1 The Case for Support –Case for the Institution - The case is the statement of the cause Mission and strategic plan drive the case Explains why donors.

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• The Case for Support– Case for the Institution - The case is the statement of the

cause• Mission and strategic plan drive the case• Explains why donors might want to contribute to the advancement of the

mission• Describes the organization’s goals and objectives• Explains the role of philanthropy in achieving organizational goals• One large case for the organization, from which smaller individual case

statements are developed for various constituencies and programs• Align organizational funding needs to donor’s wishes

– Also known as “The Case” or The Boilerplate• Purpose – Show the organization’s impact on the community

economically, socially, artistically, spiritually and/or historically for today and tomorrow

Lecture #5The Case and Case Statements

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Who Creates The Case? – Development Staff – they act as interpreters between internal

constituencies and external constituencies– Review, comments, approval, support by internal and external

constituencies

Figure 6.1 on page 61 of text

The Development Committee to

review, endorse

The Board to endorse

Goes to the constituency for

testing

CDO begins the process

back to the CDO for edits Hands off the CEO for review

Lecture #5 The Case and Case Statements

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The Case Contents: (Hank Rosso refers to this as case resources)

– Mission Statement– Goals– Objectives– Programs and services– Finances– Staffing– Facilities and services delivery – Planning and evaluation– History

These are the parts that create your organizational whole. When put together, the case may also be referred to as the “boiler plate” or “template” for foundation grant requests.

Lecture #5 The Case and Case Statements

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The Case usually has a particular focus:– Unrestricted operating support– Restricted gifts for operations– Restricted gifts for special needs – capital, endowment, or

otherwise– There is an increasing trend to have two or even all three

elements listed above appear in a case• Refer to “The Matrix of Case Categories and Examples” in the handouts

section• Outlines the three categories with sub-categories and examples of funding

targets (i.e. programs, projects)• Interpretation in action

Lecture #5The Case and Case Statements

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Lecture #4The Case and Case Statements

• Case Statements– A written version of The Case for a specific constituency or

campaign

– A Case Statement should outline:• The institution’s services, programs, and objectives• How the goals of the fundraising program support the institution• Ways in which the institution will remain significantly productive in the next

decade• The difference it would make if a donor supported the cause• What the institution must do to improve or change its activities and aims,

and why the institution is valuable to society

The Case Statement must align donor wishes and funding needs of the organization

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Lecture #4The Case and Case Statements

Internal vs. external cases (Hank Rosso) – another way to view cases and how they are used…

• The completed case or template = the internal case• The external case tells the story to the constituency

E.g. “…brochures, foundation (and corporation) grant proposals, direct mail letters, web site development, campaign prospectuses, news releases, newsletters, speeches, and face to face solicitations…” (Rosso, 2003)

• To maintain alignment with organizational needs and donors’ desires, the following questions should be answered:

1. What is the problem or social need that is central to our concern?

2. What special services or programs do we offer to respond this need?

3. Why are the programs and services important?

4. What constitutes the market for our services?

Continued on next slide…

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Lecture #5The Case and Case Statements

Alignment questions (continued):5. Are others doing what we are doing to serve our market – and perhaps

doing it better?

6. Do we have a written plan with a statement of philosophy, objectives, and a program?

7. What are the are the specific financial needs against which private gift support will be sought?

8. Is the organization competent enough to carry out the defined program?

9. Who are the people associated with the organization: staff, key volunteers, trustees, directors?

10. Who should support the organization?

• Preparation of a case statement is first step in any aspect of the organization’s total development program (including: annual giving, capital giving, planned giving)

– Case Statements are just for Capital Campaigns any more!

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Lecture #5The Case and Case Statements

The Case Statement is an internal document and the basis for external “sales” publication with many uses:

– To secure feedback and create ownership

– To recruit volunteer leadership

– To test the market

– To form a basis for case (marketing) materials

– To tell a story

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Lecture #5The Case and Case Statements

Applying/Adapting to Your Market Segments– The final step before writing the case statement(s) is to

determine your most critical constituencies

– Which Constituencies:• Are the strongest supporters?• Give on a regular basis?• Have the greatest ability and interest to give?• Are most interested in specific components of a campaign?

– The most effective tactic is to develop an individualized case for each constituent group as you are getting the greatest alignment (however, this is not practical)

• Individualized attachments• Individualized cover letters

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Lecture #5The Case and Case Statements

Grouping Constituencies

Source: CFRE Review Course (faculty manual) 2004 Edition

Constituency Groups Case Statement Suggestions

Major Donors •Point out that you are looking for a few major givers•Ask for their advice and participation •State needs more briefly•Emphasize leadership of your organization and campaign•Be candid about request•Develop a low-key “insider” appearance (that is not too slick)

Community Audience •Emphasize economic contributions of your organization and/or its employees

Corporations •Emphasize any services you provide to the corporation and/or its employees

Foundations •Avoid formal printing•Be prepared to fit the foundation’s proposal format•Address annual goals, hidden agendas, stated areas of interest

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Lecture #5The Case and Case Statements

Case Statement Example (click to access video)

http://www.youtube.com/watch?v=QaOfnCGlmMA

The Butler Hospital Research Fund Endowment Campaign• Short-time frame (12 months)• Seed an endowment to support research activities ($1.2 million)• Recruited mainly by Trustees and their contacts• Cultivation Event Model • Video was the only “flashy” marketing piece• Has a longer life than the initial effort

– New Employee Orientation– Special Events– Trustee Orientation– Continued Cultivation Events

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Portfolio Addition

Get a copy of the Organization Case for Support (or Boilerplate) for your Personal Case Organization

Note: if your personal case submits foundation grant applications, then they’ll have one

Get at least two Case Statements from your personal case.

W

Source: Giving USA 2010 The Annual Report on Philanthropy for 2009, Executive Summary

2009 Contributions: $303.75 billion by giving source of contributions

While only 17% of giving is done by foundations & corporations the process provides the basis for other solicitation tactics

The Case for Support developed for grant proposals is used to champion support from individuals

Pros & Cons of a Grants Program

Pros ConsHigh ROI (return on investment); awards are in the thousands

Low percentage of submissions are funded

Easy to replicate once boilerplate is constructed

Research of applicable funders can be time consuming; difficult

Multi-year grants provide sustainability May take 3+ years to get first award

Pilot projects and research are ideal grant prospects

Grants for operations requires creativity; measurement

Can be outsourced to a professional or volunteer

Never guaranteed; as the # of non-profits increase, the chance of funding decreases

Often the largest contributor (in $) to an organization’s development program

Timelines are difficult to manage; span across fiscal years

Giving Guidelines – What are they?

Hint: use the results from the SWOT analysis to align your organization to the Foundation’s Giving Guidelines…

• Giving Guidelines = Instructions

• Each Foundation’s Giving Guidelines are different

• Follow the directions for best results

• Review the Guidelines prior to each submission

E.g. Frank B. Hazard General Charity Fund

Giving Guidelines – What are they?

www.junerockwelllevy.org/grants.htm

Giving Guidelines – What are they?

Giving Guidelines – What are they?

Champlin = the largest foundation in RI “Brick & Mortar”

Where’s the Money: Research

Researching Foundation Grants The 990 – All non-profit/501(c)3 IRS Status file thee 990 as

their annual tax return (foundations are non-profit/501(c)3 IRS Status)

The 990 contains valuable information, such as: The value of the endowment Application instructions (note: “…gives to only preselected

organizations…” is the default on the 990) Board of Directors Listing (a great volunteer tool) Grants Awarded Listing – with amounts to each

organization and often an explanation of the purpose Website, contact information

And good new, the 990 is a public document!

Where’s the Money: Research

The Foundation Center - www.foundationcenter.org

Where’s the Money: Research

Assets Disbursements

The size of the assets and the disbursements will determine the giving capacity of the foundation

Where’s the Money: Research

Visit the foundation’s 990 to see:• Giving guidelines• List of board members• Total grant dollars• Organizations funded

Where’s the Money: Research

Where’s the Money: Research

Note: the free version works if you know the funder’s name …but, how do you get that information?

– Annual Reports of similar organizations– Donor walls of similar organizations (or like industries)– Event programs (sponsorship listings)– Networking with other fundraising professionals

• Association of Fundraising Professionals (AFP)

• Council for Advancement and Support of Education (CASE)

• Association of Healthcare Philanthropy (AHP)

• Partnership for Philanthropy Planning (PPP)

Where’s the Money: Research

Option 2 – The Foundation Directory Online

• Go to http://www.foundationcenter.org/

Where’s the Money: Research

Where’s the Money: Research

Foundation Prospect Research Steps:

1. Make a list of programs for which you are seeking grant funding

2. Make a list of organizations that offer these same programs (hint:

your competitors)

3. Using The Foundation Directory Online – search those

organizations grants

a. Dig down further to discover grant purpose, amount, etc.

4. Build your prospect list based on those grants

a. Research the specific foundations – giving guidelines, geographic

focus area, timelines, etc.

Where’s the Money: Research

Building Your Annual Grants Plan:1. Tracking is important – so keep it simple (i.e. WORD)

2. Track the following information:

• Deadline

• Giving guidelines; focus areas

• Grant ranges ($ amounts)

• Your target request (amount and purpose)

• Completed/Submitted Date

• Status (e.g. Awarded, Denied, Pending, etc.)

3. Include reports and communications in this document

Where’s the Money: Research

Building Your Annual Grants Plan:Deadline Funder Amount Purpose Date

SubmittedStatus

1/30 Ida Ballou Littlefield $10,000 New Roof 1/16 Denied

2/15 John Clark Trust $5,000 Charity Care Program 1/16 $5,000

3/15 Ocean State Charities Trust

$7,500 Charity Care Program 2/21 $4,500

4/30 Champlin Foundations $50,000 New Roof 4/10 Pending

6/30 van Beuren Charitable Foundation

$40,000 Meal program for Aquidneck Island residents

6/1 Pending

6/30 Roddy Foundation REPORT Expenditure report due

9/15 Coastway Cares Foundation

$10,000 Financial Literacy

After you’ve done your research, reach out!– Contact the Foundation and speak with a foundation

representative (or contact name on website or 990)• Explain the purpose for which you are seeking funding• Ask for feedback and direction• Ask for a site visit; ask if they conduct site visits

– Since 2008, competition for grant funding has quadrupled, so you need to establish and build a relationship

• Make contact when you get a “no”; ask for feedback/if you can submit for the next funding cycle

• Use your volunteers (do they know anyone on the board, etc.) however, proceed with caution

• Don’t be afraid to be persistent (there will always be someone who is more persistent than you)!

– Network (E.g. Emma Greene)

Communicating with Funders