... 116
Giving patterns at University I and University II ...................................................... 116
Purpose of giving to University I and University II ............................................. 116
Types of giving to University I and University II ................................................ 117
Current types of giving .................................................................................... 117
Future consideration types of giving ............................................................... 118
Frequency of giving to University I and University II .................................... 118
ix