Foundation Annual Reports

GEORGE GUND FOUNDATION
1845 Guildhall Building
45 Prospect Avenue West
Cleveland 44115
(216) 241-3114
http://www.gundfdn.org

Period covered: Year ending December 31, 1998.

Purpose and areas of support: The foundation was established in 1952 by George Gund, former chairman of the board of the Cleveland Trust Company.

In 1998, the fund appropriated 431 grants totaling $30,126,894 in seven areas: special projects, which received 27 grants totaling $7,600,180; economic development and community revitalization, 53 grants totaling $6,739,170; education, 89 grants totaling $4,704,271; human services, 88 grants totaling $4,045,535; the environment, 81 grants totaling $3,485,017; the arts, 67 grants totaling $2,741,761; and civic affairs, 26 grants totaling $810,960.

Two large allocations were made through the special-projects program: a $5-million challenge grant to the Great Lakes Museum of Science, Environment, and Technology, in Cleveland, for its endowment campaign, and $2-million to the Foundation Fighting Blindness, in Hunt Valley, Md., for research on retinal degenerative disease.

The foundation reaffirmed its commitment to Neighborhood Progress Inc., a local community-development intermediary, with a three-year, $3-million grant and a $2.5-million program-related investment. Additional grants made through the economic-development and community-revitalization program emphasized employment and training, low-cost housing, urban design and planning, and the revitalization of inner-city Cleveland neighborhoods.

In the area of education, the foundation continued its focus on academic and organizational reform in the Cleveland public schools, national school improvement, colleges and universities in northeast Ohio, technology and education, and early-childhood education. Awards included $250,000 to the University of California Press, in Berkeley, to endow its publications on African-American studies.

Grants made through the human-services program stressed projects in Cleveland and surrounding Cuyahoga County that dealt with child protection and welfare, low-income families, reproductive health, welfare and health-care restructuring, economic issues affecting women, and AIDS prevention and treatment. As in previous years, AIDS and reproductive-health grants were made to national, as well as local, groups.

Environmental grants supported various projects on urban sprawl, watershed and river conservation, forest management, farmland preservation, and preserving biological diversity and reducing pollution and toxic waste in Ohio and the Great Lakes region.

The arts program emphasized visual-arts and performing-arts groups, film and the news media, and arts-education projects in the Cleveland area. For example, $100,000 over two years went to the Cleveland International Film Festival to expand its staff operations.

Civic-affairs grants focused on handgun-related violence, “civility,” fair and adequate housing policies, citizen participation in civic affairs, and training for government leaders.

Application procedure: Proposals should include a one-page cover letter describing the project and the amount of funds requested. Proposals should also include: organizational background, including history, mission, types of programs offered, and constituencies served; project description, including justification of need, specific goals and objectives, project time line, qualifications of key personnel, and methods of evaluation; project budget, including details about how foundation funds will be used, anticipated income and expenses, and other sources approached for funds; organizational budget and most recent audited financial statement; list of current board members, letters of support, and a copy of the letter from the Internal Revenue Service confirming tax-exempt status under Section 501(c)(3) of the Internal Revenue Code or information confirming status as a government unit or agency; and printed materials about the organization (i.e., annual reports or brochures), if any. Deadlines for submitting proposals for consideration at the following board meeting are December 30, March 30, June 30, and September 30. Proposals should not be submitted by fax and should not be placed in binders, notebooks, or plastic folders.

Key officials: David Bergholz, executive director; Robert B. Jaquay, associate director; Deena M. Epstein and Jon M. Jensen, senior program officers; Marcia Egbert and Jeffrey M. Glebocki, program officers; Geoffrey Gund, president and treasurer of the Board of Trustees.

W. M. KECK FOUNDATION

555 South Flower Street, Suite 3230
Los Angeles 90071
(213) 680-3833
http://www.wmkeck.org

Period covered: Year ending December 31, 1998.

Purpose and areas of support:

The foundation was endowed in 1954 by the late William Myron Keck, founder of the Superior Oil Company. Through his will, Mr. Keck also incorporated the W. M. Keck Trust for the foundation’s exclusive benefit. Its trustee, Howard B. Keck, died in December 1996; under the terms of the trust, it was terminated and all its income and principal distributed to the foundation. Distributions totaling more than $1-billion were made during 1997, and the final distribution was made in December 1998.

Grant making focuses on research and programs “designed to provide far-reaching benefits for humanity” in science, engineering, and medicine. Eligible institutions are accredited four-year colleges and universities, medical schools, and major independent medical-research organizations located in the United States. The foundation also makes some grants to promote innovative instruction and research at leading liberal-arts colleges nationwide.

The foundation also maintains the Southern California Grant Program, which supports groups in that geographic area that work in arts and culture, civic and community services, health care and hospitals, and precollegiate education. In 1998, the foundation created a separate statement of policy and procedures for the program, and it is increasingly focusing on services for children in the Los Angeles area who are disadvantaged or have special needs.

In 1998, the foundation allocated 49 grants totaling more than $48-million. Of those awards, 19 were made in the area of science and engineering, 12 in medical research, 3 in liberal-arts education, and 15 for southern California programs.

Grants included $800,000 to North Carolina State University, in Raleigh, for a new behavioral biology program, and an award to Pitzer College, in Claremont, Cal., to establish the Center for California Cultural and Social Issues.

Application procedure: The foundation has revised its “Statement of Policy and Procedures” for grant applications; detailed information on foundation policies and the application process can be found on the foundation’s World-Wide Web site or in its annual report. The foundation has a two-phase application process and awards grants twice a year, in June and December. Although formal applications are initiated through the submission of a complete letter of inquiry and supporting documentation, the foundation strongly urges interested grant seekers to contact its staff by letter or telephone in advance of such a submission. Initial contacts from a multiple-unit organization — such as a college or university — must be coordinated through a central office; most major universities have designated an official liaison with the foundation. Applicants must be tax-exempt as defined by Section 501(c)(3) of the Internal Revenue Code, must not be private foundations as defined under Section 509(a), and must be able to provide current full, certified audited financial statements. If the institution is located in California, it must include a copy of the confirmation letter from the State of California Franchise Tax Board stating that the institution is exempt from California state franchise or income tax. Both rulings must be final; an advance ruling is not sufficient. From the pool of applicants submitting letters of inquiry, the foundation will invite some to submit complete proposals. Unsolicited proposals and electronic applications are not accepted.

Key officials: Robert A. Day, chairman, president, and chief executive officer; Jonathan D. Jaffrey, vice-president and chief administrative officer; Roxanne Ford (medical research, southern California); Maria Pellegrini (science, engineering, and liberal arts).

CORPORATIONS

PRUDENTIAL FOUNDATION
751 Broad Street, 15th Floor
Newark, N.J. 07102-3777
(973) 802-4791

Period covered: Year ending December 31, 1998.

Purposes and areas of support:

The foundation places priority on grants for direct services, rather than for policy-oriented projects. Direct-service grants are made through three programs: Ready to Learn, Ready to Work, and Ready to Live. Geographically, priority is given to programs that serve Newark and adjacent New Jersey urban centers; programs in cities where the Prudential Insurance Company of America has substantial operations — including Atlanta, Boston, Chicago, Denver, Houston, Los Angeles, Minneapolis, Philadelphia, Phoenix, and Jacksonville, Fla.; and national programs that can be effectively implemented or duplicated in the Prudential’s specified cities of interest.

Grants in the “Ready to Learn” program emphasize education-reform efforts involving early-childhood education, teacher development, parent involvement, and school-based health and human services. Within this framework, the foundation also stresses arts education, literacy, and the creation of model schools.

Awards included $40,000 to the Link Community School, in Newark, for educational programs at that alternative school, and $25,000 to Reading Is Fundamental, in Chicago, for the Family of Readers Program at Head Start centers throughout Chicago.

Grants in the “Ready to Work” program stress job creation, low-cost housing, and job-entry and vocational skills, including for welfare recipients and young adults entering the work force.

Awards included $25,000 to Urban Promise Ministries, in Camden, N.J., which provides summer employment for local teen-agers, and $40,000 to the Women’s Economic Development Agency, in Atlanta, for a program that helps local mothers make the transition from welfare to work.

Grants in the “Ready to Live” program focus on youth-development projects, the Greater Newark AIDS Initiative, community-based arts and cultural projects in New Jersey, and human-services programs for disadvantaged children and families.

For example, $50,000 went to the Youth Development Clinic of Newark for its services, which include individual and group counseling for at-risk children and families.

Through the new Prudential Neighborhood Partnership, the foundation has earmarked more than $2.2-million for “socially beneficial” projects in selected neighborhoods in Jacksonville, Los Angeles, Minneapolis, Newark, and Philadelphia.

Application procedure: Contact the foundation to receive grant guidelines and application forms. The foundation also accepts the New York Area Common Application Form. A brief concept letter of three pages or less may be submitted with the application. Applicants should not fax applications or submit videotapes. If it feels that there is potential for a grant award, the foundation will notify the applicant, which should be prepared to provide copies of its latest audited financial statement; a complete itemized project budget; a list of sources of funds, including the amount received from each; and the names and qualifications of individuals conducting the project. Although grant proposals are accepted and reviewed throughout the year, grants in excess of $200,000 must be approved by the board, which meets in April, September, and December.

Key officials: Gabriella E. Morris, president; Peter J. Bushyeager, vice-president; Michele S. Darling, chairman of the Board of Trustees.