Foundation Annual Reports

JOHN S. AND JAMES L. KNIGHT FOUNDATION

1 Biscayne Tower,
Suite 3800
2 South Biscayne Boulevard
Miami, Fla. 33131-1803
(305) 908-2600
http://www.knightfdn.org

Period covered: Year ending December 31, 2001.

Purpose and areas of support: This private foundation was established in 1950 by John S. and James L. Knight, whose various newspapers nationwide eventually formed part of the Knight-Ridder newspaper chain.

The foundation maintains three major programs: community partnerships in the 26 cities and towns nationwide where the Knight brothers owned newspapers; the National Venture Fund, which supports innovative programs at the national level that relate to the foundation’s work in its designated communities; and journalism. The foundation also supports a small number of complementary projects outside those identified program areas.

In 2001, the foundation paid out $85-million in grants, up from $70-million a year earlier, and approved 319 grants totaling $86.4-million.

Community-partner grants are designed to improve the quality of life in the 26 designated cities and towns — which include Akron, Ohio; Biloxi, Miss.; Grand Forks, N.D.; Miami; and Philadelphia — and their surrounding counties. Advisory committees comprising leaders from businesses, government agencies, and nonprofit groups in each of the communities work with Knight staff members to help establish grant-making priorities.

Through the community-partners program, the foundation approved 206 grants totaling $45,457,475, or just more than half of all grants made by the foundation last year. They included support for children and families, civic engagement and positive human relations, community foundations, cultural activities, economic development, education, housing and community development, and youth development and the prevention of youth violence. The foundation intends to spend at least $300-million in its 26 partner communities through 2005.

Following the September 11 attacks, the foundation committed $10-million to help 246 nonprofit service providers in its partner communities that were affected economically.

The new National Venture Fund awards grants for innovative national projects that relate directly or indirectly to the foundation’s work in its 26 communities. The foundation approved 42 grants totaling $24,787,000 — or 29 percent of all grant monies approved — through the fund. Allocations included $175,000 over two years to the Voter Foundation, in Boston, to develop a business plan for an online civic, educational, and journalistic enterprise designed to promote a more active and informed U.S. electorate.

The foundation approved 39 journalism grants totaling $15,774,000, or 18.3 percent of grant dollars awarded. The foundation’s journalism grants are international in scope and are designed to promote excellence in journalism and to increase press freedom and diversity in the field.

Application procedure: Potential applicants whose projects fall within the objectives and interests of the foundation should submit a brief letter of inquiry of no more than two pages that includes the following: a description of the need for the proposed project; the relationship of the project to the foundation’s grant-making priorities; expected results and benefits; special qualifications of the applicant organization to carry out the project; the role, if any, of partner organizations; the total amount requested; the organization’s most recent annual budget; and verification of the organization’s tax-exempt status under Section 501(c)(3) of the Internal Revenue Code. The foundation may then request a full proposal; additional information and proposal guidelines can be found at its Web site.

Key officials: Hodding Carter III, president and chief executive officer; Penelope McPhee, vice president and chief program officer; Joe Ervin, director of the community partners program; John Bare, director of program development and evaluation; Lisa Versaci, director of the National Venture Fund; Eric Newton, director of journalism initiatives; Timothy J. Crowe, vice president and chief investment officer; Larry Meyer, vice president for communications; Belinda Turner Lawrence, vice president and chief administrative officer; W. Gerald Austen, chairman of the Board of Trustees.

ROCKEFELLER FOUNDATION

420 Fifth Avenue
New York, N.Y. 10018-2702
(212) 869-8500
http://www.rockfound.org

Period covered: Year ending December 31, 2001.

Purpose and areas of support: The foundation was incorporated in 1913 by the industrialist John David Rockefeller. Its current grant making is organized around four major themes: creativity and culture, food security, health equity, and working communities. Under a fifth “cross theme,” global inclusion, the foundation promotes and supplements the work subsumed under its other themes. The foundation also supports several regional and special programs that are developing or in transition, including the Africa regional program, the Southeast Asia regional program, communication for social change, public/private partnerships, and global philanthropy.

During 2001, the foundation made grants, fellowships, and program investments totaling $155,661,000, which were distributed as follows: the working communities program received $33,190,000; health equity, $26,430,000; global inclusion, $23,007,000; food security, $20,962,000; creativity and culture, $16,926,000; regional activities, $14,314,000; special programs, $13,682,000; and program venture investments, $7,150,000.

Under its working-communities program, the foundation strives to transform urban neighborhoods into safe and healthy places by increasing the quantity and quality of jobs, improving the quality of schools, and increasing the influence and voice of poor and other marginalized people in political decisions that affect their lives.

Health-equity grants seek to reduce “avoidable and unfair” differences in the health status of people around the world, including by overcoming inequities in the distribution of products that prevent or treat tuberculosis, AIDS, and other diseases. For example, the foundation helped create a partnership of various foundations committed to providing $100-million to treat HIV/AIDS-infected pregnant women in Africa. The health-equity program also seeks to revitalize public-health systems in order to meet the health needs of poor people, particularly in sub-Saharan Africa and South and Southeast Asia.

The global-inclusion program helps broaden the benefits and reduce the negative effects of globalization upon vulnerable communities, families, and individuals around the world.

Food and security grants seek to improve the nutrition of poor people through agricultural policies, institutions, and innovations to benefit rural areas of sub-Saharan Africa, Asia, and Latin America bypassed by the green revolution. For example, a $246,450 grant went to the University of Cape Town for research on the development of drought-tolerant crops through genetic engineering.

Creativity and culture grants focus primarily on the United States and promote expanded opportunities for fostering creative expression among disadvantaged children, the preservation and renewal of cultural heritage, the engagement of artists in the creation of democratic and inclusive societies, and the support of diverse creative expression and experiments involving new digital technologies. Allocations included $15,000 to the Children’s Theatre Company, in Minneapolis, to produce an original play about the experience of Somali immigrant youths in America.

The African regional program works to strengthen human and institutional resources and to provide critical information leading to effective policies and programs that can improve the lives and livelihoods of poor Africans. The nascent Southeast Asia regional program focuses on issues that affect marginalized people in the Greater Mekong region, including uneven economic development, ethnic tensions, and other challenges deriving from inequitable regional development.

Application procedure: The foundation strongly discourages unsolicited grant proposals. Organizations seeking funding should carefully review the foundation’s grant-making guidelines provided on its Web site. If a project conforms to the foundation’s strategic interests, the organization may send a letter of inquiry, without attachments, to the director of the relevant subject area containing the following information: the purpose of the project; the issues the proposed project will address; information about the organization; estimated budget and period for which funds are being requested; and the qualifications of key personnel involved in the project.

Key officials: Gordon Conway, president; Lynda Muller, corporate secretary; Lincoln Chen, executive vice president for strategy; Robert W. Herdt and Julia Lopez, vice presidents; Denise Gray-Felder, vice president for administration and communication; Donna Dean, treasurer and chief investment officer; James Orr III, chairman of the Board of Trustees and chief executive officer.

Program directors and managers: Robert Bach, global inclusion; Tim Evans, health equity; Sal LaSpada, global philanthropy, the philanthropy workshop; Raymund Paredes, creativity and culture; Surita Sandosham, global philanthropy, next generation leadership; Gary Toenniessen, food security; Darren Walker, working communities.

CORPORATIONS

ALCOA and the ALCOA FOUNDATION

Alcoa Corporate Center
201 Isabella Street
Pittsburgh, Pa. 15212-5858
(412) 553-2348
http://www.alcoa.com

Period covered: Year ending December 31, 2001.

Purpose and areas of support: Established in 1952, the foundation strives to improve the lives of people, strengthen communities, and sustain natural resources in the 38 countries worldwide where Alcoa — the world’s leading producer of primary aluminum, fabricated aluminum, and alumina — operates.

The foundation approved grants totaling $21.3-million in 2001, up from $20.1-million in 2000, supporting 2,500 programs in 26 countries. Giving for international projects totaled $6.7-million in 2001, up 86 percent from the previous year. In addition, Alcoa’s corporate-giving program made approximately $13-million in grants and $18-million in one-time gifts related to real estate.

The foundation supports projects in the following areas: safe and healthy children and families, which received 24.9 percent of grant dollars; business-community partnerships, which received 13.2 percent; global education, 8.7 percent; conservation and sustainability, 8.3 percent; “skills today for tomorrow,” 6.5 percent; and other, 24.8 percent. Matching gifts and scholarships accounted for the remaining 13.6 percent.

The program for safe and healthy children and families finances projects to reduce preventable childhood and other injuries, to promote nutrition and healthy lifestyles, and to help disabled people lead independent lives.

Business-community partnership grants provide support and education for nonprofit organizations in finance, governance, legal, and other critical areas. For example, BoardSource, in Washington, received a grant to develop nonprofit leaders through its International Fellowships in Nonprofit Governance program.

Through its global-education program, the foundation made grants to projects at 29 colleges and universities that help minority students excel at business, engineering, science, and technology. The foundation also supported activities to recruit and retain women in engineering and science.

Under its conservation and sustainability program, the foundation supports young conservation leaders, forest preservation, and the exploration of the role of business in stewarding natural resources and ensuring that conservation policy is based on sound research and public discussion.

The “skills today for tomorrow” program promotes technical training for young people, increased participation in manufacturing careers, job readiness, and the inclusion of women in nontraditional job sectors.

Application procedure: The foundation gives priority consideration to programs and organizations in or near communities where Alcoa plants or offices are located. Potential applicants should consult the corporation’s Web site for a list of operating locations, and click on “Community” at http://www.alcoa.com.

Key officials: Kathleen W. Buechel, president and treasurer, Alcoa Foundation; Alain Belda, chairman and chief executive officer, Alcoa.