contents · study. first, mean importance, satisfaction, and performance scores (gap scores) were...

Volume 10Number 42001

CONTENTS

Key Factors Influencing Student Satisfaction Relatedto Recruitment and Retention 1Kevin M. ElliottMargaret A. Healy

In order to attract and retain students, universities must identify and meet studentexpectations. This article examines which aspects of a student’s educational ex-perience are more important in influencing student satisfaction. The findingsshow that ‘‘student centeredness,’’ ‘‘campus climate,’’ and ‘‘instructional effec-tiveness,’’ have a strong impact on how satisfied a student is with his/her overalleducational experience. The results also suggest that recruitment strategies mayrequire emphasizing different aspects of a student’s educational experience thanretention strategies.

KEYWORDS. Satisfaction, recruitment, retention, performance scores, gap scores

Means-End Theory: Getting the Service Customer’s Attention 13Deborah E. RosenTimothy B. Greenlee

In today’s technically sophisticated, information-rich environment, consumersare bombarded with information. Consequently colleges and universities mustdevelop ways to get the prospective student to give their promotional material

more than a cursory glance. Pre-purchase service evaluation has received littleattention beyond the nature of cues used by consumers to categorize service al-ternatives. The studies presented in this paper examine the usefulness of Means-End Theory in developing effective recruitment brochures. Empirical evidence ispresented that demonstrates college brochures that emphasize attributes (e.g.,cost, location) over consequences (e.g., getting a job) or values (e.g., security)will generate greater interest in an educational institution.

KEYWORDS. Service evaluation, means-end theory, promotional material,college-choice process

Using ‘‘Relationship Marketing’’ Theory to Develop a TrainingModel for Admissions Recruiters 35James F. GyureSusan G. Arnold

The concept of relationship marketing is a natural for use as a core theory indeveloping strategies for admissions recruiting and enrollment management.This paper addresses a critical aspect of enrollment management by providing aconceptual training outline based on relationship marketing and managementprinciples for admissions recruiters and other appropriate enrollment staff. A setof ‘‘Attitude Tools’’ is provided to suggest how various training methods mightbenefit from a consistent underlying theoretical construct.

KEYWORDS.Relationshipmarketing, recruitment, training, enrollmentmanagement

The Expected Monetary Value of a Student:A Model and Example 51Ronald HoverstadRay SylvesterKevin E. Voss

The authors introduce a model for estimating the amount of revenue a typical stu-dent will bring to an institution of higher education. The model uses event historyanalysis to analyze the length of time typical student will remain enrolled, ac-counting for the possibilities that the student will drop out, be disqualified by theuniversity, graduate ‘‘on time,’’ or even take more time than the traditional eightsemesters to complete a degree program. Once the pattern of enrollment hasbeen estimated, it is a relatively simple matter to estimate the revenue impact of astudent during a specific semester by multiplying the per-semester tuition ratesby the probability that a student will be enrolled that semester. Finally, the dis-counted present value of the individual semester revenues provides an estimate ofa student’s revenue impact over the life of his or her academic career.

KEYWORDS. Monetary value of a student, survival analysis, event historyanalysis, survival rate, hazard rate, censored cases, student retention

Beyond the Mission Statement: Alternative Futuresfor Today’s Universities 63Donna S. FinleyGayla RogersJohn R. Galloway

Many post-secondary institutions utilize the mission statement as the key tool forpositioning and marketing their strategic direction. Unfortunately, most mission

statements found in higher education are far too simplistic and general to givesubstance and direction to differentiation and positioning of universities. Thispaper presents findings from a three-month participatory action research processat a large urban Canadian university seeking to establish a marketing mind set.Five possible futures reflecting the range of thinking regarding the role of univer-sities emerged from the research process. Each alternative represents separateand different possible directions, the implications of which become more evidentby contrast.

KEYWORDS.Missionstatement,marketingpositioning, differentiation,alternativefutures, strategic direction, participatory action research

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Kevin M. Elliott and Margaret A. Healy 1

Key Factors InfluencingStudent Satisfaction

Related to Recruitmentand RetentionKevin M. ElliottMargaret A. Healy

ABSTRACT. In order to attract and retain students, universities mustidentify and meet student expectations. This article examines which as-pects of a student’s educational experience are more important in in-fluencing student satisfaction. The findings show that ‘‘student centered-ness,’’ ‘‘campus climate,’’ and ‘‘instructional effectiveness,’’ have astrong impact on how satisfied a student is with his/her overall educa-tional experience. The results also suggest that recruitment strategiesmay require emphasizing different aspects of a student’s educationalexperience than retention strategies. [Article copies available for a fee fromThe Haworth Document Delivery Service: 1-800-342-9678. E-mail address:<[email protected]> Website: <http://www.HaworthPress.com>E 2001 by The Haworth Press, Inc. All rights reserved.]

KEYWORDS. Satisfaction, recruitment, retention, performance scores,gap scores

INTRODUCTION

As universities look to the future, numerous challenges are emerg-ing. Increased competition and a general public demanding more ac-countability of tax dollars are seemingly some of the more pressing

Kevin M. Elliott is Professor of Marketing, Department of Marketing and Interna-tional Business, Minnesota State University, Mankato, Mankato, MN 56001. He hasa PhD from the University of Arkansas and has published in numerous marketingjournals. Margaret A. Healy is Vice President of Student Affairs, Minnesota StateUniversity, Mankato, Mankato, MN 56001. She has a PhD from Iowa State Universi-ty and has published in numerous educational journals.

Journal of Marketing for Higher Education, Vol. 10(4) 2001E 2001 by The Haworth Press, Inc. All rights reserved. 1

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JOURNAL OF MARKETING FOR HIGHER EDUCATION2

issues of most universities today. Moreover, higher education is in-creasingly recognizing that it is a service industry and is placing great-er emphasis on meeting the expectations and needs of students (Chengand Tam 1997). In today’s competitive environment, a university mustidentify what is important to students, inform students that they intendto deliver what is important to them, then deliver what they promise.The purpose of this article is to examine the impact that various

dimensions of an educational experience has on student overall satis-faction. In this study, student importance, student satisfaction, andresulting performance gaps were measured along eleven dimensionsof a student’s educational experience. The results were used to assesswhich dimensions of education appear to most significantly impactoverall student satisfaction.

STUDENT SATISFACTION

Student satisfaction is generally accepted as a short-term attituderesulting from an evaluation of a student’s educational experience.Student satisfaction results when actual performance meets or exceedsthe student’s expectations. Babin and Griffin (1998) argue that manysatisfaction measurement scales lack face validity due to contamina-tion of other related constructs.Hartman and Schmidt (1995) reported that student satisfaction is

multi-dimensional and depended on the clarity of student goals. Gross-man (1999) found that satisfaction was significantly influenced by trust.Universities can build trust by treating students in a consistent andequitable manner, meeting students expectations, and handling studentcomplaints in a caring manner. Athiyaman (1997) concluded that per-ceived quality of an educational experience is a consequence of studentsatisfaction.Student life is a web of interconnected experiences which overlap

and influence student satisfaction. Sevier (1996) argues that a univer-sity’s product is the sum of the student’s academic, social, physical,and even spiritual experiences. Kotler and Fox (1995) suggest that themajority of students are satisfied with their academic programs, butare less satisfied with support services such as academic advising andcareer counseling.Browne, Kaldenberg, Browne, and Brown (1998) found that the

likelihood of a student recommending the university to friends/rela-


tives was heavily influenced by the extent of interaction between thestudents of university personnel, such as faculty. Drew and Work(1998) found that female students tend not to interact with faculty asmuch as male students.Many schools have come to realize that it is better to invest now

(retain students) than to invest later (attract new students). Patterson,Johnson, and Spreng (1997) demonstrate empirically a strong linkbetween customer satisfaction and repurchase intentions. Similarly,Bolton, Kannan, and Bramlett (2000) conclude that repurchase inten-tions (i.e., retention decisions) are based on the evaluation of multipleunderlying service dimensions.

METHODOLOGY

Questionnaire

The survey instrument used in this study was the Student SatisfactionInventoryt, which is distributed by USAGroup Noel-Levitzt. The ques-tionnaire consists of 116 items that cover a full range of college experi-ences as well as demographic characteristics of respondents. Students areasked to rate each college experience with regard to ‘‘importance’’ and‘‘satisfaction.’’ The items were Likert-type statements on a seven-pointscale ranging from (1) ‘‘Not Important At All’’ or ‘‘Not Satisfied At All’’to (7) ‘‘Very Important’’ or ‘‘Very Satisfied’’ (7). Students are also askedthree summary questions dealing with: (a)‘‘overall satisfaction’’ with theireducational experience, (b) level of expectations met by their college, and(c) would they enroll again at their college.The Student Satisfaction Inventory assesses levels of perceived impor-

tance and satisfaction along the following eleven dimensions:(1) academic advising effectiveness (5 items), (2) campus climate (17items), (3) campus life (15 items), (4) campus support services (7 items),(5) concern for the individual (6 items), (6) instructional effectiveness (14items), (7) recruitment and financial aid effectiveness (6 items),(8) registration effectiveness (5 items), (9) campus safety and security (4items), (10) service excellence (8 items), and (11) student centeredness (6items).The results of the questionnaire provide three scores for each item:

(1) an importance score, (2) a satisfaction score, and (3) a performancegap score, which is determined by subtracting the satisfaction scorefrom the importance score. A large performance gap score on an item


indicates the college is not meeting the expectations of students. Asmall or zero gap score indicates the college is meeting the expecta-tions. A negative gap score indicates the college is exceeding theexpectations of students.The Student Satisfaction Inventoryt has demonstrated exceptionally

high internal reliability. Cronbach’s alpha is .97 for the set of importancescores and .98 for the set of satisfaction scores. The survey instrument hasalso demonstrated high convergent validity (r = .71; p < .00001) with thesatisfaction scores of the College Student Satisfaction Questionnaire(CSSQ).

Sample

A convenience sample of 1,805 freshman, sophomore, junior, andsenior students from an upper Midwest university was collected. Aneffort was made to select classes that would result in a representativesampling of the student body on campus. Table 1 summarizes keydemographic characteristics of students used in the survey. As shown inTable 1, approximately 53% of the students were female, slightly over75% were in the age group (19-24), most were Caucasian (84.5%), andthe most common self-reported GPA group was 3.0-3.49 (34.9%).

DATA ANALYSIS TECHNIQUES

A two step testing procedure was used to analyze the data for thisstudy. First, mean importance, satisfaction, and performance scores(gap scores) were computed for each of the eleven dimensions of astudent’s educational experience (see Table 2). A performance score isdefined as the degree and direction of discrepancy between students’perceived importance and satisfaction with their educational experi-ence along each dimension. A positive performance score means thatimportance exceeds satisfaction. A negative performance score meansthat satisfaction exceeds importance.Next, a stepwise regression model was employed to assess the

predictive ability of the eleven dimensions of a student’s educationalexperience. The mean performance gap scores for the eleven dimen-sions were the independent variables, while the dependent variablewas overall satisfaction. The dependent variable of ‘‘overall satisfac-tion’’ was measured by using the response cue ‘‘Rate your overallsatisfaction with your experience here thus far.’’ Responses were for-


TABLE 1. Demographic Profile of Sample (Sample = 1805)

Frequency Percent

GenderFemale 950 52.6%Male 814 45.1%No response 41 2.3%

Age

18 and under 125 6.9%19 to 24 1358 75.2%25 to 34 216 12.0%35 to 44 40 2.2%45 and over 25 1.4%No response 41

Ethnicity/Race

African-American 19 1.1%American Indian 14 .8%Asian 88 4.9%Caucasian 1526 84.5%Hispanic 20 1.1%Other 24 1.3%No response 114 6.3%

Class Level

Freshman 380 21.0%Sophomore 301 16.7%Junior 469 26.0%Senior 563 31.2%Other 52 2.9%No response 40 2.2%

GPA

No credits earned 13 .7%1.99 or below 43 2.4%2.0 - 2.49 226 12.5%2.5 - 2.99 528 29.3%3.0 - 3.49 630 34.9%3.5 or above 320 17.7%No response 45 2.5%

mulated using a 7-point scale from ‘‘Not satisfied at all’’ (1) to ‘‘Verysatisfied’’ (7).

RESULTS

Importance, Satisfaction, and Performance

In an ideal situation, the areas of educational experience that aremost important to students will also be the areas that students are mostsatisfied with. As shown in Table 2, what usually happens is that


TABLE 2. Mean Importance, Satisfaction and Performance Gap Scores

Mean Importance Scores

Academic Advising (6.25) Campus Services (5.91)Instructional Effect. (6.22) Student Centeredness (5.90)Safety and Security (6.13) Recruit./Financial Aid (5.88)Registration Effect. (6.06) Service Excellence (5.85)Campus Climate (5.92) Campus Life (5.43)Concern for Individual (5.92)

Mean Satisfaction Scores

Academic Advising (4.87) Campus Life (4.45)Instructional Effect. (4.85) Registration Effect. (4.44)Campus Services (4.76) Recruit./Financial Aid (4.43)Student Centeredness (4.60) Service Excellence (4.42)Campus Climate (4.55) Safety and Security (4.24)Concern for Individual (4.45)

Mean Performance Gap Scores

Safety and Security (1.89) Instructional Effect. (1.37)Registration Effect. (1.62) Campus Climate (1.37)Concern for Individual (1.47) Student Centeredness (1.30)Recruit./Financial Aid (1.45) Campus Services (1.15)Service Excellence (1.43) Campus Life (0.98)Academic Advising (1.38)

students will have a high level of satisfaction with relatively importantand unimportant dimensions. Moreover, students may be dissatisfiedwith both important and unimportant dimensions of their educationalexperience. What a university should do is determine the aspects ofcampus life which students have identified as having a high level ofimportance but a low level of satisfaction.Table 2 summarizes the mean importance, satisfaction, and perfor-

mance scores for each of the eleven dimensions of campus life. Asshown in Table 2, students rated ‘‘academic advising’’ (mean = 6.25)and ‘‘instructional effectiveness’’ (mean = 6.22) as the two most im-portant dimensions of their overall educational experience and ‘‘cam-pus life’’ (mean = 5.43) as least important. Students were most satis-fied with ‘‘academic advising’’ (mean = 4.87) and ‘‘instructionaleffectiveness’’ (mean = 4.85) and least satisfied with ‘‘safety andsecurity’’ (mean = 4.24).The highest mean performance gap scores in Table 2 are ‘‘safety

and security’’ (mean = 1.89) and ‘‘registration effectiveness’’ (mean =1.62). These two gap scores indicate that these areas have the largestdifferences between importance and satisfaction scores. ‘‘Safety and


security’’ was the third most important dimension (mean = 6.13) forstudents, however, it had the lowest overall satisfaction score (mean =4.24). Similarly, ‘‘registration effectiveness’’ was viewed by studentsas being relatively important (mean = 6.06), however, this same di-mension only received an average satisfaction score (mean = 4.44).

Predicting Student Satisfaction

Table 3 summarizes the results of a multiple regression modelemployed to assess the predictive ability of the performance gapscores for the eleven dimensions of a student’s educational experience.Although not an absolute test for the importance of each predictor,beta weights (non-standardized regression coefficients) are useful indetermining the relative weights of the independent variables in aregression equation. As shown in Table 3, ‘‘student centeredness’’ wasa strong and significant predictor of student satisfaction (Beta =−.35648, p < .000). ‘‘Student centeredness’’ was comprised of sixitems which relate to a university’s effort to convey to students thatthey are important. This dimension measures the extent to whichstudents feel welcome and valued.Another significant predictor of student satisfaction was ‘‘campus

climate’’ (Beta = −.26200, p < .01). ‘‘Campus climate’’ was com-prised of seventeen items which relate to the extent a university pro-vides and promotes a sense of campus pride and feeling of belonging.This dimension also assesses the effectiveness of channels of commu-nication for students.‘‘Instructional effectiveness’’ (Beta =−.22268, p < .000) was also

a fairly strong and significant predictor of overall student satisfaction.‘‘Instructional effectiveness’’ was comprised of fourteen items whichassess a student’s academic experience, to include curriculum, aca-demic excellence, and effectiveness of faculty.The finding that performance gap scores of ‘‘student centeredness,’’

‘‘campus climate’’ and ‘‘instructional effectiveness’’ had the greatestimpact on overall student satisfaction is not that surprising in and ofitself. However, further investigation reveals that ‘‘student centered-ness’’ and ‘‘campus climate’’ were not even in the top four dimensionswith regard to what students perceived as important to them in theireducational experience. Out of eleven dimensions, ‘‘campus climate’’was rated 5th most important and ‘‘student centeredness’’ was rated8th most important.


What this finding shows is that attracting students may requireemphasizing different areas of a student’s educational experience thanretaining students. Attracting students require emphasizing what isimportant to students in their selection process as they evaluate univer-sities, while retaining students requires keeping students satisfied.

CONCLUSIONS/IMPLICATIONS

One finding of this study suggests that most students will have ahigh level of satisfaction with both relatively important and unimpor-tant dimensions of their educational experience. Moreover, studentsmay also be dissatisfied with both important and unimportant dimen-sions of their educational experience. Performance gap scores willresult depending on the range of difference between perceived impor-tance scores and perceived satisfaction scores.The results of this study also show that what students report as

being important to them in their overall educational experience is notnecessarily the same dimensions that most significantly impact theiroverall satisfaction with their educational experience. For example,students may rate an aspect of campus life as being very important to

TABLE 3. The Contributions of Dimensions of Educational Experience in Pre-dicting Overall Student Satisfaction

College Sig.Experiences B SE B Beta T Level

Centeredness −.08157 .01256 −.35648 −6.494 .0000Campus Climate −.02099 .00641 −.26200 −3.275 .0011Instruction −.02343 .00504 −.22268 −4.645 .0000Service Excel. .02589 .00849 .15034 3.047 .0024Support Services .01987 .00740 .10133 2.687 .0073Campus Life .00689 .00310 .08054 2.220 .0266Safety/Security .02134 .00875 .07209 2.437 .0149Advising −.00984 .00656 −.04892 −1.500 .1340Registration −.00918 .00898 −.03693 −1.023 .3066Recruitment/Aid .00539 .00668 .02742 .806 .4205Concern .00034 .01121 .00154 .031 .9755(Constant) 5.85503 .06458 90.660 .0000

Multiple R .58525R Square .34252Adjusted R Square .33641Standard Error 1.11040


them, however, a large performance gap score (i.e., high importancescore and low satisfaction score) with this dimension may not signifi-cantly influence their overall satisfaction with their educational expe-rience.Some important implications emerge from these findings. First,

identifying the aspects of an educational experience which studentshave identified as having the highest levels of importance is criticalprimarily for recruitment purposes. These are criteria students wouldseemingly use when evaluating universities during the process of se-lecting a university to attend.Second, identifying the areas that have the highest performance gap

scores (i.e., high importance score and low satisfaction score) is onlythe first step in enhancing overall student satisfaction. A universitymust then determine which of these areas appear to have the biggestinfluence on student satisfaction. It may not always be the areas thathave the largest performance gap scores. As shown in this study, itmay be the areas of a student’s educational experience which areperceived as being moderately important with moderate levels of satis-faction.A final implication is that universities might consider emphasizing

different aspects of an educational experience in recruitment strategiesthan those used in retention strategies. Recruitment strategies shouldaddress the dimensions of a student’s educational experience that havethe highest perceived importance to students. Retention activities, onthe other hand, tend to focus more on how best to keep current stu-dents satisfied and coming back year-after-year. These would be theareas which have been shown through gap score analysis to signifi-cantly impact overall student satisfaction.A limitation to this study relates to the factors which influence both

student recruitment and retention. There are a number of other factorsnot addressed in this study that could impact how successful universi-ties are in recruitment and retention. For example, ‘‘prestige of theuniversity’’ would seemingly be very important. A university likeHarvard does not have difficulty recruiting students partly because ofthe image and prestige of the institution.Another factor that may influence many students in the selection of

a university is ‘‘price.’’ Quigley, Bingham, Murray, and Notarantonio(1999) report that family income and fathers’ education are directlyrelated to the relative importance of ‘‘price’’ in the selection process.


Lower income families place a higher importance on ‘‘price’’ than dohigher income families.A factor that could influence retention rates is ‘‘student grades.’’

Most students strive for high grades, and if they are receiving themthey are more likely to stay at the university they are currently enrolledin. Some faculty members may give higher grades to enhance the levelof student satisfaction. The net effect of this over time and facultycould very well have a positive impact on student retention rates for auniversity.In conclusion, as universities plan recruiting and enrollment man-

agement strategies, they must first identify what is important to stu-dents to attract them, then deliver a quality education to retain them.However, it should also be remembered that student recruitment andretention activities are interrelated. The most effective and efficientmeans of recruiting students is through word-of-mouth promotionwhich comes from current satisfied students.

REFERENCES

Athiyaman, Adee. 1997. Linking Student Satisfaction and Service Quality Percep-tions: The Case of University Education. European Journal of Marketing, 31 (7):528-540.

Babin, Barry J. and Mitch Griffin. 1998. The Nature of Satisfaction: An UpdatedExamination and Analysis. The Journal of Business Research, 41: 127-136.

Bolton Ruth N., P.K. Kannan, and Matthew D. Bramlett. 2000. Implications ofLoyalty Program Membership and Service Experiences for Customer Retentionand Value. Journal of Academy of Marketing Science, 28 (1): 95-108.

Browne, Beverly A., Dennis O. Kaldenberg, William B. Browne, and Daniel Brown.1998. Student as Customer: Factors Affecting Satisfaction and Assessments ofInstitutional Quality. Journal of Marketing for Higher Education, 8 (3): 1-14.

Cheng, Y.C. and M.M. Tam. 1997. Multi-Models of Quality in Education. QualityAssurance in Education, 5: 22-31.

Drew, Todd L. and Gerald G. Work. 1998. Gender-Based Differences in Perceptionof Experiences in Higher Education. The Journal of Higher Education, 69 (5):542-555.

Grossman, Randi P. 1999. Relational Versus Discrete Exchanges: The Role of Trustand Commitment in Determining Customer Satisfaction. The Journal of Market-ing Management, 9 (2): 47-58.

Hartman, David E. and Sandra L. Schmidt. 1995. Understanding Student/AlumniSatisfaction From a Consumer’s Perspective: The Effects of Institutional Perfor-mance and Program Outcomes. Research in Higher Education, 36 (2): 197-217.

Kotler, Phillip and Karen F.M. Fox. 1995. Strategic Marketing for EducationalInstitutions. Englewood Cliffs, New Jersey: Prentice Hall.


Patterson, Paul G., Lester W. Johnson and Richard A. Spreng. 1997. Modeling theDeterminants of Customer Satisfaction for Business-to-Business ProfessionalServices. Journal of the Academy of Marketing Science, 25 (Winter): 4-17.

Quigley, Charles, JR., Frank Bingham, JR., Keith Murray, and Elaine Notarantonio.1999. The Effect of Price in the College Selection Decision Process. The Journalof Marketing Management, 9 (3): 36-47.

Sevier, Robert A. 1996. Those Important Things: What Every College PresidentNeeds to Know About Marketing and Student Recruiting. College & University,(Spring): 9-16.

Received: 06/06/00Revised: 10/10/00Accepted: 10/23/00

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Means-End Theory:Getting the Service Customer’s Attention

Deborah E. RosenTimothy B. Greenlee

ABSTRACT. In today’s technically sophisticated, information-rich en-vironment, consumers are bombarded with information. Consequentlycolleges and universities must develop ways to get the prospectivestudent to give their promotional material more than a cursory glance.Pre-purchase service evaluation has received little attention beyond thenature of cues used by consumers to categorize service alternatives. Thestudies presented in this paper examine the usefulness of Means-EndTheory in developing effective recruitment brochures. Empirical evi-dence is presented that demonstrates college brochures that emphasizeattributes (e.g., cost, location) over consequences (e.g., getting a job) orvalues (e.g., security) will generate greater interest in an educationalinstitution. [Article copies available for a fee from The Haworth DocumentDelivery Service: 1-800-342-9678. E-mail address: <[email protected]> Website: <http://www.HaworthPress.com> E 2001 by The HaworthPress, Inc. All rights reserved.]

KEYWORDS. Service evaluation, means-end theory, promotional ma-terial, college-choice process

INTRODUCTION

When appealing to prospective students, college and universityadministrators and admissions office personnel at four-year institu-

Deborah E. Rosen, PhD, is Associate Professor of Marketing at the University ofRhode Island, Kingston, RI 02881. Timothy B. Greenlee, PhD, is Assistant Professor ofMarketing at Miami University, Oxford, OH 45056 (E-mail: [email protected]).

Address correspondence to Timothy B. Greenlee.




tions face the increasingly difficult challenge of breaking through thepromotional literature clutter. Competition among academic institu-tions has escalated recently, particularly among public universities dueto a greater call for accountability; while at the same time tuition hasescalated. This has forced administrators at institutions of highereducation to begin to recognize that they need to function more like abusiness and market their offerings utilizing sound strategy (Hancockand McCormick, 1996). While Goldgehn (1991) found evidence thatacceptance of marketing techniques has increased in institutions ofhigher education, the development of promotional material in highereducation has remained an area with little academic research to directthe development of such materials.Furthermore, within today’s technically sophisticated, information-

rich environment, prospective students are bombarded with informa-tion from every direction. The popularity of direct mail appeals fromcolleges and universities has significantly impacted information over-load, as college prospects not only receive information they requestbut excessive amounts of unsolicited information as well. Previousresearch indicates that even when prospective students solicit informa-tion from institutions of higher education, they do not carefully ex-amine its content (Rosen, Curran, and Greenlee, 1998). Consequently,institutions must develop ways to get the prospective student to givetheir institution’s promotional material more than a cursory glance.A first step toward developing promotions designed to get the

prospective students’ attention requires an understanding of the prod-uct evaluation process. Extensive literature exists in consumer be-havior regarding the nature of pre-purchase product evaluations (e.g.,Batra and Stayman, 1990; Dick, Chakravarti, and Biehal, 1990;Lynch, Marmorstein, and Weigold, 1988). However, much of thiswork has been directed towards the evaluation of physical goods withscant attention being given to the pre-purchase evaluation of ser-vices, including the selection process utilized to select an institutionof higher learning. This is somewhat ironic in that researchers haveacknowledged that the very nature of services makes them moredifficult to evaluate than physical goods (e.g., Zeithaml, 1981; Hart-man and Lindgren, 1993).What research there is in pre-purchase service evaluation has fo-

cused on the nature of cues used by consumers to categorize servicealternatives (e.g., Crane and Clarke, 1988). This research predomi-

Deborah E. Rosen and Timothy B. Greenlee 15

nately investigates cues that are used as indicators of quality. Asidefrom examining dimensions of quality, researchers have examinedcues that, for the most part, involve evaluation that occurs at the pointof consumption. In this stream of research, dimensions of the service-scape (physical facilities) and elements of the social environment(e.g., manner of staff, dress of staff and other customers present) havebeen examined as cues that are most heavily relied upon in selecting aservice (Crane and Clarke, 1988). Consequently, these cues do notnecessarily capture the dimensions utilized by students sitting at homeand evaluating college options through a comparison of promotionalmaterials from competing universities.Selecting the appropriate type of cues can be problematic for the

university wishing to develop effective promotional materials to aidthe prospective student in their evaluative process. One way to ap-proach this dilemma, means-end theory, is particularly appropriate toexamine in the context of consumer service evaluations as its valuehierarchy complements the belief that product evaluation is a goal-di-rected process. Consumers base their interpretations of product infor-mation on knowledge activated at the time of comprehension (Lee andOlshavsky, 1994). Gutman (1982) and others (e.g., Bagozzi and Dab-holkar, 1994) have proposed that consumers’ knowledge structuresmay be organized into a number of means-end chains containing linksbetween product attributes, consequences, and personal values. Knowl-edge contained in these means-end chains is then used to comprehendproduction information.Recent examination of means-end theory provides evidence that

brand persuasion can be enhanced through advertisements that link alllevels of the means-end hierarchy. Evidence also suggests that con-sumers use different types of information at different points in thedecision process (Zeithaml, 1988; Gardial, Clemons, Woodruff, Schu-mann, and Burns, 1994). This study is designed to combine these twofindings in the context of selecting an institution of higher education.Education has been defined as a credence service, one for whichconsumers typically gather information prior to experiencing the ser-vice and hence must assess the educational experience without experi-encing the servicescape or social environment. The following sectionsprovide a brief review of the service evaluation and mean-end theoryliteratures.


SERVICE EVALUATION

A great deal of effort has gone into delineating the characteristicsthat differentiate services from products (e.g., Lovelock, 1991). Thestandard list of distinguishing characteristics includes intangibility,inseparability, inconsistency and inventory restrictions. As a result ofthese characteristics, services are perceived by consumers as evenriskier purchases than products (Bateson, 1992; Guseman, 1982; Murrayand Schlacter, 1990; Turley, 1990). Whether services are unique fromproducts or not, the very nature of services requires that consumersalter their approach to decision making in regards to services for thereis the problem of evaluating that which is not physical (e.g., Hartmanand Lindgren, 1993; Zeithaml, 1981).Zeithaml (1981) provides insight into how evaluation might differ

between goods and services. In this classification system, Zeithamlproposes a continuum of evaluation for different types of productsfrom easy to difficult to evaluate. What distinguishes the variouspoints on the continuum are the qualities upon which evaluation isbased (search qualities versus experience qualities versus credencequalities). Goods/services high in search qualities (e.g., color, style,price, etc.) are ‘‘easy to evaluate’’ even before purchase. Goods/ser-vices high in experience qualities (e.g., taste, wearability, purchasesatisfaction) are more difficult to evaluate as they must be purchasedand consumed (i.e., experienced) for assessment to take place. An-choring the ‘‘difficult to evaluate’’ end of the continuum are goods/services high in credence qualities that the consumer finds difficult toevaluate even after consumption. It is at the ‘‘difficult to evaluate’’ endof the spectrum that education, in fact most services, fall (Hartman andLindgren, 1993; Zeithaml, 1981).Incorporating Zeithaml’s (1981) goods-services continuum in a dis-

cussion of the marketing of higher education, Licata and Frankwick(1996) speculate that universities offer only credence service as ‘‘thecustomer usually cannot evaluate the product even after purchase hasbeen made because the student does not have the technical expertisenecessary to evaluate the quality of the education received’’ (Licata andFrankwick, pg. 4). However, prospective students must evaluate thealternative offerings somehow and select a school to attend, often timeswithout ever visiting the campus and ‘‘experiencing’’ the servicescape.In the absence of search qualities and in purchase situations per-


ceived as being high in risk, consumers must base their choice largelyon faith and evaluate the purchase through experience. This may resultin different evaluation processes than those employed in the purchaseof goods (Young, 1981). For example, one way to reduce risk is togather additional information (Cox, 1969). Therefore, the expectationwould be that more information would be sought in service purchases,particularly those high in credence qualities. In fact, research hasfound the opposite (e.g., Friedman and Smith, 1993; Turley and Le-Blanc, 1993). A wide variety of types of information sought mightalso be expected. Again, research has repeatedly provided evidencethat consumers rely more heavily on personal sources of informationin situations dominated by experience qualities (e.g., Friedman andSmith, 1993; Murray, 1991; Sweeney, Johnson and Armstrong, 1992).Further, there is limited evidence that while individuals utilize person-al sources of information in selecting a service provider, they relymore heavily on experience qualities (e.g., warm and friendly staff,reliable care) than search qualities (location, type of care available,hours) in choosing a provider (Friedman and Smith, 1993).These findings suggest that while personal sources of information

may lead to a service provider being a part of someone’s considerationset, factors actually leading to choice may require physically experi-encing the servicescape in order to have the information necessary forevaluation. Consequently, there appear to be definite entry barriers forservices which consumers have limited opportunities to ‘‘experience’’prior to a choice decision even if that service is recommended by acredible personal source. For example, even if a friend recommends aparticular service provider (the University of San Francisco), if theprospective student lives in New York and cannot visit the campus,meet with school representatives, etc., that university might not be-come a part of the student’s choice set. The question then becomeshow does a service firm, one high on experience or credence qualities,design effective promotional material for use in pre-purchase evalua-tion? One approach that might provide insight into this dilemma ismeans-end theory.

MEANS-END THEORY

The means-end model (Gutman, 1982; Reynolds and Gutman, 1984)is based upon the way in which consumers categorize information from


attributes at the simplest level to complex personal values at the highestlevel. Consumers are believed to judge product attributes (‘‘lowest’’level) based upon their ability to provide certain consequences. Theseconsequences (‘‘intermediate’’ level) are then judged on their ability todeliver desired end states or core values (‘‘highest’’ level).Attributes, consequences and values are the basic content of consum-

er product knowledge stored in memory. The content is then linked bybridges that become the mental connections between the different levelsof the hierarchy. Consequently, means-end chains connect particularattributes (‘‘If I attend a university with a wide variety of majors’’) toconsequences (‘‘I will get a job with . . .’’) to values (‘‘I will have amore secure financial future’’) (Reynolds, Gengler, and Howard, 1995).Means-end theory thus provides an explanation for the manner in whichconsumers interpret product attributes and link them with more abstractproduct meanings that are personally relevant. This is important asself-relevant product meanings have been demonstrated to be the basisfor consumer preferences and choice (Gutman, 1982).Reynolds, Gengler and Howard (1995) provide evidence that the

strength of association between means-end theory information com-municated by an ad will contribute to brand persuasion. In their study,Reynolds et al. (1995) also found support for the prediction that com-municating means-end associations would be particularly effective fornon-loyal users of a particular brand of soft drink.Zeithaml (1988) proposed and Gardial, Clemons, Woodruff, Schu-

mann and Burns (1994) demonstrated that pre-purchase consumerevaluations utilize information at different means-end levels. In theircomparison of consumers’ recall of pre-purchase and post-purchaseproduct evaluation experiences Gardial et al. (1994) found that duringpre-purchase evaluation, consumers were more likely to focus onlower levels of Gutman’s hierarchy (attributes) than when discussingpost-purchase evaluations where values became more salient.The work of Reynolds et al. (1995), Zeithaml (1988), and Gardial et

al. (1994) are combined in this study to test the following hypothesisin a service environment:

H1: Brochures that emphasize attribute level (the attributes ofthe institution) of the means-end hierarchy will producemore interest (time spent processing) than those that em-phasize consequences (of attending) or (match with) values.


METHOD

The study was designed to test whether brochure copy developedemphasizing different levels of the means-end hierarchy would pro-duce different levels of interest with prospective students. In order toexamine properly the use of means-end theory in service promotiondevelopment, it was necessary first to design brochures that reflectedthe three levels of the hierarchy. From the hypothesis above, it wasexpected that students would allocate more time to brochures thatemphasized the attribute level of the hierarchy than to brochures thatemphasized either consequences or values. Also, the students woulddevelop more interest in a school whose brochures described the at-tributes of the institution as opposed to consequences of attending oroffered a match with their values structure. The following sectionsdetail the brochure development process, the selection of the appropri-ate values-based brochure and the comparison of the three brochuresdesigned in accordance with the tenets of means-end theory.

BROCHURE DEVELOPMENT

The study required the development of three distinct brochures,each reflecting one level of the means-end hierarchy. Attribute-leveldescriptions were selected based upon previous research in collegeselection criteria. Evidence from previous studies indicate that cost,location, number of majors, facilities, social activities are the criteriautilized by high school students in selecting a university/college toattend (e.g., Spekman, Harvey, and Bloom, 1980). The consequencesor benefits (i.e., getting a job, getting into graduate school, etc.) se-lected for the brochure have also been identified as criteria utilized inselecting a college (e.g., Keiller, Bush and Bush, 1995). Values, de-sired end states, were selected based upon the work of Rokeach (1973)whose work has provided the foundation for much of the researchutilizing the means-end hierarchy. However, as Rokeach’s values rep-resent global values that are general, additional values statements wereselected to reflect more intermediate, domain-specific values pertain-ing to the college experience (Vinson, Scott and Lamont, 1977). Itemsfrom the Educational Testing Service’s Institutional Goals Inventorywere selected to reflect domain-specific goals as items in this instru-


ment focus on values related to academic experiences (academic andintellectual development, personal development, etc.).To create brochures as realistic as possible, over 500 actual colle-

giate recruitment brochures were analyzed for both visual appeal andmessage content. The school brochures were solicited from state andprivate, large and small institutions across the United States. Thebrochure format analyzed was that of a view book--a small brochuredesigned to provide a brief overview of what the school had to offer.View books are routinely utilized by institutions in response to studentinquiries or as a part of a recruiting program initiated by the institu-tion. Detailed material such as a catalogue may or may not accompanysuch a mailing.Visual Appeal: As a means of selecting a visual brochure format that

was considered attractive by the target audience, 80 marketing principlesstudents conducted multiple sorts of the brochures, selecting brochureswith the most visual appeal. Sorters were instructed to focus exclusivelyon the visual elements of the brochures and to ignore the content of thewritten message. As a result of the multiple sorting procedure, 30 bro-chures were identified as the most visually appealing.Common elements of the brochures selected were the use of pic-

tures that included people and a simple layout style. These findingswere consistent with previous research in this area (Wingood, 1995).Message Content: As a means of developing the appropriate mes-

sage content for the brochures, two independent judges were asked tocontent analyze the 30 brochures that were identified as the mostvisually appealing. The judges were undergraduate students trained inthe content analysis technique required for the research. Undergradu-ates were selected because their perspective would be a close matchwith that of the target audience for these brochures.The judges conducted paragraph content analysis by coding para-

graphs or blocks of information according to a pre-determined codingscheme. This pre-determined scheme was based upon attributes, con-sequences and values previously identified in the literature (see above).Judges were instructed not to force a paragraph into one of these cate-gories. Sections not representative of either of these categories werenoted accordingly and assigned an appropriate code. A third judgeresolved conflict as to the meaning of a section of information.As a result of these processes, sections from actual brochures were

highlighted as representative of specific attributes, consequences and


values. The test brochures developed for the study were constructedfrom a folded 8 1/2I by 14I piece of paper that created a four-pageview book which is typically included in an initial mailing. The frontcover depicted a full-page picture of college students standing andtalking in front of a typical collegiate building. The back cover wasutilized to display a similar picture and a toll-free telephone number.The two interior pages of the brochure displayed the specific messagecontent and several additional pictures typical of a collegiate brochure.All pictures were taken from the brochures that had been identifiedpreviously as being visually appealing. The message content in eachbrochure differed according to the type of brochure being created.Preparing a values-laden brochure presented the biggest challenge

of the study. While attributes and consequences are fairly constantacross populations, it was not clear from the literature that values,particularly domain-specific values, would produce the desired re-sponse in this study. As a result of this concern, two studies wereconducted. The first study was designed to select the most appropriatevalues-based brochure, a university-specific values brochure or a bro-chure based upon an assessment of the student’s own general anddomain-specific values structure. The second study was designed totest the effectiveness of the three brochure types, the attribute-basedbrochure, the consequences-based brochure and the values-based bro-chure.

STUDY ONE: VALUES-BASED BROCHURE SELECTION

The first step in this study was to develop the content for a values-based brochure that could be articulated in the limited space affordedby a view book. As there are 18 Rokeach values and 59 institutionalgoals in the Institutional Goals Inventory (IGI) of Educational TestingService, it was not feasible to include all possible values selected forthis study. Consequently, to test the hypothesis it was decided that avalues-based brochure must be developed that highlighted only thosevalues relevant to students attending the institution utilized in thisstudy.To develop a values brochure which addressed the relevant values

for a particular college campus, four distinct message themes, threereflecting the values level of the hierarchy (university-specific values,


individual-specific values, religious values) and one reflecting theattribute level (for contrast), were created. While the primary purposeof study one was to identify the most appropriate values-based bro-chure, including the attribute-based brochure provided for a theoreti-cal validity check. A further goal was to ensure that a brochure basedupon a values statement developed by assessing the general popula-tion of students attending a university would be as effective as apersonal values statements generated for each student as individualiz-ing brochures is not feasible. A description of each of the four bro-chures follows.University-Specific Values Brochure. This brochure was designed to

reflect the values and goals rated most important by students at thespecific institution where the research study was conducted. To devel-op a view book which included values and goals specific to the institu-tion, it was first necessary to develop a short list of values from thetwo values instruments selected (Rokeach and the IGI). For the firsttask, 334 university students enrolled in a general psychology coursewere asked to rate the importance of each of Rokeach’s 18 personalvalues when evaluating the collegiate experience. In addition, theparticipants were asked to rate how important each of 59 possibleinstitutional goals, as defined by the Educational Testing Service,should be at this particular institution.Factor analysis on the data corresponding to Rokeach’s personal

values identified three primary factors (minimum eigenvalue = 1.0,minimum factor loading = .40). Individual personal values loading onfactor one (proportion of variance explained = .47) included maturelove, pleasure, social recognition, true friendship, happiness, familysecurity, inner harmony, self-respect, and security. Given the nature ofthese values, factor one was labeled as representative of ‘‘Egocentric’’characteristics. Individual personal values loading on factor two (pro-portion of variance explained = .06) included accomplishment, equali-ty, freedom, exciting life, comfortable life and wisdom. Given thenature of these values, factor two was labeled as representative of‘‘Futuristic’’ characteristics. Individual personal values loading onfactor three (proportion of variance explained = .06) included world atpeace, salvation, and world of beauty. Given the nature of these val-ues, factor three was labeled as representative of ‘‘Spiritual’’ charac-teristics.Factor analysis on the data corresponding to the Educational Test-


ing Service’s 59 goals identified three primary factors (minimum ei-genvalue = 1.0, minimum factor loading = .40). Specific goals loadingon factor one (proportion of variance explained = .54) related to indi-vidual personal development; therefore, factor one was labeled asrepresentative of ‘‘Personal Development’’ characteristics. Specificgoals loading on factor two (proportion of variance explained = .08)related to cultural and aesthetic awareness; thus, factor two was la-beled as representative of ‘‘Cultural/Aesthetic Awareness’’ character-istics. Specific goals loading on factor three (proportion of varianceexplained = .07) related to democratic governance/freedom, innova-tive learning, and accountability. Given the nature of these goals,factor three was labeled as representative of ‘‘Personalized Curricu-lum’’ characteristics.The University-specific values brochure was then assembled with

sections of copy that had been previously content analyzed as repre-sentative of the three most significant values and the three most signif-icant goals identified through factor analysis.Individual-Specific Values Brochure. This brochure was designed to

reflect the values and goals rated most important by each studentparticipating in the study. To determine this personal values profile,each of the 109 first semester students enrolled in a general businesscourse were asked to rate the importance of each of Rokeach’s 18personal values when evaluating the collegiate experience. In addi-tion, the participants were asked to rate how important each of 59possible institutional goals, as defined by the Educational TestingService, should be at this particular institution.Based on the factor structure identified with the university-specific

values brochure, item parcels loading on each factor were summed todetermine each individual’s rank ordering with respect to the threemost significant values (Rokeach) and the three most significant goals(IGI). Thus, for each individual in the study, an individual-specificvalues brochure was assembled with sections of copy that had beenpreviously content analyzed as representative of the most significantvalues and goals.Religious Values Brochure. This brochure was designed to provide

a distinct contrast to the university- and individual-specific valuesbrochures. Factor analysis of the data generated from surveying thegeneral psychology students with respect to the importance of specificvalues and goals when evaluating the collegiate experience indicated


religious values and goals were ranked consistently below other val-ues and goals. Thus, such a brochure was deemed a viable option inthat the religious values brochure clearly would be distinct from eitherthe university- or the individual-specific values brochures. In keepingwith the previous format, the religious values brochure was assembledwith sections of copy that had been previously content analyzed asrepresentative of religious values and goals.Attribute Brochure.While the first three brochures were designed to

reflect various combinations of personal values, the attribute-levelbrochure was designed to capture the concept of educational value.Specifically, the brochure reflected attributes identified as being im-portant in college-choice situations (e.g., location, cost, number ofmajors). As for the three values brochures, the value brochure wasassembled with sections of copy that had been previously contentanalyzed as representative of value concepts.

PARTICIPANTS

Participants in study one included 109 first-semester students en-rolled in a three-week course in a large northeastern public university.The subjects were evenly distributed among gender and within-state,out-of-state students. External validity was enhanced as these subjectshad recently participated in the college choice process and as first-se-mester students, were not yet comprised by the specific attendinginstitution.During the first week of the course, participants completed the

values and goals survey. Following this, survey data were entered andanalyzed to determine the rank order of the values and goals that hadbeen defined previously. The rank orders were utilized to assemble theindividual-specific values brochures. During the third week of thecourse, participants completed an in-class, brochure time allocationexercise that involved the four brochures previously described.For the brochure time allocation exercise, participants were asked

to think back to when they were seniors in high school investigatinguniversities to attend and had received four brochures from universi-ties that they had contacted for information. After skimming the fourbrochures, participants were asked to allocate 25 minutes among thefour brochures for the purpose of looking more carefully at the infor-mation sent by each university. Participants were instructed to allocate


greater amounts of time to the brochures that were of more interest.Except for the content of the copy included in the brochures, the fourbrochures were identical in layout. Following the time allocation exer-cise, participants completed several manipulation checks and provideddemographic information. Brochure sequence was also randomized tocontrol for possible order effects.

RESULTS

Given that each participant reviewed all four brochures included inthe study, data were analyzed by a repeated measures analysis ofvariance (ANOVA). The average amount of time allocated to eachbrochure is presented in Table 1. In addition, no order effect wasfound.

DISCUSSION

As stated earlier, the purpose of this phase of the study was todetermine the appropriate ‘‘values’’ to incorporate into the view book.As no statistically significant difference was found between the uni-versity-specific values brochure and the individual-specific valuesbrochure (F = 0.03, df(1,108), p > .10), utilizing a university-widevalues brochure is appropriate for the overall study.

TABLE 1

TYPE OF BROCHURE TIME ALLOCATION*

Attributes 9.03@

University-Specific Values 4.75#

Individual-Specific Values 4.69^

Religious Values 3.71

*Average minutes allocated.@ Attributes brochure significantly different from other 3 brochures.# University-Specific and Religious Values Brochures significantly different at p < .01.^ Individual-Specific and Religious Values Brochures significantly different at p < .05.


The results also provide evidence that the appropriate values havebeen selected for the study as the university-wide values brochure isdistinctive from the attributes and religious values brochures. First, theresults from the repeated measures ANOVA indicated the time allo-cated to the attributes brochure to be significantly different from thereligious values brochure (F = 99.92, df(1,108), p < .0001); the univer-sity-specific values brochure (F = 61.17, df(1,108), p < .0001); and theindividual-specific values brochure (F = 57.51; df(1,108), p < .0001).Second, the results indicate the time allocated to the university-spe-

cific values brochure to be significantly different from the religiousvalues brochure (F = 7.21, df(1,108), p < .01). Similarly, the resultsindicated the time allocated to the religious values brochure to besignificantly different from the individual-specific values brochure (F =5.20, df(1,108), p < .05). In each case, religious values are of leastinterest to this population. This finding indicates that, as expected,highlighting religious values is not appropriate.Based on these findings, three brochures were developed to be

consistent with the means-end hierarchy, an attributes-based brochure,a consequences-based brochure, and a values-based brochure that em-phasized university-specific values.

STUDY TWO: ATTRIBUTES- , CONSEQUENCES-AND VALUES-BASED BROCHURE COMPARISON

Participants in study two were 203 first-semester students in a largenortheastern public university. The subjects were evenly distributedamong gender and within-state, out-of-state students. External validitywas enhanced as these subjects had recently participated in the collegechoice process and as first-semester students, were not yet comprisedby the specific attending institution.In an attempt to examine the hierarchy of effects, the study utilized

three separate brochures: an attribute level brochure that describedfacilities, costs, social activities; a consequences or benefits brochureemphasizing the outcomes of a college education at the specific uni-versity; and, a values brochure which detailed university-specific val-ues. Refer to the appendix for selected excerpts from the three specificbrochures.A time allocation exercise was employed where participants were

asked to think back to when they were seniors in high school investigat-


ing universities to attend. They were then instructed to open the enve-lope in front of them and examine three view books that they hadreceived that day in the mail. These view books, they were told, werefrom schools that they had contacted for information. After skimmingthe three brochures, the participants were asked to allocate 20 minutesamong the three brochures for the purpose of looking more carefully atthe information sent by each university. Students were advised that theycould decide to allocate no time at all to a school. Except for the contentof the copy included in the brochures, the three brochures were identi-cal in layout. Following the time allocation exercise, subjects wereasked on a separate piece of paper to rate the brochures according tohow interested they were in the schools as a result of skimming thebrochures. The rating was accomplished using a 5 point scale, 1 = veryinterested, 5 = not at all interested. They also provided demographicinformation as a part of the second stage of the exercise. Brochuresequence was also randomized to control for possible order effects.

RESULTS

Given that each participant reviewed all three brochures included inthe study, data were analyzed by a repeated measures analysis ofvariance (ANOVA). The average amount of time allocated to eachbrochure and the level of interest in finding out additional informationabout the specific universities are presented in Table 2. In addition, noorder effect was found.Time Allocation. Results from the repeated measures ANOVA indi-

TABLE 2

TYPE OF BROCHURE TIME ALLOCATION* INTEREST LEVEL**

Attributes 8.59 2.33***

Consequences 6.60 2.87***

Values 4.81 3.43

* Average minutes allocated.** Lower interest level numbers indicate higher levels of interest.*** p < .001, all other comparisons significant at p < .0001.


cated the time allocated to the values-based brochure to be signifi-cantly different from the consequences-based brochure (F = 24.62,df(1,202), p < .0001); and the attributes-based brochure (F = 134.05),df(1,202), p < .0001). Results also indicated that the time allocated tothe consequences-based brochure was significantly different from theattributes-based brochure (F = 17.98, df(1,202), p < .0001).As evident from the results, participants are likely to allocate the

greatest amount of time investigating the university described in theattributes-based brochure, followed by the university described in theconsequences-based brochure and lastly, the university described in thevalues-based brochure. Given that the brochures were identical in allaspects except for the copy, these results support the hypothesis. Duringthe pre-purchase evaluation of a service, consumers spend more timeprocessing information consistent with the attribute level of the hierarchy.Interest Level Allocation. Results from the repeated measures

ANOVA indicated the level of interest for the values-based brochureto be significantly different from the consequences-based brochure (F =18.13, df(1,202), p < .0001); and the attributes-based brochure (F =95.50, df(1,202), p < .0001). Results also indicated that the level ofinterest for the consequences-based brochure was significantly differ-ent from the attributes-based brochure (F = 13.01, df(1,202), p < .001).Participants supported their previous answers by indicating levels of

interest for the specific brochures consistent with the time allocations.Participants demonstrated the greatest level of interest for the attributes-based brochure, followed by the consequences-based brochure and thevalues-based brochure. This evidence also supports the claim stated inthe hypothesis. During the pre-purchase evaluation of a service, con-sumers will be more interested in a service offering if the promotionalmaterial emphasizes the attribute level of Gutman’s hierarchy.Additionally, the Pearson correlation coefficients and the associated

probability values support the consistency among the allocations oftime and the levels of interest provided by the participants. Significantcorrelation coefficients, p < .0001, ranged between−0.64 and−0.72.Given that stronger levels of interest were indicated by lower scores,negative correlations were expected.

DISCUSSION

The results of this study support the work of Zeithaml (1988) andGardial et al. (1994). By emphasizing the appropriate level (attributes)


in the means-end hierarchy in pre-purchase promotional material aneducational institution can capture a greater proportion of the prospec-tive student’s attention.Interestingly, these results follow the hierarchy’s stepwise progres-

sion. That attributes are stronger than either consequences or values,and consequences are more effective than values makes intuitive sensefor a credence service such as higher education. Examination of thefactors which constitute the attribute level for the college choice situa-tion (cost, location, number of majors, etc.) are really synonymouswith the concept of ‘‘value.’’ As college costs continue to escalate,finding a school that maximizes the value equation is a logical pointupon which to focus as options are examined.For individuals contemplating enrolling in a university, the relation-

ship between their overall values (e.g., security, world peace) andtaking courses is relatively remote even when the hierarchy is enumer-ated in a brochure. College is seen as a means to a short-term end atthis point in a high school student’s life. Getting a degree and getting ajob is the extent of their reasoning. A recent study by researchers at theUniversity of California reported that students focus on material inter-ests and are disengaged from political, social or wider educationalgoals (Koretz, 1998). Hence, it is not surprising that consequences aremore captivating than values. Perhaps if the population in this studywere the returning student, someone who had been out in the realworld for a period of time the linkage between attributes-conse-quences-values would be more relevant, hence of greater interest.

CONCLUSION

The results of this study provide evidence that an educational staffdesigning promotional materials for a credence service such as a uni-versity can generate greater interest in their offering by utilizing themeans-end hierarchy. Students seek information as a means of assess-ing possibilities. While other sources of information (i.e., word-of-mouth) may play a bigger role in selecting among educational provid-ers, this study indicates that developing promotional material usingmeans-end theory can be an effective way of capturing a prospectivestudent’s attention. The ultimate goal of this exercise: to become a partof the prospective student’s consideration set.An issue of Marketing News (1994) carried a story that described a


consulting firm’s efforts in designing promotional material for univer-sities. In this article the claim was made that by developing brochuresthat emphasized the appropriate values for a targeted population, aninstitution of higher education could attract more students and ulti-mately satisfy them better. The implication of this claim was that byestablishing specific expectations in the promotional material as towhat the university could deliver, the institution would: (1) increaseenrollment; and, (2) manage expectations leading to greater satisfac-tion with the service encounter. This is a logical extension of theoriesof service management. As expectations drive evaluations of services,attempts to control those expectations should lead to more positiveevaluations (Nickels and Wood, 1997). This approach, however, ig-nores more specific findings in the marketing literature regarding thedifferences in the factors that affect the stages of evaluation. If, in fact,individuals use different levels of the mean-end hierarchy to makedecisions versus evaluate the service, then the pre-purchase promo-tional material should not emphasize values. Rather the focus of com-munications during pre-consumption should be on emphasizing attri-butes and not higher levels of the means-end hierarchy.This study demonstrates that emphasizing attributes in promotional

materials is a more effective method of attracting the attention of theprospective college students. Once a university has the attention of aprospective student, it is more likely that the university will become apart of the prospective student’s consideration set. Whether emphasiz-ing values is a more effective way of assessing service satisfaction,however, has yet to be empirically tested and should the subject offuture research. This future research should explore each level of themeans-end hierarchy. The first study should examine (1) at what pointin a student’s collegiate experience is it most fruitful to reinforce thelink between attributes and consequences and (2) what is the bestmeans of doing so. Career services offices on campuses constantlywrestle with this dilemma. A further study should then use means-endtheory to examine when and how to nurture the link between attri-butes, consequences and values, with emphasis placed on the valueslevel. Again, the major research questions should be when to reinforcethe link between attributes, consequences and values and what is thebest way of doing so. If such studies confirm the value of means-endtheory, it will provide institutions of higher education with a founda-tion for developing promotional material and other forms of commu-


nication that will increase their ability to attract and retain students aswell as have highly satisfied graduates. The ability to have effectiveinput into the entire consumption experience should enable institu-tions of higher education to graduate satisfied customers who becomeone of the best sources of public relations, positive word-of-mouth.

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Received: 03/06/00Revised: 09/25/00Accepted: 09/25/00

APPENDIX

Selected excerpts from the three specific brochures.

Attributes-Based BrochureThe University offers an impressive number of majors. On campusyou can choose from more than 800 course offerings in these majordivisions: Arts and Sciences, Business, Engineering, Pharmacy, Nurs-ing and Human Ecology. Within each of these broad academic catego-ries there are a number of areas for specialization.

Consequences-Based BrochureOur alumni are leaders in the fields of science, medicine, law, art,business education, politics and social work. The following are just afew of our alumni whose names you might recognize. . . .

Values-Based BrochureCollege is a time of self-discovery, where you will want to acquire aquality education while developing the confidence to succeed in arapidly changing society. As we learn more about different cultures,we learn more about ourselves.

Using ‘‘Relationship Marketing’’ Theoryto Develop a Training Modelfor Admissions Recruiters

James F. GyureSusan G. Arnold

ABSTRACT. The concept of relationship marketing is a natural for useas a core theory in developing strategies for admissions recruiting andenrollment management. This paper addresses a critical aspect of en-rollment management by providing a conceptual training outline basedon relationship marketing and management principles for admissionsrecruiters and other appropriate enrollment staff. A set of ‘‘AttitudeTools’’ is provided to suggest how various training methods mightbenefit from a consistent underlying theoretical construct. [Article copiesavailable for a fee from The Haworth Document Delivery Service:1-800-342-9678. E-mail address: <[email protected]> Website:<http://www.HaworthPress.com> E 2001 by The Haworth Press, Inc. All rightsreserved.]

KEYWORDS. Relationship marketing, recruitment, training, enroll-ment management

INTRODUCTION

When colleges and universities begin to earnestly apply marketingprinciples and practices, whether in response to crisis or as a genuine

James F. Gyure, BA, MFA, is a PhD Candidate in Mass Communications at ThePennsylvania State University, Assistant Vice President for Enrollment Managementand Director of Admissions, University of Pittsburgh at Johnstown, 157 BlackingtonHall, University of Pittsburgh at Johnstown, Johnstown, PA 15904 (E-mail: [email protected]). Susan G. Arnold, BA, is Assistant Director of Admissions, University ofPittsburgh at Johnstown, 157 Blackington Hall, University of Pittsburgh at Johns-town, Johnstown, PA 15904 (E-mail: [email protected]).




component of strategic thinking, they often focus first on studentrecruitment. That’s no surprise, of course, since enrollment trendsoften provide one of the earliest and most accurate indications of aninstitution’s current and potential health. And most enrollment evalua-tions begin with an assessment of admissions and a call for a moreambitious recruiting campaign. In more sophisticated circumstances,the student recruitment campaign is an integrated part of a holisticenrollment management effort which is supported by an appropriateadministrative structure. To be most effective, an enrollment manage-ment model must combine this administrative coordination with aninstitution-wide proactive attitude toward service.Kotler and Fox suggest that the evolution of such an enrollment

marketing scenario moves through stages--from promotion to marketresearch to positioning to strategic planning and ultimately to enroll-ment management. They point out that the enrollment managementperspective considers student recruitment the beginning of a student’srelationship with an institution, a relationship that extends through thestudent’s entire enrollment experience (1995). It is this perspectivethat can serve as the cornerstone of a plan which seeks to recruit notonly freshmen but alumni-to-be.Colleges and universities have increasingly embraced, at least

theoretically, this concept of enrollment management. There are nowvice presidents, deans and directors of enrollment management, com-mittees, task forces, and teams, divisions and departments. In manycases, enrollment management functions are part of an academic af-fairs division. In some cases the responsibility for enrollment servicesis assumed by student affairs administrators. More and more, enroll-ment management is an administrative area unto itself, in the bestcases an integration of academic affairs, student affairs and marketing.The acceptance of enrollment management is confirmed by both theformalization of its place in college administration, and the frequencywith which recruiting and enrollment consulting services are used byinstitutions struggling to reach target enrollments. Of course, it’s alsotrue the principles are sometimes embraced more than the practice.Marketers and enrollment managers have discovered that a limitedunderstanding of the practical requirements of enrollment manage-ment, together with institutional turf protection and compartmentaliza-tion can be serious obstacles to a successful implementation of thisphilosophy of collaboration.

James F. Gyure and Susan G. Arnold 37

In either case, whether or not appropriate institutional structure is inplace, the enrollment experience begins with recruitment and admis-sions, and recruiters must have an accurate working knowledge ofenrollment management that they can integrate into their standardrecruiting activities. Given the importance of admissions recruitmentin this context, it is ironic that the first contacts with prospectivestudents and their families are often made by the admissions counsel-ors who may have little or no training regarding the ‘‘big picture’’impact of enrollment management, are often just recent graduatesthemselves, and populate a professional area in which significant turn-over is common. This paper suggests that the relationship marketingprinciples that provide the conceptual and practical underpinnings forenrollment management can also provide the basis of a training modelfor new admissions recruiters.

THE REAL LIFE SCENARIO

In 1995 an especially challenging situation occurred in the Office ofAdmissions at the University of Pittsburgh at Johnstown, a degree-granting undergraduate regional college in the University of Pitts-burgh system. The situation had the potential to be either a temporarilytroublesome administrative arrangement, or a problem that could havea negative impact on the admissions effort, or a distinctive enrollmentmarketing opportunity.As part of an institutional reorganization, the Offices of Admis-

sions, Financial Aid and the Registrar were administratively aligned asan Enrollment Management Group under the coordinating oversightof the Director of Admissions, who retained the Admissions Direc-tor’s role while assuming new responsibilities as Assistant Vice Presi-dent for Enrollment Management. At the very same time, due to unex-pected and unrelated developments (relocations due to marriage,maternity, and change of profession), the Admissions Office lost theservices of an experienced Assistant Director, two effective Admis-sions Counselors and an experienced administrative secretary. Theprofessional staff, other than the director, was reduced to one counsel-or with less than two years experience. The Director made the decisionto hire three new entry-level counselors, hired them as a team withdifferent but complementary skills, and sought to train them as rela-


tionship-management-oriented recruiters with a nuts-and-bolts under-standing of enrollment management.After more than four years, two of the original three counselors

remain, now as accomplished Assistant Directors. The college hasenjoyed record number of applications in four of the last five admis-sions cycles. Retention rates have been maintained or improved. The‘‘quality profile’’ of the freshmen class has been maintained, andperhaps most importantly, all members of the admissions professionalstaff now have some level of involvement in enrollment managementefforts. These activities include substantive involvement with a multi-service freshman year experience program that coordinates interactionwith Student Affairs staff, the Registrar’s Office, Financial Aid, theLearning Resource Center, and Academic Advising. Among otheractivities that extend traditional recruiting duties, staff members alsoserve as instructors in a non-credit/required freshman orientationclass, and coordinate the recruitment, selection and training of volun-teer student tour guides, again emphasizing relationship management.The relationship-management training outline for new admissions

recruiters was developed during this period.

DEFINITIONS

For these purposes, we use a definition of relationship marketingthat is applicable to a wide range of products and services, a basictextbook definition.

Relationship marketing involves creating, maintaining, and en-hancing strong relationships with customers and other stakehold-ers. Increasingly, marketing is moving away from a focus onindividual transactions and toward a focus on building value-lad-en relationships and value delivery networks. Relationship mar-keting is oriented more toward the long term. The goal is todeliver long-term value . . . and the measure of success is long-term customer satisfaction. Relationship marketing requires thatall of the company’s departments work together as a team . . .building relationships at many levels. . . . (Kotler and Armstrong1996)

The parallels between relationship marketing and enrollment man-agement are striking. ‘‘Enrollment management . . . influences the


size, the shape, and the characteristics of a student body by directinginstitutional efforts in marketing, recruitment, and admissions as wellas pricing and financial aid . . . It is not simply an administrativeprocess. Enrollment management involves the entire campus (Hossler1984). Hossler also notes that ‘‘Enrollment management . . . is morethan attracting matriculants. It also includes efforts to retain studentsonce they arrive on campus. Perhaps the most important role thatenrollment managers play is assisting students as they select the col-lege that best fits their needs and interest’’ (1984).Interestingly, there is also a parallel between the efforts of market-

ers to establish relationship marketing in broader profit sector market-ing activities and the efforts of enrollment managers to establish astronger service orientation among the many departments and func-tions that make up a college or university. Vavra urges a change inmarketing mentality from completing a sale to beginning a relation-ship, from closing a deal to building loyalty. He acknowledges that theobstacle is the focus on conquest--winning new customers to one’sbrand or service rather than a combination of new customers andcustomer retention (1995).

APPLICATION

The application of relationship marketing principles and techniquesoffers a blend of concepts that can be used as the base for a trainingmodel for new admissions recruiters.Enrollment management--with its emphasis on cross-functionality, a

coordinated institutional image and message, and an integrated serviceorientation--can be a difficult organizational concept to grasp for new,and typically inexperienced, recruiters. But in the best instances, en-rollment management is valuable precisely because it combines verycareful administrative planning and extensive people contact. Enroll-ment management is about attitude as much as statistics. And relation-ship marketing offers an emphasis on the people part of enrollmentmanagement. It is often the aspect of enrollment management that newrecruiters can understand early in their professional experience.The following attitude tools address primarily the recruitment and

enrollment of undergraduate students, although many of the ap-proaches can apply to aspects of graduate program recruitment. Theyare provided as an outline of a conceptual underpinning for training.


The specific delivery methods--training manuals, staff meetings, plan-ning sessions, brainstorming sessions, videotaping and veteran staffmentors--can all make use of these concepts as the individual institu-tional situations dictates. Their purpose is not to ‘‘discover the wheel’’of training programs, but to suggest how various training methodsmight benefit from a consistent underlying theoretical construct.

SEVEN ATTITUDE TOOLS + ONE

1. Begin with the Service Concept. The Admissions Office as anorganizational unit must develop a strong, clear focus on service, sothat new recruiters will be able to see service in action. Admissionsstaff must use the word service. They must use it often, and make itokay to use it. Some college faculty and administrators fear that afocus on service invites today’s consumer-oriented students and theirfamilies to be overly demanding of an institution. Others worry that aservice attitude conflicts with the rigors and demands of a challengingacademic environment.In the relationship-marketing focus of admissions recruiting, how-

ever, service is not about meeting demands so much as it is aboutanticipating needs. Consumerism aside, in the dynamics of the deci-sion process, the majority of students and their families do experiencevarying degrees of apprehension about college selection. Recruiterswho are alert to ‘‘points of service contact’’ can help alleviate anxietyby providing accurate information and meaningful counsel, therebyestablishing the early phase of an enrollment relationship.In the same vein, avoid an elitist approach to admissions. Elitism in

admissions has little to do with selectivity. The admissions process at ahighly selective institution can have a stronger service orientation thana dismissive or bureaucratic process at an open-admission institution.It’s a matter of attitude. Consistent, persuasive recruitment and anappropriate admission decision are the essential first steps of the‘‘management’’ part of enrollment management.Note: In a long-term perspective, new recruiters effectively trained

in a service orientation are more likely to explore, on their own,problem-solving service connections with other offices (FinancialAid, the Business Office, Residence Life, etc.), thereby contributing tothe collaborative environment necessary for effective enrollment man-agement.


2. Use the Service Focus to Introduce Relevant Marketing Concepts.Very few new admissions recruiters are likely to come from undergrad-uate business programs, and even then may have a limited understand-ing of marketing as applied to the non-profit sector. If they have hadexposure to marketing concepts, it may have been as a corollary toother disciplines, such as communications, public relations, or psychol-ogy. Too often, new admissions recruiters have the same perception asother members of the higher education community, that marketing ispromotion, that it’s advertising and sales. To the extent that a serviceorientation can be applied to many different individuals, it can be usedas an effective introduction to the relevant marketing concepts for eventhose new recruiters who have little exposure to marketing.This is especially true with the new concept of student-to-institution

match. New recruiters focusing on generating awareness of their insti-tution at college fairs and polishing techniques of persuasion duringadmission interviews may feel less pressure to take the long view ofenrollment management. Training them to recognize the ‘‘variables ofa good match’’ allows them to continue developing solid recruitingskills while learning one of the key marketing principles they’ll use inrelationship marketing. And relationship management may be the bestgateway concept to their eventual understanding of marketing theoriesand enrollment management.As part of this effort, introduce them to the competition. It’s not

surprising that, with the exception of some obvious examples, newrecruiters can be very unfamiliar with a college’s competition. Anappreciation of competition profile will help them understand thatrelationships don’t exist in a vacuum, and will contribute to a deeperunderstanding of the factors involved in the college choice dynamic.3. Use the Metaphors of Relationship Management. Just as effective

public speakers use stories and anecdotes to make a speech more inter-esting, or to create an affinity with an audience, metaphors can illustratea difficult or complex theory. Beckwith reminds us that effective meta-phors can simplify complex concepts, and in doing so make them morecompelling (1997). New recruiters struggling to grasp a variety ofconcepts, while dealing with what is often a sense of departmentalurgency, may find that good and appropriate metaphors supply a valu-able grounding in reality.Even as the theory of relationship marketing and management has


expanded, one of the most effective metaphors to use in discussing thesubject remains Theodore Levitt’s courtship and marriage metaphor inhis seminal essay, ‘‘Relationship Management.’’ ‘‘The natural tenden-cy of relationships, whether in marriage or in business, is entropy--theerosion or deterioration of sensitivity and attentiveness. A healthyrelationship maintains, and preferably expands, the equity and thepossibilities that were created during courtship. A healthy relationshiprequires a conscious and constant fight against the forces of entropy’’(Levitt, 1986). Echoes of Levitt’s examples are found frequently inwritings about marketing, including Vavra on ‘‘Aftermarketing’’(1995), and Beckwith on ‘‘relationship accounting’’ (1997).The use of the marriage metaphor is especially valuable in two

specific applications. First, it reinforces the insight that college choice,like other consumer choices and especially those that involve a signifi-cant price, is a matter of expectations. Levitt makes the critical pointthat people buy expectations, not things, and they buy, in particular,the expectation of the benefits. The more complex the ‘‘system’’ beingpurchased, and the longer it takes to benefit from the system, thegreater the anxiety and expectation (1986).This is an excellent point to reiterate strongly in recruitment train-

ing. It emphasizes the need to make only promises that can be kept,and discourage claims that are inaccurate or unrealistic. It calls therecruiter’s attention back to the student-to-institution match, and rein-forces the long-term view required of recruiting in an enrollmentmanagement model. It also provides a relevant metaphor for generaldiscussions of retention and attrition, and specifically about the impactof unfulfilled expectations on retention and institutional image. Acollege education after all, is an extremely complex ‘‘system’’ whichcan take a long time to produce measurable benefits.A second application is the detail of the metaphor itself. Today’s

new recruiters may find the comparison appallingly ‘‘corny,’’ but itprovides an attention-getting illustration nonetheless. In short, the en-rollment experience for which recruiters are seeking students can bedrawn as a parallel to the steps of a healthy marital relationship.

Recruitment = The Courtship

Matriculation and Enrollment = The Ceremony


Retention and Satisfaction through Graduation = The Long-Term Relationship

Alumni Satisfaction = Happy Anniversaries

Anyone who has had a personal relationship--even skeptical and hiprecruiters--can appreciate how real life relationships are so much moredifficult than simple chart can convey. But it’s precisely that recogni-tion which helps underscore the importance of the recruiting phase in arelationship-marketing model of enrollment management.4. Apply Information Principles and New Technologies to Rela-

tionship Marketing. Personal contacts aren’t always face-to-face. Intraining sessions it’s important to fully emphasize the variety ofcontacts that make up the recruitment process--direct mail, personalcorrespondence, e-mail messages, telephone conversations, as wellas discussions in person--and how they impact on the first steps on thestudent’s relationship with the institution. Dealing with the variety ofcontacts involved is both a serious and subtle matter. The technologi-cal achievements that have radically changed the way in which wedeal with one another have also introduced an almost overwhelmingarray of relationships into daily life (Gergen, 1991). Yet, in this arrayof long-distance relationships, the one feature that may be most im-portant is the sense of connection (Beckwith, 2000). Therefore, it’sequally vital to constantly emphasize that the admissions informa-tion-exchange is a two-way street. The information the student pro-vides helps fill in the detail of how they hope to fit the institutionthey’re looking for. The information the institution provides shouldhelp illustrate how the student-institution match would look. Thisexchange should begin to build the relationship, clarify expectations,and reduce anxiety. It should make the decision easier, not moredifficult. Beckwith describes howmarketers might spend half of theirtime in a direct mail project on designing the reply form alone. Heurges marketers to put more attention on the buying than the selling,to avoid making a purchase decision too complicated (especiallywhen the buyer has already decided to buy), to aim to make a serviceeasy to buy (1997).In short, good recruitment requires effective communication. And

effective communication is generally clear communication. New re-cruiters should be trained to keep the focus on the prospective studentand family, not on themselves. They can be helpful, articulate, and


insightful. But they are facilitators who are enabling the student andfamily to clearly see the fit between the individual and the institution,assuming there is one. Pressure recruiting can lead to short-term suc-cess and long-term dissatisfaction.This obvious, basic principle--effective communication is necessary

for a healthy relationship--becomes even more critical as electroniccommunication and the Internet play greater roles in college selectionand admissions. Today’s students are obviously ‘‘wired,’’ and collegesand universities are already feeling the influence of rapid electronicresponse, sophisticated Web sites and online activity across the nation.As access to both computers and the Internet becomes nearly universalamong college-bound students, overcoming previously significant bar-riers of race and income, college web sites are now a major factor inboth the decision to apply and the decision to attend (Arts & ScienceGroup, 2000). It has also become obvious that colleges must increasetheir usage of e-mail as a marketing tool to remain competitive withinstitutions utilizing electronic communication (Muntz, 2000).As college-bound-students who are members of the Net-Generation

turn to the Internet, they are looking to do more than surf and browse.They are looking for the exchanges and deeper impressions that char-acterize a relationship between individual and institution. ‘‘As thewave of N-Geners begins to come of age, relationship marketing willtake on new significance . . . N-Geners don’t want to be treated assales, they want to be treated as individuals--that is, as customers orpeople. New-economy marketers look at the relationship, not the saleor deal’’ (Tapscott, 1998).The ease of online inquiry and application may inflate an institu-

tion’s statistics enough to suggest an application trend early in a cyclethat may not translate to actual enrollment at the end of the cycle.Many new recruiters may actually be better able to understand thiscontemporary aspect of detached ease that the Internet has brought tothe recruiting process, and may have valuable suggestions for adaptingto it. In any event, colleges and universities must evaluate both thepositive and negative impact of this new communication on relation-ship building, and should incorporate it appropriately into recruitingtraining.5. Empower New Recruiters. Admissions recruiters are front-line

employees. In some recruiting contexts, they are as front-line as the


institution can get. They must possess the appropriate power to influ-ence college choice decisions, but they need to be trained to use thatpower well and correctly. Despite the growing sophistication of mar-keting efforts and the analysis of enrollment dynamics, many newrecruiters still face a traditional set of duties, including a heavy dose ofrecruiting travel, interviews, reception programs, telephone calls, andsimilar tasks. Such duties, for the most part, remain essential, and thisis not to suggest that they can be removed from a recruiter’s range ofactivities. However, a relationship management model suggests thatnew recruiters should be able to do something different (and more)with the position, and should accommodate a new definition of re-cruiting in today’s competitive environment.First, begin with a definition of admissions recruiter as relationship

manager than salesperson for the college. In the context we havedescribed, the recruiter seeks to manage the early phase of the rela-tionship between the prospective student (and family) and the institu-tion (not the recruiter). The recruiter appreciates the long-term view ofenrollment management, and understands that prospective studentsshould not choose to attend a particular college simply because theylike the recruiter, or respond to pressure, but rather because the recruit-er demonstrates the right fit in a persuasive manner. The persuasion isthere, but it wouldn’t work unless the fit was there first. This is a morebeneficial approach than the quick pitch, pressure approach to short-term sales techniques.Thirdly, give them a chance to do something beside recruit new

students. Find ways in which they can be involved with current stu-dents as well as prospective students. Some involvement with thecurrent student body allows them to begin to see the crucial value ofdata and information about current students’ satisfaction with theschool. The growth of freshman year experience programs offers anexcellent opportunity to sustain continuity between the relationshipwith prospects and the relationship with those same individuals, nowbecome current students. Or involve them with volunteers, such ascampus tour guides, who may provide them with opinions, percep-tions, and information that can help shape both their understanding ofwhat makes students happy, what makes retention work, and how suchinformation can be used to build new relationships.Taken together, these steps--roles as relationship managers, an


introduction to customer information, and involvement with currentstudents--help empower new recruiters to not only be more effectiverecruiters, but to contribute to enrollment management objectives.6. Encourage Enthusiasm and Be Enthusiastic About It. This atti-

tude tool may have a shorter description than others, but it has as muchimpact as any of them.None of the components of relationship marketing will have maxi-

mum impact if they are not implemented with enthusiasm. New re-cruiters should be encouraged to display a sincere enthusiasm andgood spirit about the institution and its points of excellence. Beckwithpoints out the importance of passion in relationships, especially apassionate commitment to doing better, a passion that can attract andkeep clients (2000). Honesty is a significant part of relationship mar-keting, not only in terms of supplying accurate detail, but in terms ofsincerity as well. A contrived relationship is potentially as dangerousas the use of misinformation to pressure a commitment. On the otherhand, creativity is as important as honesty, not in the sense of beingcreative with the truth, but in regard to presenting a true picture in acreative way. And a sense of humor is essential to all aspects. For thenew recruiter, a relevant summation might include a reminder of Le-vitt’s relationship metaphor. After all, just about any healthy relation-ship will require honesty, creativity and a sense of humor.7. Encourage, Demand and Facilitate Continuous Learning. Facili-

tating continuous learning involves more than a willingness to fundstaff attendance at annual conferences or the occasional workshop, orproviding encouragement about graduate study. That is important, ofcourse, but this approach requires a consistent reinforcement withinthe admissions office of the idea that learning is part of the job, and anecessity to be both current and effective.It also requires a creative approach to cross-functional learning. For

example, illustrations should not be limited to examples from admis-sions, higher education in general, or the non-profit sector. There is agrowing body of information and data about recruiting strategies andenrollment management, but not nearly enough, and much of whatpractitioners know remains in the domain of consultants and confer-ences.Ideas and lessons about improving the impact of campus visits,

managing the use of currently enrolled students and alumni, and react-


ing to the data in an admissions database can be learned from thehospitality industry and a range of service areas. For example, at-tempts to improve customers’ and clients’ site visits in the businesssector may suggest adjustments for the traditional campus visit andadmissions interview. The experience of contemporary health careinstitutions can offer transferable ideas about team-building andchange management. Marketing literature, of course, provides manyexcellent theories, examples, stories, and metaphors that can assistnew recruiters in coming to understand relationship marketing whilethey sharpen specific techniques. There are many excellent resourcesfor developing creativity in individuals and among team members ofteams. And considering the importance of effective communication inrelationship management, there is a very real need to use instructionalmaterials in writing, speaking and using electronic media.Using relationship management as the base concept for admissions

and enrollment management requires new recruiters to grasp theoriesand applications they may not otherwise explore. Instilling an attitudeof continuous learning does more than teach them some new ideas. Ithelps them determine how to make the strategic adjustments a compet-itive environment requires, and to develop the approach to innovationthey will need as they progress in the profession.Plus One. Relationship management begins ‘‘inside’’ the college or

university itself, just as enrollment management must reflect the prior-ities and objectives of the entire institution, not just the admissionsfunction. For the relationship between the student and the institution towork, it must be based on the institution’s strategic vision. And for therelationship marketing to work, there must be a functional tie-in to thepractical implementation of the vision.This is what new recruiters must be able to sense, even if they don’t

yet understand strategic planning, vision statements or conversionratios. To facilitate a sincere and enthusiastic relationship betweenstudent and institution, they need to know that there is a horizon that isbroader than next year’s target freshman class. Using the concepts ofrelationship marketing in their training program can help them seewhat they do as a continuum, with farther-reaching impact than oneadmissions cycle. It will help them to know that the finish line theymust cross each year is part of a more expansive institutional effort.


IMPLICATIONS

New admissions recruiters must be trained. They are key front-lineemployees who represent the institution in many of the first contactsprospective students and their families have with a particular collegeor university. In an enrollment management model, admissions strate-gies emphasize the recruitment of alumni-to-be, not just freshmenstudents, and view recruitment as the first step of retention. The con-cept of relationship marketing closely parallels the enrollment man-agement approach, and as such, provides an excellent set of theoriesand applications to use in training new admissions recruiters in anenrollment management structure.Today’s digital generation requires a special type of relationship

marketing, with personalized messages, services customized to theirexpectations, and rapid-response communication. A relationship mar-keting strategy can provide the underpinnings for this type of ‘‘masscustomization’’ in admissions recruitment, and today’s new admissionsstaff, frequently members of the digital generation themselves, can beeffective implementers of relationship marketing in a digital age.Relationship marketing focuses on the long-range impact of recruit-

ment, and its correlation to retention, rather on short-term pressurepersuasion techniques. It requires patience on the part of the admis-sions director, especially in times of high recruitment demands, butcan be a solid investment in stabilizing enrollment trends.

REFERENCES

Beckwith, Harry (1997), Selling the Invisible, A Field Guide to Modern Marketing.New York: Warner Books.

Beckwith, Harry (2000), The Invisible Touch, The Four Keys to Modern Marketing.New York: Warner Books.

Gergen, Kenneth J. (1991), The Saturated Self, Dilemmas of Identity in Contempo-rary Life. New York: Basic Books.

Hossler, Don (1984), Enrollment Management, An Integrated Approach. New York:College Entrance Examination Board.

Kotler, Philip and Gary Armstrong (1996), Principles of Marketing, 7th Edition. NewJersey: Prentice Hall.


Kotler, Philip and Karen Fox (1995), Strategic Marketing for Educational Institu-tions, 2nd Edition. New Jersey: Prentice Hall.

Levitt, Theodore (1986), The Marketing Imagination. New York: The Free Press.Muntz, P. (2000), ‘‘Reaching Prospective Students Electronically,’’ NACAC Bulletin,

38:6, 16-17.studentPOLL, (2000). Arts & Science Group, sponsored by Embark.Com. 4:1, 1-10.Vavra, Terry G. (1996), Aftermarketing, How to Keep Customers for Life Through

Relationship Marketing. New York: McGraw Hill.

Received: 8/27/00Accepted: 9/25/00

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The Expected Monetary Value of a Student:A Model and Example

Ronald HoverstadRay SylvesterKevin E. Voss

ABSTRACT. The authors introduce a model for estimating the amountof revenue a typical student will bring to an institution of higher educa-tion. The model uses event history analysis to analyze the length of timetypical student will remain enrolled, accounting for the possibilities thatthe student will drop out, be disqualified by the university, graduate‘‘on time,’’ or even take more time than the traditional eight semestersto complete a degree program. Once the pattern of enrollment has beenestimated, it is a relatively simple matter to estimate the revenue impactof a student during a specific semester by multiplying the per-semestertuition rates by the probability that a student will be enrolled thatsemester. Finally, the discounted present value of the individual semes-ter revenues provides an estimate of a student’s revenue impact over thelife of his or her academic career. [Article copies available for a fee from TheHaworth Document Delivery Service: 1-800-342-9678. E-mail address:<[email protected]> Website: <http://www.HaworthPress.com>E 2001 by The Haworth Press, Inc. All rights reserved.]

KEYWORDS. Monetary value of a student, survival analysis, event his-tory analysis, survival rate, hazard rate, censored cases, student retention

Ronald Hoverstad, PhD, is Associate Professor of Marketing, University of thePacific. He can be reached at the Eberhardt School of Business, University of thePacific, 3601 Pacific Avenue, Stockton, CA 95211. Ray Sylvester, PhD, is Professorof Marketing and Associate Dean, University of the Pacific. He can be reached at theEberhardt School of Business, University of the Pacific, 3601 Pacific Avenue, Stock-ton, CA 95211. Kevin E. Voss, PhD, is Assistant Professor of Marketing, OklahomaState University. He can be reached at the College of Business Administration,Oklahoma State University, Department of Marketing, 312A Business Building,Stillwater, OK 74078.

Address correspondence to: Ronald Hoverstad, Eberhardt School of Business,University of the Pacific, 3601 Pacific Avenue, Stockton, CA 95211 (E-mail: [email protected]).




What is the total dollar ‘‘value’’ of a student enrolled at your univer-sity? This can be a difficult question to answer. In a perfect world, wecould determine the difference between tuition a student pays and thecost of educating that student, and multiply that difference by thenumber of terms the student enrolls, and we would know what level ofsurplus (or deficit) we are running. However, not all students will stayat a university to complete their degree, in fact some may leave afteronly a semester or two. Some other students will take more than fouryears to complete their degree, and then may stay on for graduateschool. Finally, one must account for the fact that not all tuition reve-nue is received at once, so we must discount future tuition payments totheir present value. Therefore, the contribution of each individualstudent to the university’s budget is somewhat more complicated todetermine that it would seem at first glance.The purpose of this paper is to develop a model to determine the

expected monetary value of a student, and demonstrate the use of themodel. The first part of this paper summarizes relevant literature onthe subject from the field of marketing. Next, we describe the modelwe propose, and finally we demonstrate use of the model.

BACKGROUND

Voss (1998) has developed a procedure for estimating the lifetimevalue of a customer (EVOC). Three pieces of information are criticalin Voss’ model. The first is the length of time the organization canexpect to retain the customer. That is, over his or her lifetime, howlong will a customer return to buy the product you are selling? Thesecond piece of information needed is the amount of product pur-chased at a time. We must know not only how long someone remains acustomer, but also how much product they buy on each purchaseoccasion. Finally, one must know the frequency of purchase. That is,how often does the customer purchase product?In short, the three pieces of information tell us how much product a

customer purchases at a time, how often he or she returns to makepurchases, and how long he or she will continue to return and makemore purchases. Therefore, the three pieces of information allow us tobuild a model of a customer’s purchase activities, or his or her revenuestream. Normally, estimating a revenue stream from a customer can bequite complicated. The researcher needs to estimate not only the

Hoverstad, Sylvester, and Voss 53

length of time a customer will remain with a company, but also thefrequency of purchase and the volume purchased on each purchaseoccasion. That is, heavy users will purchase the product more fre-quently and purchase more product at a time than a light user.In higher education, the estimate of the repurchase rate is greatly

simplified. First of all, in a higher education context one might expecta student to return to ‘‘purchase the product’’ for eight semesters (ortwelve quarters) until he or she graduates. However, as noted above,the assumptions that all students will complete their degrees, or useexactly eight semesters to do so, are tenuous at best. Nevertheless, thehow long question is more easily answered in higher education than inthe consumer products market.Second, student tuition payments correspond to the academic calen-

dar; payments are charged by the academic term. This simplifies thehow often estimate. Finally, for most students, tuition is closely relatedto the academic load taken. That is, a student enrolled full-time forfour years will take the same number of credit hours to earn a degreeas another student enrolled half-time for eight years. As a result, thehow much question is simplified, since rates of consumption (numberof credit hours required to earn a degree) do not vary significantly inthe higher education market when compared to purchases in othermarkets.Once we have these three key pieces of information, we can build a

model representing the inflow of revenue to the university. For pur-poses of our example, we assume that tuition $9000 per semester.State supported universities will need to modify our model to includerevenues received from state sources on a per-student basis.

ESTIMATING THE CUSTOMER LIFELINE

The customer’s lifeline within an organization can be estimatedusing event history analysis, also known as survival analysis. Survivalanalysis refers to a family of statistical techniques originally devel-oped in the biomedical sciences to track the life expectancies of pa-tients with life-threatening diseases, hence, the name survival analysis.However, the technique can be generalized to model the rate of de-crease in a system. For example, survival analysis has been used tomodel several different phenomena; employee turnover in human re-sources (Peters and Sheridan 1988), sales force turnover (Moncrief,


Hoverstad and Lucas 1989), the effect of promotional activities onrevenue (Gupta 1988), and customer attrition rates (Dwyer 1989).Voss’ model uses survival analysis to plot the rate of customer attri-tion, i.e., to develop a customer lifetime. In the current example, weview students as the customers.Key concepts in survival analysis include the survival rate, the

half-life, and the hazard rate. The survival rate is the number (orpercentage) of cases that survive to a particular point in time. Forexample, one might find that ninety percent of all newly enrolledstudents survive into the second semester, for a survival rate of ninetypercent. Note that at some point, the survival rate will be zero, that is,all cases will eventually terminate. In our example, that means that allenrolled students will eventually leave the university, whether theygraduate, drop out, flunk out, or leave for other reasons. Therefore, thekey in understanding the distribution of survival rates over a specifiedtime period is not understanding which cases will terminate (all even-tually will), but in understanding when cases will terminate and why.Survival rates can be plotted over time to show the survival curve, seeFigure 1. Figure 1 is based on the data contained in Table 1, discussedbelow.

Determining When Cases Terminate

A plot of the survival curve provides a visual description of thesurvival distribution. An alternative to examining the survival curve isto summarize a group’s survival experience by estimating the time ittakes for a given percentage of a group to terminate. Some researcherscommonly speak of a ‘‘half-life,’’ or the time it takes for half of thecases to terminate. If an institution finds that half of its entering stu-dents leave after two academic years, its half-life would be four se-mesters. For some institutions, the half-life of entering freshmen stu-dents may be as high as seven or eight semesters, for some as low asthree or four. In Figure 1 note that the half-life occurs during theeighth semester, when the survival rate drops from 73.6 percent to26.3 percent of the original enrollees.The survival rate and the half-life are both dependent on the hazard

rate. The hazard rate is the conditional probability that a case willterminate in a specific time period given that they have survived to thebeginning of that time period. Hazard rates will vary from time periodto time period throughout the study. High hazard rates early in the


FIGURE 1. Survival Curve (Plot of Survival Rates)

Survival Rate

Semester

survival curve will yield a steeply sloping survival curve. That is, highrates of attrition in early time periods mean there are fewer survivorslater on. Low hazard rates yield a relatively flat survival curve. Hazardrates can be plotted in a manner similar to plotting the survival curve,as in Figure 2.Note that the hazard rate is fairly low and stable until semester

eight, when it rises dramatically. Figures 1 and 2 are consistent in thatboth show a trend of fairly low numbers of terminations (i.e., highsurvival rates and low hazard rates) until the eighth semester. Largenumbers of students in this data set persist until they graduate, andmany of them are able to graduate in four year’s time.


TABLE 1. Life Table for Freshman Admissions to Business School--Fall, 1993to Fall, 1999

Students No. of No. No. of Proportion Proportion Survival HazardSemester Entering Censored Exposed to Terminal Terminating Surviving Rate Rate

Semester Events Risk (rI) Events (qi = ti/ri ) (pi = 1 -- (SI = p1x (HRi =(ni) (wi) (ti) (qi ) p2x . . . xpi ) (2 x qi )

(1+ pI )

1 508 508 16 0.0315 0.9685 0.9685 0.03202 492 492 42 0.0854 0.9146 0.8858 0.08923 450 93 403.5 14 0.0347 0.9653 0.8551 0.03534 436 1 435.5 17 0.0390 0.9610 0.8217 0.03985 326 70 291 12 0.0412 0.9587 0.7878 0.04216 313 313 4 0.0128 0.9872 0.7778 0.01297 239 29 224.5 12 0.0534 0.9465 0.7362 0.05498 198 1 197.5 127 0.6430 0.3570 0.2628 0.94779 70 14 63 31 0.4921 0.5079 0.1334 0.652610 25 1 24.5 15 0.6122 0.3878 0.0518 0.882411 9 9 5 0.5556 0.4444 0.0230 0.769212 4 1 3.5 2 0.5714 0.4286 0.0099 0.800013 1 1 1 1.0 0 0 1.0

Determining Why Cases Terminate

The hazard rate, survival curve and half-life all provide valuableinformation on when cases will terminate. Using survival analysis, wecan also investigate which factors affect the hazard rate, and therefore,the shape of the survival curve. In the traditional medical applicationsof survival analysis, the technique is used to evaluate the effect ofdifferent treatment factors and individual factors on the length ofsurvival of patients. In a higher education context, we can investigatethe effect of different background factors on the survival of students tograduation. For example, we can find out what difference such factorsas high school GPA, SAT score, grades in lower division classes, etc.,have on the likelihood a student will survive until graduation from theinstitution.

Life Table

Table 1 shows the life table for students admitted to the businessschool at a medium sized private university in the West from Fall,1993 through Fall, 1999. The life table includes many importantpieces of information. The first column simply contains the number ofsemesters a student remains at the university after enrolling. The sec-ond column contains the number of students who remain enrolled at


FIGURE 2. Hazard Rates

Hazard Rate

Semester

the beginning of the ith semester (ni). Of the 508 students who initiallyenrolled (semester one), 492 remained for a second semester, 450 for athird, and so on.The third column shows the number of ‘‘censored events,’’ that is,

the number of students still enrolled in the ith semester. The number ofcensored events is denoted by wi. There are two types of censoredevents in these data. The first example is the 14 censored events insemester nine. These censored events represent students who haveenrolled in a ninth semester, and have not yet left the university. Notethat these are students who remain enrolled past the ‘‘normal,’’ orexpected length of time (eight semesters) it takes to complete a degree.Some students continue for as many as 13 semesters in this data set.The second type of censored event is represented by the several

censored cases in semesters three through eight. These are students


who have been enrolled in fewer than the number of semesters it takesto complete their degree program. Because these students have not yetgraduated, we don’t know how long they will eventually remain at theuniversity. But, we do know they have persisted in their enrollments toa certain point. So, the 93 censored events in semester three representstudents in their sophomore year (the Fall 1999 admits). They may notall persist to graduation, but we know the duration of their enrollmentis at least into the third semester.Including censored cases in the model permits the analysis of all

data at hand. Even though the entire length of each student’s futureenrollment is not known, the length of their enrollment is known to acertain point in time. To delete censored cases would be to disregardimportant information from the analysis, and could lead to erroneousresults.In our model, censored cases are assumed to last until at least the

midpoint of the current period (this is the standard assumption in eventhistory analysis). In the analysis, one-half of the censored cases arewithdrawn during the period. The number of cases exposed to risk oftermination in the ith semester (ri), shown in the fourth column, is thenthe number of students entering the ith semester minus one-half thenumber of censored cases in the ith semester.The number of terminal events in the ith semester (ti) in column five

is simply the number of students leaving in the ith period, for anyreason. Some drop out, some are disqualified by the university, somegraduate. The number of terminal events divided by the number ofcases exposed to risk gives the proportion terminating (qi = ti/ri) dur-ing each semester in column six. Subtracting the proportion terminat-ing from one gives us the proportion of surviving cases (pi = 1− qi)for each semester in column seven.The survival rate for a given period (Si = p1 X p2 X . . . X pi) is

shown in column eight. It is the product of the proportion surviving forall the previous periods. Finally, the hazard rate is the conditionalprobability of termination in the ith period given that the student hassurvived to the beginning of the ith period, estimated at the midpoint ofthe semester. The formula is then the probability of leaving in the ithsemester divided by the probability of surviving to the midpoint of theith semester ([1 + pi]/2). Therefore, HRi = (2× qi)/(1 + pi).Note in Table 1 that the group of students in this sample has rela-

tively high survival rates and low hazard rates through the first several


semesters of enrollment. Then, in the eighth and ninth semesters, thesurvival rate drops significantly and the hazard rate is very high. Therelatively high survival rates and low hazard rates in early semestersreflect a relatively high retention rate of students. That is, relativelyfew students leave the university (drop out or flunk out) in earlysemesters. The large decrease in the survival rate and increase in thehazard rate in semester eight reflects a number of students leaving theuniversity upon completion of their academic program (graduation).Note also that some students extend their stay beyond eight semes-

ters. Some students take more than eight semesters to complete theirdegree requirements. Others remain enrolled in graduate programs.These students are represented by cases in semesters nine throughthirteen in Table 1.

FINAL CALCULATIONS OF EXPECTEDVALUE PER STUDENT

Once we know the survival rates and the revenue per student persemester, we can calculate the expected value per student, as shown inTable 2. The first column of Table 2 shows semesters from the time ofa student’s initial enrollment. Column two shows the survival ratefrom the previous semester. Note that the survival rate is lagged onesemester, because the number of students available to enroll in semes-ter two is the number who survive semester one.Column three shows the tuition revenue per student per semester,

discussed above. (For a private university with tuition of $18,000 peryear, the tuition per semester is $9000.) This revenue is multiplied bythe prior semester’s survival rate in column four. That is, the expectedrevenue earned per student at the beginning of the ith semester is therevenue ($9000) multiplied by the likelihood of survival to the ithsemester. We assume that the revenue for the ith semester is receivedwhen the ith semester begins. The number of months until that revenuefor future semesters is received is shown in column four. Since therevenue is not received until some future date, we must calculate thepresent value of funds received in the future to estimate the expectedvalue of a student at the time of his or her initial enrollment. Thepresent value calculations, assuming an annual rate of 12 percent, areshown in column five. Finally, column six shows the cumulative valueof the present values in column five.


TABLE 2. Expected Value of a Single Student

Semester Prior Term Revenue Revenue Months Present CumulativeSurvival Times Until Value of ValueRate Survival Receipt of Dollars

Rate Revenue Received

1 1.00 $9000 $9000 0 $9000 $90002 .9685 $9000 $8716.50 4 $8376.38 $17,376.393 .8858 $9000 $7972.20 12 $7074.92 $24,451.314 .8551 $9000 $7965.90 16 $6793.49 $31,244.805 .8217 $9000 $7395.30 24 $5824.29 $37,069.086 .7878 $9000 $7090.20 28 $5366.12 $42,435.207 .7778 $9000 $7000.20 36 $4892.61 $47,327.818 .7362 $9000 $6625.80 40 $4450.24 $51,778.059 .2628 $9000 $2365.20 48 $1467.04 $53,245.0910 .1334 $9000 $1200.60 52 $715.63 $53,960.7211 .0518 $9000 $466.20 60 $256.62 $54,217.3412 .0230 $9000 $207.00 64 $109.50 $54,326.8413 .0099 $9000 $89.10 72 $43.26 $54,370.36

By this calculation, the expected value of an individual student is$54,370.36 over 13 semesters in this data set. That amount is thestudent’s ‘‘dollar value’’ to the university upon enrollment. By com-parison, if one assumes that each student enrolls for eight (and onlyeight) semesters, the present value of a $9000 surplus each semesterwould be $51,778.05. So the effect of some students leave the univer-sity before completing eight semesters even though other studentsenroll for more than eight semesters is to reduce the net present valueof the student’s expected cash flow.A plot of the cumulative value of the cash flow (see Figure 3) shows

that the present value of the incoming dollars increases rapidly duringthe first several semesters, then increases at a much slower rate lateron. This is due to two factors. First, as time passes, more students haveleft the university so fewer revenue dollars are generated. Second, astime passes, the present value of $1 is much smaller than it is in theshort term. Both factors contribute to the very small increase in thecumulative dollar value by the last semesters in the analysis.

DISCUSSION AND IMPLICATIONS

The primary use of the approach we describe in this paper is to aidin the preparation of an annual budget for the university. Expectedrevenues can be compared with cost information to determine project-ed surpluses or deficits for the university. The cost of recruiting a


student can be compared to the expected revenue to determine if therecruiting budget is sufficient, or excessive.For many universities, especially privates, the revenue calculations

are highly dependent on enrollments. And, the enrollment per semes-ter varies due to a number of factors. Using survival analysis to under-stand and explain these variations in enrollment and predict enroll-ments better can lead to more accurate financial forecasts for theuniversity.The contribution of this approach over other means of studying the

revenue value of a customer (student) is that it brings together con-cepts from disparate areas in a logical fashion. The combination offorecasting research from the field of finance with the customer life-time research from marketing provides a very solid basis for improv-ing financial forecasts.

DIRECTIONS FOR FUTURE RESEARCH

This is a very preliminary analysis. Future refinements of our modelwill allow us to incorporate the expected value of transfer students, asopposed to only freshmen, into our analysis. While we know thattransfer students remain enrolled for a shorter period of time than

FIGURE 3. Plot of the Cumulative Dollar Value

Cumulative Value

Semester


freshmen, we also suspect that the pattern of persistence until gradua-tion may differ. Certainly, costs to recruit transfer students are differ-ent than the costs incurred in recruiting incoming first-year students.Another extension of the model is to use a more sophisticated

parametric version of survival analysis to assess differences amongsub-groups in the university population. For example, the survivalcurve may vary significantly among students of different majors, or itmay vary among students of different socio-economic backgrounds.Similarly, the survival experience may be quite different for studentsof different test scores, high school GPA, and so on.

REFERENCES

Dwyer, F. Robert (1989), ‘‘Customer Lifetime Valuation to Support Marketing Deci-sion Making,’’ Journal of Direct Marketing, 3 (4), 8-15.

Gupta, Sunil (1988), ‘‘The Impact of Sales Promotions on When, What and HowMuch to Buy,’’ Journal of Marketing Research, 25 (November), 342-55.

Moncrief, William C. III, Ronald Hoverstad and George H. Lucas, Jr. (1989), ‘‘Sur-vival Analysis: A New Approach to Analyzing Sales Force Retention,’’ Journalof Personal Selling and Sales Management, 9 (Summer), 19-30.

Peters, Lawrence H. and John E. Sheridan (1988), ‘‘Turnover Research Methodolo-gy: A Critique of Traditional Designs and a Suggested Survival Analysis ModelAlternative,’’ Research in Personnel and Human Resources Management, 6,231-372.

Voss, Kevin E. (1998) ‘‘The Expected Value of A Customer: A Model and Applica-tion,’’ Unpublished Doctoral Dissertation, Washington State University.


Beyond the Mission Statement:Alternative Futures for Today’s Universities

Donna S. FinleyGayla Rogers

John R. Galloway

ABSTRACT. Many post-secondary institutions utilize the missionstatement as the key tool for positioning and marketing their strategicdirection. Unfortunately, most mission statements found in highereducation are far too simplistic and general to give substance and direc-tion to differentiation and positioning of universities. This paper pre-sents findings from a three-month participatory action research processat a large urban Canadian university seeking to establish a marketingmind set. Five possible futures reflecting the range of thinking regard-ing the role of universities emerged from the research process. Eachalternative represents separate and different possible directions, theimplications of which become more evident by contrast. [Article copiesavailable for a fee from The Haworth Document Delivery Service:1-800-342-9678. E-mail address: <[email protected]> Website:<http://www.HaworthPress.com> E 2001 by The Haworth Press, Inc. All rightsreserved.]

KEYWORDS. Mission statement, marketing positioning, differenti-ation, alternative futures, strategic direction, participatory action re-search

Donna S. Finley is President, Framework Partners in Planning Inc. Gayla Rogers,PhD, is affiliated with the University of Calgary. John R. Galloway is Vice President,Framework Partners in Planning Inc.

The authors wish to gratefully acknowledge the contributions of the followingindividuals who worked on various aspects of this project: Mr. Gordon Allan, Ms.Jan Burwell, Ms. Joy Claypool, Dr. Claudia Emes, Dr. Ester Enns, Ms. JanineFernandes, Mr. Kelly Graves, Ms. Andrea Hay, Dr. Gerard Lachapelle, Dr. RobertMansell, Mr. Andrew McElheran, Mr. Stuart Reid, Ms. Margo Rodgers, Dr. NormanSchachar, Dr. Brian Smith, Mr. Mike Wong, Dr. Robert Woodrow, Dr. HowardYeager.




INTRODUCTION

In the increasingly competitive arena of education, successful insti-tutions will have a clear ‘market position’ that differentiates what theystand for and what value they deliver to learners relative to otherinstitutions. Differentiation is the result of an institution understandingthe needs of the learners it can best serve, aligning programs, policiesand processes to deliver benefits specifically targeted at selected learn-er needs, and being able to effectively and efficiently communicateand reinforce this focus (referred to in marketing functions as the‘value proposition’) with existing and potential learners (Rogers &Finley, 1999). A clearly differentiated market position enables an edu-cational institution to optimize the resources required to recruit learn-ers and to ultimately achieve learner satisfaction.Benchmarking of 45 Canadian universities revealed that mission

statements were not significantly different across these institutions,and therefore do not provide a basis for differentiating. This wouldseem to imply that either all these institutions are pursuing the samestrategy, and/or the mission statement does not provide a completepicture of their strategy. It is our conclusion that both are contributingfactors. Further benchmarking involving a best-practice review of teninternational institutions and a broad examination of close to 100North American post-secondary institutions confirmed this lack ofdifferentiation. As concluded by the Ohio Board of Regents in 1993,‘‘mission statements are often very similar, making it difficult or im-possible to distinguish one institution from another . . . For purposes ofproviding a strategic focus and a foundation upon which to base plan-ning activities, most mission statements are less than effective’’(Rowley, Lujan, & Dolence, 1997, p. 44).Historically, universities have faced very similar futures and have

been constrained by governing structures and regulations. With chang-ing legislation, evolving societal and learner needs, and rapidly emerg-ing competition, universities are now presented with the opportunityto define their own future. Alternative directions are possible and needto be articulated and evaluated within the context and capabilities ofeach individual institution. In an increasingly competitive environ-ment, it is necessary to be deliberate and timely about announcing aninstitutional mandate and future. A variety of institutional decisionscannot be effectively made without some idea of future direction and

Finley, Rogers, and Galloway 65

clear articulation of what the institution will do and not do. Setting aninstitutional direction does not preclude continuing reassessments andadjustments as the future unfolds. That is, a course is being ‘set’ butnot ‘fixed.’Without exception, universities across Canada are focusing energies

and resources on strategic planning. Increasingly, the view on and offcampuses is that traditional post-secondary institutions can no longerdo their work the way they have for decades. The new realities ofdecreased funding, changing learner demographics and needs, com-petition for research dollars, students and faculty, are taking their toll.This has pointed to the need for universities to become more focusedand deliberate in their purpose (Yeager, Rogers, & Finley, 1997).Interestingly though, while universities across the country are at dif-ferent points in the planning process and are placing differing levels ofpriority on each of the issues faced, their strategic planning results sofar have been surprisingly similar. This raises the question whetherthese individual institutions are making decisions that bring theirunique strengths to the fore. Some will argue the similarity is onlyevidence of a single essential role for all universities. However, in-creasingly it is asked, whether some level of differentiation amongstall universities would serve to strengthen this ‘‘network’’ across Cana-da? ‘‘Dr. Kirby of the Centre for Higher Education and Researchreiterates that universities ought to use strategic planning to identify aniche or specialty. Only a few universities have done so successfully’’(Tamburri, 1999, p. 12). Each university must respond to these chal-lenges in unique ways. While the purpose of the university as a placefor scholarly inquiry and discussion lies at the heart of most missionstatements, it is the institution’s strategic direction that provides theframework for how the mission will be implemented. In articulatingalternatives for the future, a university community can consider theextent to which an alternative is consistent with its particular intrinsicpurpose. This enables discussion about both commonplace and tradi-tional assumptions about the role of a university as well as the specificprinciples expressed in its mission statement. Before consensus can bereached regarding an institution’s direction and source of differenti-ation, alternative strategies need to be discussed and evaluated.This paper describes five possible futures that were derived from a

participatory action research process that involved widespread campuscommunity discussion at a large urban research university in Canada


reflecting the range of thinking regarding the role of universities. Thesealternatives were articulated in a ‘pure’ form to stimulate focused dis-cussion about possible future directions for the university. Each alterna-tive, summarized below, represents separate and different possible di-rections, the implications of which become more evident by contrast.Confederation of Faculties: The university, recognizing that indi-

vidual Faculties have different types of academic and research man-dates, would create an environment that fosters individual identitiesfor each Faculty wherein each develops its own academic, researchand scholarship, and business plans for sustainability. Faculties withsimilar goals may well form collaborations under this alternative.Learner Centred: The university would focus on selected types of

learners and learning needs. Programs would evolve to comprehen-sively service these needs. In addition to traditional forms of researchand scholarship, additional institutional resources would be focused tosupport research in learning and pedagogy.Regionally Responsive: Research, scholarship, academic program-

ming and service would increasingly acknowledge the strong linksthat the university already has with its local community. Programswould be developed and sustained in response to regional needs, inter-est and resources.Research Dominant: The university would continue to seek interna-

tional recognition for its research, scholarship, and creative activity,and intensify the research efforts of all academic units as fundamentalto its mission.Thematic Excellence: The university would thoughtfully choose a

limited number of intellectual and programmatic themes in which itwould develop international acclaim, both in terms of research andscholarship, and also in instruction and professional preparation.Each of these possible future directions is thoroughly examined by

presenting a description, a distinguishing mission statement, hypothet-ical vignettes of what the institution would look like from the perspec-tives of those who study, work and invest at that type of institution(‘Living the Alternative’). Included is a list of success indicators andthe type of risks associated with pursuing that alternative.

CONFEDERATION OF FACULTIES

In the Confederation of Faculties, each Faculty defines its own longterm goals, develops its own academic and business plan for clarifying


priorities and program funding strategies. Each is also responsible forits own decision making and fiscal management. A central institution-al vision and image are avoided since the name and image of theFaculty takes precedence. A significantly reduced central administra-tion manages the few remaining areas of common interest, such asphysical plant maintenance and provision of ancillary services.With respect to the research function, each Faculty independently

determines the focus and extent of the research activities for thatFaculty, with independent representations to government and the pri-vate sector for research funding. Collaborations among Faculties andoutside organizations flourish to ensure financial viability. In terms ofteaching, emphasis that is placed on teaching will vary from Faculty toFaculty. Undergraduate program offerings are directly tied to demand.Funding follows students on a course-by-course basis. Inter-Facultycompetition (for students) is increased and direct entry to Faculties isthe norm. The student capacity of each program is dependent on thepotential tuition revenue available to support the program. Pressureexists to have fees reflect full cost recovery (i.e., differential fees percourse may evolve). Each Faculty independently sets tuition fees withreference to other sources of revenue and the constraints of publicpolicy. Faculties may purchase selected courses from other Facultiesor from outside the university. In regard to funding, Faculties behaveas autonomous revenue/cost centres to the extent possible. Each Fac-ulty develops separate revenue-generating strategies to supplementoperating grants and to support the expansion of its activities. Endow-ment funds become Faculty-specific and fund-raising is Faculty initi-ated and focused. Each Faculty becomes accountable to its primarysources of revenue. These sources of revenue would vary by Facultybut would likely include granting bodies, the private sector, govern-ment, professional organizations, community organizations, studentsand alumni. Each Faculty would be in direct competition with otherFaculties internally for resources, both financial and human, and ex-ternally for students. Faculties have autonomy to design their ownpolicies, procedures and governance mechanisms. Many services areprovided by Faculties to meet their own requirements. As a result,duplication of services increases across Faculties and Deans wouldlikely require broader management skills in order to lead their organi-zations. ‘Super Faculties’ are a likely outcome in this alternative as


smaller Faculties combine or new Faculty configurations emerge,thereby leading to a different definition of ‘Faculty’ (see Figure 1).

Summary-Confederation of Faculties

Pursuing a Confederation of Faculties strategy provides a mechanismto naturally select the Faculties that will succeed versus those that willdecline. Successful Faculties are able to leverage existing strengths forsuccess. This alternative fosters an entrepreneurial and dynamic culture,on the one hand, and a very competitive atmosphere for students andfunding amongst Faculties on the other hand (see Figure 2).An institution pursuing the Confederation of Faculties alternative

may express the essence of its mission as the following: ‘‘Foster thedevelopment of strong and independent Faculties that individuallyexcel in research, scholarship and service.’’

LEARNER CENTRED

National pre-eminence and an international reputation for highquality programs that are focused on selected learners are the criticalfactors that define a Learner Centred institution. The main emphasis of

FIGURE 1. ‘‘Living the Alternative’’--Confederation of Faculties

Those Who Work ‘‘Inside our Faculty, the sense of collegiality is tremendous. Our Dean has a very good sense of how toHere--Faculty reward teaching, research and service, in ways appropriate to our specific Faculty mission andPerspective financial capabilities.’’

Those Who Work ‘‘I really like my job in the Math department. I feel like I am part of a team. The lines of accountabilityHere--Staff are clear and there is little bureaucracy--I don’t have to fill forms out in quadruplicate. However, this is inPerspective contrast to my friend working in another Faculty. She seems isolated in her work and feels she has

limited opportunities to exchange ideas with peers in other Faculties. She may have reached theceiling in her job category and has no position to advance to in her Faculty.’’

Those Who Invest ‘‘I never expected that a university Faculty could be so entrepreneurial! This Faculty has provided a greatHere--Company/ service to us in their staff-training and upgrade program. It was delivered on-site at great convenienceDonor Perspective to our employees.’’

‘‘I’ve had people from four different Faculties ask me for money so far this year. Can’t the university getits act together?’’

Those Who Invest ‘‘I just read in the paper that two Faculties won a national award for excellence this year. Interestingly, theHere--Community University wasn’t even mentioned.’’Perspective


FIGURE 2. Risks and Requirements for Success (Confederation of Faculties)

Requirements for Success Risks

S Entrepreneurial culture S A fragmented institutional image and marketingS Partnerships with external parties approach could lead to a loss of confidence and support

by the public.S Faculty-specific fund-raising S Competition between Faculties could increase dramaticallyS Optimized resource deployment and become counter-productive.S Balance of research, teaching and service activities within S Left to their own resources, some Faculties might not be

financial parameters able to survive financially.S Recruitment of students S Fund-raising could suffer with a Faculty-by-Faculty,

uncoordinated approach.S Fees could rise dramatically and vary significantly

across Faculties.

the university is the integration of research and the educational pro-cess. In such a university, teaching and learning are intrinsic activitiesof the scholarly enterprise. The university serves the needs of a widevariety of learners. Beyond this, it devotes particular attention to meet-ing all of the needs of targeted groups of learners. In addition tosupporting discipline-specific research, the university encourages andsupports pedagogical research on such topics as learning environ-ments, learning processes and learning styles particularly at an institu-tional level. Recognition of excellence in teaching and learning, key toa quality university experience, provides the basis for allocating oper-ating funds within the university.Faculty are recognized and rewarded for high quality teaching, for

adapting and developing the best learning processes applicable tostudents in their field. The success of the university enterprise dependsin large part on the quality of the teaching and the conditions oflearning. Departmental and faculty reputations are gained or lost onthe strength of the teaching. Consequently, emphasis is placed onproviding ongoing support and training for instructors. Curriculumdevelopment is a dynamic activity based on disciplinary traditions anddevelopments, engaging all teaching units on a continual basis andresponsive to student needs. Professional associations and alumni in-fluence curriculum design. As educators, faculty are required to distin-guish the needs of students from their wants.Multifaceted educational delivery systems and partnerships with

industry and other institutions to meet specific learning needs wouldlikely evolve. The role of faculty might evolve beyond the currentprofessorial-based model to a team-based model that involves coordi-


nating the efforts of other faculty, staff, students and community re-sources to create flexible learning environments for students. Thequality of the educational experience is assessed and evaluated on acontinual basis. In terms of research and scholarship, discipline-centred and interdisciplinary pedagogical research co-exist. Within theuniversity context, service directed at developing learning processesfor faculty, staff and students are recognized alongside service insupport of university governance. Outside the institution, the servicerole of faculty expands to include sharing their expertise and experi-ence as teachers. However, the university may be less attractive toresearchers and graduate students because it appears more like a juniorcollege than a traditional research institution (see Figure 3).

Summary-Learner CentredWith emphasis on pedagogical research and recognition and reward

for high-quality teaching, the Learner Centred alternative might beviewed as jeopardizing the focus of traditional research activities.While the approach could relegate an institution to ‘community col-lege’ status, it could equally be a future requirement for any institu-tional success (see Figure 4).An institution pursuing the Learner Centred alternative may express

the essence of its mission as the following: ‘‘Provide a learning envi-ronment that is responsive to the needs of targeted learners andachieves excellence in the process of learning.’’

REGIONALLY RESPONSIVE

This strategic alternative envisions a university that has aligned itseducation and research programs with the economic, social and cultur-al environment of a defined geographic region. Both research andteaching programs are of high quality and attain international repute.The university is widely perceived to be ‘thinking globally, and actingregionally.’To achieve alignment, the university has a close association with

and involvement in civic, regional and provincial government plan-ning bodies, representative associations (such as the local Chamber ofCommerce, cultural and ethnic community associations), industry as-sociations and major companies or employers. Faculties and depart-ments include representatives from these groups in their own planningthrough advisory committees and/or planning forums.


FIGURE 3. ‘‘Living the Alternative’’--Learner Centred

Those Who Study ‘‘I was in grade seven when advisors from university first visited my class. They started me thinkingHere about post-secondary education and what path would be best for me.”

‘‘I really feel that my opinions as a learner are valued. I’ve just completed the first six weeks of thesemester and there is a teaching evaluation scheduled in my Psychology class. There will be another atthe end of the semester. It’s a great opportunity to give my professor regular feedback.’’

‘‘Campus services are readily available to me, even though I take the majority of my courses in the evening.Everything from the Student Advising Centre, to the Registrar’s Office, to the library are open whenI need them.’’

‘‘Many of my fellow Graduate Students attend the Teaching Assistant workshops sponsored by theLearning Centre. Without those workshops, I wouldn’t know the first thing about group facilitationor motivating students.’’

Those Who Work ‘‘In my thirty years as a faculty member at the university, I have witnessed a profound change in theHere--Faculty definition of scholarship. I am now being rewarded and recognized for my scholarly contributions toPerspective teaching.’’

‘‘As a faculty member, I regularly monitor the university’s market research results in order to keep abreastof evolving learner needs. I use this information to regularly update curriculum.’’

‘‘I have always been conscious of the fact that different people have different learning styles and I am gainingexpertise adapting my teaching to accommodate individual learning styles.”

Those Who Work ‘‘I work in a very busy area but I realize the importance of providing clear, concise and complete informationHere--Staff to students. Students are also grateful when they can get a variety of questions answered at one location.’’Perspective

‘‘Like faculty members, I have had to change my work hours to accommodate student needs. SometimesI work in the evenings, sometimes I work weekends.’’

‘‘I feel much more connected to the academic mission of the university. Now that learners are the mainfocus, I understand my role as one of a team that contributes to the learning process.’’

Those Who Invest ‘‘The university often asks my company to take on Co-operative Education and Internship students.’’Here--Company/Donor Perspective ‘‘A lot of our employees are currently taking courses through the university, and are well served.

The university even runs one of its courses in our main board room every Monday night.’’

‘‘I like to hire graduates from the university. They are well-rounded, confident individuals. They havelearned how to take responsibility for their own education and are self-motivated as a result.’’

‘‘As a university alumnus, I feel a strong sense of connection to the institution and donating moneyis a small way of saying thank you.’’

Those Who Invest ‘‘The high rate of success in graduating individuals with core competencies suggests that the taxpayers’Here--Community money is well-spent.’’Perspective

‘‘The teachers in my daughter’s elementary school benefit from developments in teaching at the university.They collaborate with faculty to improve the conditions of teaching and learning in her school.’’

In terms of research and scholarship, both fundamental and problem-based research and scholarship is encouraged across a broad spectrumof disciplines; however, faculty are encouraged and rewarded for trans-lating the importance of their findings to the region, addressing bothcontemporary problems and needs for future knowledge and under-


FIGURE 4. Risks and Requirements for Success (Learner Centred)


S Up-to-date understanding of current and evolving learner S Alternative post-secondary providers may be able to offerneeds. similar programs at lower costs and at more convenient

S Strong partnerships to fulfill specific learning needs and locations.leading to additional sources of revenue/funding. S Some institutional programs may be at increased risk of

S Strong emphasis on pedagogical research and the obsolescence due to the focus on specific learner needs.application of that research to the classroom. S Less attractive to researchers and graduate students.

S Faculty rewarded for high-quality teaching. S Shifts in government policy may catch the institutionunable to make the appropriate adjustments.

standing. Problem-based research is influenced by issues in the geo-graphic region. With respect to teaching, the university is responsive toenrollment pressure from the region. Not only are issues of accessibilityaddressed, but also emphasis is placed on understanding and meetingthe education and service needs of these students. A broad range ofundergraduate programs continues to be required. The university fo-cuses much of its effort on providing for the continuous learning needsof the society it serves, including the level of overall education, technol-ogy literacy and cultural diversity and sophistication.Professional development opportunities for existing degree-holders

receives significant focus either through offerings to individuals orthrough collaboration with employers for specific professional devel-opment programming. Although initiated by regional needs, theseprograms are of such high caliber, and draw so much on the uniquestrengths of the university, that they attract students from around theworld. Other teaching programs address the need of the regional popu-lace for intellectual enrichment and personal development, enablingeveryone in the university’s region to benefit. Service by faculty, staffand students is encouraged through involvement in public policy taskforces and professional panels, outreach activities, outside profession-al activity, and consulting. The university encourages and rewardsresponsiveness to the needs and opportunities of the region. Eventssuch as lecture series, open houses and demonstration projects arepromoted throughout the region, as the university extends its bound-aries to embrace the region (see Figure 5).

Summary-Regionally Responsive

The viability of the Regionally Responsive strategy depends uponthe economic strength of the region as well as the level of education,


FIGURE 5. ‘‘Living the Alternative’’--Regionally Responsive

Those Who Study ‘‘I was recently visiting a friend taking a graduate degree in Economics. He told me he has only threeHere readers for his thesis, and they are all professors. When I told him I had seven readers for my

thesis, and that three of them were economists from multi-national corporations based in thiscity, he couldn’t believe it.’’

‘‘My employer was very supportive of my doing a Masters degree in Manufacturing Engineeringpart-time at the university. The university has been conducting leading-edge research in this field,and my company sees it as a great way to get a peek at the newest thinking.’’

Those Who Work ‘‘This semester, we are going to contract with three local offices of multinational firms to developHere--Faculty privacy-protection schemes for their distributed networks. I’ll be both your professor and the leadPerspective consultant on these projects. For the definitions and background you’ll need to get started on your

project. I refer you to the first paper in your bibliography, which I published last year jointly withtwo local practitioners.’’

Those Who Work ‘‘It’s great to be fully involved as a staff member in my Faculty’s initiatives. In my role as administrativeHere--Staff assistant, I have been participating in a group that includes fluid-flow experts from the university,Perspective the Research Council, and two oil and gas companies as they develop a specialized program

intended to produce a skilled crop of geologists, physicists and engineers. The companies haveguaranteed employment for any graduate of the program, and in return, they are contributing mostof the program start-up costs. This initiative will create new facilities and a new category of localalumni with ongoing interests in our program.’’

Those Who Invest ‘‘Tonight, we will introduce a new program at the university and ask for your support. You will seeHere--Company/ that the focus of the program is on issues that bear directly on the quality of life in this community.’’Donor Perspective

Those Who Invest ‘‘At work, we needed specialized graduates, and we managed to convince the university to customizeHere--Community a program just for us. The Continuing Ed programs are all over the city, in different Facilities andPerspective available through all kinds of media, including my home computer and my TV set.’’

cultural diversity and sophistication, and technological literacy of itspopulation. By focusing on the region’s education and research needs,the university could be left behind as globalization increases and com-petitive education providers encroach. The economic diversity of theregion may mitigate some of this concern. Implementation of thisalternative depends upon the university to ‘think globally, while actingregionally’ (see Figure 6).An institution pursuing the Regionally Responsive alternative may

express the essence of its mission as the following: ‘‘Align research,scholarship and service with the economic, social and cultural inter-ests of the region.’’

RESEARCH DOMINANT

In the Research Dominant alternative, the units which constitute theuniversity have internationally recognized excellence in research and


FIGURE 6. Risks and Requirements for Success (Regionally Responsive)


S Continuous measurement of education quality S Faculty who perceive their academic field of interest notfrom a regional perspective. regionally relevant will feel disenfranchised.

S Monitoring of the perception, needs and attitudes S A severe downturn in a key economic sector in the regionof the public and of key business, social and cultural may result in loss of contract research funds, loss oforganizations towards the university. partnership opportunities and revenues, and loss of employee

S Contract research with regional private industry. development contracts.S Collaboration with other institutions in the region for S Failure to anticipate and capitalize on new and emerging

research, teaching and influence on government policy. regional needs.S Awareness among the university’s key constituents S Smaller, niche-oriented education providers may be more

of the mission, programs and critical role in the successful in meeting specific regional needs, eroding theeconomic and social well-being of the region. university’s ability to deliver on this strategy.

S Stong support for local and regional communityinitiatives.

S Curriculum incorporates direct experience in regionalissues.

S Faculty, staff, student and alumni involvement incommunity volunteer and leadership opportunitiesare recognized and rewarded.

in educating and training students at the graduate level. The areas ofcommon interest are administered centrally, while administration ofthe distinct research-related activities of the Faculties is decentralized.The institution is a community of researchers (i.e., faculty, staff, andstudents) where the caliber of graduate students is higher.While long-term research projects that are significant to the profile

of the university are encouraged, emphasis on research that is relevant,and by its short to medium term and increasingly specialized nature,attracts external funding. The major success criteria include relevance,quality, quantity and cost-effectiveness coupled with access to strongcapabilities in areas such as grant writing, research grant and contractnegotiations, fundraising and ethics. Research is competitive, fast-paced, and increasingly specialized, leading to international reputa-tion. Collaborations focus on significance and impact of the research.A priority is placed on attracting significant and highly visible interna-tional support. Faculty are recruited on the basis of research experi-ence, proven track record and established international network. Interms of teaching, the focus is at the senior undergraduate and gradu-ate levels and includes just-in-time learners requiring state-of-the-arteducation and training in their areas of expertise. In order to focus onresearch, faculty members have reduced teaching loads, smallerclasses and limited involvement in marking, and play a greater role in


mentoring. Teaching post-doctoral fellows, graduate students and se-nior undergraduates play a significant role in research and teaching,especially at the introductory level. The proportion of graduate toundergraduate student is somewhere between 30/70, and 50/50 de-pending on whether the university becomes a small elitist institution ormaintains a large undergraduate population supporting a researchprominence.Service is measured in terms of advancement of the research profile

of the institution. This could include service to public task forces andcommissions, advisory committees, boards of directors of major cor-porations, learned societies, and major granting bodies. In this alterna-tive, roles and interdependencies between faculty and staff are blurredas a greater proportion of highly specialized staff contribute and sup-port research projects. Investment in ongoing staff training and devel-opment is essential to keep skills current. This alternative attractssenior undergraduate and graduate students with higher entering gradepoint averages and interest in working at the cutting edge in industryand society. These students are faced with higher tuition and associat-ed costs due to the expense of research activities and infrastructure.Higher costs are mitigated, in part, by an increase in the number andvalue of scholarships. The global reputation of research attracts alarger proportion of international students. All students are aware ofand are expected to engage in the research activities of their Faculty.Due to the global reputation of the institution, employability of gradu-ates is greater. High expectations are placed on graduate students toboth publish and teach undergraduates. Teaching post-doctoral fellowsare numerous.The government operating grant and tuition revenues are divided

among Faculties based on enrollment and actual cost of undergraduateand graduate education. External funding for research is the mostimportant component of institutional funding, essential to support theresearch infrastructure required. Considerable instructional attention isfocused on strategies to generate revenue. One ongoing issue is theredistribution of revenue to fund projects that advance the profile ofthe university but have not (yet) attracted or cannot attract externalfunding. Endowments are substantially higher. The assets vary widelyby unit to reflect the various and vastly different research infrastruc-ture requirements. The university remains accountable to the govern-


ment for the administration of the government’s operating grant. Thereis increasing accountability to the sources of research revenue.The global research reputation of the institution attracts the support

of large international corporations in the form of chairs, scholarships,endowments and equipment donations. From a local perspective, theuniversity is prominent and attracts business to the region. Technologytransfer is increasingly important as research spins off new commer-cial ventures. Implementation of this alternative may exhibit slightvariations depending upon if the university is a large research institu-tion with a significant component of undergraduates, or if it is a smallelite research institution with a predominant emphasis on graduate andpost-graduate students (see Figure 7).

Summary-Research Dominant

To succeed, a Research Dominant institution would have to achievea global reputation in order to attract and retain world-class facultyand funding. Institutions would need to proactively identify and pur-sue a selected number of areas in which to attain global leadership.Programs and faculty not able to attain global stature would likelyexperience decreasing funding and ultimately be phased out. ResearchDominant institutions require a strong ‘‘feeder’’ system of undergrad-uate universities and colleges from which to attract top caliber stu-dents. This alternative may be risky if an institution’s current policy isone of high access because it shifts emphasis from the first and secondyear undergraduate students in favor of the third and fourth yearstudents, graduate students and post-doctoral students (see Figure 8).An institution pursuing the Research Dominant alternative may

express the essence of its mission as the following: ‘‘Be internation-ally recognized for research, scholarship and creative activity.’’

THEMATIC EXCELLENCE

A university following a strategy of Thematic Excellence is charac-terized by its focus on a number of institutionally chosen themes.Resources in research, teaching and service are dedicated to the uni-versity becoming internationally recognized for specific types of ex-pertise. The university community agrees to focus its energy and re-sources on a select number of themes. These span a number ofdisciplines and programs, and are based on existing and emerging


FIGURE 7. ‘‘Living the Alternative’’--Research Dominant

Those Who Study ‘‘I have noticed that the number of undergraduate students has remained the same, but thereHere has been a marked shift with more students at senior levels, extensive post-graduation certificate

training, more graduate students and the addition of a large cadre of teaching post-doctoralfellows.’’‘‘I recently transferred from college into the university in my third year. Getting accepted was difficultgiven the steep competition and high marks required. However, I think those two years incollege equipped me with the basic skills necessary for me to succeed in desired area of specialty.’’

‘‘In the early semesters I have been primarily taught by graduate students and post-docsleading. These semesters provided the preparation necessary to function as an effectivecollaborator in research projects.’’‘‘This place sure has high admission requirements for its Ph.D. students. We have to have astrong background to participate in tutoring the senior undergraduates and there is high pressureto consistently produce research results.’’

Those Who Work ‘‘It sure was hard to get a continuing contract here. Only two out of ten faculty hired five yearsHere--Faculty ago are still here.’’Perspective ‘‘It is quite challenging to sit down with my teaching group and work out how best to challenge

our undergraduates. My role is to ensure that the certificate program is state-of-the-art, whilemy graduate students and post-docs provide the undergraduates with the point of contact.’’‘‘This campus has five Nobel prize winners conducting research.’’

Those Who Work ‘‘Providing technical support means I have to make sure my skills are right up-to-date givenHere--Staff the leading edge nature of the research being undertaken.’’Perspective

Those Who Invest ‘‘This university has incredible financial support from thousands of people and hundreds ofHere--Company companies, and from all over the world.’’Donor Perspective ‘‘With the pace of development of new ideas in my field, I am grateful that the university has

the depth of expertise to help me solve my problems. We could never afford to maintain thelibrary holdings our research division would need to keep current.’’

Those Who Invest ‘‘As the university began expanding its research programs, more and more companies beganHere--Community moving to this city; partly because of the highly trained young people available, and partly becausePerspective these companies need access to leading-edge knowledge.’’

‘‘Government funding has shrunk significantly. The remaining funds come from higher tuition fees,large endowments and donations, scholarships, and research contracts from industry. I havenoticed that undergraduate and graduate tuition fees vary widely by Faculty.’’

FIGURE 8. Risks and Requirements for Success (Research Dominant)


S World-class researchers. S Current sources of government and financial support wouldS Entrepreneurial culture to secure research funds. be at risk if access to the institution was perceived to beS Effective partnerships with external parties. limited.S Mechanism to ensure that research excellence S The personnel strategies, processes, systems and practices

dominates other existing criteria for recruitment, would need to be aligned with the research-intensive natureevaluation and retention of faculty and staff. of the institution.

S Building an international reputation in order to attract S Ability to maintain salary levels required to attract and retainfunding, faculty, and students. world-renowned faculty.


strengths of the university and in consideration of local, national andinternational communities. The chosen themes inform university deci-sion-making from both an academic and resource perspective. Theyfocus and enrich the activities of research, teaching, and service. Interms of research and scholarship, new and innovative interdisciplin-ary opportunities arise from this theme-based approach. The universi-ty is recognized internationally for achieving excellence in the cre-ation of leading-edge knowledge and research in specific areas.International recognition of wide thematic relevance leads to addition-al funding from a broad range of public and private sector donors.Programs and curriculum are developed within the context of the

chosen themes. Influenced by the themes curriculum and programdesign may become interdisciplinary, with attention given to bothbasic and applied research. While undergraduate programs continue tooffer liberal education experiences and prepare students for graduateeducation, they also enhance practical applied skills needed to entercareers related to the chosen themes. Opportunities for externallyfunded applied research within the themes increase. Continuingeducation emphasizes new learning opportunities.The university continues to provide a wide range of services to both

the scholarly community and the public. Thematic centres of excel-lence provide leading-edge knowledge and consultation to a nationaland international audience. Faculty, staff, students and the communityare able to participate in a range of activities such as seminars, confer-ences and presentations on issues related to the themes. ThematicExcellence provides the foundation needed to build a sense of commu-nity. The themes provide coherence across disciplinary fields and theydraw people together, enabling them to share scholarly goals. Throughsuch clarity of focus and renewed vigor, the community-at-large isable to relate meaningfully with the institution. Although each themat-ic focus provides coherence, coexistence of a number of themes, notnecessarily linked to each other will assure a stimulating scholarlyenvironment. That fuels new developments. Thematic Excellencewould likely (but not necessarily) imply a matrix-style organization.Many institutions today could be depicted as a series of vertical Facul-ties with a few themes horizontally spanning some of these Faculties.In a thematic organization, the ‘‘themes’’ would become the verticalcomponents (possibly with ‘‘theme Vice Presidents’’), and the Facul-ties would span the themes horizontally. Theme selection and develop-


ment is a dynamic, ongoing process that ensures themes evolve andremain relevant over time. Selection is a balance between the dyna-mism of the development process and sufficient stability to enablelong range development occurs. To succeed, this process must beinclusive and sensitive to traditional disciplinary boundaries, involv-ing the entire campus community. Awards and promotion systemssupport the thematic approach by recognizing interdisciplinary workand other collaborative ventures. Non-academic staff members arerecognized for their involvement in planning and collaboration withother resource components of the theme (see Figure 9).

Summary-Thematic Excellence

Thematic Excellence, in its pure form, is a viable alternative for auniversity having a strong interdisciplinary base upon which a founda-tion of themes can be built. Selecting themes is the most challengingtask in making this alternative successful. Developing a process to

FIGURE 9. ‘‘Living the Alternative’’--Thematic Excellence

Those Who Study ‘‘I recently graduated with my ‘thematic degree’ and I’m now considering my options for the future.Here When I first contacted some of the graduate schools I was interested in, they questioned the

validity of my degree program. It took some explaining to make them understand how mydegree gave me the background knowledge and skills I needed.’’

Those Who Work ‘‘I have been working with a number of faculty members from different disciplines and differentHere--Faculty institutions on developing curriculum for this theme program. Meeting and working withPerspective individuals from a variety of disciplines has triggered new ideas and new opportunities have

opened up.’’‘‘My research focus has changed over the last five years as I have become more involved inthe thematic area. My last four publications have been co-authored by several individualsfrom different disciplines.’’

Those Who Work ‘‘My job description recently changed when I moved from one theme group to another. I haveHere--Staff had to develop new skills to support the teaching and research in this thematic area. Much ofPerspective my work involves working with different Faculties and units in maintaining and improving

the programs.’’‘‘Budgeting has become more complex with the introduction of the different thematic programs.Because our area is involved in several theme areas, our funding comes from multiple sources.As a result, more sophisticated accounting systems have been introduced.’’

Those Who Invest ‘‘Because our company invested resources in particular theme areas, we have been pleasedHere--Company/ to provide co-op and internships to the university as well as hire a number of graduates whoDonor Perspective are well prepared to meet our needs. We are impressed with the blend of knowledge and

practical skills each of the candidates held.’’‘‘As a long-term donor to the university, I have seen fund-raising priorities shift. Increasingly,fund-raising is tied to research and development in theme areas.’’

Those Who Invest ‘‘The university has become more active in the community, especially in projects related toHere--Community aging. I have attended a number of seminars put on by the university related to that theme.’’Perspective


select and implement themes requires participation and flexibilityfrom the entire campus community. Strong elements of research,teaching and service are present in this model. Thematic Excellenceallows an institution to involve a diverse number of disciplines, whilefocusing on differentiation (see Figure 10).An institution pursuing the Thematic Excellence alternative may

express the essence of its mission as the following: ‘‘Achieve interna-tional acclaim for interdisciplinary research and scholarship alignedwith a limited number of intellectual and programmatic themes.’’

DISCUSSION

‘‘Ireland and Hitt (1992) (as cited in Rowley, Lujan, & Dolence,1997) tell us that a good mission statement is one that describes theinstitution’s fundamental and unique purpose, and how the organiza-tion is unique in its scope of operations and the service it offers. Themission statement therefore needs to indicate what the institution in-tends to accomplish, how it identifies its markets, and how it reflectsthe philosophical premises it uses to guide actions’’ (Rowley, Lujan, &Dolence, 1997, p. 44). A ‘good’ mission statement, however, does notneed to be a lengthy document.A revitalizing step that provides an institution with the basis of

differentiation but is missed in most institutional and Faculty planninginitiatives is the conceptualization of a set of distinct possible futures.

FIGURE 10. Risks and Requirements for Success (Thematic Excellence)


S Choosing the ‘‘correct’’ themes. S New themes and trans-disciplinary research not beingS Campus community involvement in a recognized by the national and international scholarly

collaborative manner. community.S Strong human resource management that S Support by the scholarly community for an institution

addresses unique ‘‘thematic’’ issues. confined to a number of themes.S Effective marketing and communication of theme S Selected themes with limited local relevance and appeal.

relevance to governments (the public) and S Ability of faculty to maintain a high profile within a disciplinegranting councils. while attempting to respond to interdisciplinary needs in

S Identification and targeting of key partners with support of broad themes.theme interest for collaboration and investment Equitable resource distribution complicated by more complex(e.g., local, national, and international interactive structure.communities, business, government, and alumni)

S National and international recognition ofprograms and research in thematic areas.


Each future alternative needs to be viable and consistent. Through theprocess of evaluating the pros, cons and implications of each alterna-tive, an institution is able to evolve an alternative that is best suited toits unique capabilities and context. The richness of the debate is in-creased by a participatory action research process that deliberatelyseeks input from across the disciplines, and across the communities ofscholars, staff, students and other interested parties. Ensuring all par-ticipants have adequate time to digest, contemplate, test and evaluatethe ideas further augments the value of the campus debate. The exer-cise is not about selecting a ‘favorite’ alternative. The true value of theprocess is realized by examining the strengths of each alternative andre-combing these attributes in new ways to conceptualize a possiblefuture that is specifically relevant to a particular institution.The five alternative futures described here arose from campus-wide

discussions within one large urban research university in Canada overa three-month period. The authors encourage other institutions coura-geous enough to define their own future to engage in this type ofexercise as one way of re-conceptualizing a wider array of distinctpossible futures. This level of involvement guarantees that an institu-tion would move well beyond a vague statement of mission.Foote observed in 1988 that ‘‘at the University of Miami, the strate-

gic planners discovered early on that developing a mission was an‘‘empty exercise’’ (Rowley, Lujan, & Dolence, 1997, p. 44). However,if an engagement process is characterized by large-scale involvementof faculty, staff and students a unique opportunity is offered for thesekey stakeholders to develop full ownership of the process for settingand implementing a strategic direction. Trepidation turns into enthu-siasm when the issues are understood and accepted. A broader rangeof possibilities are also identified and evaluated from a wider varietyof perspectives. Selecting and evolving the possible future directionwhich best fits a specific institution’s strengths and context can help itachieve greater distinctiveness and global reputation. Once a specificfuture strategy has been articulated external and internal communica-tions, corporate partnering and fundraising, research, and marketingefforts can be aligned with and tailored to the selected future. Theseactions are designed to advance the university’s goal of developing adistinctive, global position among post-secondary research-based in-stitutions (Yeager, Rogers & Finley, 1997).The contribution of this work is important because it advances a


university’s goal of developing a distinctive, global position: locally,regionally, nationally and internationally. Furthermore, the process bywhich an institution discusses matters related to its desired future, inand of itself, increases individual understanding and commitment.

REFERENCES

Rogers, G., & Finley, D. (1999). The foundation for a comprehensive universitymarketing strategy: Segmenting beyond demographics and GPA. Presented at theTenth Symposium for the Marketing of Higher Education, New Orleans, LA.

Rowley, D., Lujan, H., & Dolence, M. (1997). Strategic change in colleges anduniversities. San Francisco, CA: Jossey-Bass.

Tamburri, R. (1999, May). Survival of the fittest. Association of Universities andColleges of Canada, University Affairs.

University of Michigan. (1997). A survival for our future [On-line]. Available:http://www.umich.edu/pres/Legacy/Strategic/strategic.html

Yeager, H., Rogers, G., & Finley, D. (1997, June). Institutional transformation at theUniversity of Calgary. Paper presented at the Canadian Society for the Study ofHigher Education Learneds Conference, St. John’s, NFLD.

Yeager, H., Rogers, G., & Finley, D. (1997). Meaningful engagement for sustainedchange: The University of Calgary. In D. Norris & J. Morrison (Eds.), Mobilizingfor transformation: How campuses are preparing for the knowledge age (pp. 31-38).San Francisco, CA: Jossey-Bass.


http://www.umich.edu/pres/Legacy/Strategic/strategic.html

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