The Rockefeller Foundation. Annual Report 2010.
president’s letter. The poet William Blake urged his readers to see the world in a grain of sand. At the Rockefeller Foundation, we see the world in the lives of every individual impacted by our work. This 2010 Annual Report tells the stories of eight such individuals. They come from different backgrounds and different continents, but their personal struggles and life experiences bring into stark relief some of the most pressing global challenges we face. From food insecurity in Africa to economic insecurity in America, from cities grappling with the impact of climate change and the need for sustainable transportation, the stories in this report will give you our perspective on how critical global issues impact individual lives. Of course, these stories also illustrate solutions the Rockefeller Foundation brought to bear—and in many cases pioneered—in 2010. Here, you will read about weather-indexed crop insurance and mobile health kiosks in Africa, interactive online tools and pilot infrastructure projects in Asian cities. From public education campaigns and policymaking advice at the state and federal levels in the U.S., to path-breaking methods of harnessing private capital for social gain, the breadth of our work in 2010 was matched only by the scope of the challenges the world faced. At the beginning of the second decade of the new millennium, the ground is shifting beneath us. The impacts of climate change are accelerating. The global population is growing rapidly and restlessly, and many are moving into cities, accelerating the pace of urbanization. Against this backdrop, the work of the Rockefeller Foundation is urgent, exciting, and continues apace. A full listing of the Foundation’s 2010 grants, organized by issue area and initiative, is provided at the end of this report. Thank you for your interest in our ever-evolving efforts to build more equitable, adaptive, and resilient societies around the world. Judith Rodin
President
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The Rockefeller Foundation 2010 Annual Report
4
Sowing the Seeds of Africa’s Green Revolution
10
Driving Sustainable and Equitable Transportation Policy
14
Building Strong Systems for Healthy Communities
20
Detecting Disease Through Integration
24
Working for a Stronger Safety Net
28
Innovating Within and Across Institutions
32
Building Climate Change Resilience
38
2010 Trustees
39
2010 Staff
42
2010 Grants
62
2010 Financials
64
References
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Sowing the Seeds of Africa’s Green Revolution
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seeds of renewal. Mityana means “40 trees” in Swahili, and for years, the rural Ugandan village boasted little other greenery. Trained agronomists were scarce and many miles away, leaving local farmers like Sebulega John Bosco uninformed about agricultural best practices. For a long time, Sebulega recalls, he neglected to fertilize his bean fields at all. That was before Annet. Supported by the Alliance for a Green Revolution in Africa (AGRA), “agro dealer” Annet Mubiru has become one of Mityana’s most precious resources, as prized as the rain. The shelves of her modest shop carry an assortment of quality seeds, fertilizers, and pesticides. But Annet herself may be the most valuable asset, a trained agricultural adviser offering guidance to the community’s smallholders. Thanks to Annet’s suggestions and supplies, Sebulega increased his crop yield 150 percent, to 2.5 tons per acre. Mityana’s 40 trees now shelter a healthier, heartier harvest.1
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A Growing Problem Unfortunately, the vast majority of sub-Saharan Africa’s 570 million small farmers2 have not been as successful as Sebulega. Where Sebulega and the rest of Mityana have ready access to agricultural advice and customized supplies, millions of others must trek many kilometers to the nearest agro dealer. Once there, they frequently find industrial-sized packages of seeds and other supplies too costly and heavy to bring home. Their fields lie fallow, failing. Sub-Saharan Africa’s rapidly increasing population has outgrown traditional farming systems, threatening the income and food security of millions. Twothirds of the region3 consists of isolated agricultural communities, consigned to lives of extreme hardship and low-yield subsistence farming. Roughly one in three sub-Saharan Africans is undernourished,4 and the only thing growing reliably is the number of people in poverty.
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A Foundation for Farming Reform In 2006, the Rockefeller Foundation partnered with The Bill & Melinda Gates Foundation to create the Alliance for a Green Revolution in Africa (AGRA), an Africa-based and African-led organization committed to sustainably increasing the productivity and profitability of small-scale farms across Africa. Chaired by former United Nations Secretary-General Kofi Annan and working in 13 countries,5 AGRA’s concerted, system-wide approach has led to tremendous gains in the quantity and quality of crops by producing new seed varieties, new systems of water management and enhanced soil fertility, and more recently a Market Access Program enabling smallholders to better market what they produce. By building new storage and processing facilities, and giving farmers the tools to compete in the regional and global marketplace, AGRA’s market program is projected to result in a 50 percent increase in income and a 50 percent decrease in food insecurity for farming families.6 In the next decade, AGRA aims to cut food insecurity in half in 20 African countries, and double the incomes of 20 million small farmers.7
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Reviving the Revolution It was the genius of field agricultural scientists like Norman Borlaug— funded by Rockefeller Foundation investments—that unleashed the Green Revolution in Central America and Asia, credited with saving a billion lives.8 Simply shrinking a stalk of wheat dramatically grew crop yields and incomes. Over half a century later, the Rockefeller Foundation remains just as dedicated to the belief that productivity growth is a powerful driver of poverty reduction. Innovative, integrated initiatives like AGRA reach across all sectors of society, leveraging the power of individuals—whether farmers, agricultural researchers, or government officials—to make smarter use of global resources. As Mityana flourishes, as the world works to address the disparities of the 21st century, the Rockefeller Foundation will continue to focus on food security, and AGRA will be part of the answer.
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Driving Sustainable and Equitable Transportation Policy
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the cost of a commute. In 2006, buying an SUV and moving to the San Francisco suburbs made sense for Darren. Then he lost his full-time job as a security guard and took two part-time jobs, driving further, seven days a week, for a smaller salary. Public transit cannot get Darren to where he needs to go. The roads and bridges he travels are among the most structurally deficient in the nation,1 causing delays and costing additional fuel. Every month Darren spends $500 for gas, $515 for car payments, $80 for insurance, and $180 for tolls—over half his salary just commuting to work—and gas prices could rise precipitously at any time.2 A driver with a story like Darren’s sits in many of the cars around him on his frustrating morning commute. Each year, traffic takes a toll beyond the tollbooth, costing Americans 4.2 billion hours and $87 billion in productivity and wasted fuel.3 Middle-class households spend more on their cars and gas than on taxes and healthcare.4 It is the second highest expense for American families, and the highest for lower income households, who spend a staggering 30 percent of their income on transportation.5 The aging transportation infrastructure in the United States fails to service areas where it is desperately needed, lagging woefully behind other countries at great cost to American competitiveness. One out of every nine U.S. bridges needs serious structural repair.6 Meanwhile over the last decade, China has invested $3.3 trillion in cutting-edge infrastructure,7 much of it in public transportation that is fuel-efficient and gets people to where the jobs are. But instead of meeting these challenges—ensuring that U.S. transportation policy is thoughtful, sustainable, and equitable—Congress is as gridlocked as the roads. When it comes to the systems that help us get where we’re going, the U.S. has no focused, financed plan for where it’s headed—and, like Darren and millions of commuters, we’re going nowhere fast.
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Promoting Direction and Drive The Rockefeller Foundation is working to provide the direction and drive needed to build a 21st century transportation system. In 2010, Rockefeller’s Transportation Initiative funded a scenario-planning exercise for key stakeholders to map creative paths toward federal legislative reform in transportation policy. Rockefeller is working closely with policymakers at the state and local level, where significant transportation investments are made. And in September 2010, a Rockefeller-supported campaign to reduce greenhouse gas emissions from cars through expanded public transit achieved a major milestone when the California Air Resources Board approved aggressive standards for the state. Rockefeller is also committed to increasing the American public’s awareness of our transportation crisis. Through a Rockefeller grant, PBS produced and aired a 90-minute documentary, “Beyond the Motor City,” which outlined the decline of the transportation infrastructure and the vital importance of rebuilding it. Another Rockefeller-funded initiative, the interactive “Energy Trap” website, highlights stories—including Darren’s—to illustrate America’s harmful gasoline dependency. To translate awareness into action, Rockefeller also helped launch Transit Score, a free online tool that rates homes in 140 U.S. cities based on their proximity to public transportation. The wheels of reform turn slowly, but Rockefeller is increasing the torque through these and other transportation innovations.
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Rebuilding a Path to the American Dream When John D. Rockefeller established the Rockefeller Foundation in 1913, the U.S. was rapidly industrializing. As Rockefeller grew, the foundation directed part of its energies toward the thoughtful planning of this fantastic growth, especially as it impacted cities. When a self-taught urban theorist named Jane Jacobs applied for a grant in 1958, Rockefeller recognized her passion and vision, leading to the creation of the field of urban design. Among Jane Jacobs’ many insights was the belief that, as she put it, “trade in ideas, services, skills and personnel, and certainly in goods, demands efficient, fluid transportation and communication.”8 That belief guides Rockefeller’s commitment to smart transportation policy today. Transportation infrastructure does not just move people from one place to another; it is a path to the middle class dream in countries around the world.
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Building Strong Systems for Healthy Communities
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on the ground innovation. India is home to countless global call centers, but residents of the state of Bihar could not easily call an ambulance in emergencies. A sick child or injured worker had to contact a specific hospital, or even dial the ambulance driver’s mobile phone—information that was very difficult to obtain. Five years ago, the municipal government and a local computer company created a 24-hour call center integrating existing ambulances into a single network. Now, 102 Ambulance Call Centre puts life-saving transportation just three digits away.1 On a different continent, Dr. Sam Gwer wrestled with a related obstacle. Health services were few and far between in rural Kenya, where even a simple check-up often meant traveling long distances and forfeiting a day’s pay. How, then, to provide adequate medical care to communities unable to sustain full clinics? Dr. Gwer’s solution: a set of locally-run health kiosks, M-Afya Kiosks, dispensing basic health services and serving as a first line of defense for ailing Kenyans.2
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There are countless stories like these in the developing world—stories of limited access to health care, and new innovations that can dramatically improve health care outcomes. But even as global health spending has increased dramatically, access to healthcare remains a distant dream for millions in the developing world. Achieving healthy communities will largely depend on strengthening health systems—the networks of people, organizations, and governments committed to promoting physical wellbeing—yet global health efforts have primarily targeted specific populations and diseases. These medical advances are vitally important, but it is equally imperative to improve countries’ capacities to reach all their citizens for health care.
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Because of inadequate coverage and patchwork health systems, the cost of illness is compounded. Travel to doctors and the cost of medicine—on top of work lost due to ill health—take its toll. The world’s poorest people pay the highest percentage of their income for health, yet end up with neither. Each year, catastrophic health expenditures force 25 million households into poverty,3 while nearly 10 million children and half a million women die from treatable causes.4 We are failing to cover the costs of care at the cost of human life and prosperity.
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Strengthening Systems Only 40 percent of the global population benefits from some form of health coverage. That’s why Rockefeller Foundation’s Transforming Health Systems (THS) initiative is committed to broadening access to affordable health services in developing countries, with the ultimate goal of doubling by 2020 the number of people achieving close to universal coverage. Throughout 2010, Rockefeller made more than $17.5 million in grants to engage local entrepreneurs, public and private organizations, and global health experts to focus on strengthening or changing approaches in critical but neglected areas: health systems stewardship, e- and mobile health approaches, and private sector integration. Both the 102 Ambulance Call Centre and Dr. Gwer’s M-Afya Kiosks are part of the Rockefeller-funded Center for Health Market Innovations, which consolidates and disseminates information about creative new approaches to health systems. Along with the World Health Organization, the Public Health Foundation of India, and the William A. Haseltine Foundation, Rockefeller is collecting, analyzing, and implementing these innovations, which are being promoted at high-level symposia and on the ground throughout the developing world.
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A Public Health Dynamo From the beginning, Rockefeller has been committed to creative, holistic thinking in the field of public health. Rockefeller researchers at the world’s first schools of public health—established by Rockefeller—were dogged in fighting malaria, polio, and countless other public health threats. Today, a century later, Rockefeller continues to devote its resources and energy to strengthening the systems through which life-saving treatments flow, and making access more available and affordable.
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Detecting Disease Through Integration
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symptoms unknown. A few miles outside Phnom Penh, a young boy lies in bed, his illness unknown and his parents fearful. Their village has never seen anything like it. Within a week, dozens of people are hospitalized with similar symptoms. Halfway around the world, a group of doctors go about their business, knowing how to treat this disease, but not knowing about its spread in Cambodia. With no network to transfer critical infectious disease information, without open lines of communication, thousands more fall sick. The “new” disease becomes an unchecked pandemic. By the time the right expertise is brought to bear on the problem, it’s too late—the disease has spread around the globe. In a world of global trade and travel, what’s traded fastest and travels furthest are the microbes in every handshake. Southeast Asia, with its 600 million people and large poultry trade, has been recognized by the World Health Organization as a global hotspot for emerging infectious diseases.1 When Hong Kong suffered a nine-month outbreak of SARS— severe acute respiratory syndrome—in 2002, it killed nearly 1,000 of the roughly 8,500 infected.2 Outbreaks such as avian influenza in Southeast Asia, and Rift Valley Fever in East Africa, can cost countries 2–5% of GDP, in addition to the price paid in human lives.3 The potential pandemics of the past few decades have severely tested the world’s ability to work across human borders. Detection remains weak in many parts of the world. The public health response has frequently been slow and fragmented. The looming threat of infectious disease presents humanity with a new challenge: to communicate and collaborate swifter and with greater efficiency than ever before.
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Integration Across Regions and Countries The Rockefeller Foundation has invested $22 million in its Disease Surveillance Networks Initiative to help contain the spread of infectious diseases and pandemics by strengthening national, regional and global disease surveillance and response systems. Two key Rockefeller programs—the Mekong Basin Disease Surveillance Network and the East African Integrated Disease Surveillance Network—have connected and empowered health care workers, epidemiologists and public health officials throughout the region, leading to a six-fold increase in cross-border disease surveillance sites over the last three years alone. In 2010, Rockefeller expanded on the successful, trans-disciplinary One Health campaign, which USAID and the Asia Development Bank have adopted as models. One Health refers to the integration of medical and veterinary science to tackle these new varieties of zoonotic diseases that move and mutate rapidly from animals to humans. These collaborations have created and strengthened a critical public health regional network, while the lessons learned have been exported across disciplines and countries. In addition to improving global public health ties, Rockefeller has helped raise the level of expertise and training on the ground. The Field Epidemiology Training Program places graduates in the top levels of government in Laos and Vietnam, while Rockefeller grants have transformed the tools available to doctors, allowing them to harness the power of the Internet to communicate and monitor events, understand local contexts, and analyze new problems. At last, we are applying 21st century tools to combat 21st century health challenges.
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A Legacy of Building Bridges The Rockefeller Foundation is dedicated to harnessing globalization’s power to spread expertise and foster collaboration across the globe. With barriers falling, and products, people, and ideas moving faster than ever, Rockefeller has worked to connect health care practitioners, policy makers, and veterinarians in every region. As illustrated by the emerging pandemics of this new century—SARS, avian flu, and swine flu—if we don’t move quickly, viruses will. By continuing our drive to invest in systems that coordinate efforts and share information, the Rockefeller Foundation is working to ensure that we have the ability to meet the health challenges of an interconnected world.
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Working for a Stronger Safety Net
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lifesaving savings. Like millions of American workers, Teresa struggles to make ends meet. She enjoys her job as an aide in the children’s unit of a psychiatric facility, and she works hard. Teresa’s daughter dreams of going to college, and Teresa dreams of sending her there. But for Teresa, living paycheck-to-paycheck means that financial security—let alone college for her daughter—remains a distant dream.1 A new income tax innovation is helping people like Teresa. In 2010, the IRS began to allow taxpayers to check a box on their returns to automatically set aside a portion of their refund for long-term savings. Developed by the Rockefeller-supported Doorway to Dreams Fund, the checkbox savings initiative incentivizes “impulse saving” at the moment lowincome workers receive their refunds. Portable, transferable savings bonds offer stability and high interest rates to families struggling to save, and they are just one way in which Doorway to Dreams is enabling families to achieve newfound economic security. Teresa has begun putting away $50 each month—savings that one day may help finance her daughter’s education. Teresa’s precarious situation highlights the breakdown of the American social contract at a time of growing economic dislocation. Competition in the global economy has led to the erosion of employer-based benefits, threatening family stability and retirement security. As long-term unemployment persists—the highest since the Depression2—unemployment insurance is running out. Economic shocks require resilience, but today’s workers save only a third of what their parents did,3 and have little to fall back on as a result. These problems are compounded by a surprising shortage of robust, reliable data on the economic insecurity of American workers. As policymakers engage in heated battles over the future of unemployment benefits, Social Security, and health insurance, no index exists to gauge the most important factors determining the economic security of the average American worker. We are flying blind in economic storm clouds that will not clear for the foreseeable future.
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Strengthening Worker Wellbeing To repair the fraying edges of our social safety net, the Rockefeller Foundation has focused on developing quality data and utilizing it to promote evidencebased policy discussions. Supporting researchers at Yale University has led to the development of the Economic Security Index (ESI), which will help address the lack of uniform measurement and understanding of economic security. Another Rockefeller project created a survey seeking to better gauge attitudes towards Social Security and ways to strengthen it for vulnerable populations. Building on this knowledge base, Rockefeller has established collaborative partnerships for policy reform across a spectrum of worker issues. In addition to the Doorway to Dreams Fund that’s helping Teresa, Rockefeller has worked closely with groups advocating expanded access to retirement savings, green jobs for low-income workers, and benefits for independent workers.
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Begun in 2009, Rockefeller and the National Employment Law Project have partnered to provide the critical support and technical expertise in 2010 that is needed to keep our gravely threatened unemployment insurance solvent and available for workers. Through these initiatives, Rockefeller intends to help safeguard and strengthen the wellbeing of our workers.
An Opportunity to Make a Living Our founder, John D. Rockefeller, once stated his belief that “the world owes no man a living,” but “it owes every man an opportunity to make a living.”4 In many ways, that has been our guiding principle as we fight to restore and revitalize our nation’s compact with its workers. For the 21st century American, the opportunity to make a living calls for building personal savings, improving retirement security, ensuring secure and portable healthcare coverage, and protecting vulnerable workers from economic shocks. The work of millions of Americans undergirds the success of our country, and we believe it is essential to ensure their dignity and livelihood.
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Innovating Within and Across Institutions
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finding innovative solutions. Convicted British criminals are sent to the Peterborough Prison, 75 miles north of London, and after serving their time, they are released. Within one year, six in ten find themselves behind bars again.1 Other British prisons see similar—staggeringly high—recidivism rates. Instead of rehabilitation, felons experience an endless cycle of incarceration. Now, a UK-based nonprofit, Social Finance Ltd., is trying to break that cycle. With contributions from the Rockefeller Foundation and other investors,2 Social Finance is brokering funding from retail investors for social programs that studies show is helping former prisoners find employment and rebuild their lives and thus reduce recidivism. Social Finance has struck a deal with the British government; if the private social programs funded by investors can measurably reduce recidivism, the government will repay Social Finance’s investors back with interest. If these private programs fail to meet certain benchmarks, the government pays nothing. It’s an intriguing new compact between the private and public sectors—a “social impact bond”—and it could go a long way toward tackling social ills.3 Even when we know problems are being adequately addressed, changing is challenging. Recently, the Obama administration successfully implemented a federal home nursing program—33 years after studies demonstrated its effectiveness.4 Some of the most creative, well validated and potentially ground-breaking approaches to intractable societal issues languish in think tanks or Congress, lacking support or political will. Money is tight, especially in these times, and new solutions mean diverting funds from existing programs with no guarantee of success. It’s tough to innovate on the taxpayer’s dime.
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Paying for Success By transferring risk from the taxpayer to the investor, social impact bonds hold the promise of implementing innovative, results oriented, and cost effective solutions. The social sector innovates and tests, and the government rewards measurable gains. These are “pay for success” bonds, and their widespread application could lead to tremendous improvements, from increasing kindergarten readiness to decreasing hospital readmissions for the chronically ill. Understanding the potential of social impact bonds, Rockefeller was a cornerstone investor in Social Finance for their Peterborough Prison pilot.5 The Foundation has since committed to promoting social impact bonds in the U.S., funding the Nonprofit Finance Fund to create an online information-sharing platform.6 These efforts have created a great deal of publicity and interest; the governments of Minnesota and Massachusetts are exploring social impact bonds, and President Obama has proposed setting aside $100 million for seven pilot programs.7
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A Century of Innovation The Rockefeller Foundation has always devoted itself to the pursuit of paradigm-changing approaches to societal challenges. Some of Rockefeller’s most successful and gratifying initiatives have taken place by moving freely between the social, private and public sectors, seeding capital, ideas, and solutions. Social impact bonds are just another means to harness the respective advantages of each sector. They formalize and catalyze the bonds between all of us, stakeholders in a new century.
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Building Climate Change Resilience
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from country to city. The sun beats down on Suranga and her five children, as they trudge toward the speck of city in the distance. It’s hot—much hotter than in previous years—and the children are wilting like the grain the family grew until recently. The great monsoons, called “India’s finance minister” for their critical role in determining crop yields and global commodities prices, come more erratically now, starving some villages and flooding others.1 Abandoning the family’s ancestral community was hard, but not as hard as survival had become. In the city, the mother wants to believe, all will be secure and successful. That urban utopia never materializes. Swallowed up by the city, the family finds itself facing new challenges, a different kind of precarious existence. Their fellow migrants throng the thoroughfares, competing for food, water, and jobs. Open sewage carries disease among the densely-packed people. When the next flood comes, chaos will ensue. Despairing, the mother sees that the consequences of the changing climate loom as large in the city as in the country. The right response, she realizes, is not relocation, but becoming more resilient.
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An Inescapable Dilemma As global temperatures rise, sea levels, the frequency and intensity of natural disasters, and agricultural upheaval will rise as well. Crop yields in sub-Saharan Africa are projected to fall 10–20 percent by 2050,2 at a time when the region’s population will surpass even India’s explosive growth.3 By mid-century, the U.N. estimates that climate change will have displaced more than 150 million environmental refugees—including 23 million in the U.S. alone. They will seek salvation in cities. Already in the developing world, 1 million people are moving to urban centers every five days.4 The fastest-growing metropolis in the world—the Chinese coastal city of Beihai— is set to double its population of 1.3 million within just seven years.5 By 2050, nine out of ten Americans will live in urban areas.6 There, the same climate impacts that drove people into cities will wreak havoc on these dense pockets of humanity. We cannot outrun the problem. Across the developing world, the pressure on cities to build new industrial, commercial, residential and transport infrastructure has often relegated social and environmental risks and vulnerabilities to the background. While ignoring these perils may have been politically expedient or economically justifiable in the past, the onset of rapid urbanization and climate change compel us to adopt a radically different approach for the future.
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Reinforcing Resilience The Rockefeller Foundation has devoted a significant portion of its work to ensuring that as the effects of climate change are increasingly felt, rural and urban settings alike have implemented strategies to withstand and surmount adverse impacts. Through partnerships with nonprofits and policy experts across the world, Rockefeller is reinforcing resilience. In sub-Saharan Africa, Rockefeller and its partners are advocating and testing climate adaptation strategies, implementing a weather-indexed crop insurance program, analyzing aid effectiveness, and funding agricultural resilience research. In Asia—where the population is simultaneously the most vulnerable to climate change and the most rapidly urbanizing—Rockefeller has created the Asian Cities Climate Change Resilience Network (ACCCRN) to build robust response mechanisms into infrastructure, water delivery, and healthcare systems. Expanding on successful pilot programs in 10 cities across India, Vietnam, Indonesia, and Thailand, Rockefeller is partnering with donors as well as organizations like Mercy Corps to identify additional cities in which to pioneer replicable models of environmental resilience. In the U.S., Rockefeller and the Resource Innovation Group have launched the Climate Preparedness Learning and Adaptation Network to synthesize resilience models into coherent, executable policy.
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The Urban Imperative When it comes to building the social capital necessary for true resilience, perhaps the most critical lesson to emerge from ACCCRN is that it will take a massive shift in mindset in three respects: first, we need to move from a deeply siloed system of urban management to one in which integration and interdependencies are central to decision-making and coordination; second, we must shift from a culture of planning based on the need for certainty to one in which there is a dynamic capacity to absorb new and changing information on a continuous basis; and third, we need to invest in the understanding that building truly resilient cities in the 21st century requires the resolve to take a series of small steps and solutions—generated through dialogue across and between sectors and actors—to address a broad range of challenges.
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Situated for a century at the heart of one of the world’s great cities, the Rockefeller Foundation has always made a profound and enduring commitment to enhancing the wellbeing of the urban environment and its people. The effects of a changing climate have only heightened the urgency of these efforts, as it is the urban areas of the world where poverty and climate threats meet and run rampant. Knowing that climate consequences are coming, we have a responsibility to prepare and protect the world’s most at-risk populations.
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2010 trustees This list includes any Trustee who served between January 1 and December 31, 2010. James F. Orr III, Board Chair (until 12/13/2010) President and CEO LandingPoint Capital Boston, Massachusetts David Rockefeller, Jr., Board Chair (effective 12/13/2010) Director and Former Chair Rockefeller & Co., Inc. New York, New York Ann Fudge Retired Chairman and CEO Young & Rubicam Brands New York, New York Helene D. Gayle President and CEO CARE USA Atlanta, Georgia Rajat K. Gupta Senior Partner Emeritus McKinsey & Company Stamford, Connecticut
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Thomas J. Healey Partner Healey Development LLC Morristown, New Jersey Alice Huang Senior Faculty Associate in Biology California Institute of Technology Pasadena, California Strive Masiyiwa Executive Chairman Econet Group Johannesburg, South Africa Diana Natalicio President The University of Texas at El Paso El Paso, Texas Sandra Day O’Connor Associate Justice, Retired Supreme Court of the United States Washington, D.C. Ngozi Okonjo-Iweala Managing Director The World Bank Washington, D.C.
Surin Pitsuwan Secretary-General ASEAN (the Association of Southeast Asian Nations) Jakarta, Indonesia Richard D. Parsons Chairman of the Board Citigroup Inc. New York, New York Judith Rodin President The Rockefeller Foundation New York, New York John W. Rowe Professor Columbia University New York, New York Vo-Tong Xuan Rector Emeritus An Giang University Long Xuyen City, An Giang, Vietnam
2010 staff Office of the President Judith Rodin President Aissata Camara Administrative Assistant Theodore Grant, Jr. Special Assistant to the President Daphne Jean Administrative Assistant Louise Lopez Executive Assistant to the President Andrea Snyder Operations and Project Coordinator
Foundation Initiatives Heather Grady Vice President Janice Nittoli Associate Vice President and Managing Director Maria Blair Managing Director Margot Brandenburg Associate Director Karl Brown Associate Director Robert Buckley Advisor Antony Bugg-Levine Managing Director Charlanne Burke Senior Research Associate Julie Carandang Administrative Assistant Abigail Carlton Research Associate Veneka Chagwedera Project 55 Fellow Lillian Chege Research Associate Benjamin De La Pena Associate Director Lilly Dorment Research Associate Katherine Fallon Project 55 Fellow
Brinda Ganguly Associate Director Robyn Gibbons Executive Assistant Thomas Helmick Administrative Assistant Amira Ibrahim Research Associate Justina Lai Research Associate Robert Marten Research Associate Kathryn Maughan Administrative Assistant Stefan Nachuk Associate Director Veronica Olazabal Research Associate Ariel Pablos-Mendez Managing Director Andrea Porter Administrative Assistant Donald Roeseke-Dupree, Jr. Administrative Assistant Cristina Rumbaitis Del Rio Associate Director Amanda Sevareid Research Associate Michael Shroff Administrative Assistant Terence Strong Project Coordinator Suman Sureshbabu Research Associate Michele Tall Administrative Assistant Gary Toenniessen Managing Director Edwin Torres Director Sarah Troup Program Operations Associate Maria Trujillo Executive Assistant
Operations Peter Madonia Chief Operating Officer Melvin Galloway Associate Director Janet O'Connell Executive Assistant
Centennial Programming John Myers Senior Policy Officer and Director of Centennial Programming Sheetal Matani Research and Project Manager
Communications Office Diane Fusilli Director Nichole Acosta Term Communication Associate Rachel Christmas Derrick Senior Writer Katherine Gomez Executive Assistant Laura Gordon Press Officer Jonas Kieffer Speech Writer/Senior Writer Susan Seliger Term Web Content and Online Community Manager Stephanie Valera Web Content and Online Community Manager Teresa Wells Chief Media Strategist
Nicholas Turner Managing Director
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2010 staff Masika Henson Investment Assistant Lauren Jacobson Senior Investment Analyst Chun Lai Deputy Chief Investment Officer Andrew Nicholas Investment Assistant Michelle Pak Managing Director
Evaluation Nancy MacPherson Managing Director Laura Fishler Evaluation Coordinator Juanita Frazier-Martin Administrative Assistant Penelope Hawkins Senior Evaluation Officer
Office of Human Resources Samantha Gilbert Chief Human Resources Officer Rita Boscaino Manager, Compensation and Benefits Juan Brito Associate Director, Staffing and Employee Relations David DeCooman Executive Assistant Christopher Grygo Learning and Development Officer
Cindy Shiung Financial Associate Christopher Van Buren Managing Director Phyllis Vena Investment Analyst Victoria Vysotina Managing Director Anwen Wang Investment Analyst
Facilities and Administrative Services Hilary Castillo Director David Hall Receptionist Gilbert Martinez Facilities Assistant Esma Myers-Thomas Administrative/Purchasing Assistant James Partington Facilities Manager
Office of the General Counsel Shari Patrick General Counsel and Corporate Secretary Laura Abel Associate Counsel Sheila Smith Executive Assistant
Office of Financial Resources Ellen Taus Chief Financial Officer Alexander Danik Investment Accountant Irena DiMario Manager of Financial Accounting Amanda Fairchild Payroll and Accounts Payable Manager George Hall Accountant Dominick Impemba Controller Mi Lo Accountant Manisha Nayi Executive Assistant Marcia Noureldin Accountant, Accounts Payable
Office of Grants Management Pamela Foster Managing Director, Assistant General Counsel
Lillian Johnson Assistant
Information Technology
Andrea Ace Project Manager
Alma Leathers Administrative Assistant
Scott Ceniza-Levine Chief Technology Officer
Jason Boone Executive Assistant
Diane Samuels Generalist
Marc D'Alessandro Network Engineer
Jennifer Cooper Grants Specialist
Treasurer's Office
Jill Hannon IT Project Coordinator
Peter Helm Manager, Grants Administration
John Lee Senior Programmer/Analyst
Susan Moore Grants Assistant
Vito Romano Help Desk Administrator
Nissa Puffer Grants Specialist
Carolyn Wendrowski Project Manager
Bonnie Rivers Grants Specialist
Donna Dean Treasurer and Chief Investment Officer Ronald Chen Managing Director Douglass Coyle Managing Director Diane Eckerle Executive Assistant 40 | The Rockefeller Foundation | 2010 Annual Report
2010 staff Paul Szeto Associate Director
Enrica Gilardoni Manager, Administration and Finance
Zuhura Masiga Administrative Assistant
Research
Elena Ongania Receptionist/Residents Assistant
Katherine Namuddu Associate Director
Laura Podio Conference Coordinator
Nancy Njoki Manager Resources
Facility Staff
Melkzadeck Okwemba Office Assistant/Driver
Claudia Juech Managing Director Bethany Martin-Breen Information Specialist Louise Masarof Information Specialist Evan Michelson Associate Director Laura Yousef Administrative Assistant
Records Management Robert Bykofsky Records Manager David Montes Records Analyst Elizabeth Pena Records Analyst
Strategy and Evaluation Zia Khan Vice President Caitlyn Fox Strategy Associate Jessica Joseph Associate Director Joselito Manasan Executive Assistant
Bellagio Study and Conference Center, New York Charles Garris Managing Director Linda Marston-Reid Bellagio Center Coordinator
Antonio Billai Paolo Bipo Dina Caola Claudio D'Onghia Luisa Fumagalli Albino Gandola Michele Gandola Silvana Gandola Umbertina Gilardoni Marina Gilardoni Simona Gilardoni Silvano Gilardoni Andrea Gilardoni Vittorio Gilardoni Diana Maria Gonzalez Francesco Manera Laura Maranesi Mauro Mazzucchi Victoria Monsalve Paolo Negroni Luca Ravasio Beppino Salvadori Nicoletta Sancassani Giacomo Sancassani Arianna Sancassani Rupasena Sembapperuma Attilio Stolfi Hassnae Tovali Antonello Vaccani Marco Wenk Rosa Zambetti
Africa Regional Office, Kenya James Nyoro Managing Director Wiebe Boer Associate Director
Bellagio Study and Conference Center, Italy
Susan Kagondu Research Associate
Pilar Palacia Managing Director
Regina Karanja Administrative Assistant
Paola Bianchi Executive Assistant/Finance Clerk
Betty Kibaara Research Associate
Nadia Gilardoni Conference Coordinator
Mwihaki Kimura Muraguri Associate Director
Mary Wangugi Finance and Administration Assistant/Accountant
Asia Regional Office, Thailand Ashvin Dayal Managing Director Chalempol Attasara Office Assistant/Driver Anna Brown Associate Director Paksupa Chanarporn Executive Assistant Thitikarn Chayrusmeekul Administrative and Front Desk Assistant A. Mushtaque Chowdhury Associate Director Pimpavadee Phaholyothin Program Associate Kitima Praphandha Executive Assistant Somkiat Rongchitprapus Senior Accountant Natakorn Satienchayakorn Administrative and Front Desk Assistant Busaba Tejagupta Office and Grant Administrator Praerung Uennatornwaranggoon Research and Communication Associate
The Rockefeller Foundation | 2010 Annual Report | 41
2010 grants Alliance for a Green Revolution in Africa (AGRA)—General Meridian Institute, Dillon, CO, United States: $100,000 toward the costs of launching an Initiative on Food and Agriculture Policy (IFAP), an effort to develop a donor coalition to examine opportunities where U.S. farm, food and climate change policy reforms could help break cycles of hunger in developing countries. Pamoja Media East Africa Limited, Nairobi, Kenya: $89,950 in support of an online and mobile social networking platform to build agricultural capacity among a new generation of farmers in Kenya. Regional Universities Forum for Capacity Building in Agriculture, Limited, Kampala, Uganda: $99,000: in support of an event to build capacity for African tertiary institutions to utilize foresight methods and techniques to plan for training Africa’s agriculture sector in the near- and long-term, to be held at the Ministerial Conference on Higher Education in Africa, Uganda, November 2010.
AGRA—Output Markets Alliance for a Green Revolution in Africa, Nairobi, Kenya: $8,000,000: toward the costs of its Market Access Program to direct investments and resources to improve the market infrastructure for the core food staples of selected countries in Africa, leading to increased incomes for smallholder farmers.
BlueGreen Alliance Foundation, Minneapolis, MN, United States: $250,000 for use by its Green Manufacturing Center toward the costs of providing information and services to businesses, government agencies, and policymakers in order to expand green manufacturing and to retool existing manufacturing capacity for the clean energy economy. Brookings Institution, Washington, DC, United States: $354,700 in support of research to measure the impact on overall income distribution of the major elements of the Patient Protection and Affordable Health Care Act, which will be used to inform debates on the Act’s implementation and how it will affect the financial well-being of low- and middle-income American families. Center for American Progress, Washington, DC, United States: $245,900 in support of developing a prototype for Social Security Cares, a proposal to expand the Social Security system to include administering paid family and medical leave. Center on Budget and Policy Priorities, Washington, DC, United States: $3,000,000 in general support of its mission to improve federal and state policies affecting low- and moderate-income families and individuals.
American Workers
Community Catalyst, Inc., Boston, MA, United States: $200,000 in support of the Affordable Care Act Implementation Fund, which seeks to ensure effective and equitable implementation of health care reform for poor and vulnerable populations in the U.S.
AARP, Washington, DC, United States: $190,000 for use by its Office of Social Impact in support of public opinion research, outreach to news media and grassroots public education efforts to strengthen Social Security with an emphasis on improving adequacy of benefits, not just solvency.
D2D Fund, Inc., Roxbury, MA, United States: $425,000 toward the costs of its efforts to expand savings options for lowand moderate-income American workers by promoting savings bonds through a strategy of demonstration, research, education and communication.
Aspen Institute, Inc., Washington, DC, United States: $450,000 for use by its Initiative on Financial Security in support of its “Securing the Safety of Retirement Savings” project, an effort to design a new investment option that would help low- to moderateincome American workers build adequate retirement savings, and its “Lifelong Security Project,” an examination of how annuity products and policies will affect low- to moderate-income families.
Earned Asset Resource Network, Inc., San Francisco, CA, United States: $300,000 toward the costs of research and policy design focused on maximizing the potential of the Saver’s Tax Credit to provide additional retirement savings to low-income American workers.
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Economic Policy Institute, Washington, DC, United States: $500,000 in support of research, analysis and outreach on retirement policy with a focus on improving the
retirement security of low- and moderateincome American workers. Freedman Consulting, LLC, Washington, DC, United States: $175,000 in support of providing technical assistance to select grantees of the Rockefeller Foundation’s Campaign for American Workers initiative, focusing on positioning of policy proposals to be noticed by and useful to policymakers and other stakeholders. Grantmakers In Health, Washington, DC, United States: $50,000 toward the costs of an initiative, in collaboration with the Center for American Progress, to help track and coordinate efforts among national- and statelevel health care consumer groups, policy experts and funders around the implementation of the Patient Protection and Affordable Care Act. Labor and Employment Relations Association, Champaign, IL, United States: $150,900 in support of its newly-established Employment Policy Research Network, a network of labor and employment scholars dedicated to creating a central clearinghouse for employment policy research and fostering greater dialogue between the labor and employment research community and policymakers. National Council of La Raza, Washington, DC, United States: $500,000 for use by its Office of Research, Advocacy, and Legislation’s Health Policy Project toward the costs of research and education activities to help to ensure effective and equitable implementation of health care reform among Latino populations in the United States. National Employment Law Project, Inc., New York, NY, United States: $500,000 toward the costs of continuing and expanding its “Unemployment Insurance Safety Net Project,” which uses education, outreach and communications to raise awareness about the need to improve the federal unemployment insurance program to better respond to the challenges of the 21st century workforce. National Partnership for Women and Families, Inc., Washington, DC, United States: $300,000 toward the costs of its Paid Family Leave Initiative, an effort to promote paid family leave policies at the state and federal levels through research, policy, advocacy and public education.
2010 grants National Women’s Law Center, Washington, DC, United States: $500,000 toward the costs of its “Promoting the Economic Security of Women” initiative to advance policies that address the economic security needs of low-income women and families. New America Foundation, Washington, DC, United States: $1,135,000 in support of its “Next Social Contract Initiative,” an integrated program of research, meetings, and publications designed to address the economic insecurity of American workers and promote broad-based sustainable economic recovery through changing public policy, and a national study on the impact of transportation costs on low- and moderate-income Americans. New America Foundation, Washington, DC, United States: $293,000 toward the costs of continued testing and expansion of “AutoSave,” an automatic payroll deduction savings program, in collaboration with MDRC; and additional research and analysis of the “SaveNYC” program, an initiative designed to help low-income families build savings, in collaboration with the City of New York. President and Fellows of Harvard College, Cambridge, MA, United States: $684,500 for use by its Ash Center for Democratic Governance and Innovation at the John F. Kennedy School of Government in support of the Urban Policy Advisory Group, a nonpartisan effort to encourage the sharing of policy insights and best practices among local government officials in the U.S., focusing on emerging issues in urban governance and economic security. The Partnership for Working Families, Washington, DC, United States: $200,000 toward the costs of its Construction Careers program, an initiative designed to improve the quality of jobs in the construction industry and develop new recruitment and training standards to help workers of color and women gain access to construction careers. Trustees of Boston College, Chestnut Hill, MA, United States: $88,000 for use by its Center for Financial Literacy in support of its Withholding-to-Debt-Reduction Pilot Program, which will develop and test a tool to automatically redirect the excess tax withholdings of a target group of low-income, debt-burdened individuals to pay down credit card debt.
Yale University, New Haven, CT, United States: $272,200 for use by its Institution for Social and Policy Studies in support of developing a communications strategy for the initial launch and ongoing rollout of the Rockefeller Economic Security Index, which identifies and measures key indicators of whether U.S. workers have adequate protection to withstand hardship-causing economic loss. Yale University, New Haven, CT, United States: $621,856, for use by its Institution for Social and Policy Studies in support of additional installments of the Economic Security Index, which identifies and measures key indicators of whether U.S. workers have adequate protection to withstand hardshipcausing economic loss.
Bellagio Berenice Josephine Bickle De Basto, Polana, Mozambique: $29,900 as a Bellagio Creative Artist Fellowship, to enable the artist to spend three months at the Rockefeller Foundation Bellagio Center, in recognition of her past accomplishments as a visual artist, and to enable her to enhance her art. Institute of International Education, Inc., New York, NY, United States: $91,900 for the costs of administering the selection process for the 2011 Bellagio Creative Arts Fellows program and producing a brochure of the work created by the 2009 fellowship recipients while in residency at the Rockefeller Foundation Bellagio Center. Institute of International Education, Inc., New York, NY, United States: $1,217,000 for the costs of administering several activities related to the Rockefeller Foundation Bellagio Center, Italy: the semi-annual competitions for creative arts and scholarly residencies, the Bellagio Travel and Learning Fund, and support for outreach activities. Zbigniew Libera, Praha, Czech Republic: $29,900 as a Bellagio Creative Artist Fellowship, to enable the artist to spend three months at the Rockefeller Foundation Bellagio Center, in recognition of his past accomplishments as a visual artist, and to enable him to enhance his art.
Carbon and Poverty Reduction Cooperative for Assistance and Relief Everywhere (CARE USA), Atlanta, GA, United States: $494,000 for use by its
Poverty, Environment and Climate Change Network to develop and implement a sustainable agriculture and land management carbon project in western Kenya. Forest Trends Association, Washington, DC, United States: $600,000 in support of launching an African Agriculture Climate Finance Facility (AACFF) in two countries in an effort to innovate, test and document a new set of transaction models that can be used to access carbon and climate finance sources for smallholder farmer-driven agricultural climate mitigation and adaptation projects. Meridian Institute, Dillon, CO, United States: $193,600 toward the costs of its Global Dialogue on Agriculture and Climate Change, an initiative that seeks to include agriculture as a major mitigation and adaptation strategy in international climate negotiations, including a convening of key stakeholders at the Rockefeller Foundation Bellagio Center, Italy, May 2011. William J. Clinton Foundation, Little Rock, AR, United States: $3,000,000 for use by its Clinton Climate Initiative’s Carbon and Poverty Reduction Program in support of efforts to develop, deploy and demonstrate carbon measurement and accounting systems that enable poor people in rural areas of developing countries to participate in and benefit from global climate markets.
Centennial Fund Rockefeller Archive Center, Sleepy Hollow, NY, United States: $543,600 in support of a project, in connection with the Rockefeller Foundation’s centennial in 2013, to develop a web-based multimedia history of the Foundation, and make its primary documents and historic materials more broadly accessible to the diverse communities of researchers and educators interested in 20th century history.
Cities and Information CEOs for Cities, NFP, Chicago, IL, United States: $90,000 in support of research interviews with the chief information officers in U.S. city governments on the potential of technology as a tool for citizen engagement, and a meeting on “The Future of the Crowdsourced City,” to be held at the Rockefeller Foundation, New York, NY, December 2010.
The Rockefeller Foundation | 2010 Annual Report | 43
2010 grants Code for America Labs, Inc., Oakland, CA, United States: $200,000 in support of a project to explore and document the enablers and barriers to adoption by municipal governments of Web 2.0 applications as platforms for transparency, efficiency and citizen participation. Columbia University, New York, NY, United States: $50,000 for use by its Graduate School of Architecture, Planning and Preservation’s Spatial Information Design Lab to conduct research on the potential impact of information and communications technology on large scale data visualization in urban policy and planning and the uses of selfvolunteered information, focusing on impacts for poor and vulnerable people in cities. Institute for the Future, Palo Alto, CA, United States: $94,200 in support of a project to conduct research and create a forecast map on cities, information systems and citizen engagement that focuses on emerging technologies and the poor and vulnerable in the developed and the developing world. Massachusetts Institute of Technology, Cambridge, MA, United States: $65,000 for use by its Department of Urban Studies and Planning’s SENSEable City Lab in support of a conference to begin mapping a plan to establish a new international research network or center focused on cultivating a vision of the future city and, in particular, the impacts of technology on cities. McKinsey & Company, Inc. United States, New York, NY, United States: $100,000 in support of a landscape analysis of current and nascent technologies that cities and their residents in the U.S. and globally can use to collect and analyze city-level information and of the key drivers, trends and leverage points related to the application of such technologies to cities. National Building Museum, Washington, DC, United States: $250,000 in support of facilitating a dialogue among thought leaders, policymakers, and practitioners on the potential opportunities to create thriving and sustainable cities by utilizing new information technologies, including convening an “Intelligent Cities Forum,” to be held in Washington, DC spring 2011.
Climate: African Agriculture Egerton University, Egerton, Kenya: $483,900 in support of an initiative to help 44 | The Rockefeller Foundation | 2010 Annual Report
farmers and pastoralists in Kenya to adequately adapt to climate change as part of an effort to lead a regional climate change adaptation movement. Egerton University, Egerton, Kenya: $297,500 for use by its Tegemeo Institute of Agricultural Policy and Development in support of building institutional capacity in climate change research and analysis by conducting a socio-economic study on the effects of climate change on rural communities in Kenya and identifying adaptation responses. Ethiopian Institute of Agricultural Research, Addis Ababa, Ethiopia: $420,000 in support of the mainstreaming of climate change adaptation into food security and sustainable development in Ethiopia. Institut des Sciences Agronomiques du Rwanda, Kigali, Rwanda: $440,000 in support of strengthening climate change adaptation research to create demand-driven, market-responsive practices that improve food security for smallholder farmers in Rwanda. Pamoja Media East Africa Limited, Nairobi, Kenya: $81,200 in support of developing an online knowledge sharing and management system for research and development work on climate change resilience for African agriculture. Regional Universities Forum for Capacity Building in Agriculture, Limited, Kampala, Uganda: $84,600 in support of its work to strengthen the resilience of African agriculture to climate change by helping 25 east, southern, and central African universities in its consortium to access climate change adaptation funds and training opportunities. Sokoine University of Agriculture, Morogoro, Tanzania: $359,600 for use by its Department of Agricultural Engineering and Land Planning to support capacity building on climate change adaptation in the agricultural sector in Tanzania. United Nations Economic Commission for Africa, Addis Ababa, Ethiopia: $250,900 in support of funding participants and speakers to strengthen the sessions on climate change mitigation and adaptation at the Seventh African Development Forum, a high-level bi-annual event focused on key African development issues, under the 2010 theme of “Acting on Climate Change for Sustainable
Development in Africa,” to be held in Addis Ababa, Ethiopia, October 2010. University of Dar es Salaam, Dar es Salaam, Tanzania: $340,600 for use by its Institute of Resource Assessment in support of designing and delivering training on climate change adaptation to researchers at Tanzania’s seven autonomous zonal agriculture research centers and to staff seven other East African research and development institutions. University of Reading, Reading, England: $599,400 for use by its Walker Institute for Climate System Research in collaboration with its Statistical Services Centre, in support of providing capacity building assistance to the climate change units of seven agriculture research and development institutions in East and Central Africa. World Food Programme, Rome, Italy: $1,000,000 for use by its Climate and Disaster Risk Solutions (CDRS) unit in support of partnering with the African Union Commission to establish the African Risk Capacity project, an optimized global risk management system for providing natural disaster assistance to African countries.
Climate: Asian Cities Asian Disaster Preparedness Center, Bangkok, Thailand: $96,440 in support of developing and implementing a training course on climate and disaster risk management and providing technical assistance to Asian Cities Climate Change Resilience Network (ACCCRN) partners. Gorakhpur Environmental Action Group, Gorakhpur, India: $479,150 in support of developing a model for ward-level climate change resilience planning that can be integrated into the overall development planning process in Gorakhpur, India, as part of the Asian Cities Climate Change Resilience Network. Institute for Social and Environmental Transition, Boulder, CO, United States: $781,790 in support of assisting three cities in Vietnam—Can Tho, Da Nang and Quy Nhon—to plan and implement climate resilience projects, provide project management and financial oversight for resilience projects, map key climate change policies and networks and identify new sources of funding, as part of the Asian Cities Climate Change Resilience Network.
2010 grants Institute for Social and Environmental Transition, Boulder, CO, United States: $1,300,000 in support of collecting and analyzing evidence documenting the effectiveness of the Asian Cities Climate Change Resilience Network (ACCCRN) methodologies and interventions for replication, and including the dissemination of lessons and tools for adoption by other local, national and international actors through a variety of peerreviewed products and publications. Institute for Social and Environmental Transition, Boulder, CO, United States: $1,582,240 in support of establishing city climate change coordination offices in three Vietnamese cities (Can Tho, Da Nang and Quy Nhon) that will enable local government planning, decision making and policy implementation for climate change resilience and adaptation that is consistent with the requirements of the Vietnam National Target Program for Climate Change, as part of the Asian Cities Climate Change Resilience Network. Institute for Social and Environmental Transition, Boulder, CO, United States: $69,920 in support of a feasibility study of ways to provide livelihood skills, technologies and storm resistant building techniques to poor female-headed households in Da Nang City, Vietnam. Institute for Social and Environmental Transition, Boulder, CO, United States: $337,800 in support of an impact assessment of flooding and inundation scenarios on planned urban development in Nhon Binh Ward in the city of Quy Nhon, Vietnam, in the context of potential climate change impact and recent extreme storm events, in connection with the Asian Cities Climate Change Resilience Network. Institute for Social and Environmental Transition, Boulder, CO, United States: $367,160 in support of a project, in collaboration with the Da Nang University and city agencies in Da Nang, Vietnam, to build, test and share the data from two hydrological models to understand impacts of urban development and climate change in the city, a partial participant in the Asian Cities Climate Change Resilience Network. International Council for Local Environmental Initiatives—Australia/New Zealand Limited, Melbourne, Australia: $180,000 toward the costs of developing and testing a set of calibrated tools, materials
and processes for engaging new cities in India in understanding the challenges and opportunities for addressing urban climate change resilience, in order to disseminate the lessons from and begin to replicate the successes of the Asian Cities Climate Change Resilience Network.
and local governments to initiate reforms that support urban climate resilience in India, and document methodologies and lessons learned as part of the Asian Cities Climate Change Resilience Network.
International Institute for Environment and Development, London, England: $175,000 in support of research on urban adaptation to climate change for incorporation into the Fifth Assessment of the Intergovernmental Panel on Climate Change.
Taru Leading Edge Private Limited, Gurgaon, India: $509,900 in support of modeling an end-to-end early warning system that will help improve the management of reservoir releases and reduce the intensity of floods and resultant damage in the city of Surat, India, as part of the Asian Cities Climate Change Resilience Network.
Mercy Corps, Portland, OR, United States: $785,780 in support of assisting two cities in Indonesia (Semerang and Bandar Lampung) to plan and implement climate resilience projects, map key climate change policies and networks and identify new sources of funding, as part of the Asian Cities Climate Change Resilience Network.
Taru Leading Edge Private Limited, Gurgaon, India: $239,850 in support of developing and demonstrating a range of models for cost effective, reliable, decentralized urban water management that are driven by differentiated end-use demands in Indore City, India, as part of Asian Cities Climate Change Resilience Network.
Mercy Corps, Portland, OR, United States: $189,520 in support of a pre-feasibility study of the potential for rainwater harvest to be an available and effective alternative source of (domestic and drinking) water in Semarang city, Indonesia, as part of the Asian Cities Climate Change Resilience Network.
Climate: Policy & Replication
Mercy Corps, Portland, OR, United States: $233,530 in support of incorporating climate change and urban growth considerations into the development of an Integrated Solid Waste Management master plan, as well as an assessment of solid waste management technology, in Bandar Lampung city, Indonesia, as part of the Asian Cities Climate Change Resilience Network. Ove Arup & Partners International Limited, London, England: $1,649,960 in support of providing strategic planning, program management support and technical assistance to ensure program credibility, knowledge management support, and knowledge dissemination and replication support to the Asian Cities Climate Change Resilience Network program and its partners. Taru Leading Edge Private Limited, Gurgaon, India: $825,420 in support of assisting three cities in India (Surat, Indore, and Gorakhpur) to plan and implement climate resilience projects, by building the capacity of city partners and other actors in those cities to undertake urban climate resilience work, partner with national, state,
Federal Emergency Management Agency, Washington, DC, United States: $1,000,000 in support of its Community Resilience Innovations program, an initiative that will provide Community Resilience Innovation Challenge Awards to encourage innovative efforts to build community resilience to climate change and natural disasters, and establish a new structural mechanism for engaging with local communities to build resilience on a sustained basis. National Religious Partnership for the Environment, Amherst, MA, United States: $80,100 in support of the “Conference on International Adaptation” to highlight the need for greater policy support and financing for international climate change adaptation efforts, to be held in Washington, D.C. in early 2011. Resource Innovation Group, Inc., Eugene, OR, United States: $74,700 for use by its Climate Leadership Initiative in support of developing the Climate Preparedness Learning and Adaptation Network (CPLAN), a collaboration to advance the policy and practice of climate change adaptation within the United States.
The Rockefeller Foundation | 2010 Annual Report | 45
2010 grants Day of Service Rockefeller Foundation Day of Service Donations, New York, NY, United States: $30,000 for donations to organizations participating in the Foundation’s Day of Service, an opportunity for staff to spend a day volunteering with local organizations.
Disease Surveillance Networks Carleton University, Ottawa, Canada: $218,950 for use by its Centre for Trade Policy and Law toward the costs of a project to strengthen the emerging Global Health Diplomacy Network by creating and maintaining a website for collecting and disseminating key information about current global health diplomacy negotiations and other issues. Carleton University, Ottawa, Canada: $160,500 for use by its Centre for Trade Policy and Law toward the costs of an Interim Secretariat to support the activities of the Global Health Diplomacy Network. Chiang Mai University, Chiang Mai, Thailand: $45,130 for use by its Faculty of Veterinary Medicine in support of convening an international training course on One Health Leadership to be held in Chiang Mai, Thailand, May 2010. East, Central and Southern African Health Community, Arusha, Tanzania: $238,120 in support of its initiative to strengthen leadership and increase capacity and strategic information resources at the Ministries of Health in East, Central and Southern African countries in order to maximize benefits from future negotiations related to global health diplomacy. Graduate Institute of International and Development Studies, Geneva , Switzerland: $205,000 in support of two meetings—a conference for authors contributing to a textbook on Global Health Diplomacy and a training of trainer’s workshop—both to be held at the Rockefeller Foundation Bellagio Center, Italy, 2010. London School of Hygiene and Tropical Medicine, University of London, London, England: $253,170 in support of a project to strengthen the evidence base related to global health diplomacy and to plan for further research that supports the goals of the Global Health Diplomacy Network.
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Mahidol University, Nakhon Pathom, Thailand: $175,000 for use by its Institute for Population and Social Research to strengthen the emerging Global Health Diplomacy Network by supporting the expansion of its work into Southeast Asia, and organize a meeting to enhance local capacity to be held at the Rockefeller Foundation Bellagio Center, 2011. Makerere University, Kampala, Uganda: $150,000 for use by its School of Public Health’s Leadership Initiative for Public Health in East Africa in support of the Health Emergency Management Program’s efforts to build disease outbreak response and emergency management capacity in district health teams in Eastern Africa. Nuclear Threat Initiative, Inc., Washington, DC, United States: $275,000 for use by its Global Health and Security Initiative toward the costs of a project to promote global collaboration in disease surveillance across existing and emerging regional disease surveillance networks by building capacity and improving communication and collaboration. Regents of the University of Minnesota, Minneapolis, MN, United States: $265,870 in support of activities related to assessing the state of the global One Health movement and a related high-level meeting at the Rockefeller Foundation Bellagio Center, summer 2011. Swiss Tropical and Public Health Institute, Basel, Switzerland: $234,440 in support of an evaluation of the Foundation’s Disease Surveillance Networks initiative work in Africa, in collaboration with the Africa Population and Health Research Center, to capture and share lessons learned about the ability of complex networks to achieve improved disease surveillance and response, and to foster learning, accountability and performance improvements in the Foundation and among its grantees. The Royal Institution for the Advancement of Learning (McGill University), Montreal, Canada: $161,000 for use by its McGill World Platform for Health and Economic Convergence to convene a meeting on the intersections of the business sector and the global health diplomacy field, to be held at the Rockefeller Foundation Bellagio Center, Italy, winter 2011. Wildlife Conservation Society, Bronx, NY, United States: $360,030 for use by its Animal
& Human Health for the Environment and Development (AHEAD) project to engage a program officer who will support one health activities that link human, animal, wildlife activities in the Southern African region. Wildlife Trust Inc., New York, NY, United States: $216,200 in support of developing a feasibility plan for launching a new disease surveillance network, “One Health Alliance of South Asia” (OHASA), in conjunction with stakeholders in Bangladesh, India and Pakistan.
Enabling Environment: Innovation Bellwether Education Partners, Inc., Wellesley, MA, United States: $686,930 in support of research on market involvement in the U.S. public sector to identify how to use new and more effective ways of addressing intractable social problems. Mayor’s Fund to Advance New York City, New York, NY, United States: $225,000 in collaboration with the Office of the Deputy Mayor for Operations, New York City, toward the costs of the Networked Governance project, which seeks to implement a Digital Analytics Center and a set of community collaborations designed to transform the way New York City government accesses, provides and uses information and expertise for problem solving. Nonprofit Finance Fund, New York, NY, United States: $400,000 in support of a feasibility study of implementing the Social Impact Bond instrument in the U.S., in an effort to provide innovative financing solutions to persistent social problems facing poor and vulnerable communities. Partnership for Public Service Inc., Washington, DC, United States: $140,000 in support of “A Blueprint for Innovation: Increasing Government’s Capacity to Deliver Results,” a one-day forum on innovative problem-solving and subsequent training for senior government officials to foster greater innovation in the U.S. federal government. Public Allies, Inc., Milwaukee, WI, United States: $109,552, in support of its Piloting Community Innovation project, an initiative that seeks to stimulate demand for and engagement in public sector innovation among local networks of citizens, government leaders and community-based organizations in the U.S.
2010 grants Evaluation Claremont Graduate University, Claremont, CA, United States: $350,000 for use by its School of Behavioral and Organizational Sciences to provide grantees and partners, particularly those in Africa and Asia, with better tools to design strategies and evaluation practices around the kind of complex outcomes that are common to the Foundation’s Initiatives. GlobalGiving Foundation, Inc., Washington, DC, United States: $150,000 in support of the second phase of a project that will make use of stories and short narratives to develop an evaluation tool to improve its monitoring and evaluation capability, increase its accountability to donors, recognize social change and impact that have resulted from projects in Africa supported through its marketplace, improve organizational performance, and share the methodology and lessons learned with the broader not-for-profit community. Interaction: American Council for Voluntary International Action, Inc., Washington, DC, United States: $171,200 for use by its Evaluation and Program Effectiveness Working Group to improve the capacity of non-governmental organizations globally to conduct impact evaluations, through the production of guidance notes and a webinar series. International Bank for Reconstruction and Development, Washington, DC, United States: $500,000 for use by its Independent Evaluation Group toward the costs of the Centers for Learning on Evaluation and Results, to support the development and implementation of four Centers—in Africa, East Asia, and South Asia—to strengthen the monitoring and evaluation and results based management capacity of public and private development institutions working in the Global South. Pact Institute, Washington, DC, United States: $400,000 in support of its South-east Asia Change Project (SEA Change) to establish a Southeast Asia Community of Practice of monitoring and evaluation of adaptive responses to climate change, to facilitate learning, and to capture and disseminate promising monitoring and evaluation practices. Royal Melbourne Institute of Technology, Melbourne, Australia: $223,350 for use by its School of Global Studies, Social Science and Planning toward the costs of the second
phase of the project “BetterEvaluation,” an international Web 2.0 evaluation resource aimed at assisting the Foundation, its grantees and partners to better choose tools and use them to articulate, measure, and report on their results and strategies in order to achieve impact. The Center for Effective Philanthropy, Inc., Cambridge, MA, United States: $59,400 in support of completing a Grantee Perception Report for the Rockefeller Foundation, as part of an industry-wide project designed to provide feedback on the perceptions of grantees about the performance of foundations, and to provide benchmarking performance data to participating foundations and the broader philanthropic community. University of the Free State, Bloemfontein, South Africa: $400,000 for use by its Directorate for Research Development, in support of a collaboration with EvalNet, to engage development evaluation leaders to provide practical assistance to Rockefeller Foundation Initiative teams, key grantees and partners, to better articulate, monitor, evaluate and report on their results and strategies in order to achieve impact.
Impact Investing Agora Partnerships, Washington, DC, United States: $200,000 toward the costs of its Accelerator initiative, which seeks to leverage impact investing to support small and growing businesses that, through their operations, generate social, environmental and economic impact for poor and vulnerable populations in El Salvador, Honduras and Nicaragua, and to encourage the adoption of the Global Impact Investment Rating System in Central America and Mexico. Aspen Institute, Inc., Washington, DC, United States: $500,000 for use by its Philanthropy and Social Innovation program toward the costs of designing and implementing a new initiative on social enterprise and the impact economy to create a more robust enabling environment for marketbased models and private sector mechanisms that address social challenges and advance social goals. B Lab Company, Berwyn, PA, United States: $1,000,000 in general support of its mission to support “B Corporations,” for-profit companies that deliver significant and measurable social impact, by setting and monitoring
adherence to social and environmental performance standards and educating consumers, investors, and entrepreneurs. Bridges Ventures Limited, London, United Kingdom: $10,000 toward the costs of disseminating a collection of case studies of impact investments across asset classes that will inform the impact investing community about opportunities to increase the flow of capital to address pressing social challenges faced by poor and vulnerable people. Calvert Social Investment Foundation, Inc., Bethesda, MD, United States: $124,500 for use by the Enterprise Innovation Fund in support of a symposium to enlist support, feedback and expertise from key leaders from multiple sectors in establishing a public-private partnership that will strengthen and catalyze impact investing in social enterprises that seek to solve social and environmental problems that address the needs of poor and vulnerable people. Calvert Social Investment Foundation, Inc., Bethesda, MD, United States: $268,200 in support of research with actionable insights on current and potential impact investment vehicles that could be offered to non-accredited investors, in order to inform efforts to increase significantly the flow of capital to benefit poor and vulnerable communities globally. Ceres, Inc., Boston, MA, United States: $400,000 toward the costs of improving the stewardship of water resources by large companies operating in water-stressed regions throughout the world and encouraging best practices by companies on a broad range of sustainability issues worldwide. Cleveland Foundation, Cleveland, OH, United States: $400,000 toward the costs of its Evergreen Cooperative Initiative, an effort to create a new form of community development program focused on creating living wage jobs and asset accumulation opportunities for low-income communities in Cleveland that could serve as a model for other communities in the U.S. Dalberg Consulting CC, Johannesburg, South Africa: $122,350 in support of a scoping study in West Africa to identify current impact investing activities, key players, successes, failures, lessons learned, policy issues, and steps required to grow the sector for the benefit of poor and vulnerable populations in the region. The Rockefeller Foundation | 2010 Annual Report | 47
2010 grants Duke University, Durham, NC, United States: $84,500 for use by its Center for the Advancement of Social Entrepreneurship at its Fuqua School of Business in support of planning a potential multi-year effort to research trends and lessons for the field of impact investing from data gathered by two impact rating systems, B Lab’s “B Corporations” and the Global Impact Investing Ratings System. E&Co., Inc., Bloomfield, NJ, United States: $300,000 toward the costs of transitioning to a new organizational model that will promote the aggregation of capital to scale new clean energy enterprises serving poor, environmentally vulnerable people in Africa, Asia and Latin America. Enterprise Community Partners, Inc., Columbia, MD, United States: $300,000 toward the costs of creating innovative approaches to mobilize private-sector capital for community development efforts in lowerincome communities of the United States. Financial Times Limited, London, England: $69,600 for use by its “This is Africa” publication in support of baseline research, a publication and supplemental articles about impact investing in Africa that will enhance the profile of the industry and deepen the understanding of how impact investment in Africa can benefit the poor and vulnerable. Goldmark Productions, Inc., New York, NY, United States: $70,354, in support of radio and online segments covering important trends in impact investing to be aired as part of American Public Media’s “Marketplace” programming, in order to educate the public about the opportunities for social benefit and financial return from impact investing. Grameen Foundation USA, Washington, DC, United States: $252,486, in support of a demonstration project, in collaboration with BASIX in India, to test a sustainable business model for providing financial and livelihood development services to the poorest populations in a way that benefits the poor and the institution providing the services. Greater Cincinnati Foundation, Cincinnati, OH, United States: $135,000 toward the costs of developing an impact investing donor advised fund product to increase resources available for U.S. community and economic development.
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Growth Philanthropy Network, Inc., New York, NY, United States: $300,000 toward the costs of its Social Impact Exchange initiative to develop practices for studying, implementing and funding large-scale expansions of top-performing social purpose organizations that seek to solve social and environmental problems that affect poor and vulnerable people. IGNIA Partners, LLC, San Pedro Garza García, N.L., Mexico: $1,000,000 as a Program-Related Investment to support the development of intermediation capacity for impact investment in a new social impact sub-sector by capitalizing a private equity fund investing in small- to medium-sized social enterprises serving extremely poor, “Base of the Pyramid” populations in Latin America. Intellecap Inc., Palo Alto, CA, United States: $500,000 toward the costs of organizing the 2010 and 2011 “Sankalp Social Enterprise and Investment Forum,” to bring together stakeholders in Asia to share information on how market-based mechanisms can provide efficient and innovative solutions that address the needs of poor and vulnerable people. Keystone Accountability, London, United Kingdom: $50,000 toward the costs of developing and implementing an impact investing survey that will enable social enterprises to increase performance measurement and effectiveness. Lion’s Head Global Partners LLP, London, United Kingdom: $450,000 in support of developing and syndicating guiding principles and a framework for impact investing in African agriculture as a means to ensure that socially- and environmentally-oriented capital is deployed to improve African food security and increase incomes for the poor and vulnerable. Microfinance Information Exchange, Inc., Washington, DC, United States: $187,600 in support of collaborating with the Global Impact Investing Network to develop a datasharing platform that will enable the exchange of performance data on microfinance and the broader field of impact investing to lead to better outcomes for poor and vulnerable populations. Monitor Company Group LP, Cambridge, MA, United States: $300,000 toward the costs of research to identify and document new business models and market-based solutions for
development and poverty alleviation for poor and vulnerable populations in Africa. Pacific Community Ventures, Inc., San Francisco, CA, United States: $139,700 for use by its program, InSight, in collaboration with the Institute for Responsible Investment in support of an in-depth study of the global impact investing policy landscape to inform a global audience about how to better utilize advantageous policies to advance the field and its impact on poor and vulnerable people. Pacific Community Ventures, Inc., San Francisco, CA, United States: $398,060 for use by its program, InSight, in collaboration with the Initiative for Responsible Investment in support of identifying, designing, and advocating for discrete impact investing policies and conducting in-depth policy research in the U.S. to demonstrate the potential of scaling up impact investing efforts. Pennsylvania Treasury Department, Harrisburg, PA, United States: $441,800 in support of developing financing vehicles for impact investments in energy-efficiency retrofit programs, including energy efficiency loans and audits of the energy efficiency of colleges and universities, in order to reduce energy costs, lower greenhouse gas emissions and create or preserve jobs for low-income and vulnerable workers in the U.S. Pennsylvania Treasury Department, Harrisburg, PA, United States: $65,000 toward the costs of developing a financing vehicle to scale impact investments in energy-efficiency retrofit programs to reduce energy costs, lower greenhouse gas emissions and create or preserve jobs for lowincome and vulnerable workers in the U.S. Philanthropy Northwest, Seattle, WA, United States: $50,000 toward the costs of its Program Related Investment Makers Network, which provides networking, professional development, collaboration and outreach support to grantmakers who use program-related and other investments to accomplish their philanthropic goals. Registered Trustees of the Financial Sector Deepening Trust, Dar es Salaam, Tanzania: $250,000 toward the costs of a study of agriculture finance in Tanzania that aims to encourage increased lending and investment in the agricultural sector to improve the livelihoods and incomes of local smallholder farmers.
2010 grants Root Capital Inc., Cambridge, MA, United States: $500,000 toward the costs of transitioning to a multiple loan fund model that will expand and accelerate positive impact on small and growing businesses operating in poor, environmentally vulnerable regions of Africa and Latin America. Shared Interest, Inc., New York, NY, United States: $120,000 in support of engaging the Nonprofit Finance Fund’s Sustainable Enhancement Grant model to refine its capital raising and business plan for using partial loan guarantees to encourage commercial banks to lend to businesses in low-income townships and rural communities in South Africa. Small Enterprise Education and Promotion Network, Washington, DC, United States: $75,000 toward the costs of its Social Performance Working Group for Microfinance Associations, a global platform for enhancing peer learning among microfinance organizations and encouraging the development and use of social metrics in an effort to ensure that impact investments succeed in producing better outcomes for poor and vulnerable populations. Social Investment Forum Foundation, Inc., Washington, DC, United States: $50,000 toward the costs of producing and disseminating the 2009/2010 edition of its “Report on Socially Responsible Investing Trends in the United States,” to inform the public about responsible and impactful alternative investment practices. University of Pretoria, Pretoria, South Africa: $366,300 for use by its China-Africa Network at the Gordon Institute for Business Science in support of educating Chinese stakeholders about opportunities for socially and environmentally responsible investing in Africa.
Innovation Ashoka, Arlington, VA, United States: $510,000 for use by its Changemakers initiative, in collaboration with member governments of the Group of 20 in support of the design and launch of an inclusive global competition to identify innovative ideas for investing in small- and medium-scale businesses whose growth can promote pro-poor development either through job- and income-generation or the provision of services at affordable prices.
Maker Faire Africa Foundation, Amsterdam, Netherlands: $150,000 toward the costs of Maker Faire 2011 and 2012, an annual event that convenes innovators from around Africa and links them with mentors who can help bring their innovations to scale, to help spur entrepreneurship and manufacturing as a poverty reduction vehicle for the African continent. NetHope, Inc., Fairfax, VA, United States: $430,000 in support of collaborating with Accenture Development Partnerships to develop a plan to build and launch an Innovation for Development Office, which will seek to incubate, partner and scale the most recent successful information and communications strategies, to improve the operational capacity of global international development organizations. The Young Foundation, London, United Kingdom: $212,000 in support of the costs of research to assess the need and demand for an “innovation academy” and of its Social Innovation eXchange, a global community of social entrepreneurs, businesses, governments and charities committed to building a broader knowledge base about how to apply innovation to social problems.
Innovations for a Metro Nation Brookings Institution, Washington, DC, United States: $100,000 for use by its Metropolitan Policy Program toward the costs of research to develop a functional definition of walkable urban places and establish performance metrics that will provide a roadmap for how to encourage their creation and growth. Center for Land Reform, Inc. (dba Center for Community Progress), Flint, MI, United States: $56,000 in support of completing and disseminating “The State of Vacant Properties in the U.S.,” the first national comprehensive assessment of the current state of affairs and future trends in vacant property reclamation. CEOs for Cities, NFP, Chicago, IL, United States: $250,000 toward the costs of its “U.S. Cam-paign,” to collaborate with urban leaders and activists to develop knowledge and innovative local organizing strategies that will build and sustain the next generation of American cities. Fund for Cities of Service, Inc., New York, NY, United States: $1,000,000 in continued
support of its Cities of Service Leadership Grants to accelerate and strengthen the service expansion initiatives of ten cities participating in the Cities of Service Coalition, formed to increase civic engagement and the amount and impact of local service efforts. Low Income Investment Fund, San Francisco, CA, United States: $100,000 in support of a collaborative project with Reconnecting America on the inclusion of low-income communities in transit-oriented development projects and identifying a role for Community Develop-ment Financial Institutions to bring transit-oriented development financing to scale. National Housing & Community Development Law Project, Oakland, CA, United States: $150,800 toward the costs of its “Dialogues for Change” project, to design and implement a strategy to assist the residents of government supported rental housing to actively engage in a series of national consultation activities which will inform the future of public housing and voucher programs in the U.S. Santa Fe Institute, Santa Fe, NM, United States: $231,400 in support of a research project to develop a theory and application for understanding the structure, dynamics and organization of cities, and a related meeting to be held at the Rockefeller Foundation Bellagio Center, Italy, July 2010. The Next American City, Inc., Philadelphia, PA, United States: $162,500 in support of its new Urban Leaders Fellows project, to engage exemplary bloggers to create weekly web content on federal urban policy, urban informatics and transportation advocacy; and its second annual conference on urban advocacy and the role of the internet as a tool to build partnerships that can inform urban policy entitled, “Open Cities: New Media’s Role in Shaping Urban Policy,” to be held fall 2010. Urban Institute, Washington, DC, United States: $80,000 for use by its Metropolitan Housing and Communities Policy Center in continued support of the “Chicago Family Case Management Demonstration” project, a multi-year research effort of U.S. government programs that seek to provide families facing multiple barriers to successful relocation achieve better housing outcomes, and dissemination activities for the book “Moving to Opportunity: The Story of An American Experiment to End Ghetto Poverty”. The Rockefeller Foundation | 2010 Annual Report | 49
2010 grants Networks for Urban Innovation American Planning Association, Washington, DC, United States: $25,000 in support of travel scholarships for delegates from Latin America to attend a conference launching the Ashoka Changemakers’ “Sustainable and Inclusive Housing and Livable Cities Challenge,” to be held in São Paulo, Brazil, October 2010. Ashoka, Arlington, VA, United States: $499,000 for use by its Changemakers initiative in support of the “Sustainable and Inclusive Housing and Livable Cities Challenge,” a collaborative competition for innovations in sustainable housing design for Latin America and the Caribbean and a “Sustainable Housing Solutions Guide” for innovators, entrepreneurs, investors and consumers addressing urban housing issues. CEOs for Cities, NFP, Chicago, IL, United States: $59,900 in support of addressing urban poverty and the sustainability and resilience of cities by convening international urban and governance experts to develop the parameters of the roles and responsibilities of cities and city-wide actors and to identify individuals or institutions that can further define these roles. Habitat for Humanity International, Inc., Atlanta, GA, United States: $165,000 in support of facilitating and administering activities at the World Urban Forum 2010 a conference to address rapid urbanization and its impact on communities, cities, economies, climate change and policies, to be held in Rio de Janeiro, Brazil, March 2010. Indian School of Business, Hyderabad, India: $250,000 for use by its Center for Emerging Market Solutions toward the costs of research, analysis, and convenings focused on urbanization and affordable housing in India. International Housing Coalition, Inc., Washington, DC, United States: $152,600 in support of developing educational activities and resources, including issue-oriented advocacy campaigns, topical seminars and a web-based platform, to disseminate research on the importance and impact of housing and urban issues to policy makers, development practitioners and leaders in developing countries. Monitor Company Group LP, Cambridge, MA, United States: $354,000 in support of 50 | The Rockefeller Foundation | 2010 Annual Report
monitoring and evaluating unintended consequences of low-income housing projects for urban poor in India, and developing approaches to address the negative consequences of them and propagate strategies for improving them. Operation California, Inc. (dba Operation USA), Culver City, CA, United States: $21,200 in support of a workshop bringing together international experts on refugee housing, including practitioners, academics and advocates, to address issues around the design and functionality of refugee camps, many of which eventually become permanent settlements. Partners for Urban Knowledge, Action and Research, Mumbai, India: $431,107, in support of a multifaceted research study, in collaboration with Harvard University’s School of Public Health and New York University, on the physical and social determinants of health in disadvantaged urban settings in Mumbai, India in an effort to identify replicable solutions for improving health among urban populations. Regents of the University of California at Berkeley, Berkeley, CA, United States: $250,326, for use by its Department of City and Regional Planning’s Institute of Urban and Regional Development in support of a collaborative project to ensure that recently launched infrastructure development programs in Kenya are scalable and responsive to local community needs. Shack Dwellers International, Johannesburg, South Africa: $4,000,002, toward the costs of developing more inclusive shelter strategies for cities in the developing world by increasing engagement and building partnerships between the urban poor and local governments. The New York Academy of Medicine, New York, NY, United States: $120,000 for use by its International Society for Urban Health in support of travel and other associated costs for participants from developing countries to attend the 9th International Conference on Urban Health, to be held in New York City, October 2010. University of Nairobi, Nairobi, Kenya: $245,150 for use by its Department of Urban and Regional Planning in support of a collaborative project in Kenya to ensure that recently launched infrastructure development
programs are scalable and responsive to local community needs.
NYC Opportunities Fund 3-Legged Dog, Inc., New York, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of building a two-part sponsorship fund and distribution platform for developing and distributing new works of experimental performing art. Bowery Arts and Science, Ltd., New York, NY, United States: $175,000 as a recipient of the New York City Cultural Innovation Fund, toward the costs of “A White Wing Brushing the Building: Poetry and Community,” a multifaceted, community-based presentation of poetry from 16 diverse New York City neighborhoods, utilizing new media technologies. Center for New York City Neighborhoods, Inc., New York, NY, United States: $500,000 in general support of its mission to help distressed homeowners retain and preserve New York City neighborhoods by limiting the negative impacts of foreclosure, property flipping and abandonment. CEOs for Cities, NFP, Chicago, IL, United States: $100,000 toward the costs of “One Minute for Your City,” a communications campaign designed to solicit ideas from residents on how to improve New York City. City Futures, Inc., New York, NY, United States: $50,000 for use by its Center for an Urban Future in support of convening New York City’s real estate and art communities to consider mutually beneficial real estate arrangements for artists impacted by the current economic climate, based on proposals in its “Time To Be Creative” report. City Futures, Inc., New York, NY, United States: $160,000 for use by its Center for an Urban Future in support of commissioning thought papers and organizing three convenings focused on the challenges faced by New York City and possible opportunities for innovative solutions to them. City Parks Alliance, Inc., Washington, DC, United States: $100,000 toward the costs of the “International Urban Parks Conference: Leveraging the Power of Parks,” to address the role parks can play in solving challenges faced by cities, to be held in New York City, July 2012.
2010 grants Columbia University, New York, NY, United States: $16,100 for use by its School of International and Public Affairs toward the costs of the 13th Dinkins Leadership and Public Policy Forum on the topic of urban economic growth and recovery in New Jersey, New York and Pennsylvania, held in New York City, February 2010. Creative Time, Inc., New York, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Award toward the costs of launching “Artists on the News,” a biweekly feature on the Huffington Post website as well as a regular public radio segment that includes artists to encourage broader thinking on current events and promote artists as active participants in public life. Dance Theatre of Harlem, Inc., New York, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of a series of sixweek in-person and online explorations into the creation of new dance works in order to build audiences and provide new repertoire. Demos: A Network for Ideas and Action, Ltd., New York, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Fund award, for use by its Institute for Culture in the Service of Community Sustainability toward the costs of collecting and disseminating new data and field research to quantify and qualify how arts and culture enhance the cultural, environmental and community sustainability of urban communities. El Barrio’s Operation Fightback, Inc., New York, NY, United States: $100,000 toward the costs of the pre-development phase of acquiring and developing a former public school in the East Harlem area of New York City to provide affordable live/work housing for artists and their families and office and programmatic space for arts, social service and community organizations. EmcArts Inc., New York, NY, United States: $200,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of “New York/New Pathways,” an innovation training and immersion program including three community convenings for up to 40 organizations from the New Yorkarea arts community, and an in-depth intervention around innovation to develop and test breakthrough strategies for three selected organizations.
Eugenio Maria de Hostos Community College Foundation, Bronx, NY, United States: $150,000 for use by its Hostos Center for the Arts and Culture as a recipient of a New York City Cultural Innovation Fund award, toward the costs of “The Young Roots Series: Innovation Out of Tradition,” a curated series of performances showcasing young masters of Afro-Caribbean music who add elements of jazz, hip-hop, rock and reggaeton in collaborations that eschew national distinctions. Exit Art/The First World, Inc., New York, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of establishing “DigiMovies,” a theater exclusively devoted to the presentation of digitally-produced independent cinema, and a new grassroots infrastructure for digital film distribution.
Competition,” in collaboration with the New York City Departments of Cultural Affairs and Buildings, for artists and designers proposing public works of art to cover temporary construction fences, scaffolds and sidewalk sheds throughout New York City. Mayor’s Fund to Advance New York City, New York, NY, United States: $500,000 in collaboration with the New York City Center for Economic Opportunity toward the costs of developing networks of non-profits across eight urban areas in the U.S. to collaborate on program improvements and to share best practices regarding the replication and scaling of five anti-poverty programs—Jobs-Plus, Family Rewards, SaveUSA, Young Adult Internship Program and WorkAdvance—as well as a sixth program to encourage innovation by local governments.
Foundry Theatre, New York, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of creating five artistic works exploring life in New York City through collaborations between artists and community-based and social justice organizations.
Municipal Art Society of New York, New York, NY, United States: $409,600 in support of coordinating the fourth award competition for the Rockefeller Foundation-sponsored Jane Jacobs Medal, which honors Jacobs’ groundbreaking work in urban design, and of organizing other public programs related to the principles embodied in her work.
Hip-Hop Theater Festival, Inc., Brooklyn, NY, United States: $75,000 toward the costs of the 10th annual Hip-Hop Theater Festival, an artistic celebration of contemporary language and culture addressing the sociopolitical issues relevant to young, urban communities, to be held at the Westbeth Arts Center in New York City, October 2010.
Municipal Art Society of New York, New York, NY, United States: $150,000 toward the costs of a survey on the livability of New York City and a “Summit for New York City,” to form the basis for a comprehensive public education and advocacy effort to enhance the City’s livability even as its populations grow over the long term.
Isamu Noguchi Foundation and Garden Museum, Long Island City, NY, United States: $100,000 toward the costs of “Studies in Space, Art and Civic Action: A Vision for Long Island City,” a project in which teams of architects, artists, landscape architects and urbanists will propose a future vision for the design and development of northwestern Queens.
Museum of Arts and Design, New York, NY, United States: $75,000 toward the costs of the organization and presentation of “The Global Africa Project,” an exhibition focusing on aspects of contemporary design, craft and art by individuals working in Africa, Asia, the Caribbean, Europe and the United States whose work exemplifies the creativity coming out of or inspired by Africa.
Island Press—Center for Resource Economics, Washington, DC, United States: $58,800 in support of a new introduction to and reprinting of “Ideas That Matter: The Worlds of Jane Jacobs,” to share the ideas, vision and philosophies of Jane Jacobs with urban planners working to transform public spaces, buildings and neighborhoods. Mayor’s Fund to Advance New York City, New York, NY, United States: $65,000 in support of the “UrbanCanvas Design
Museum of Contemporary African Diasporan Arts, Brooklyn, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of “Soul of Brooklyn,” a consortium of 22 African Diaspora Arts Organizations working to brand Brooklyn as the destination for a unique and authentic African diasporan cultural experience.
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2010 grants Museum of Modern Art, New York, NY, United States: $67,000 in support of publishing a catalogue for its exhibition “Rising Currents: Projects for New York’s Waterfront,” outlining and evaluating the process by which five interdisciplinary teams proposed options to redesign New York’s shoreline in response to climate change projections.
Performance Zone, Inc., New York, NY, United States: $150,000 toward the costs of expanding Economic Revitalization for Performing Artists—a program that helps New York performing artists learn actionable strategies to increase their income and longterm stability—to include replication activities and technical assistance grants.
Seventh Regiment Armory Conservancy, Inc., New York, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of the first two seasons of dance presentations in the Wade Thompson Drill Hall, a permanent, grand-scale, non-proscenium dance space in New York City.
Natural Resources Defense Council, Inc., New York, NY, United States: $500,000 toward the costs of education and outreach for its “Sustainable Transit Campaign” to establish equitable, sustainable, and economically and environmentally-friendly traffic pricing in the New York metropolitan region.
Pratt Institute, Brooklyn, NY, United States: $250,000 for use by its Center for Community Development as a recipient of a New York City Cultural Innovation Fund award, toward the costs of integrating the arts into its Sustainable Neighborhoods Initiative in order to reach more people, create new ways to communicate with residents, reinforce sustainable practice and deepen its programs’ impacts.
Solomon R. Guggenheim Foundation, New York, NY, United States: $200,000 toward the costs of a series of six walking tours of “still spots” in New York City’s five boroughs, exploring the concept of stillness in a restless urban landscape.
New Museum of Contemporary Art, New York, NY, United States: $200,000 toward the costs of the “Festival of Ideas for a New City,” a multi-institutional partnership that seeks to provide a platform for new thinking, adopting sustainable solutions and promoting the value of creative capital to improve everyday life in New York City. New York Foundation for the Arts, Inc., Brooklyn, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of the first multi-disciplinary festival of Cambodian arts to be produced in the United States and the first of its scale to take place outside Cambodia. New York Hall of Science, Queens, NY, United States: $150,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of “ReGeneration: Art, Technology and Science Biennial,” a sixweek exhibition engaging nine artists to work with the local community to create work that explores the connections among immigration, urbanization, cultural vitality and sustainability. New York Landmarks Conservancy, New York, NY, United States: $50,000 in support of its technical services program, which provides guidance and technical expertise on historic buildings and landmarks to homeowners, government agencies and nonprofits in New York City. Nonprofit Finance Fund, New York, NY, United States: $72,500 for the costs of a project to enhance the financial capacity of select New York City Cultural Innovation Fund applicants and grantees.
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Queens Museum of Art, Queens, NY, United States: $200,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of collaborating with Queens College City University of New York to develop a Social Practice Masters of Fine Arts program and to launch “Corona Studio,” a professional artists’ residency program embedding two artists in Corona, Queens, for year-long residencies in partnership with community organizers and community-based organizations. Randall’s Island Sports Foundation, New York, NY, United States: $175,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of “Environmental Sculpture and Music,” an environmental art installation and musical event to be held on the waterfront pathways of Randall’s Island Park. Research Foundation of the City University of New York, New York, NY, United States: $100,000 for use by the Institute of Sustainable Cities at Hunter College, City University of New York, as a recipient of a New York City Cultural Innovation Fund award, in support of an online crowdsourcing tool and physical installation that will facilitate dialogue among climate scientists, urban planners and the public about sustainability and climate change. Rockefeller Foundation Jane Jacobs Medal Awards, New York, NY, United States: $200,000 to provide cash prizes to the recipients of the Rockefeller Foundation Jane Jacobs Medal or to organizations designated by the awardees.
Sweet Jane Productions Inc., Brooklyn, NY, United States: $50,000 as a recipient of a New York City Cultural Innovation Fund award, toward the costs of “Reconstruction,” an interactive drama exploring theater as an educational and immersive experience that trains the audience in carpentry, construction and green technology to incrementally retrofit a multi-use arts space over the course of the play’s run. The Asia Society, New York, NY, United States: $100,000 toward the costs of “Nine Lives: In Search of the Sacred in Modern India,” readings and performances based on William Dalrymple’s book, which examines the way social changes have affected the great Indian traditions of mysticism, monasticism, music and dance. The New School, New York, NY, United States: $50,000 for use by Milano the New School for Management and Urban Policy in support of research for a comparative case study examining the role and impact of arts and culture in New York City and Toronto. Urban Word NYC, Inc., New York, NY, United States: $100,000 toward the costs of the New York City Youth Poet Laureate Project, a city-wide community outreach program that engages the voice of local youth while promoting civic engagement, volunteerism, youth leadership, voter awareness and artistic excellence. Wildcat Service Corporation, New York, NY, United States: $200,000 toward the costs of its “Neighborhood Improvement Project,” providing job training and placement support to public assistance recipients to work in at-risk neighborhoods in low-income, minority communities suffering from high foreclosure rates.
2010 grants Philanthropic Sector Council on Foundations, Arlington, VA, United States: $55,000 in general support of its mission to provide the opportunity, leadership and tools needed by philanthropic organizations to expand, enhance and sustain their ability to advance the common good. East Africa Association of Grantmakers, Nairobi, Kenya: $125,000 in support of research to study the state and nature of philanthropy in East Africa in an effort to develop evidence-based programs for informing and promoting philanthropy in the region. The Foundation Center, New York, NY, United States: $55,000 in general support of its mission to strengthen the nonprofit sector by advancing knowledge about U.S. philanthropy. The Foundation Center, New York, NY, United States: $100,000 toward the costs of building a global data platform for philanthropy that will enhance the accessibility of information on philanthropic activity around the world. Grantmakers in the Arts, Seattle, WA, United States: $15,000 in general support of its mission to strengthen the field of private-sector arts and culture grantmaking. GuideStar International Ltd., London, United Kingdom: $77,000 in support of continuing development of GuideStar India, a searchable online database that provides the philanthropic sector in India with better access to information on credible non-government organizations. GuideStar USA, Inc., Williamsburg, VA, United States: $25,000 in general support of its mission to revolutionize philanthropy and nonprofit practice by providing information that advances transparency in the philanthropic sector, enables users to make better decisions, and encourages charitable giving. Independent Sector, Washington, DC, United States: $25,000 in general support of its mission to advance the common good by leading, strengthening and mobilizing the nonprofit community.
Kenya Community Development Foundation, Nairobi, Kenya: $103,000 for use by the African Grantmakers Network toward the costs of its inaugural Pan African Assembly, which aims to strengthen the network of African grantmaking organizations and create a common strategy for advocacy of philanthropy within Africa, to be held in Nairobi, Kenya, November 2010. Philanthropy New York, Inc., New York, NY, United States: $250,000 for use by its Diversity in Philanthropy Project toward the costs of the D5 Initiative, a collaborative effort to strengthen the philanthropic sector’s effectiveness through increased diversity and inclusive practice. Philanthropy New York, Inc., New York, NY, United States: $30,000 in general support of its mission to strengthen philanthropy by offering programs and resources that support effective, strategic grantmaking, facilitating collaboration and knowledge sharing, and communicating the value of the philanthropic sector in our society. Population and Community Development Association, Bangkok, Thailand: $50,990 in support of piloting a philanthropy workshop for young Thai business executives and high net worth individuals to raise awareness of philanthropy and encourage further philanthropic activities. Thai Fund Foundation, Bangkok, Thailand: $35,240 in support of developing an accredited program to train fundraisers at nonprofit organizations in Thailand in order to strengthen their capacity to mobilize resources and ensure sustainability. The Aspen Institute, Inc., Washington, DC, United States: $100,000 toward the costs of its Program on Philanthropy and Social Innovation’s Aspen Philanthropy Group workshops, a series of meetings focused on ensuring high-quality and accessible statistical data on social sector activity in an effort to enhance the efficacy of philanthropists and those they support. World Affairs Council of Northern California, San Francisco, CA, United States: $75,000 toward the costs of its Global Philanthropy Forum, which brings together foundation leaders, individual donors, social investors, and agents of change to learn more about opportunities for international philanthropy.
President’s Discretionary Board of Trustees of the Leland Stanford Junior University, Stanford, CA, United States: $250,000 for use by its Center on Philanthropy and Civil Society in support of acquiring and operating the “Stanford Social Innovation Review,” a publication focused on critical issues related to philanthropy, social innovation and civic engagement. California Institute of Technology, Pasadena, CA, United States: $50,000 for use by its Caltech Optical Observatories in support of the “Palomar Observatory Book Project” celebrating the 60th anniversary of the Palomar Observatory. Carnegie Endowment for International Peace, Washington, DC, United States: $150,000 in support of costs associated with organizing four conferences and meetings to advance its vision of pioneering a global think tank committed to collaborative international research, analysis and policy work, to be held at the Rockefeller Foundation Bellagio Center in 2010. Center for National Policy, Washington, DC, United States: $499,241, in support of the “Global Summit on Resilience,” to mark the 10th anniversary of the September 11 terrorist attacks, showcase ongoing, new and planned resilience efforts including initiatives on climate adaptation and global economic development, and offer templates for successful resilience building activities that can be pursued on a national and international scale. Center for the Advancement of Women, Inc., New York, NY, United States: $50,000 in general support of its mission to promote and protect women’s rights and opportunities, worldwide, by conducting national opinion research among women to measure experiences in their daily lives in order to present a profile of women that is used to educate opinion leaders, policymakers and the general public. Cherie Blair Foundation for Women, London, United Kingdom: $120,000 toward the costs of hiring a program manager for its “Women Entrepreneurs and Mobile Technology Program,” which seeks to provide women with improved access to mobile phones as a way to develop and improve their entrepreneurial ventures in the Middle East, South Asia and sub-Saharan Africa.
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2010 grants Duke University, Durham, NC, United States: $57,500 for use by its Center for Strategic Philanthropy and Civil Society to help philanthropy achieve broader and deeper impact in solving problems that face the social sector and the wider civic community. Florida International University, Miami, FL, United States: $115,000 for use by its Wolfsonian Museum in support of “Four Freedoms: Teen Thoughts on Democracy Online,” web-based educational materials designed to engage youth on the ideas of freedom and democracy as represented in Norman Rockwell’s “Four Freedoms” posters. Greater Washington, DC Educational Telecommunications Association, Inc., Arlington, VA, United States: $100,000 toward the costs of the “Women 2.0 Media Project Digital Oral History” website, which will contain oral histories and other materials on women integral to the women’s rights movement in the United States. Greater Washington, DC Educational Telecommunications Association, Inc., Arlington, VA, United States: $250,000 toward the costs of producing “The Dust Bowl,” a two-part, four-hour film reviewing the causes, effects and responses to the worst manmade ecological disaster in U.S. history. Jazz at Lincoln Center, Inc., New York, NY, United States: $50,000 toward the costs of its orchestra’s week-long residency in Cuba and related programs exploring the musical connections among Havana, New Orleans and New York City. Mary Robinson Foundation, Dublin, Ireland: $149,500 in support of building women’s leadership in the area of climate justice and in particular, including a gender and climate perspective in negotiations at the 16th United Nations Framework Convention on Climate Change. Massachusetts Institute of Technology, Cambridge, MA, United States: $30,000 for use by its Innovations journal in support of producing an issue entitled “Urban Innovation: New Orleans Five Years After Katrina” focusing on innovative approaches in the region to sustainable urban development, social entrepreneurship, public education, health care, job creation and economic development.
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National Women’s Law Center, Washington, DC, United States: $100,000 toward the costs of collaborating with the American Civil Liberties Union, Citizens for Global Solutions, the Communications Consortium Media Center, the Leadership Conference on Civil Rights Education Fund and the YWCA-USA to educate thought leaders, media, policymakers and the public on the benefits of the UN Convention on the Elimination of All Forms of Discrimination Against Women. Public/Private Ventures, Philadelphia, PA, United States: $250,000 toward the costs of a study to advance understanding of the role sectoral strategies can play in improving employment outcomes for young adults. Research Foundation of State University of New York, Albany, NY, United States: $25,000 for use by the Nelson A. Rockefeller Institute of Government at the State University of New York toward the costs of developing a fouryear fiscal plan for the state of New York. The Synergos Institute, Inc., New York, NY, United States: $50,000 in general support of its mission to mobilize resources and bridge social and economic divides to reduce poverty and increase equity around the world. Trustees of the University of Pennsylvania, Philadelphia, PA, United States: $27,100 for use by its Institute for Strategic Threat Analysis and Response in support of a welcome reception for the “International Study of Radicalization and Political Violence Peace and Security Summit” to be held in New York City, summer 2010 which will provide leading international policymakers, experts and other stakeholders opportunities to engage in outcome driven discussions about potential threats to peace and security. Trustees of the University of Pennsylvania, Philadelphia, PA, United States: $50,000 for use by its Museum of Archeology and Anthropology in support of “Museum Educational Materials for the 21st Century,” a community outreach project that includes activities for schoolchildren and teachers to enhance their appreciation of the museum and complement their social studies and world history curricula. University of Delaware, Newark, DE, United States: $138,000 in support of forming a nonpartisan group of economic and legal experts, established corporate directors and corporate secretaries, and investors to study the role of boards of directors in corporate
governance and to make recommendations on board practice. University of Liberia, Monrovia, Liberia: $364,000 for use by its College of Agriculture and Forestry to revitalize its capacity and initiate research and begin the multiplication and distribution of improved rice varieties to enhance Liberia’s national food security. Women’s Campaign International, Philadelphia, PA, United States: $100,000 toward the costs of its First Ladies’ Legacy Project, to provide training on strategic planning and capacity building to a group of African First Ladies to enable them to create and sustain their respective legacy plans to work toward social improvement and development, to be held during the African Union summit, Ethiopia, January 2011.
Program Related Investment Fund (PRI) Social Impact Partnership LP, London, United Kingdom: $500,000 as a ProgramRelated Investment to support an innovative approach to impact investing intermediation with potential broad application in solving social problems, to reduce recidivism among an estimated 3,000 male prisoners with short-term sentences in an economically depressed area of the U.K.
Poverty Reduction through Information & Digital Employment (PRIDE) Childline Kenya, Nairobi, Kenya: $403,800 in support of professionalizing and increasing the efficiency of its toll-free child abuse hotline to ensure better response and support to vulnerable children in Kenya. Digital Divide Data, New York, NY, United States: $895,000 in support of establishing a program in Kenya to operate local impact outsourcing centers employing disadvantaged youth, host a management training institute to build the capacity of impact outsourcing managers, and conduct market research to understand the emerging sector. Monitor Company Group LP, Cambridge, MA, United States: $585,000 in support of a research project exploring the potential of outsourcing employment opportunities for providing jobs and economic growth to very poor populations in emerging economies in India and Kenya.
2010 grants Samasource, Inc., San Francisco, CA, United States: $799,200 in support of further refining and executing its business model, which utilizes innovative technology platforms to train, manage and outsource distributed digital work to small impact outsourcing providers in urban and rural Kenya, Rwanda and Uganda and create jobs for very poor populations. World Vision, Inc., Washington, DC, United States: $600,000 toward the costs of designing and implementing a field-based shared service center in Nairobi, Kenya to enhance the delivery of information and communication technology services and support field operations across Africa; and conducting a design study and pilot implementation of business process outsourcing centers in rural and semi-rural Tanzania and Ghana to generate income and economic empowerment for poor and vulnerable people in those communities.
Re-launch Fund: Africa African Technology Policy Studies Network, Nairobi, Kenya: $75,952, in support of the workshop “Strengthening Linkages between Policy Research and Policymaking for African Development,” to be held in Mombasa, Kenya, February 2011. Farm Concern International, Nairobi, Kenya: $75,000 in support of a project to design, test and implement pilot projects in order to develop a business model for expanding youth participation in agricultural systems in Kenya as a means to address anticipated future youth unemployment and low agricultural productivity. GSMA Foundation, Inc., Atlanta, GA, United States: $50,000 for use by its GSMA Development Fund, toward the costs of a book that chronicles the innovative development of the mobile-phone based money transfer platform mPesa, and its transformative impact on poor and vulnerable people in Kenya. National Museums of Kenya, Nairobi, Kenya: $50,000 in support of constructing a canopy for its open-air amphitheatre that will optimize use of the space for visitors to the museum including audiences attending educational and cultural events. Wilton Park Executive Agency, West Sussex, United Kingdom: $100,000 toward the costs of “Africa 2010: The Key Challenges,” a conference to review the
achievements made toward Africa’s development at the mid-point between the completion of the “Africa Commission Report” in 2005 and the 2015 target date for achievement of the Millennium Development Goals.
Re-launch Fund: Asia Arsom Silp Institute of the Arts, Bangkok, Thailand: $85,000 in support of developing preservation and restoration activities and guidelines in two historic Thai neighborhoods—one in Bangkok and one in the province of Chanthaburi—by making use of a multi-stakeholder participatory process. BRAC University, Dhaka, Bangladesh: $29,850 for use by its BRAC Development Institute toward the costs of a conference on “Transcending Binaries: The Politics of Islam in South Asia” to be held in Dhaka, Bangladesh, December 2010. Chulalongkorn University, Bangkok, Thailand: $43,890 for use by its Department of Urban and Regional Planning to explore approaches for arts to serve as a tool for community revitalization in two Bangkok neighborhoods and to share lessons learned to inform policymaking. Chulalongkorn University, Bangkok, Thailand: $45,360 for use by its Department of Urban and Regional Planning in support of a lecture series on inequality and injustice in access to resources and basic services in Thailand. National Institute of Development Administration, Bangkok, Thailand: $19,000 for use by its Center for Philanthropy and Civil Society toward the costs of travel support for representatives from Thai non-governmental organizations to attend the International AntiCorruption Conference, to be held in Bangkok, November 2010. Oxfam, Oxford, United Kingdom: $50,000 toward the costs of a project to promote climate change justice and a sustainable resolution of land ownership conflicts in Thailand through the deployment of appropriate strategies that take into consideration the community rights of local indigenous populations and to promote sustainable livelihood and natural resources management. Thai Breastfeeding Center Foundation, Bangkok, Thailand: $25,000 toward the costs of disseminating the “Thai Breastfeeding Atlas” in Thailand, and developing a plan for possible replication in Vietnam.
Research African Center for Economic Transformation, Washington, DC, United States: $85,000 in support of a project to conduct trend monitoring and horizon scanning on issues relevant to poverty and human development, focused on West Africa. Bertelsmann Foundation, North America, Inc., Washington, DC, United States: $308,200 toward the costs of “Megatrends in Global Interaction: Creative Dissemination and New Media Strategy," a project to develop an accessible on-line platform with global trend resources to assist researchers and policymakers identify future global challenges and enrich long-term planning efforts. Brookings Institution, Washington, DC, United States: $307,300 for use by its African Growth Initiative in support of raising visibility among African policymakers and international researchers of Africa-based researchers doing policy relevant work on African growth and structural transformation by convening its inaugural annual growth forum, to be held in Washington, DC, winter 2011. Centre for Democracy and Development, Abuja, Nigeria: $85,900 in continued support of a project to conduct trend monitoring and horizon scanning on issues relevant to poverty and human development, focused on West Africa. FORO Nacional Internacional, Lima, Peru: $159,400 in continued support of a project to conduct trend monitoring and horizon scanning research on issues relevant to poverty and human development, focused on South America. Institute for the Future, Palo Alto, CA, United States: $298,500 in support of a project to synthesize and visualize trend and horizon scanning information on issues relevant to poverty and human development through a signals database, a web-based map, and an interactive game platform. Intellecap Inc., Palo Alto, CA, United States: $345,800 toward the costs of a project to conduct trend monitoring and horizon scanning research on issues relevant to poverty and human development, focused on India, Bangladesh and Pakistan, and a meeting of Searchlight grantees to be held in Mumbai, India, spring 2011.
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2010 grants New York University, New York, NY, United States: $51,500 for use by its Institute for International Law and Justice toward the costs of a study to analyze the usefulness of indicators in designing interventions tackling complex problems that affect poor and vulnerable populations. SA Node of the Millennium Project, Johannesburg, South Africa: $150,900 in continued support of building and maintaining an Internet-based information repository and networking platform for pro-poor foresight— forward looking analysis that focuses on poor and vulnerable people by way of anticipating long-term trends through the use of various research methodologies. Strategic Foresight Group, Mumbai, India: $302,400 toward the costs of a project to conduct trend monitoring and horizon scanning research on issues relevant to poverty and human development, focused on India, Bangladesh, Indonesia, Thailand, Vietnam, and Middle East countries. The Millennium Project Corporation, Washington, DC, United States: $124,700 in support of 1) a project to assist in improving the capacity of developing countries to conduct futures research by providing targeted travel support for participants from developing countries to attend the Millennium Project Planning Committee Meeting, to be held in Boston, July 2010 and 2) a long-term financial sustainability and feasibility plan for the organization. Trustees of Boston University, Boston, MA, United States: $98,000 for use by its Frederick S. Pardee Center for the Study of the Longer-Range Future in support of a project to synthesize and visualize trend and horizon scanning information on issues relevant to poverty and human development through multiple methodological approaches and information quality assurance. University of Manchester, Manchester, United Kingdom: $39,740 for use by its Manchester Institute of Innovation Research in support of a project to synthesize and visualize trend and horizon scanning information on issues relevant to poverty and human development including the publication of a special issue of the journal “Foresight”.
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University of Sussex, Brighton, United Kingdom: $63,100 for use by its Science and Technology Policy Research Department, in support of a collaboration with the Social, Technological and Environmental Pathways to Sustainability (STEPS) Centre to conduct research on the application of new models for technology assessment in the Global South and their potential to foster development in health, climate change and agriculture.
Search Cold Spring Harbor Laboratory, Cold Spring Harbor, NY, United States: $50,000 toward the costs of a meeting and publication to commemorate the 75th anniversary of the Cold Spring Harbor Symposium on Quantitative Biology. Columbia University, New York, NY, United States: $250,000 for use by its Earth Institute’s Tropical Agriculture and Rural Environment Program in support of “Meeting the Challenge of 2050: Intelligent Agriculture and Food Systems to Feed the Global Population,” a program to continue the development of sustainable food and agriculture systems and launch a university-wide Center for Agriculture and Food Systems. Forum for African Women Educationalists, Nairobi, Kenya: $100,000 in general support of its mission to promote gender equity and equality in education in Africa by fostering positive policies, practices and attitudes towards girls’ education. Jumo International, Inc., New York, NY, United States: $250,000 in general support of its mission to develop a social network to connect individuals with non-profit organizations, thereby channeling necessary resources to the non-profit organizations enabling them to fulfill their missions. Meridian Institute, Dillon, CO, United States: $150,000 in support of a series of convenings to engage systems experts in an effort to explore the role of systems thinking in solving complex global problems. President and Fellows of Harvard College, Cambridge, MA, United States: $590,000 for use by its Hauser Center for Nonprofit Organizations in support of developing and testing a thought-model that illuminates the role brand can play in the philanthropic and non-profit sectors for realizing institutional
missions and achieving impact in a dynamic and evolving ecosystem. Syracuse University, Syracuse, NY, United States: $100,000 for use by its School of Architecture toward the costs of the five book series “New City Books,” which will explore aspects of architecture and planning at the intersection of public and private economic redevelopment strategies. The Energy and Resources Institute, New Delhi, India: $100,000 toward the costs of the 2010 Delhi Sustainable Development Summit, an international forum for analysis and debate on climate change mitigation and adaptation, to be held in New Delhi, India, February 2010. The Greater Washington Educational Telecommunications Association, Inc., Arlington, VA, United States: $300,000 toward the costs of a public media initiative “The Latino Americans,” in collaboration with Latino Public Broadcasting, that will tell the story of Latino immigration to and culture within the United States over the past 200 years through film, radio, public engagement, education and communications campaigns. Tulane University, New Orleans, LA, United States: $350,000 for use by its Social Entrepreneurship Initiatives program in support of “New Orleans as the Model City for the 21st Century: New Concepts on Urban Innovation,” a one-day symposium to be held in New Orleans, October 2010 and an urban innovation fellowship competition. William J. Clinton Foundation, Little Rock, AR, United States: $350,000 toward the costs of its 2010 Clinton Global Initiative, designed to catalyze a community of global leaders to devise and implement innovative solutions to global challenges such as energy and climate change, poverty alleviation, global health, and education. World Wide Web Foundation, Boston, MA, United States: $396,000 in support of conducting a study of users’ experiences accessing the Internet in the developing world and a pilot experiment on the use of Interactive Voice Response (IVR) systems by poor and vulnerable communities.
2010 grants Second Century Grants Brookings Institution, Washington, DC, United States: $10,000,000 for use by its Metropolitan Policy Program toward the costs of the Brookings-Rockefeller Project on State and Metropolitan Policy Innovation, an initiative which seeks to catalyze innovative state and metropolitan reform in support of a productive, sustainable and inclusive economy. Living Cities, Inc.: The National Community Development Initiative, Washington, DC, United States: $2,250,000 in general support of its mission to increase the vitality of U.S. cities and urban neighborhoods and improve the lives of people who live there. Research Foundation of State University of New York, Albany, NY, United States: $969,375, for use by the Nelson A. Rockefeller Institute of Government at the State University of New York in support of an effort to improve the efficiency and effectiveness of state government operations, through a study of best practices and lessons learned across states that will form the basis of a resource for all states, with a pilot effort in New York State. United States Department of Housing and Urban Development, Washington, DC, United States: $2,500,000 toward the costs of its “Cities in Transition Fellowship Placement Program” to provide distressed cities with a core network of professionals to help those cities rebuild their economies.
Sustainable Employment in a Green US Economy (SEGUE) Green For All, Oakland, CA, United States: $450,000 toward the costs of its Retrofit America’s Cities and Green Jobs CRA programs, which seek to build the capacity of government, business and community organizations to participate in the green-collar economy and to expand private capital investment in the energy efficiency retrofit market to create quality jobs for low-income and vulnerable Americans. Innovation Network for Communities, Inc., Beaver Island, MI, United States: $100,000 toward the costs of developing a system for U.S. cities to engage in the joint development of operating systems for building energy efficiency retrofits.
Institute for Sustainable Communities, Montpelier, VT, United States: $500,000 toward the costs of expanding its climate leadership academies to provide officials from U.S. cities with training and technical assistance regarding building the energy efficiency of transportation systems and creating green jobs. Lehigh Carbon Community College, Schnecksville, PA, United States: $150,000 toward the costs of its Green Energy Training Center, a resource, education and training academy for individuals, businesses and contractors currently or potentially involved in energy efficiency and renewable energy. Progressive America Fund, New York, NY, United States: $325,000 for use by its Center for Working Families toward the costs of implementing Green Jobs/Green New York, a collaborative project with the New York State Energy and Research Development Authority that seeks to use a green infrastructure investment program to create jobs in New York State, reduce energy use and climate impacts, lower energy bills, and serve as a model for other state initiatives around the country.
Transforming Health Systems Access Health International, Inc., Washington, DC, United States: $153,100 in support of a project, as a member organization of the Center for Health Market Innovations, to identify, map, track, and analyze innovative private sector health organizations and programs in Brazil and Bangladesh, foster linkages among key stakeholders, and cultivate future support for this sector. African Center for Economic Transformation, Washington, DC, United States: $30,500 in support of a study to map efforts related to strengthening health systems in Ghana, and more broadly in subSaharan Africa, and to identify the research needed for a knowledge base capable of serving as a resource for informed national policy choices that will improve access to universal health coverage for poor and vulnerable people. African Centre for Global Health and Social Transformation, Limited, Kampala, Uganda: $613,800 toward the costs of a secretariat to coordinate the African Network for Health Systems Governance, a regional effort to improve health and health systems perform-
ance by supporting capacity, expertise and leadership development within ministries of health. Asia Foundation, San Francisco, CA, United States: $164,750 in support of a project, as a member organization within the Center for Health Market Innovations, to identify, map, track and analyze innovative private sector health organizations and programs in Pakistan, to foster linkages among key stakeholders, and to cultivate additional future support for this sector. Bangabandhu Sheikh Mujib Medical University, Dhaka, Bangladesh: $400,420 in support of a project to launch a new department of public health and informatics in Bangladesh. Bangladesh Enterprise Institute, Dhaka, Bangladesh: $204,000 in support of developing a scenario planning workshop for the future of eHealth in Bangladesh, organizing an mHealth innovators student competition and drafting of a national strategy for eHealth in Bangladesh. Bloodlink Foundation, Nairobi, Kenya: $76,100 in support of the launch and implementation of a FrontlineSMS mobile-phonebased feedback and reminder system to track and manage blood donors in Kenya, increasing the regular donation rate needed for a safe, steady supply of blood in its healthcare system. BRAC, Dhaka, Bangladesh: $200,000 for use by its Manoshi maternal and neonatal care service delivery program, in collaboration with ClickDiagnostics Inc., toward the costs of scaling up an mHealth application for community health workers. Cedar Associates, LLC, Menlo Park, CA, United States: $169,100 in support of a study to document and verify the scope of benefits available within the national health coverage programs in low- and middleincome countries, including the identification of factors that influenced those coverage decisions, and publishing the results in order to provide an evidence-based resource for developing strategies to strengthen health systems and increase access to care.
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2010 grants Center for Creative Initiatives in Health and Population, Hanoi, Vietnam: $160,160 in support of a project, as a member organization within the Center for Health Market Innovations, to identify, map, track, and analyze innovative private sector health organizations and programs in Vietnam and Cambodia, to foster linkages among key stakeholders, and to cultivate additional future support for this sector. Centre for Health and Social Services, Accra, Ghana: $69,445, toward the costs of engaging Accenture Development Partnerships to develop a strategic plan for the organization and outline a growth strategy to promote and strengthen its capacity to conduct research, develop evidence and provide policy analysis that supports the strengthening of health systems in Africa. Clinton Health Access Initiative, Inc., Boston, MA, United States: $311,300 for use by its Kenya office, toward the costs of a collaboration with Kenya’s Ministries of Medical Services and Public Health and Sanitation to develop and launch an open standard automated system for annual operational planning activities facilitating faster, informed-response capacity by its health system at local and national levels. Columbia University, New York, NY, United States: $500,000 for use by its Mailman School of Public Health in support of three projects designed to strengthen health systems and related activities: 1) a conference on scaling up HIV/AIDS services in subSaharan Africa to be held at the Rockefeller Foundation Bellagio Center, Italy, fall 2010; 2) an effort to identify new funders of health systems and universal health coverage; and 3) a conference on the “Changing Landscape of Global Public Health,” to be held in New York City, June 2010. Crown Agents for Oversea Governments and Administrations Limited, Sutton, United Kingdom: $500,000 for use by its Crown Agents Legal division, toward the costs of launching a secretariat to coordinate the Harnessing Non-State Actors for Better Health for the Poor (HANSHEP) project, a partnership to enable pooled donor funds and expertise to support innovative private sector health programs and approaches globally. Diabetic Association of Bangladesh, Dhaka, Bangladesh: $450,000 for use by its Bangladesh Institute of Sciences toward the costs of establishing the Department of 58 | The Rockefeller Foundation | 2010 Annual Report
Health Informatics to launch a Masters of Science curriculum on health informatics. Freedom From Hunger, Davis, CA, United States: $248,600 in support of a project, as a member organization of the Center for Health Market Innovations, to identify, map, track, and analyze innovative private sector health organizations and programs in the Andes region of Latin America, and foster linkages among key stakeholders to cultivate additional future support for this sector. Global Healthcare Information Network, Ltd., Oxfordshire, United Kingdom: $50,000 in support of a project to develop a monitoring and evaluation framework and process for the “Health Information for All by 2015” (HIFA2015) online network, which is committed to promoting access to reliable healthcare information for healthcare providers in developing countries. Hanoi Medical University, Hanoi, Vietnam: $301,640 towards the costs of establishing a Center for Health System Research to promote the implementation of evidence-based health policies in Vietnam. Hanoi School of Public Health, Hanoi, Vietnam: $500,000 in support of a project to develop and implement a Bachelor’s degree program in public health informatics in Vietnam. Hanoi School of Public Health, Hanoi, Vietnam: $285,000 in support of building its capacity to foster Universal Health Coverage with an emphasis on health economics and health financing through staff training and curriculum development. Heartfile, Islamabad, Pakistan: $25,000 in support of a two-day meeting to conduct peer reviews of four papers for possible publication in the Lancet focused on health systems in Pakistan. Institute of Health Policy, Management and Research, Nairobi, Kenya: $196,160 in support of a project, as a member organization of the Center for Health Market Innovations, to identify, map, track, and analyze innovative private sector health organizations and programs in east Africa, foster linkages among key stakeholders, and cultivate future support for this sector. International Centre for Diarrhoeal Disease Research, Bangladesh, Dhaka, Bangladesh:
$70,000 in support of two site visits to India and Thailand to study their respective national health insurance schemes, and a post-visit workshop to integrate lessons learned for achieving universal health coverage. International Centre for Diarrhoeal Disease Research, Bangladesh, Dhaka, Bangladesh: $95,000 toward the costs of publication and dissemination of a special issue of Lancet focusing on various aspects of health in Bangladesh. International Centre for Diarrhoeal Disease Research, Bangladesh, Dhaka, Bangladesh: $2,283,000 in support of launching, in collaboration with BRAC University, a “Centre of Excellence on Universal Health Coverage” at the James P. Grant School of Public Health in Bangladesh. International Centre for Diarrhoeal Disease Research, Bangladesh, Dhaka, Bangladesh: $307,270 in support of a project to develop and implement a pilot health insurance scheme in Bangladesh. International Health Policy Program, Nonthaburi, Thailand: $25,000 in support of the attendance of 12-15 Asian participants at the 5th Asia-Pacific Action Alliance on Human Resources for Health conference to be held in Bali, Indonesia, October 2010. Mercy Corps, Portland, OR, United States: $249,180 in support of a project, as a member organization within the Center for Health Market Innovations, to identify, map, track and analyze innovative private sector health organizations and programs in Indonesia, to foster linkages among key stakeholders, and to cultivate additional future support for this sector. Ministry of Health, Ghana, Accra, Ghana: $257,900 for use by its Private Sector Unit to incubate the Private Health Sector Alliance of Ghana and support the further development of appropriate private sector policy to coordinate and leverage the public and private sectors’ collective capacities to improve national health care services and accessibility. National Bureau of Asian Research, Seattle, WA, United States: $50,000 in support of a workshop on current efforts to implement universal health coverage through the lens of maternal and newborn health at the 2010 Pacific Health Summit to be held in London, June 2010.
2010 grants National University of Rwanda, Butare, Rwanda: $964,340 for use by its School of Public Health in support of launching a Centre of Excellence in Health Systems Strengthening to benefit health professionals and practitioners in East and Central Africa. Palli Karma-Sahayak Foundation, Dhaka, Bangladesh: $105,000 in support of conducting study tours of the national health insurance schemes of India, the Philippines, and Thailand in order to inform the implementation of micro-health insurance in Bangladesh. Partners In Health A Nonprofit Corporation, Boston, MA, United States: $296,900 in support of a collaboration with Inshuti Mu Buzima and the Ministry of Health, Rwanda to expand the core OpenMRS electronic medical record platform to include primary health care, as part of a national effort to deliver more effective care to populations living in rural areas. PATH (Program for Appropriate Technology in Health), Seattle, WA, United States: $1,000,000 in support of a project to begin the development of a global health enterprise architecture for national health insurance information systems with the aim of strengthening health systems in the Global South through improved access to and use of health information. Pathfinder International, Watertown, MA, United States: $120,000 in support of a project to develop an mHealth information-education-communication system by using mobile phones to disseminate culturally and linguistically relevant healthcare information to underserved populations in the Central Highlands and Northern Mountains of Vietnam. PharmAccess Foundation, Amsterdam, Netherlands: $190,000 for use by its Ghana office in support of a project to develop a Ghana Health Certification and Accreditation Board and launch a Capacity Building and Quality Improvement Program that will improve quality and increase access to health services in Ghana. Philippine Institute for Development Studies, Makati City, Philippines: $249,890 in support of a project, as a member organization within the Center for Health Market Innovations, to identify, map, track, and analyze innovative private sector health organizations and programs
in the Philippines, to foster linkages among key stakeholders, and to cultivate additional future support for this sector.
related research priorities to further strengthen health systems in developing countries.
President and Fellows of Harvard College, Cambridge, MA, United States: $250,000 for use by its School of Public Health in support of a planning process to determine the need for and design of a new initiative to translate global health research evidence into policy recommendations for country-level health systems strengthening implementation efforts.
United Nations Foundation, Inc., Washington, DC, United States: $1,000,000 toward the costs of developing its collaborative mHealth Alliance, a multi-stakeholder partnership devoted to establishing scalable, open standards-based health solutions by leveraging the power of mobile networks and devices.
Public Health Foundation of India, New Delhi, India: $354,450 in support of establishing a technical and administrative secretariat for assisting the government of India to develop a framework for universal healthcare in India.
Universidad del Desarrollo, Santiago, Chile: $171,800 for use by its Center for Epidemiology and Public Health Policy, toward the costs of a study to assess the equity of health coverage for pre-natal care and hypertension in Chile and to develop methodological tools for evaluating health coverage that will be effective under a variety of conditions and in different countries.
Results for Development Institute, Inc., Washington, DC, United States: $3,508,000 in support of efforts to create more awareness and analytical understanding of the possibilities for, and direct facilitation of country-level efforts to expand and deepen, universal health coverage, including through the creation of a Joint Learning Network among implementing countries. South African Health Informatics Association, Greyville, South Africa: $120,000 toward the costs of supporting the “13th World Congress on Medical and Health Informatics: Partnerships for Effective eHealth Solutions” to be held September 2010 Cape Town, South Africa, including support for the participation of health informatics researchers and practitioners from developing countries, and coordination of the eHealth Innovators Awards. The African Health Economics and Policy Association Limited, Surrey, United Kingdom: $69,500 in support of engaging Accenture Development Partnerships to develop a plan to promote and strengthen its capacity to conduct health economics and policy analysis in order to improve health outcomes in African countries. The University of California, San Francisco, San Francisco, CA, United States: $104,000 for use by its Global Health Group in support of establishing a secretariat to organize a symposium to be held in Toronto, Canada, July 2011, as part of a continuing effort to map what is known about the role of the private sector in health care and to identify
University of Ghana, Legon, Accra, Ghana: $167,700 for use by its School of Public Health in support of continuing to enhance its health informatics curriculum, and establishing a Health Informatics Society that will promote the development of health informatics capacities that leverage eHealth to improve access to health services in Ghana. University of KwaZulu-Natal, Westville, South Africa: $600,000 for use by its Faculty of Science and Agriculture toward the costs of establishing a Health Enterprise Architecture Lab, a research laboratory focused on the application of enterprise architecture and health informatics to lowresource settings. World Federation of Public Health Associations, Geneva, Switzerland: $28,868, in support of the costs of presenters and developing country practitioners at the 12th World Congress of Public Health Associations, held in Istanbul, Turkey, April 2009. World Health Organization, Geneva, Switzerland: $120,000 for use by its Global Observatory for eHealth toward the costs of analyzing the results of its recent survey of eHealth activities in 115 countries, and the development of a series of monographs for publication, which will inform the decisions of countries planning to incorporate information technology into their healthcare systems.
The Rockefeller Foundation | 2010 Annual Report | 59
2010 grants Transportation American Ideas Institute, Palo Alto, CA, United States: $150,000 in support of creating its American Conservative Center for Public Transportation as a vehicle to build public support for public transportation. Aspen Institute, Inc., Washington, DC, United States: $250,000 for use by its Congressional Program toward the costs of a nonpartisan project to educate members of the U.S. Congress on the confluence of forces, including transportation, that impact energy security and climate change. Building America’s Future Educational Fund, Washington, DC, United States: $750,000 toward the costs of activities to revitalize investment in, and raise awareness about, transportation and infrastructure challenges facing cities in the United States with the goal of advancing a national vision that will lead to policies of social equity, environmental sustainability, and economic growth. Carnegie Endowment for International Peace, Washington, DC, United States: $175,000 toward the costs of producing a research report to make the case for new revenue sources that can fund sustainable transportation, reduce carbon emissions and help to reduce the national deficit. Center for Clean Air Policy, Washington, DC, United States: $300,000 toward the costs of research, policy papers and workshops that will highlight best practices and federal, state and local policy options to advance sustainable transportation in the U.S. CEOs for Cities, NFP, Chicago, IL, United States: $75,000 in support of developing and publicizing a rigorous critique of the Texas Transportation Institute’s Urban Mobility Report, in an effort to advocate for measurement systems that better reflect the critical role played by density and land use patterns in determining the cost, effectiveness and impacts of transportation systems and investments. Cornell University, Ithaca, NY, United States: $100,000 for use by its Global Labor Institute in support of launching the Transportation Policy Working Group to encourage dialogues between high-level representatives from labor unions in transport-related sectors and organizations working toward equitable and sustainable transportation systems in the U.S. 60 | The Rockefeller Foundation | 2010 Annual Report
Economic Policy Institute, Washington, DC, United States: $350,000 in support of research and policy analysis on a range of economic security issues for working families, with a focus on the correlation between federal infrastructure investments and job growth and economic development. Educational Broadcasting Corporation, New York, NY, United States: $750,000 in support of “Blueprint America: A Livable Future,” a multi-platform public broadcasting effort that will explore the concept of livability by focusing on local, state and federal efforts to use transportation and transportation policy to create more equitable, affordable, accessible, greener and healthier communities. Environmental Law and Policy Center of the Midwest, Chicago, IL, United States: $300,000 toward the costs of its Transportation Reform Project, a multi-pronged effort that aims to inform the national transportation reauthorization debate, advocate for highspeed rail, and promote rural transportation and other state policy reform efforts in the Midwest region of the United States. Funders’ Network for Smart Growth and Livable Communities Inc., Coral Gables, FL, United States: $200,000 toward the costs of a project to increase philanthropic engagement in efforts to improve transportation policies and practices in California and at the federal level, in order to advance environmental sustainability, social equity and public health in metropolitan areas. Gamaliel Foundation, Chicago, IL, United States: $325,000 for use by its Transportation Equity Network toward the costs of a campaign to encourage equity, job creation for low- and middle-income Americans and environmental sustainability in the transportation policy debate. Georgetown University, Washington, DC, United States: $75,000 for use by its Georgetown Climate Center toward the costs of a meeting of the Regional Greenhouse Gas Initiative that will bring together state environmental, energy and transportation agency executives to develop a strategy and work plan for reducing emissions from the transportation sector by addressing vehicle miles traveled and efficiency. Institute for the Analysis of Global Security, Inc., Potomac, MD, United States: $275,000 in support of its Mobility Choice project, which seeks to build a coalition of constituents from across the political spectrum and from all parts of the country to advance
the case for national transportation reform around mobility choice, energy security and government accountability. Institute for Transportation and Development Policy, New York, NY, United States: $168,800 in support of a project to study the status of Bus Rapid Transit (BRT) projects in the U.S. and to develop a strategy to advance BRT, including plans for the possible implementation of a world-class BRT project in the U.S. Monitor Company Group LP, Cambridge, MA, United States: $151,500 for us by its Global Business Network in support of a scenario building exercise directed at the development of anticipatory approaches in reaction to potential shifts in the political process surrounding the passage of federal transportation legislation. Mosaic Films, Inc., New York, NY, United States: $59,600 in support of planning, coordinating and producing a screening tour of the PBS documentary “Beyond the Motor City” in select aging industrial cities across the U.S. to foster real-time community debate and discussion about transportation reform in America. National Housing Conference, Inc., Washington, DC, United States: $20,000 toward the costs of the conference, “Partners in Innovation: Including Affordable and Workforce Housing within Transit-Oriented Development,” to be held in Denver, Colorado, September 2010. Natural Resources Defense Council, Inc., New York, NY, United States: $400,000 toward the costs of a range of efforts to help broaden the national movement for transportation reform to include security-minded conservatives and the business sector, and to help build the capacity of policymakers at the federal, regional, state and local levels by broadly disseminating cutting-edge research, policy analysis and models that have proven effective for reducing greenhouse gas emissions and oil usage. New York Community Trust, New York, NY, United States: $100,000 toward the costs of the One Region Funders’ Group, a joint grantmaking effort of funders in the Tri-State metropolitan region of Connecticut, New York and New Jersey to support state- and regional-level policy and planning initiatives that link housing, economic opportunity, transportation, and land use issues.
2010 grants New York Public Radio, New York, NY, United States: $450,000 toward the costs of expanding and deepening “Transportation Nation,” a radio broadcast and online editorial collaboration that provides nationallydistributed news coverage on transportation and infrastructure policies and practice. Reconnecting America, Inc., Oakland, CA, United States: $275,000 in support of developing a coordinated rural strategy for national transportation reform as part of the Transportation for America (T4A) campaign. Reconnecting America, Inc., Oakland, CA, United States: $50,000 in support of a report on planned transit corridors across the United States in an effort to identify projects that are ripe for philanthropic intervention and have the potential to catalyze regional, statewide or national support for expansion of transit funding. Regional Plan Association, Inc., New York, NY, United States: $350,000 toward the costs of its America 2050 project, which seeks to stimulate discussion about transportation and infrastructure challenges facing cities in the United States, with a focus on research, public outreach and education on high-speed rail and other efforts that will lead to policies of social equity, environmental sustainability and economic growth. Regional Plan Association, Inc., New York, NY, United States: $300,000 toward the costs of its America 2050 project’s efforts to develop support for a high-speed rail system nationally, implement an improved highspeed rail system in the Northeast Corridor, and leverage rail investments for improved environmental benefits, smart growth, and urban infill development. Resources Legacy Fund, Sacramento, CA, United States: $550,000 toward the costs of technical, communications and coalition building activities aimed at reducing greenhouse gas emissions, shifting development patterns and increasing public transportation funding in California. Second Nature, Inc., Boston, MA, United States: $50,000 in support of a joint project with Transportation for America to engage college and university presidents in an advocacy campaign to advance more sustainable and equitable national transportation policies.
Smart Growth America, Washington, DC, United States: $392,500 in support of advocating for state-level transportation reform by analyzing the fiscal situation of several state Departments of Transportation, and studying national finance and tax policy to identify new policy proposals to reduce urban sprawl and encourage transit-orientated development. Smart Growth America, Washington, DC, United States: $2,300,000 toward the costs of an advocacy campaign, Transportation for America (T4 America), that seeks to advance more sustainable and equitable national transportation policies to improve the lives of low-income and vulnerable people. Social Science Research Council, Brooklyn, NY, United States: $175,000 for use by its Center on Law and Public Finance in support of a series of publications to provide information to public officials and policymakers about best practices in innovative financing solutions and public-private partnerships for infrastructure projects that increase competitiveness and advance the public interest. Southern Environmental Law Center, Charlottesville, VA, United States: $225,000 toward the costs of advocacy efforts to advance sustainable transportation and land use policies and projects in the Southeast region of the United States, with a particular focus on North Carolina and Georgia.
growth and job creation in the public transit manufacturing sector in the U.S. Tides Center, San Francisco, CA, United States: $150,000 toward the costs of its Empire State Future project, a state-wide coalition of environmental, economic development and community organizations working to advance the revitalization of New York’s older industrial cities through sustainable land-use policies and economic development strategies. University of Wisconsin-Madison, Madison, WI, United States: $1,500,000 for use by its Center on Wisconsin Strategy toward the costs of launching the Smart State Transportation Initiative, a project to improve and support states’ capacity to implement climate-friendly and equitable transportation policies and practices. Urban Land Institute, Washington, DC, United States: $250,000 toward the costs of a series of activities to explore the connection between land use and transportation and educate its members on federal transportation and infrastructure policy issues, in an effort to build support for a national vision that will advance transportation policies that lead to social equity, environmental sustainability and economic growth.
The Open Planning Project, Inc., New York, NY, United States: $79,800 toward the costs of two events that will bring together policymakers and advocates to discuss new advances in transportation technologies in an effort to increase the sustainability, equity and effectiveness of U.S. transportation systems. The Pew Charitable Trusts, Philadelphia, PA, United States: $250,000 for use by its Pew Center on the States toward the costs of conducting a 50-state assessment that will analyze states’ progress toward select transportation goals, focusing on economic performance, financial sustainability and public safety. Tides Center, San Francisco, CA, United States: $400,000 toward the costs of its project, the Apollo Alliance, for support of its Transportation-Manufacturing Action Plan (T-MAP), a research and advocacy effort to develop the economic case for green transportation by assessing the potential for The Rockefeller Foundation | 2010 Annual Report | 61
2010 financials Fiscal Stewardship The Rockefeller Foundation Condensed Financial Statements for 2010
Statement of Financial Position as of December 31. Amounts in millions. Numbers are rounded.
ASSETS
2010
2009
9
8
3,528
3,255
56
54
3,593
3,317
8
9
Grants payable
45
43
Debt outstanding
20
20
Other liabilities
28
24
Total liabilities
101
96
Unrestricted net assets
3,492
3,221
Total liabilities and net assets
3,593
3,317
Cash, cash equivalents and other current assets Investments Other long term assets Total assets
LIABILITIES AND NET ASSETS
Accounts payable and accrued expenses
62 | The Rockefeller Foundation | 2010 Annual Report
2010 financials
Statement of Activities as of December 31. Amounts in millions. Numbers are rounded.
REALIZED INCOME
2010
2009
198
32
(11)
(12)
—
1
187
21
141
136
Program costs
18
19
Operations
18
19
3
(1)
180
173
7
(152)
257
510
8
8
272
366
Realized investment income Investment expense Other income Net realized income
EXPENSES
Grants and direct charitable activities
Taxes Total expenses Excess (Deficiency) of net realized income over expenses
UNREALIZED INCOME
Unrealized gain (loss) on investments Pension and post-retirement benefit adjustments Change in net assets
The Rockefeller Foundation | 2010 Annual Report | 63
references Sowing the Seeds of Africa’s Green Revolution 1 2 3 4 5 6 7 8
“Good Seeds, Better Lives: Seeds, Supplies, and Advice for Rural Farmers” (note: courtesy of Gates Foundation), http://www.agra-alliance.org/content/story/detail/1139. Rockefeller Foundation, “Alliance for a Green Revolution in Africa: Initiative Outline for Pre-Proposal Bundles,” p. 1. Ibid. Ibid. “About the Alliance for a Green Revolution in Africa,” http://www.agra-alliance.org/section/about. Rockefeller Foundation, “Grant Memo: AGRA Market Access,” p. 3. “About the Alliance for a Green Revolution in Africa,” http://www.agra-alliance.org/section/about. Gregg Easterbrook, “Forgotten Benefactor of Humanity,” The Atlantic Jan 1997.
Driving Sustainable and Equitable Transportation Policy 1 2 3 4 5 6 7 8
http://www.mercurynews.com/news/ci_19145034. http://stories.energytrap.org/. Rockefeller Foundation, Transportation Initiative in Execution, p. 1. http://stories.energytrap.org/. Rockefeller Foundation, Transportation Initiative in Execution, p. 1. “Danger Zones: 1 in 9 Bridges Called ‘Deficient,’ ” http://www.rockefellerfoundation.org/what-we-do/current-work/promoting-equitable-sustainable. Rockefeller Foundation, Building America’s Future: Falling Apart and Falling Behind, p. 25. Jane Jacobs, The Death and Life of Great American Cities, 340.
Building Strong Systems for Healthy Communities 1 2 3 4
http://healthmarketinnovations.org/program/102-ambulance-call-centre. http://healthmarketinnovations.org/blog/2011/nov/22/healthcare-just-another-stop-your-morning-routine. Rodin, “Changing Landscape of Global Public Health,” Oct 25, 2010, p. 4. Rockefeller Foundation, Transforming Health Systems Initiative, p. 1.
Detecting Disease Through Integration 1 2 3
RF, Disease Surveillance Networks Initiative, p. 1 http://www.who.int/csr/sars/country/country2003_08_15.pdf. http://www.rockefellerfoundation.org/news/press-releases/promoting-trans-national-collaboration.
Working for a Stronger Safety Net 1 2 3 4
http://www.rockefellerfoundation.org/what-we-do/current-work/protecting-american-workers-economic/grants-grantees/doorway-dreams. RF, NELP Grant Memo, p. 1. D2D Fund, “Yes We Can: Inclusive Saving at Tax Time,” p. 5, http://www.d2dfund.org/files/publications/ D2D_Yes%20We%20Can%20Report4_070809_FINALFINAL.pdf. http://www.brainyquote.com/quotes/authors/j/john_d_rockefeller.html#ixzz1jHRgQ9VI (also inscribed on Rockefeller Building).
Innovating Within and Across Institutions 1 2 3 4 5 6 7
http://www.nytimes.com/2011/02/09/business/economy/09leonhardt.html. http://www.nytimes.com/2011/02/09/business/economy/09leonhardt.html. http://www.guardian.co.uk/society/2010/oct/06/social-impact-bonds-intractable-societal-problems/print, http://www.socialfinance.org.uk/sites/default/files/SF_Peterborough_SIB.pdf. http://www.americanprogress.org/issues/2011/02/social_impact_bonds.html. http://online.wsj.com/article/SB10001424052748703584804576144661629994864.html. Rockefeller Foundation, “Nonprofit Finance Fund Grant Memo.” http://www.nytimes.com/2011/02/09/business/economy/09leonhardt.html.
Building Climate Change Resilience 1 2 3 4 5 6
http://www.hindustantimes.com/News-Feed/India/India-cheers-as-monsoon-arrives-hopes-of-better-farm-output-raised/Article1-551239.aspx. RF Climate Change Resilience Initiative in Execution, p. 2, http://www.rockefellerfoundation.org/uploads/ files/c2c7bee1-0127-4c60-91aa-893f038b240a-developing.pdf. Joel E. Cohen, “Seven Billion,” NYT, Oct 23, 2011, http://www.nytimes.com/2011/10/24/opinion/seven-billion.html?pagewanted=all. Joel E. Cohen, “Seven Billion,” NYT, Oct 23, 2011, http://www.nytimes.com/2011/10/24/opinion/seven-billion.html?pagewanted=all. “The 7 Fastest-Growing Cities in the World,” Oct 26, 2011, http://www.foreignpolicy.com/articles/2011/10/26/worlds_fastest_growing_cities_?page=full. http://www.usa.siemens.com/sustainable-cities/.
64 | The Rockefeller Foundation | 2010 Annual Report
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