Rockefeller Annual Report
Rockefeller Annual Report
Rockefeller Annual Report
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 edu-
cation 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
2 | The Rockefeller Foundation | 2010 Annual Report
The Rockefeller Foundation
2010 Annual Report
38 2010 Trustees
39 2010 Staff
42 2010 Grants
62 2010 Financials
64 References
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
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 infrastruc-
ture,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.
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.
When John D. Rockefeller established the Rockefeller Foundation in 1913, the U.S. was rapidly industrializ-
ing. 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.
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
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 emerg-
ing 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 collabo-
rate swifter and with greater efficiency than ever before.
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 vet-
erinary science to tackle these new varieties of zoonotic diseases that move and mutate rapidly from ani-
mals 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 train-
ing 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.
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 low-
income 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.
To repair the fraying edges of our social safety net, the Rockefeller Foundation
has focused on developing quality data and utilizing it to promote evidence-
based 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.
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.
Now, a UK-based nonprofit, Social Finance Ltd., is trying to break that cycle. With contri-
butions 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 pris-
oners 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 cre-
ative, 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.
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.
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 trans-
port 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.
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 with-
stand 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 strate-
gies, 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.
Natural Resources Defense Council, Inc., Pratt Institute, Brooklyn, NY, United Solomon R. Guggenheim Foundation, New
New York, NY, United States: $500,000 States: $250,000 for use by its Center for York, NY, United States: $200,000 toward the
toward the costs of education and outreach Community Development as a recipient of costs of a series of six walking tours of “still
for its “Sustainable Transit Campaign” to a New York City Cultural Innovation Fund spots” in New York City’s five boroughs,
establish equitable, sustainable, and eco- award, toward the costs of integrating the exploring the concept of stillness in a restless
nomically and environmentally-friendly traffic arts into its Sustainable Neighborhoods urban landscape.
pricing in the New York metropolitan region. Initiative in order to reach more people, create
new ways to communicate with residents, Sweet Jane Productions Inc., Brooklyn, NY,
New Museum of Contemporary Art, New reinforce sustainable practice and deepen its United States: $50,000 as a recipient of a New
York, NY, United States: $200,000 toward the programs’ impacts. York City Cultural Innovation Fund award,
costs of the “Festival of Ideas for a New City,” toward the costs of “Reconstruction,” an inter-
a multi-institutional partnership that seeks to Queens Museum of Art, Queens, NY, United active drama exploring theater as an educa-
provide a platform for new thinking, adopting States: $200,000 as a recipient of a New tional and immersive experience that trains the
sustainable solutions and promoting the value York City Cultural Innovation Fund award, audience in carpentry, construction and green
of creative capital to improve everyday life in toward the costs of collaborating with technology to incrementally retrofit a multi-use
New York City. Queens College City University of New York arts space over the course of the play’s run.
to develop a Social Practice Masters of Fine
New York Foundation for the Arts, Inc., Arts program and to launch “Corona Studio,” The Asia Society, New York, NY, United
Brooklyn, NY, United States: $175,000 as a professional artists’ residency program States: $100,000 toward the costs of “Nine
a recipient of a New York City Cultural embedding two artists in Corona, Queens, Lives: In Search of the Sacred in Modern
Innovation Fund award, toward the costs for year-long residencies in partnership with India,” readings and performances based on
of the first multi-disciplinary festival of community organizers and community-based William Dalrymple’s book, which examines
Cambodian arts to be produced in the United organizations. the way social changes have affected the
States and the first of its scale to take place great Indian traditions of mysticism, monasti-
outside Cambodia. Randall’s Island Sports Foundation, New cism, music and dance.
York, NY, United States: $175,000 as a
New York Hall of Science, Queens, NY, recipient of a New York City Cultural The New School, New York, NY, United
United States: $150,000 as a recipient of a Innovation Fund award, toward the costs of States: $50,000 for use by Milano the New
New York City Cultural Innovation Fund “Environmental Sculpture and Music,” an School for Management and Urban Policy in
award, toward the costs of “ReGeneration: environmental art installation and musical support of research for a comparative case
Art, Technology and Science Biennial,” a six- event to be held on the waterfront pathways study examining the role and impact of arts
week exhibition engaging nine artists to work of Randall’s Island Park. and culture in New York City and Toronto.
with the local community to create work that
explores the connections among immigration, Research Foundation of the City University Urban Word NYC, Inc., New York, NY, United
urbanization, cultural vitality and sustainability. of New York, New York, NY, United States: States: $100,000 toward the costs of the
$100,000 for use by the Institute of New York City Youth Poet Laureate Project,
New York Landmarks Conservancy, New Sustainable Cities at Hunter College, City a city-wide community outreach program
York, NY, United States: $50,000 in support University of New York, as a recipient of a that engages the voice of local youth while
of its technical services program, which pro- New York City Cultural Innovation Fund promoting civic engagement, volunteerism,
vides guidance and technical expertise on award, in support of an online crowdsourcing youth leadership, voter awareness and artistic
historic buildings and landmarks to home- tool and physical installation that will facilitate excellence.
owners, government agencies and nonprofits dialogue among climate scientists, urban
in New York City. planners and the public about sustainability Wildcat Service Corporation, New York,
and climate change. NY, United States: $200,000 toward the
Nonprofit Finance Fund, New York, NY, costs of its “Neighborhood Improvement
United States: $72,500 for the costs of a Rockefeller Foundation Jane Jacobs Medal Project,” providing job training and placement
project to enhance the financial capacity of Awards, New York, NY, United States: support to public assistance recipients to
select New York City Cultural Innovation Fund $200,000 to provide cash prizes to the recipi- work in at-risk neighborhoods in low-income,
applicants and grantees. ents of the Rockefeller Foundation Jane minority communities suffering from high
Jacobs Medal or to organizations designated foreclosure rates.
by the awardees.
Resources Legacy Fund, Sacramento, CA, The Pew Charitable Trusts, Philadelphia,
United States: $550,000 toward the costs of PA, United States: $250,000 for use by its
technical, communications and coalition Pew Center on the States toward the costs
building activities aimed at reducing green- of conducting a 50-state assessment that
house gas emissions, shifting development will analyze states’ progress toward select
patterns and increasing public transportation transportation goals, focusing on economic
funding in California. performance, financial sustainability and
public safety.
Second Nature, Inc., Boston, MA, United
States: $50,000 in support of a joint project Tides Center, San Francisco, CA, United
with Transportation for America to engage States: $400,000 toward the costs of its proj-
college and university presidents in an ect, the Apollo Alliance, for support of its
advocacy campaign to advance more Transportation-Manufacturing Action Plan
sustainable and equitable national transporta- (T-MAP), a research and advocacy effort to
tion policies. develop the economic case for green trans-
portation by assessing the potential for
Grants payable 45 43
Debt outstanding 20 20
Other liabilities 28 24
Other income — 1
EXPENSES
Program costs 18 19
Operations 18 19
Taxes 3 (1)
UNREALIZED INCOME
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