ROCKEFELLER BROTHERS FUND ANNUAL REPORT 1994

ROCKEFELLER BROTHERS FUND, INC. 1290 Avenue of the Americas New York, New York 10104-0233 212.373.4200 ROCKEFELLER BROTHERS FUND, INC. 1290 Avenue of the Americas New York, New York 10104-0233 Telephone: 212.373.4200 Facsimile: 212.315.0996 E-Mail: [email protected] World Wide Web: http://www.rbf.org/rbf/

Design: H Plus Inc. Printing: Collins Lithographing, Inc.

PRINTED ON RECYCLED PAPER TABLE OF CONTENTS

CHAIRMAN'S INTRODUCTION 5

PRESIDENT'S REPORT 9

THE ROCKEFELLER BROTHERS FUND AND ITS PROGRAMS

Grants Program 15

Pocantico Programs 17

ASIAN CULTURAL COUNCIL 21

GRANTS APPROVED IN 1994

One World: Sustainable Resource Use 25

One World: World Security 37

Nonprofit Sector 45

Education 51

New York City 57

Special Concerns: South Africa 63

Ramon Magsaysay Award Foundation 67

GRANTS PAID IN 1994 71

FINANCIAL REPORT 95

TRUSTEES 104

OFFICERS 105

STAFF 105

HOW TO APPLY FOR A GRANT 106

INDEX 108

CHAIRMAN^S INTRODUCTION

In 1994, several occasions led me as chairman of the RBF to reflect upon the continued importance of philanthropy in civil society and the role that the Fund and the Rockefeller family have played in defining and promoting philanthropy, both in the United States and abroad. In the spring, the Rockefeller Brothers Fund opened the Pocantico Conference Center, and in the fall I attended my first major conference there, a meeting of the Independent Working Group on the Future of the United Nations. Recently, I spoke at a Council on Foundations gathering on family foundations about wealth and the transfer of family values. Each in its own way provided much food for thought. The creation of the Fund's Pocantico Conference Center is both satisfying and exciting for me. The wide variety of conferences there con­ tinues five decades of commitment to bringing together people of passion and expertise in an effort to find paths to greater peace and stability, domestically and internationally, and ways to promote the well-being of all mankind. In addition to the conference programs, the RBF administers the

surrounding site, known as the Ahhy M. O'Neill (left) and Colin C. Campbell at the opening of the Pocantico Historic Area. Pocantico Historic Area. The property was bought in 1893 by my great-grandfather, John D. Rockefeller, and added to and developed by his son, John D. Rockefeller, Jr. Later, his sons gave much of this Westchester county land for a New York state park. Now Pocantico itself, which has provided generations of our family with a sense of place, will serve as a seat of thought and concern about our own communities and the world we live in.

Concern for the environment is a hallmark of our family, and is a primary focus of the RBF; the two come together m the careful stewardship of the Pocantico property. In addition to Pocantico, the Rockefeller family has been deeply involved in the preservation of the historic Hudson Valley. Laurance S. Rockefeller was a key figure in the establishment of the Westchester "greenway," a concept now being copied in other parts of the world. Beyond this area, the family has helped create national parks across the country through the acquisition and donation of unique lands, such as Acadia National Park in Maine or Greenacre, the urban park in New York City established by my mother, Abby R. Mauze.

ANNUAL REPORT 1994 CHAIRMAN'S INTRODUCTION

Rockefeller involvement in international affairs has also been long-standing. Institutions like the Rockefeller Foundation have played a crucial role in international development, beginning with the dedication in 1921 of Peking Union Medical College, still the major medical center in China. The Rockefeller Foundation, with the Ford Foundation, launched the Green Revolution, with its amazing success in providing corn and rice for burgeoning populations. Today, the Winrock International Institute for Agricultural Development, founded by Winthrop Rockefeller and importantly supported by the RBF with both funds and leadership, plays a significant role in alleviating rural poverty and promoting sound agricultural development in developing countries around the world. Over its 54-year history, the RBF has provided critical support to a number of institutions that have been created to address the philanthropic values of the Rockefeller family. In the 1950s, long before it was popular to do so, John D. Rockefeller 3rd spoke out courageously on population and women's issues and created the Population Council to address these concerns. David Rockefeller provided the strong leadership for the founding of important institutions dedicated to increasing international understanding, such as the Americas Society and the Trilateral Commission, hie and other family members also played important roles in such organizations as the Council on Foreign Relations, the Asia Society, and the Japan Society. In the Philippines, the family helped create the Ramon Magsaysay Awards, which recognize extraordinary individual achievement in rural and social development throughout Asia. International Fiouse in New York City, with several generations of Rockefeller involvement, has provided for seventy years a rich learning experience in international brotherhood and leadership for graduate students from ninety-five countries. The United Nations offers a good example of the enduring quality of our family's philanthropic efforts. In 1945, the newly conceived United Nations was looking for an appropriate location for its headquarters. At first, a suitable site could not be found. John D. Rockefeller, Jr., and his sons offered their Pocantico home and land. When this suburban location was rejected. Grandfather learned of a 17-acre site m New York City on the East River that was available for development and offered to buy it. Nelson Rockefeller teamed up with architect Wallace Harrison; together, they negotiated the purchase of this site, and arranged for all the necessary city, state, and federal permits and waivers. Grandfather then donated the $8.5 million property to the UN. This entire process, unbelievably, was accomplished in thirty-six hours. It therefore is fitting that on the occasion of the UN's 50th anniversary, the RBF provided the Pocantico Conference Center as the meeting place for the Ford Foundation-funded Independent Working Group on the Future of the United Nations. This panel of distinguished leaders, led by Moeen Qureshi, former prime minister of Pakistan, and Richard Von Weizsacker, former president of Germany, convened to deliberate on the challenges facing the UN and to make recommendations to strengthen the institution.

ROCKEFELLER BROTHERS FUND CHAIRMAN'S INTRODUCTION

Reflecting on all these developments, I am struck by the tremendous amount that can be accomplished through philanthropy. In our times, many important issues require attention. Two that are addressed by the RBF's One World program are the continuing fight to protect dwindling natural resources and the many security dangers that have developed as the world evolves and grows more interdependent. At home, we are faced with a sense of dispiritedness triggered by the lack of a national consensus on values and a loss of confidence in our democratic processes. Though deeply concerned by these circumstances, I am also heartened by the explosion of nongovernmental organi­ Secretary General Boutros Boutros-Ghali and Ahhy M. O'Neill attending a zations and community groups, as well as meeting of the Independent Working Group on the Future of the United Nations. the growing recognition of the importance of civil society. Through hard work and creativity, such groups are helping to mitigate some of our most troublesome problems. Meanwhile, foundations continue to make enormous contributions to the betterment of mankind with their ability to identify, and then fund, innovative ideas and initiatives. They play a quiet but crucial role m advancing innumerable fields of human endeavor. In my view, it is important for foundations at this time both to make their voices heard more effectively, and to make clear to the larger society the critical power of philanthropy, and this is precisely what the RBF is attempting to do. Today, great fortunes continue to be made, yet the size of the "philanthropic pie" has not kept pace over the last ten years. At a recent Wingspread Conference, attended by my cousin and fellow RBF trustee Richard G. Rockefeller, it was estimated that an intergenerational transfer of approximately lo trillion dollars will occur by the year 2040. If only a small portion of this wealth can be invested m philanthropy, meaningful strides can be made to resolve problems of education, health, and poverty, to mention only a few. I will continue to address the issues of the transfer of wealth and the transmission of values through my participation in the

ANNUAL REPORT 1994 CHAIRMAN'S INTRODUCTION

RBF programs, the Council on Foundations committee on family foundations, and elsewhere. As a family, we remain, as we have for five generations, actively committed to, and will continue to speak out regarding, the importance of philanthropy and the capacity of each person to make a difference.

Abby M. O'Neill PRESIDENT'S REPORT

The well-being of the nonprofit sector has been a focus of Rockefeller Brothers Fund grantmaking for nearly twenty years. On the several occasions when the trustees might have determined, after a review of this program area, to reallocate resources in favor of other pressing issues, they have chosen to reaffirm that earlier commitment. This consistent endorsement of nonprofit sector funding has been based on the conviction that nonprofits play a critical role in addressing human aspi­ rations, needs and concerns in a free society, Abhy M. O'Neill, Colin G. Campbell, and Laurance S. Rockefeller at the are heavily relied on by ordinary citizens as Pocantico Conference Center well as governments in many parts of the world and, not incidentally, are the primary recipients of foundation grants. For these reasons, the trustees have concluded that the sector, of which the Fund is a constituent, needs and deserves continuing attention and support. The fact that only a handful of foundations has identified the nonprofit sector as a specific program interest has served to reinforce that view.

The emphases of the Fund's nonprofit program have shifted in significant ways since it was first introduced. Initially, concern about the paucity of reliable research on the sector and about limited public understanding of its role and functioning resulted in considerable attention to these matters. This continued throughout the 1980s and beyond, although to a lesser degree in more recent years in large measure because academic centers concerned with nonprofit activity and philanthropy have increased significantly in number and have proved themselves able to garner support for their work. The research done at the centers, though sometimes criticized as being more useful to scholars than to practitioners, has made valuable contributions to the field and provides a solid base on which to explain the sector more effectively.

The need to enhance philanthropic resources available to nonprofits by increasing corporate and individual giving and by developing new sources of funds was also recognized early on as a priority for the Fund as was the importance of improving nonprofit management in response to the imperative of using limited resources wisely and efficiently. Although there has been some change in focus, the importance of both promoting philanthropy and improving nonprofit management is reflected in current grantmaking. Today, more attention is being given to helping smaller nonprofits broaden their base of support and develop mechanisms for taking advantage of sophisticated fundraising techniques. As part of the more recent

ANNUAL REPORT 1994 PRESIDENT'S REPORT

decision to emphasize the sector's human resources needs — v^^ith respect to both professionals and volunteers — the concern about management issues has been linked with an initiative to promote civic responsibility and public service. As a complement to the Fund's One World Program, introduced in 1984, the trustees asserted at that time the importance of enlarging international funding efforts and endorsed grantmakmg intended to accomplish that objective. The increasing interest in, and understanding of, the role of philanthropy and of nonprofit activities in other countries that has been revealed and encouraged by its programs in East and Central Europe and East Asia has inevitably led the Fund to seek to promote philanthropy and to foster the development of the appropriate infrastructure and practices for nonprofit organizations worldwide. In both instances, special attention continues to be given to those regions where the Fund is engaged in other aspects of its grantmaking program. A key rationale for the priority given to the Fund's nonprofit sector program in the mid-1980s was the "crushing new demands" that were perceived at that time to represent a serious challenge to the sector. Yet, a decade later, the pressures on nonprofits are far greater. Their roles have expanded. Their power to influence decision-making on a range of issues of public concern has grown demonstrably, as is especially evident through their presence and activism in international forums. Not surprisingly, the expectations of citizens, m terms of services they want nonprofits to provide and in their hope that through nonprofits they will have a meaningful voice in policy debates, are vastly higher, particularly m situations where government is perceived not to be responsive or functioning satisfactorily, or simply is not trusted. These expectations, which are evident m both established and emerging democracies, create significant challenges for nonprofits in the United States and abroad. Given these circumstances, it is regrettable that public understanding of nonprofits — what they do, how they do it, the difficulties they face — continues to be so seriously limited. Unfortunately, public views of the sector are too often formed as the result of scandals involving charges of misappropriation of funds, excessive and irresponsible spending, and self-dealing. These highly publicized breaches of trust, although involving only a tiny fraction of nonprofits, contribute in no small measure to public skepticism. Concern as to whether some organizations are really independent of government control or domination when they often rely heavily on government funding, and, increasingly, act in partnership with government agencies, also adds to public confusion and doubts. The cost of management, usually resulting from the need for sufficient staff depth and capacity to assure quality performance as well as for satisfying the reporting requirements of public and private funders, is another, often groundless, source of criticism. Taken together, the misconduct of a few nonprofit leaders and limited public knowledge of the way nonprofits function on their own and in

10 ROCKEFELLER BROTHERS FUND PRESIDENT'S REPORT

David Rockefeller, Colin G. Campbell, Abby M. O'Neill, and Laurance S. Rockefeller at a meeting at the Pocantico Conference Center.

collaboration with others adversely affect donor attitudes and, therefore, can be costly in revenue terms. They also lead to understandable demands for more effective governance, greater accountability, and reliable assessment processes, demands which often only add to the organizational expenditure base. It is now obvious that earlier efforts to broaden and deepen understanding of the role of nonprofits, though an important start and appropriate for the time, did not anticipate the rapid growth, expanded mission, and increasing complexity of the sector. Moreover, although progress has been made in addressing the resources and management challenges facing nonprofits, these issues remain significant concerns requiring creative and energetic responses. The resource issue is probably endemic given the unreliable ways nonprofits are funded. For example, many organizations face the prospect of reduced government support in the United States for activities in which they now play a major role. Although this development is primarily a result of shifting views on the role o{ government and continuing pressures on the federal budget, its likely effect on nonprofits, and the fact that these organizations may not be in a position to continue to do what people expect of them, has not been taken fully into account. In addition, because of mergers, acquisitions, and preference given to other financial priorities, corporate support has not kept pace with inflation. And, most unfortunately, private giving for human services appears to be declining in the face of increased demand on nonprofits as government support is cut back. Internationally, the problem of attracting funding for nonprofits may be simpler to articulate but

ANNUAL REPORT 1994 II PRESIDENT'S REPORT

even more challenging to overcome: Supporting nongovernment activity through private funding is not in the tradition of most countries. Clearly, spreading the gospel of American style philanthropy is a slow process at best and may not be realistic in some cases, even for the longer term, much less to meet short-term needs. From a management perspective, the initiative of and pressure on nonprofits to take on more challenging tasks (for example, sponsoring housing projects or addressing complex environmental issues) assume a degree of staff competence which is in relatively short supply and, often for financial reasons, extremely difficult for nonprofits to attract. And yet, training programs for nonprofit staffs are limited in availability and comprehensiveness. On the job training, which is time-consuming and wastes resources, is the only alternative. Moreover, planners and financial managers are sometimes viewed as unaffordable luxuries, or at least expendable in times of mounting financial pressures, even by nonprofit boards and funders; yet their absence can lead to inefficiency and abuse. Finally, the level of sophistication required for more effective collaboration with business and government, as well as to garner resources, is increasingly beyond reach of many nonprofit organizations. While considering with some sense of urgency how to assist nonprofits in coping with this array of challenges, it is important also to be mindful of the dramatically increased power and impact of the sector, not only in terms of the ever widening range of services these organizations are called upon to provide but also m connection with their active engagement in major policy debates in this country, m other regions, and in relation to the global agenda. This new prominence and policy role are in themselves phenomena worthy of greater attention. Because of their lively presence and important contributions at major international meetings, beginning particularly with UNCED in Rio de Janeiro m 1992 and continuing at United Nations sponsored sessions in Cairo in 1994 and Copenhagen in 1995, there may well be greater understanding of the significance of nonprofits in respect to addressing global issues than there is of the nature of their domestic activities. In this country a variety of cross currents and sometimes sharp differences of philosophy and opinion among leaders of nonprofits in the same fields—the environment and health care come to mind— may tend to undermine the critical role these organizations are playing. Or it may be that most nonprofits are just taken for granted and therefore not perceived to have such enormous impact nor to be part of a huge and immensely important component of American society.

There is much to do in order to maintain the health and vitality of the sector, domestically and internationally, and to seek new and more effective ways of addressing critical financial and human resource issues as the Fund has done for two decades. At the same time, the need to substantially increase public understanding of the role of nonprofits in modern society must include more searching and more thoughtful analysis of all aspects of that role. An example is the increasing advocacy work of nonprofits which is seen

12 ROCKEFELLER BROTHERS FUND PRESIDENT'S REPORT

m the most positive light by those who agree with the cause being advocated but is often viewed by others as unfair and even inappropriate for institutions receiving substantial benefits under the tax laws. At the least, a spirited public debate about providing government funds to nonprofits which engage in advocacy, particularly if that advocacy is not deemed to be consistent with current legislative or executive initiatives, seems inevitable. Over time the tax status itself of nonprofits could become an issue among those who are strongly opposed to nonprofit advocacy activities. These would be steps in the wrong direction. The Fund has long held to the view that providing the public with information about critical issues and, m cases where the information seems to clearly justify public action, using that information to encourage citizen participation, is fully appropriate in a democratic society regardless of who is doing the funding and regardless of the position being advocated.

There is no question about the central role that nonprofits play in all aspects of life in this country and increasingly abroad. What needs to be thought through under these circumstances are the implications of that role for governments domestically, at the local, state, and regional level, as well as internationally. In the United States this means developing a clearer sense of when nonprofits should assume full responsibility, including for funding of activities often identified as government-supported; when government support is likely to be required and appropriate; and, finally, when partnering with government would be the most workable approach. The impact of nonprofits on both international institutions and international problem- solving IS also a subject of major import. On the one hand, these nonprofits can and have been viewed as meeting a variety of needs more effectively and more appropriately than governments. On the other hand, there is increasing concern that they may represent a "piling-up of special interests," making it more difficult for governments to take actions, even those that are favored by a majority of the citizenry.

The Rockefeller tradition of philanthropy as embodied in the goals and objectives of the Rockefeller

Brothers Fund has always assumed and in fact relied on a prospering voluntary sector to accomplish a range of worthy objectives. The strength of the sector today, the scope of its work geographically and substantively, the challenges it faces, the potential for abuses that have been revealed, the pressing needs of the global society which the sector is helping to meet and, perhaps most importantly, the continuing lack of public understanding that has been a Fund concern since the sector was designated as a program interest, all suggest that this continues to be an area of largely unrecognized need deserving greater attention from the funding community.

Colin G. Campbell

ANNUAL REPORT 1994 13 THE ROCKEFELLER BROTHERS FUND

The Rockefeller Brothers Fund was founded in 1940 as a vehicle through which the five sons and daughter of John D. Rockefeller, Jr., could share a source of advice and research on charitable activities and combine some of their philanthropies to better effect. John D. Rockefeller, Jr., made a substantial gift to the Fund in 1951, and in i960 the Fund received a major bequest from his estate. Together, these constitute the basic endowment of the Fund. In 1952, the founders began to include on the board of the Fund some trustees who were not members of the Rockefeller family. In 1958, the first of a number of daughters and sons of the founders joined the board, and in 1992 the first of their children. Since the establishment of the Fund, 26 family members representing three generations have served as trustees, and they have been joined by 24 others, all committed to ensuring that the Fund remains dedicated to the philanthropic ideals of the Rockefeller family. The assets of the RBF at the end of 1994 were $328,342,407 and its 390 grant payments and its matching gifts during the year amounted to $11,741,373. Since 1940, the RBF has disbursed a total of $429,238,188 in grants. THE ROCKEFELLER BROTHERS FUND AND ITS PROGRAMS

GRANTS PROGRAM

The Fund's major objective is to improve the well-being of all people through support of efforts in the United States and abroad that contribute ideas, develop leaders, and encourage institutions m the transition to global interdependence. Its grantmaking aims to counter world trends of resource depletion, arms build-ups, protectionism, and isolation which now threaten to move humankind everywhere further away from cooperation, equitable trade and economic development, arms restraint, and conservation. This basic theme of interdependence presupposes a global outlook and, hence, internationally oriented activity. While attention is focused on locally based problems and grantees, this is in the context of global concerns and not simply national ones. The Fund does not have the capacity to pursue its program theme in all parts of the world simultaneously and, therefore, projects are concentrated from time to time in different geographic locations. Four operational "touchstones" will be a key consideration in the development of all grants. These relate to the Fund's approach to its substantive concerns and are not specific areas of interest in and of themselves. The touchstones are: Education — of key individuals, special target groups, and the general public. Leadership — the identification and encouragement of a new generation of leaders, national and international; assisting contact among leaders and the development of leadership networks around specific areas of Fund program interest. Leverage — using combinations of trustees and staff as well as related organizations to work toward common goals in mutually supportive ways. Synergy — developing clusters of interrelated projects so as to have an impact beyond the sum of the parts. Since June 1984, the principal part of the Fund's grantmaking program has been organized around the theme of One World, with two major components: sustainable resource use and world security. The emphasis of the resources program is on encouraging sustainable development throughout the world, employing an approach that balances social, economic, and ecological concerns. The security component focuses on improving political, economic, and security relations among nations and strengthening arms control. The major portion of grant funds are applied to the One World program. Projects are located, for the most part, m East Asia, East Central Europe, or the United States. The Fund's other program interests are: promoting and sustaining a vital nonprofit sector, both nationally and internationally; improving the quality of life in New York City; strengthening the numbers and quality of teachers in public education in the United States; and improving the quality and accessibility of basic education for children and adults in South Africa.

Guidelines for each of the Fund's program areas are located in the Grants Section of this report. Instructions on how to apply for a grant begin on page 106.

ANNUAL REPORT 1994 IS MISSION STATEMENT THE POCANTICO CONFERENCE CENTER

The mission of the Pocantico Conference Center of the Rockefeller Brothers Fund is to provide a setting where nonprofit organizations and public sector institutions can bring together people of diverse backgrounds and perspectives to engage critical issues related to the Rockefeller Brothers Fund (RBF) philanthropic program, leading to new levels of understanding and creative resolution of problems. RBF program interests currently include:

• Encouraging sustainable development throughout the world, employing an approach that balances social, economic and ecological concerns;

• Improving security, political and economic relations among nations and strengthening arms control, recognizing that world peace is threatened not only by national, religious and cultural conflicts but also by frustration and aggression arising from inequities in the sharing of food, energy, goods and services;

• Promoting and sustaining a vital and creative nonprofit sector, both nationally and internationally;

• Improving the quality of public education and increasing the diversity of talented women and men teaching in public schools;

• Improving the quality of life in New York City, with a special awareness of the need to build community in the face of ethnic, racial and economic tensions;

• Improving the quality and accessibility of basic education for children and adults in South Africa, particularly in black townships and rural areas.

Programs for conferences are designed by RBF staff, grantees and/or outside groups whose objectives are consistent with those of the Fund. Programs are selected based on five criteria:

• The direct and strong relationship of the conference to the RBFs program objectives;

• The diversity of perspectives, range of opinions and breadth of experience that will be represented;

• The involvement of skilled, experienced conference leaders, organizers or facilitators;

• The clarity of conference objectives, of the agenda that wiU accomplish those objectives and, as appropriate, of the steps to be taken following the conference;

• The demonstrated added value of having the Pocantico Conference Center as the site of the meeting. THE ROCKEFELLER BROTHERS FUND AND ITS PROGRAMS

POCANTICO PROGRAMS The Pocantico Programs were established m the fall of 1991 when the Rockefeller Brothers Fund signed an agreement with the National Trust for Historic Preservation in which the Fund leased from the National Trust the Pocantico Historic Area, the heart of the Rockefeller family estate m Westchester County, New York. The Historic Area includes John D. Rockefeller's home, Kykuit, the surrounding gardens and sculpture collection, and the Coach Barn. In early 1994, the renovation of Kykuit and the construction of a meeting facility in the Coach Barn were completed and, in the spring, the Pocantico Programs were inaugurated. There are three components to the Pocantico Programs—the conference program, stewardship of the site, and the visitation program—all of which are administered by the Rockefeller Brothers Fund. The Pocantico Conference Center of the Rockefeller Brothers Fund began operations in April, with a 2-day workshop on global climate change. As outlined in the conference center's mission statement, the purpose of the Pocantico Conference Center is "to provide a setting where nonprofit organizations and public sector institutions can bring together people of diverse backgrounds and perspectives to engage critical issues related to the RBF philanthropic program, leading to new levels of understanding and creative resolution of problems." In the first year of operations, nine Pocantico Conferences were held. Such conferences are usually multi-day events designed by RBF staff, grantees, and/or outside groups whose objectives are consistent with the program interests of the Fund. In addition, several foundation retreats and one-day meetings of nonprofit organizations were hosted at the conference center. In conjunction with the conference programs, the Fund began publishing an occasional papers series to widen the impact of selected, RBF-sponsored meetings at the center. The first Pocantico Paper, Turning Up The Heat: Next Steps on Climate Change, was released in early 1995. Through the activities of the new conference center, the Rockefeller Brothers Fund hopes to further realize the ideals and goals of its philanthropic programs. As part of the Pocantico Programs, the Rockefeller Brothers Fund also provides for the stewardship of the site. The property was acquired by John D. Rockefeller, beginning in 1893. Today the Pocantico Historic Area consists of the above-mentioned buildings, surrounded by 86 acres of formal gardens and woodlands. In addition to routine maintenance, each year the RBF undertakes a number of special projects aimed at conserving the buildings, landscape, or collections. In 1994, these projects included the restoration of the woodland trails and the conservation of the large fountain in the Kukuit forecourt, representing Oceanus and the three rivers, copied from Giavonni Bologna's sculpture in the Boboli Gardens of Florence.

1994 also saw the inauguration of a public visitation program at the Pocantico Historic Area, organized by Historic Hudson Valley. The visitation program, which runs from April through October, hosted nearly 45,000 visitors this year who toured Kykuit, the gardens, and sculpture collection, and viewed the antique carriage and automobile collections housed in the Coach Barn.

°Copies of Pocantico Papers can be obtained from the Fund. ANNUAL REPORT 1994 17 . . -^^, ' THE ROCKEFELLER BROTHERS FUND AND ITS PROGRAMS

POCANTICO CONFERENCES

TURNING UP THE HEAT: NEXT STEPS The working group, a distinguished panel co-chaired ON CLIMATE CHANGE by former German President Richard von Weizsacker April 6-8 and former Pakistan Prime Minister Moeen Qureshi, A v^'orkshop on global climate change attended by rep­ aided by a secretariat led by Professors Paul Kennedy resentatives of the scientific and conservation commu­ and Bruce Russet of Yale University, will produce a nities, governments, multilateral institutions, and report with detailed recommendations for strengthen­ businesses from the U.S., Europe, Asia, and Africa, The ing the institution. The project is funded by the Ford meeting was designed to help develop strategies for miti­ Foundation. gating climate change and for advancing international consideration of these issues. A report of workshop dis­ RUSSIAN ECONOMICS MEETING cussions may be found in Pocantico Paper No. 1. June 25-29 A meeting of U.S., Russian, and East European econo­ UNITED NATIONS WORKING GROUP I & II mists and scholars as part of a project to develop a basic May 1-3 and September 18-20 economics textbook for use in countries shifting from The first two of four meetings to review the current chal­ centrally controlled to market economies. lenges faced by the United Nations and the problems the organization will confront in the coming century.

Entrance to the Pocantico Conference Center (opposite) and interior view (above).

ANNUAL REPORT 1994 19 THE ROCKEFELLER BROTHERS FUND AND ITS PROGRAMS

sions of economic and security matters, particularly as they relate to the US-China relationship and to policy m the Asia-Pacific.

NUCLEAR NON-PROLIFERATION October 27-November i A meeting of the Programme for Promoting Nuclear Non-Proliferation, an international organization work­ ing to prevent the proliferation of nuclear weapons and to strengthen existing international arms control ar­ rangements. Conferees met six months in advance of the May 1995 Nuclear Non-Proliferation Treaty extension Moeen Qvtreshij Richard von Weizsacker^ and Stephane Hessel conference to consider a variety of approaches for ad­ of the UN Workiti^ Group. vancing the goals of the conference.

SYNERGOS SOCIAL SUMMIT INSTITUTE FOR EAST-WEST STUDIES August 18-21 November 18-20 A series of intensive discussions of a working group of A meeting of institute board, staff and outside expert social leaders from 18 countries to prepare analyses and advisers for strategic planning with respect to institu­ recommendations for the UN Preparatory Committee tional and program development. The Institute for for the upcoming 1995 World Summit for Social Devel­ EastWest Studies, to which the Fund has provided sig­ opment in Copenhagen. Members of the working group nificant support, undertakes policy analyses and initia­ included representatives of nongovernmental organiza­ tives to promote peace and security between the former tions, research institutes, unions, human rights and Soviet Union and Eastern bloc countries and the West. womens' organizations, and philanthropies. The con­ ference was organized by the Synergos Institute.

EARLY CHILDHOOD PROFESSIONAL DEVELOPMENT September 11-12 A meeting of an informal group of national funders ex­ ploring the possibilities for collaborative initiatives in the area of early childhood care and education. During the meeting ways were discussed to use funders' resources to bring about a coherent system of professional devel­ opment for early childhood teachers and assistants, and participants were addressed by representatives from the federal Head Start and Child Care Bureaus.

COUNCIL ON FOREIGN RELATIONS/ NATIONAL COMMITTEE ON U.S.-CHINA RELATIONS October 7-10 The Seventh U.S.-China Dialogue, for the first time jointly convened by the Council on Foreign Relations and the National Committee on U.S.-China Relations. Participants from the U.S. and China engaged in discus­

ROCKEFELLER BROTHERS FUND ASIAN CULTURAL COUNCIL

The Asian Cultural Council (ACC), a foundation which supports cultural exchange in the visual and performing arts between the United States and Asia, became an affiliate of the Rockefeller Brothers Fund in

1991. The main focus of the ACC's grant program is on providing individual fellowship awards to artists, scholars, and specialists from Asia for research, study, and creative work m the United States. Some grants are also awarded to Americans undertaking similar activities in Asia and to cultural institutions engaged in particularly significant cultural exchange projects. In addition, in response to the Fund's own focus on regional grantmakmg m Asia, the ACC has recently begun to support a number of collaborative projects that stimulate dialogue and cooperation among cultural institutions within Asia.

The ACC's grant program brings an important new dimension to the Fund's own strong program commitment m East Asia—a part of the world where the lines between politics, economics, security, and arts and culture are not always finely drawn. The affiliation of the ACC and the Fund mutually reinforces the interest which each organization has in Asia and in issues of preservation, development, and regional cooperation and exchange.

During 1994, the ACC laid Dancer Martinus Miroto of Yogyakarta, Indonesia^ whose graduate study at the University of California^ Los Angeles, was supported in part by an ACCJellowsbipgrantj performing his the groundwork for several new M.F.A. thesis recital. grant initiatives that emphasize collaboration with other funding agencies and that lead the work of the council, and the Fund, in exciting new directions. These include the ACC Residency Program m Asia, supported by the Freeman Foundation, that encourages collaborative projects between American artists and scholars and host institutions in Asia; the

China Art History Site Seminar Program to support objects-oriented research by American and Chinese scholars m China, supported by the Henry Luce Foundation; the ACC/CCK Fellowship Program in Chinese

Studies, supported jointly by the ACC and the Chiang Ching-kuo Foundation of Taiwan; and the ACC's new

Taiwan Fellowship Program, to begin in 1995 with the support of local donors m Taiwan. Other special

ANNUAL REPORT 1994 21 ASIAN CULTURAL COUNCIL

programs underway in 1994 include the Indonesian Museum Development Program, supported by the Ford Foundation, and a series of new fellowship grants in Korea assisted by the Ock Rang Cultural Foundation. In addition, the council's Hong Kong Arts Program and Japan-United States Arts Program continue to grow and to support the dynamic arts communities m those countries, and the council's other work throughout the East Asia region plays a critical role in the support of artists, scholars, and cultural institutions and of the growing dialogue across the Pacific. The ACC brings to the RBF a dynamic and creative cultural program m Asia that focuses on individual grantmakmg, and the Fund's financial and administrative assistance enables the council to maintain the special quality of its program and to enhance its important contributions to the arts and humanities m Asia. During the past four years, it has become clear that the affiliation has created a new programmatic synergy which strengthens each organization as it looks toward the future.

22 ROCKEFELLER BROTHERS FUND

PROGRAM GUIDELINES ONE WORLD: SUSTAINABLE RESOURCE USE

GOAL To foster environmental stewardship which is ecologically based, economically sound, culturally appropriate, and sensitive to questions of intergenerational equity.

STRATEGIES • At the GLOBAL level, by advancing international discussions on climate change and biodiversity preservation, and by supporting and publicizing practical, cost-effective models that can contribute to international agreements on these issues. In the area of climate change, by focusing on utility-based energy efficiency, renewable energy, transportation, and green taxes. In the area of biodiversity, by utilizing an ecosystem approach with special emphasis in the terrestrial context on temperate rainforests and in the marine context on fishery and coastal zone management. In the area of related economic concerns, by focusing on the impacts of economics, international trade and business, and the role of multilateral financial and grantmaking institutions, especially as they affect climate and biodiversity. The Fund s three geographic areas of grant activity—United States, East Central Europe, and East Asia—inform the Fund's global strategy.

• Within the UNITED STATES, by supporting model programs that further the Fund's global strategies, and by broadening and deepening the national environmental constituency and reinforcing its ability to act effectively.

• In EAST CENTRAL EUROPE, by strengthening indigenous capacity for addressing environmental problems and managing natural resources on a sustainable basis, through education and training, institution-building, policy formulation, and efforts linking government, nonprofit sector and business concerns. Special attention is also given to cross-border and regional cooperation and to new funding mechanisms and approaches.

• In EAST ASIA by helping local leaders to address the twin goals of economic development and conservation, monitoring the social and environmental effects of development programs, supporting citizen-led land restoration efforts and coastal management initiatives, and examining the intersection between applied ecology and political economy so as to promote sustainable resource use policies in agricultural, forestry, and marine sectors.

• And, in all these areas, by integrating activities across geographic areas of the RBF's grantmaking in the United States, East Central Europe and Asia to promote maximum synergy. ONE WORLD: SUSTAINABLE RESOURCE USE

In 1994, under the global component of the sustamable resource use program, the Fund provided assistance for efforts to advance international consideration of the climate change issue, supporting NGO activities leading up to the 1995 Conference of Parties to the Convention on Climate Change, and to efforts to encourage energy efficiency, renewable energy use, and transportation policy reform. The Fund also provided support for efforts to preserve global biological diversity, concentrating on forests, ecosystem management, and fisheries. In East Central Europe, a key goal of RBF grantmaking was to strengthen the capacity of community- based organizations to undertake local environmental management. In East Asia, too, the main focus was on supporting initiatives at the grassroots, including demonstration projects to develop sustainable farming methods in acidic soils that have been degraded through rice production, to restore coastal areas damaged by shrimp pond construction, and to provide technical support for local agroforestry projects. Two clusters of grants made in 1994 indicate specific topics that received increased attention from the Fund. In March, the Rockefeller Brothers Fund and the Henry P. Kendall Foundation convened a dis­ tinguished international group of environmental and trade experts in New York. The purpose of the meeting was to encourage communication between the two traditionally adversarial trade and environment communities, as a first step in a process toward reconciling international trade and environment policies, which often are in conflict with one another. Building on the successful outcome of the New York meeting, a second gathering was held in September in Talloires, France. Four additional sessions of the Policy Dialogue on Trade and the Environment, as these meetings have come to be known, are now anticipated. Each will be tied to a meeting of the newly established Committee on Trade and the Environment of the GATT/World Trade Organization (WTO), a principal forum for the discussion and resolution of these issues. The Policy Dialogue provides an opportunity for policymakers, many of whom are also involved in the WTO committee meetings, to exchange ideas in a less charged and combative format. In addition to the $20,000 in program funds allocated to the first meeting, grants were made to the Consensus Building Institute, the Institute for Agriculture and Trade Policy, and the Foundation for International Environmental Law and Development to assist complementary efforts to further this process.

In East Asia, the Fund is fostering, through support of selected research and pilot projects, the emerging discipline of political ecology. Political ecology is a new field, marrying natural and social sciences approaches, that examines the root social and political causes of resource conflict or environmental degradation. It focuses on the differing conceptions of government and local peoples as to what constitutes a resource and how one secures access to it. Researchers are trying to better understand local perceptions of customary resource use and to find ways of articulating them to the government agencies and development institutions which often determine resource use patterns. In support of these efforts, the Fund made eight grants in 1994—seven to research institutions in Asia and one to the East-West Center for its work on geographical information systems.

ANNUAL REPORT 1994 25 ONE WORLD: SUSTAINABLE RESOURCE USE

GLOBAL a meeting, "Towards a Consensus on Trade and the En­ ASPEN INSTITUTE vironment," convened in early 1994 by the Henry P. Kendall Foundation and the RBF. Queenstown, Maryland $30,000 For the institute s Environmental Security Policy Project CONSERVATION LAW FOUNDATION to develop policies that address the security implications Boston, Massachusetts 575,000 of environmental degradation. The research project is examining ways to resolve or contain conflicts which FOUNDATION FOR INTERNATIONAL may arise over increasing scarcities of renewable re­ ENVIRONMENTAL LAW AND DEVELOPMENT sources, including declines in fisheries, loss of high-qual­ London, England $75,000 ity agricultural land, and depletion of water resources. Continued support for a collaborative effort to promote investments in energy efficiency m the United Kingdom CALIFORNIA INSTITUTE OF and the European Community. The projects goal is to PUBLIC AFFAIRS ensure broader understanding m government and the Claremont, California $25,000 utility sector of ways to reduce greenhouse gas emis­ Support for its efforts to help the International Union sions in energy production. In addition to being a high for Conservation of Nature and Natural Resources per capita energy user, Europe is a key player in future (lUCN) Ethics Working Group develop its World negotiations on climate change. Environmental Ethics Initiative, a new international code of environmental ethics. The purpose of the proposed EARTHACTION ALERTS NETWORK code is to engage citizens around the globe in a discus­ Amherst, Massachusetts $25,000 sion of the moral dimensions of environmental steward­ Toward its public education efforts regarding current ship, which in turn leads them to take responsibility for global climate negotiations, with particular focus on the their local environment. first meeting of the Conference of Parties to the Con­ vention on Climate Change in March 1995. EarthAction CLAYOQUOT BIOSPHERE PROJECT SOCIETY uses "alerts" — monthly bulletins on an important envi­ Tofino, British Columbia $25,000 ronmental issue being considered at the international Toward start-up costs for its Sydney River Estuary re­ level—to reach individuals, nongovernmental organi­ search station in Clayoquot Sound on Vancouver Island, zations, journalists, and parliamentarians in more than British Columbia. Currently, all remaining forest in 100 countries, with the goal of strengthening the voice Clayoquot Sound is scheduled to be clear-cut. Both the of civil society in global environmental governance. Sydney River station, and the project's Flores Island marine research station, for which the Fund provided EARTHLIFE CANADA FOUNDATION support in 1993, have been established to study the rela­ Queen Charlotte City, $100,000 over two years tionships between terrestrial and marine systems in British Columbia Clayoquot Sound, and, if necessary, to quantify the impact Continued support for the public education component of logging activities on the marine environment. of a temperate rainforest protection campaign, known as BC Wild, in British Columbia. BC Wild was created CONSENSUS BUILDING INSTITUTE by a coalition of environmental organizations in British Cambridge, Massachusetts $50,000 Columbia to develop a coordinated strategy for rain­ forest preservation and to put forward that strategy at For its work to plan and facilitate meetings of the Policy hearings being held by the Commission on Resources Dialogue on Trade and the Environment, an interna­ and Environment, established by the provincial govern­ tional initiative to reconcile global environment and ment in 1992 to consider and make binding decisions trade policies. The Policy Dialogue is an ongoing, high- regarding long-term land-use planning for the regions level, international forum made up of representatives of remaining old-growth rainforests. the trade and environment communities. It grew out of

26 ROCKEFELLER BROTHERS FUND ONE WORLD: SUSTAINABLE RESOURCE USE

FOUNDATION FOR INTERNATIONAL ENVIRONMENTAL LAW AND DEVELOPMENT London, England $50,000 Contmued support for its trade and environment pro­ gram. The mam objective of the project is to analyze how international trade and environmental agree­ ments—notably those on climate and biodiversity—• conflict and how they can be constructed to accomplish the dual goals of expanded free trade and environmental protection.

INFORUM Kutztown, Pennsylvania $50,000 Continued general budgetary support. Incorporated m 1991, Inforum is an international electronic forum for the exchange of information on sustainable land-use sys­ tems. Inforum conducts on-line conferences on topics such as livestock, biodiversity, alternatives to slash-and- burn agriculture, and indicators of soil quality—and in doing so facilitates partnerships and connects often iso­ lated researchers worldwide.

INSTITUTE FOR AGRICULTURE AND TRADE POLICY Minneapolis, Minnesota $50,000 For its Trade and Environment Policy and Research Consortium, which seeks to provide better analytical Researchers at the Clayoquot Biosphere Projects underpinnings to the trade and environment debate. Led Flores Island marine research station in Clayoquot by several members of the Policy Dialogue on Trade Sound on Vancouver Island, British Columbia. A and the Environment (see Consensus Building Institute), the consortium will organize issue-oriented seminars, team of scientists and researchers, many of w^hom commission research, strengthen collaboration interna­ are volunteers, is collecting data on the plant and tionally of researchers working on these issues, and dis­ animal species found in the Sound, a coastal rain­ seminate new research on a timely basis. forest which is the southernmost, large-scale, pris­

INSTITUTE OF STRATEGIC EVALUATION FOR tine watershed left in North America. Currently, all ENERGY AND ENVIRONMENT IN EUROPE remaining timber in Clayoquot Sound is scheduled Paris, France $30,000 to be clearcuL Through their efforts, scientists hope For its efforts to promote investments in energy effi­ ciency in France. Working with the Conservation Law to persuade policymakers and the public of the Foundation and the Foundation for International Envi­ Sound's irreplaceable beauty and biological diver­ ronmental Law and Development, the institute has de­ veloped proposals for increasing energy efficiency in sity. Support for the project is part of the global France, which it is putting forward at a public review of sustainable resource use program objective to pro­ the state-owned energy sector now underway. The insti­ tect old growth temperate rainforests in British tute also disseminates information on energy conserva­ tion to other NGOs and the public. Columbia and Alaska. ONE WORLD: SUSTAINABLE RESOURCE USE

KEYSTONE CENTER TVE TELEVISION TRUST FOR THE ENVIRONMENT Keystone, Colorado $20,000 London, England $20,000 For a meeting of international governmental and NGO representatives to develop criteria and indicators for the To distribute The Quiet Revolution, a six-part documen­ conservation and sustainable management of temperate tary film series on third world agricultural production, and boreal forests. Held in September 1994, the meeting throughout the developing world. Produced by Dr. Jack was part of a process to advance international consensus Robinson at New York University, each film focuses on on sustainable forestry management, which is essential the struggles of a different farming community in the to protecting both biological diversity and the global developing world. Together, they highlight past advances climate system. The meeting was sponsored by Keystone in food production and describe the ongoing challenge Center's Science and Public Policy Program in coopera­ to meet the needs of burgeoning populations m Asia, tion with the U.S. Forest Service, U.S. State Depart­ Africa, and Latin America. ment, and U.S. Fish and Wildlife Service.

STOCKHOLM ENVIRONMENT INSTITUTE UNITED STATES Stockholm, Sweden $150,000 over two years ENVIRONMENTAL DEFENSE FUND Continued support for the Climate Network Europe, New York, New York $200,000 over two years which coordinates the efforts of European NGOs work­ For its Tri-State Transportation Campaign to increase ing in the field of global climate change. This grant was public support for transportation reform in the New made for general support and for a public education York metropolitan area. The major thrust of the cam­ campaign surrounding the first meeting of the Confer­ paign will be, first, to inform residents of the approxi­ ence of Parties to the Climate Change Convention in mately $20 billion in federal, state, and local funding the spring of 1995 in Berlin. available over the next three years for alternative trans­ portation projects; and, second, to build public support TIDES FOUNDATION for use of these funds to improve public transit systems. San Francisco, California $60,000 over two years For its project, the Biodiversity Action Network, which FOUNDATION FOR NATIONAL PROGRESS serves as an international clearinghouse for information San Francisco, California $20,000 on the protection of biological diversity. The Toward its efforts to enlarge media attention to, and Biodiversity Action Network, or BIONET, circulates public awareness of, the serious decline of U.S. fisheries. information on scientific and policy developments on The Foundation for National Progress publishes Mother ECONET, an environmental computer network service Jones magazine, which has stepped up its coverage of top­ in the U.S., and on GreenNet in Europe. ics related to fish and their habitats. Recent articles have included: the salmon crisis in the Northwest, economic TRUSTEES OF TUFTS COLLEGE transition in the Northeast, an overview of the state of Medford, Massachusetts $45,000 fisheries worldwide, marine pollution, and proposals to For a book series to be developed by Tuft's Global De­ reform fishing practices. velopment and Environment Institute, Frontier Issues in Economic Thought. The series will cover six areas—eco­ LIBRARY OF CONGRESS logical economics, the consumer society, human welfare, Washington, DC. $10,000 sustainable development, meaningful work, and eco­ Toward expenses of a two-day symposium, "The Fed­ nomic power—from an interdisciplinary perspective that eral Role in Ecosystem Management," conducted by the incorporates environmental considerations into eco­ library's Congressional Research Service in March 1994. nomic theory. The symposium brought together scientists, managers.

ROCKEFELLER BROTHERS FUND ONE WORLD: SUSTAINABLE RESOURCE USE

and policymakers for a timely discussion of these issues SURFACE TRANSPORTATION POLICY PROJECT and their implications for the policies affecting the man­ agement of federal and non-federal land, water, and liv- Washington, D.C. $100,000 over two years mg resources. Toward its work on national transportation policy reform. The Surface Transportation Policy Project (STPP) was NATIONAL FISH AND founded in 1990 as a network of coalitions and organi­ WILDLIFE FOUNDATION zations devoted to shifting national transportation Washington, D.C. $35,000 policy from road building to mass transit. This grant For its Northeastern Fisheries and Sustainable Com­ supports STPP's efforts to develop a major public aware­ ness campaign. munities Project to assist efforts to restore depleted fish­ eries in the northeastern United States and to help fishing communities undergoing economic transition. HENRY A. WALLACE INSTITUTE FOR ALTERNATIVE AGRICULTURE Reaching out to fishermen, regulators, scientists, and conservationists alike, the project is playing a key role in Greenbelt, Maryland $150,000 over two years evaluating and negotiating the complex proposals for Toward its policy research and evaluation work in sup­ recovery in the region—proposals that most likely will port of national-level agricultural policy reform. The mean reducing the size of fleets and restructuring local institute will provide an independent assessment of pro­ economies. posals created by local and regional sustainable agricul­ ture working groups, known as the National Dialogue. PACIFIC RIVERS COUNCIL These in turn will form the basis for discussion at the Eugene, Oregon $60,000 over two years National Coordinating Council, which wiU develop recom­ mendations with respect to national farm policy reform. To assist in the creation of a comprehensive watershed restoration and management plan for the Flathead Ba­ sin and Northern Rockies, one of the most scenic and biologically intact ecosystems in the United States. The EAST CENTRAL EUROPE council has pioneered a comprehensive approach to CENTRE FOR ENVIRONMENTAL large-scale ecosystem protection that focuses on main­ STUDIES FOUNDATION taining the vitality of rural communities while preserv­ Budapest, Hungary $150,000 over three years ing the natural environment. General support for the Centre for Environmental Stud­ ies, a new policy research institute. The center brings SOUTHERN ENVIRONMENTAL LAW CENTER together Hungarian experts in fields related to environ­ Charlottesville, Virginia $225,000 over three years mental economics, policy, and management with the aim Continued support for the centers efforts to promote of promoting environmental protection and sustainable utility-based energy efficiency programs in the south­ development. It will also undertake to educate citizens eastern United States. The Southern Environmental and policymakers, to serve as a clearinghouse for envi­ Law Center encourages utility companies to consider ronmental research and policy analysis, and to train new energy efficiency measures on an equal footing with new NGOs in environmental management techniques. generating capacity, and to take into account the effects of their decision-making on matters of health, air pollu­ EASTERN EUROPEAN INDEPENDENT ENVIRONMENTAL FOUNDATION tion, and the quality of life. The center is the southern anchor of a national network of energy advocacy groups. Budapest, Hungary $50,000 For a project of its Independent Ecological Center to improve local environmental management in Hungary. The center helps selected municipalities assess the en-

ANNUAL REPORT I< ONE WORLD: Greenways—Zelene Stezky SUSTAINABLE RESOURCE USE

vironmental problems fac­ ing their communities, provides training in skills needed to address the problems, and participates in formulating "environ­ mental action plans." In partnership with the U.S.- based Institute for Sustain­ able Communities, the Independent Ecological Center is addressing eco­ nomic and environmental concerns at the grassroots level in Hungary.

ENVIRONMENTAL MANAGEMENT AND LAW ASSOCIATION Budapest, Hungary $150,000 over three years General support for the associations work to support A map of the Czech Greenways, which is environmentally sound economic development in Hun­ made up of six individual greenways that stretch gary. The organization was founded in 1992 by Hungar­ ian professionals in law, management, economics, from Prague to Vienna. First conceived of in science, and journalism interested in promoting susrain- the U.S., greenways are corridors of environ­ able development. It provides legal services to NGOs; mentally sensitive economic development. The undertakes policy analysis, with special attention to legal issues; provides educational opportunities for students Czech greenways, which are currently in vari­ of environmental management, law, and science; and ous stages of progress, are intended to sup­ offers professional training workshops on environmen­ tal law enforcement and related subjects. port historic preservation of medieval towns, churches, castles, and the surrounding land­ EUROPEAN NATURAL HERITAGE FUND scape, while encouraging local economic de­ Rhembach/Bonn, Germany $225,000 over three years For a program to improve multilateral development bank, velopment. Greenways—Zelene Stezky offers Western government, and private corporate accountabil­ technical assistance regarding architectural and ity with respect to sustainable resource use in East Cen­ land-use planning, environmental management, tral Europe. The European Natural Heritage Fund (Euronature) monitors the lending and investment prac­ and cultural preservation. tices of these institutions, which are playing an important role in shaping the energy, transportation, and industrial sectors in the region, and which, as a result, have a pro­ found effect on health and the environment. Euronature publishes articles in its newsletter, prepares case studies, ONE WORLD: SUSTAINABLE RESOURCE USE

and trains local nongovernmental organizations to en­ Development for Central Europe is designed to redress defi­ gage in dialogue with government and business leaders. ciencies in the April 1993 Environmental Action Programme for Central and Eastern Europe signed by European environmen­ FRIENDS OF THE EARTH (FRANCE) tal ministers. Upon completion, the group will engage Paris, France $120,000 over two years national governments, parliaments, industries, trade unions, and NGOs throughout the region in a series of For a program to encourage multilateral development discussions regarding the alternative plan. banks to take environmental concerns into account when making loans or investments in East Central Europe. Working closely with its affiliates, the French chapter of INSTITUTE FOR SUSTAINABLE COMMUNITIES Friends of the Earth trains European nongovernmental South Royalton, Vermont $100,000 over two years organizations in advocacy techniques to monitor and engage in constructive dialogue with lending institutions. For its Madeleine M. Kunin Special Opportunities Fund. Founded with RBF support in 1990, the institute offers innovative training programs to NGOs, govern­ GERMAN MARSHALL FUND OF THE U.S. ment officials, and community leaders throughout East Washington, D.C. $40,000 Central Europe to improve local environmental man­ Additional support for the Environmental Partnership agement and promote sustainable development. The for Central Europe, toward a strategic planning exercise special fund is designed to help the institute, as it grows and further training of trainers. The partnership is a in size, remain flexible and responsive in its ability to collaborative effort by American, European, and Japanese provide assistance. funders to provide small grants and technical assistance to nongovernmental organizations and municipal govern­ INSTITUTE FOR TRANSPORTATION AND ments in East Central Europe engaged in environmental DEVELOPMENT POLICY activities. With the help of in-country representatives New York, New York $50,000 and advisory groups in Poland, Hungary, the Czech For its project to improve transportation policies in East Republic and Slovakia, the partnership has made over 500 Central Europe, with an emphasis on increasing multi­ grants since 1991 and has become a model for nurturing lateral development bank funding of mass transit. As­ small-scale, community-based efforts. sisted by the Environmental Defense Fund, the institute is preparing a report on the environmental ramifications GREENWAYS-ZELENE STEZKY of current trends in transportation sector growth, which Valtice, Czech Republic $90,000 over three years favor highway construction and automobile manufac­ To assist in the development of "greenways"—corri­ turing. It will also work with lending institution staff to dors of environmentally sensitive economic develop­ develop environmentally sound transportation policies, ment—in the Czech Republic. In the Czech Greenway, and build coalitions of local nongovernmental organi­ extending from Prague to Vienna, historic towns are zations interested in transportation reform. being restored and countryside preserved in a process aimed at preserving cultural values and generating income PROJECT FOR PUBLIC SPACES and employment. The Czech Greenway is modeled on New York, New York $75,000 the Hudson River Valley Greenway, with which it has a To establish the Czech Center for Rebuilding Commu­ "sister" relationship. nity, in Prague. The new centers mission is to support local efforts to revitalize town centers and neighbor­ INSTITUTE FOR ENVIRONMENTAL POLICY hoods while preserving historic architecture and public Prague, Czech Republic $50,000 spaces. The New York-based Project for Public Spaces, For a collaborative effort by NGOs from eight countries which over two decades has completed more than 400 and provinces in Central Europe to draft a program for projects throughout North America, Europe, and Aus- sustainable development. Their Program of Sustainable

ANNUAL REPORT 1994 ONE WORLD: SUSTAINABLE RESOURCE USE

tralia, has been active in urban planning and renewal CANTHO, UNIVERSITY OF efforts in the Czech Republic since 1993. Cantho, Vietnam $47,000 $40,000 over three years for a demonstration project of QUEBEC-LABRADOR FOUNDATION Its Mekong Delta Farming Systems Institute to test sus­ Ipswich, Massachusetts $150,000 over three years tainable farming methods on the highly acidic soils of Continued support for the international program of its the Mekong Delta. The experimental farming system, Atlantic Center for the Environment. The program pro­ which alternates plantings of rice, vegetable beds, sugar vides technical assistance and traming to local NGOs cane, and Melaleuca trees, provides an integrated approach addressmg land stewardship challenges; in East Central to dealing with the severe constraints to productivity Europe, these include issues related to land conserva­ caused by soil acidity. tion, river basin management, biodiversity, and the pres­ $7,000 for a meeting m May 1994 to discuss the impact ervation of cultural heritage. of shrimp aquaculture development on Vietnam's coastal zone. The meeting, attended by provincial governors, VERONICA ministry personnel, and members of the scientific com­ Brno, Czech Republic $165,000 over three years munity, marked the first time that Vietnamese To establish an "eco-counseling" network in the Czech policymakers discussed the implications of the growth Republic. The network is made up of five community- of a shrimp export industry for land-use practices in based environmental NGOs that provide advice to mu­ coastal environments, particularly mangrove forests. nicipal governments, businesses, and citizens on a wide range of topics, including water and energy conserva­ CENTER FOR MARINE FISHERIES RESEARCH tion, refuse disposal, and pollution reduction. Ambon, Indonesia $8,000 To study marine tenure and coastal issues in Indonesia. Concentrating on the Moluccas, the famed "spice island" EAST ASIA region of eastern Indonesia, project staff will examine the tension between local governments, which have ASHOKA drafted regulations built upon existing coastal tenure Arlington, Virginia $150,000 over three years systems to protect marine resources, and outside eco­ To expand Ashoka's fellowship program m Asia. Since nomic interests which benefit from Indonesia's open 1984 Ashoka has helped individual public service entre­ access approach to fisheries management. Researchers preneurs in launching careers devoted to social change. are particularly interested m understanding the extent This grant supports five new Ashoka Fellows working to which local tenure systems do or do not act as a tool on issues related to the conservation of biological diver­ of conservation. sity in Thailand and Indonesia. CHIANG MAI UNIVERSITY ASIAN NGO COALITION RESEARCH Chiang Mai, Thailand $7,500 FOUNDATION Manila, Philippines $120,000 over two years For a study by its Social Research Institute of the effects on local communities of the expansion of the protected Continued support for its multilateral development area system in Northern Thailand. Particular attention bank project, with special attention to monitoring the will be paid to livelihood security, out-migration and its social and environmental effects of the Asian Develop­ economic impacts, and a consideration of alternative ment Bank's lending policies. Over the next two years, property-right systems which could result in greater lo­ the Asian NGO Coalition will monitor the bank's cal stewardship of resources within the framework of progress in carrying out new policies related to forestry, national targets for forest protection. resettlement, public accountability, and NGO partici­ pation in the formulation of development programs.

ROCKEFELLER BROTHERS FUND LEGEND Department of Forestry I I Forest Concession Limited Production ' ' Forest I I Protected Forest I I Kayan Mentarang ' ' Nature Reserve ^H Conversion Forest

Long Uli's Land-Use M-j-j-l Protected Forests

^^ Swidden Cultivation

L"! Open-Use Forests

Kilometers I 1 I 1 ~!=i 0 1 2 3 4 5 UTM-Zone50

Compiled in 1992-199J by: Long Uli ViUagcrs, East Kalimantan, Indonesia; Department of Forestry, Indonesia: Kayan Mentarang Project, World Wildlife Fund, Indonesia:

East-West Center, Hawaii

East-West Center Foundation: A geographical information systems (GIS) map, created by Dr Jeff Fox of the center's Program on Environment. GIS is an innovative method of documenting the existence of traditional land-use systems, which, because they tend to be oral and anecdotal, are often overlooked when drawing boundaries or undertakirtg land-planning or development projects. Fhis map shows the local inhabitants' perception of resource-use rights as contrasted with those of the Indonesian Department of Forestry.

CLIMATE ACTION NETWORK- EAST-WEST CENTER FOUNDATION SOUTHEAST ASIA Honolulu, Hawaii $199,000 Quezon City, Philippines $115,000 over two years $119,000 over three years toward its Program on Envi­ General support of its activities m addressing the impli­ ronment for a research network concerned with spatial cations for Southeast Asia of global climate change. documentation of indigenous land management systems Climate Action Network—Southeast Asia supports and m Southeast Asia using geographic information systems. coordinates the efforts of Southeast Asian NGOs work­ Researchers at the center have developed techniques for ing on climate issues, and participates m international representing traditional resource-use perceptions in car­ meetings and negotiations regarding implementation of tographic form, which are then contrasted with state the Climate Change Convention. Its research and advo­ administrative boundaries showing land-use classifica­ cacy currently focus on the implications of Joint Imple­ tions. Local concerns are articulated in a technically mentation, energy efficiency, and the effects of global sophisticated manner so as to provide a basis for nego­ warming on tropical forest and marine life. tiation in the design of development projects.

$80,000 over two years to the Program on Environment CLIMATE INSTITUTE for a field study of the economic, social, and ecological Washington, D.C. $25,000 aspects of rehabilitating Vietnam's midlands. Research­ Toward planning for the Asia-Pacific Climate Change ers will focus both on the problem of massive deforesta­ Conference m early 1995. Organized by the Climate Insti­ tion, caused when large numbers of lowland Vietnamese tute m cooperation with the Asian Parliamentarians were resettled and began rice farming in these marginal organization, the Government of the Philippines, and lands, as well as the socio-economic barriers to restora­ several Asian NGOs, the summit is an opportunity for tion work, including lack of access to rural credit and Asian leaders to consider as a group issues related to the insecurity of land tenure. global climate change, including greenhouse gas reduc­ tion commitments and options for pursuing alternative HANOI, UNIVERSITY OF energy sources, in advance of the March 1995 Confer­ Hanoi, Vietnam $35,000 over three years ence of Parties meeting in Berlin. For a project of its Center for Natural Resources Man­ agement and Environmental Studies on the integrated coastal management of mangrove ecosystems m the Red

ANNUAL REPORT 1994 ONE WORLD: Institute for Research and SUSTAINABLE RESOURCE USE Development of Kalimantan's Culture

Simon Takdir (pictured on the left) of the River Delta of Vietnam. The center's demonstration project will combine coastal restoration and protected Institute for Research and Development of area management with the experimental use of an im­ Kalimantan's Culture, a member of the politi­ proved type of shrimp pond which does not require the wholesale destruction of coastal mangrove forests. cal ecology research network supported by the

Fund. Mr. Takdir is gathering ethnographic HARIBON FOUNDATION FOR THE information regarding forest-use rights among CONSERVATION OF NATURAL RESOURCES Metro Manila, Philippines $200,000 over three years the Salako Dayak tribe of West Borneo. The For a national initiative in coastal management training man being interviewed by Mr. Takdir is giving in the Philippines. The national training program is a collaboration of the Philippine Department of Environ­ the family genealogy of particular trees in the ment and Natural Resources, research institutions, forest: who planted it, who owns the tree now. universities, and nongovernmental organizations. The initiative calls for several training phases targeted at NGO field workers and civil servants working to improve implementation of the 1991 Local Government Code, which devolved control of natural re­ sources to the municipal level.

INDONESIAN INSTITUTE OF SCIENCES Jakarta, Indonesia $7,000 Toward its Center for Social and Cul­ tural Studies' work on customary ma­ rine resource tenure and fishing rights m Sangihe, North Sulawesi. In par­ ticular, the project will examine what happens when commodity markets develop for particular resources which are also prized for cultural reasons, and the mechanisms used for resolv­ ing conflicts related to exploitation of these resources.

INSTITUTE FOR RESEARCH AND and who in the clan has the right to harvest DEVELOPMENT OF KALIMANTAN'S CULTURE Singkawang, Indonesia $6,000 the fruits. Also shown are Dr. Peter Vandergeest For a study of changes in the land and resource tenure of York University and Dr. Nancy Peluso of systems of the Salako Dayak people, and their responses Yale University's School of Forestry and En­ and adaptations to state-sponsored development schemes in their traditional homelands. vironmental Studies. ONE WORLD: SUSTAINABLE RESOURCE USE

LEGAL RIGHTS AND an RBF grantee, the Rural Development Research Cen­ NATURAL RESOURCES CENTER tre will assist in mapping the customary resource-use Quezon City, Philippines $20,000 boundaries of the territory claimed by the Jinuo, three- Toward efforts to monitor the social and environmental quarters of which overlaps a national forest preserve, as impacts of the Asian Development Bank's lending poli­ a basis for further discussion of rural development and cies. This grant sponsored center staff attendance as resource tenure issues in the area. NGO observers at the Asian Development Bank's annual meeting in May, where the center undertook a review of UNIVERSITAS TANJUNGPURA proposals relatmg to energy and forestry as well as new Pontianak, Indonesia $10,000 bank policies regarding mformation dissemination. At Toward a study of the use-rights associated with for­ home, the center has organized consultations with ested lands among the Dayak peoples of Borneo. By NGOs and citizens' organizations regarding the impact documenting the existence among the Dayak of vernacu­ of bank policies. lar rules of access to the forest, researchers hope to strengthen legal recognition of local land-use customs. MALAYA, UNIVERSITY OF Kuala Lumpur, Malaysia $15,000 WINROCK INTERNATIONAL INSTITUTE For a project of the university's Institute for Advanced FOR AGRICULTURAL DEVELOPMENT Studies in examining the resource tenure issues of Morrilton, Arkansas small-scale tribal societies in Malaysia. Working in $120,000 over three years Pahang, which has the largest number of indigenous For the Farm and Community Forestry Program, which peoples of any state in peninsular Malaysia, as well as provides grassroots groups and development NGOs in in several sites m the state of Sabah, researchers hope Asia with technical support relevant to agroforestry. The to document local resource-use practices and examine Farm and Community Forestry Program is a merger of apparent contradictions between local and state claims Winrock's agroforestry initiatives in tropical Asia with over natural resources. the Nitrogen Fixing Tree Association (NFTA). This grant provides core support for the program, and for OBOR the second phase of an NGO outreach program begun Guilford, Connecticut $30,000 by NFTA three years ago with RBF funding. To publish books on the environment in Vietnam and Indonesia. For more than twenty-five years, Obor has YALE UNIVERSITY brought out low-cost editions of influential books in New Haven, Connecticut $50,000 developing countries. This grant supports its first pub­ To Its School of Forestry and Environmental Studies lishing projects in Vietnam—a basic reader on sustain­ toward a study entitled "Powering China: The Environ­ able development, a guide to restoration ecology, and a mental Implications of China's Economic Growth." translation of the World Conservation Union's "blue­ Across Asia, the demand for energy, and for capital to print for planetary survival," Caring for the Earth. Obor finance increased generating capacity, is on the rise. In will also publish a volume in Bahasa Indonesia entitled China alone, energy financing is estimated at $100 bil­ Sea Change, an introduction to the subject of marine and lion annually. Project staff will analyze what is happen­ coastal tenure. ing in China, the underlying economics of the situation, the implications for global climate change, and the pos­ RURAL DEVELOPMENT RESEARCH CENTRE sibilities for promoting investments in energy efficiency Kunming, People's Republic of China $19,000 and renewable energy use. For a project to study changes in natural resource man­ agement among the Jinuo people of Xishuangbanna, southern China. Working with the East-West Center,

ANNUAL REPORT 1994 PROGRAM GUIDELINES ONE WORLD: WORLD SECURITY

In late I gg^, the Fund began a process of reviewing the world security -program guidelines. New guidelines are expected to he adopted

by early iggy. In the meantime, the guidelines that were in effect through tgg^ are included below so that readers might better

understand the context in which the following grants were made.

GOAL To improve political, security, and economic relations among nations and strengthen arms control— recognizing that world peace is threatened not only by conflicts among competing political philosophies, differing religions, and varying cultural traditions but also by frustration and aggression arising from inequities in the sharing of the food, energy, goods, and services the world economy produces.

STRATEGIES • At the GLOBAL level, restraining horizontal nuclear proliferation—the spread of nuclear weapons capability to additional countries. Emphasis is given to issues related to the extension of the Nuclear Non-Proliferation Treaty, tightening nuclear export controls, controlling surplus plutonium, and exploring promising means of containing the nuclear weapons capability that has already been developed around the globe.

• In EAST-CENTRAL EUROPE, encouraging, in the context of the restructuring of Europe, the development of civil societies with market-oriented economies. The focus is on assisting managers, newly elected and appointed government officials at the local and national level, and members of the broadcast and print media in carrying out their responsibilities. Emphasis is given to philosophical and practical education, training, and networking initiatives.

• In EAST ASIA, promoting stable political, security, and economic relations with an emphasis on regional, bilateral, and multilateral problems that threaten this stability. Special attention is given to problems affecting relations among the countries of Northeast Asia (especially as concerns the Korean Peninsula), among the countries of Southeast Asia, and between the United States and Japan. In the context of substantive projects, efforts are made to identify younger Asian leaders and link them with one another and with American counterparts and to inform American audiences concerned about current policy issues.

• And, generally, increasing understanding of common interests among industrialized nations and helping them deal more effectively with pressing concerns of the less developed countries.

Under its "One World" program the Fund also assists efforts to analyze the connections between global resource management and global security. ONE WORLD: WORLD SECURITY

In 1994, the Fund initiated a final round of grants under the current world security guidelines. Under the global component of the program, these included final renewal grants for organizations engaged in nuclear nonproliferation work, many of whom the Fund has supported since their inception. The Fund's program concentration on arms control began a decade ago; during the past ten years it evolved to have a strong focus on containing horizontal nuclear proliferation, or the spread of nuclear weapons and missiles to additional countries. Fund grantees were among the first to call attention to the gravity of this issue, and have been engaged in projects ranging from scientific research, to public policy, to efforts to track down and expose specific firms and individuals involved in the illegal export of materials that can be used to make nuclear weapons. Since 1983, the RBF has made some $9 million in grants in the arms control field, contributing in a variety of ways; by supporting virtually every major nonprofit project concerned with horizontal nuclear proliferation, by helping to build an influential network of scientists and policymakers, and by acting as a liaison between worthwhile projects and potential funders. Final grants under this program area are focused on networking and support for activities aimed toward the Nuclear Non-Proliferation Treaty Extension Conference m 1995. Under the East Central Europe component of the security program, which stepped up dramatically with the fall of the Berlin Wall, Fund grantmaking has been aimed primarily at helping the nations of Poland, Hungary, the Czech Republic, and Slovakia (the Visegrad countries) in their transition from communist to democratic societies. The Fund has granted support for the establishment of business administration and management centers to provide training in market economy theory and practice. A number of grants have been aimed at familiarizing political leaders and citizens with democratic processes and institutions. In East Asia, the focus has been on encouraging regional dialogue on a range of economic, political, and security fronts. Over the past 2 decades, the Fund has provided assistance for efforts to smooth the U.S.-Japan relationship, to analyze the changing role of China in global affairs, to encourage economic and security cooperation among nations of the Asia-Pacific, and to find a common ground between Asia and the West with regards to human rights concerns, to name only a few of the kinds of grants that have been made.

At this time, the Fund's trustees have decided to reconsider the objectives of the security program. In the post-Cold War period, the very concept of "security" itself is changing. Increasingly, issues of security seem to have less to do with the actual military security of the state and more to do with fears that arise from economic and social concerns: of lack of employment, too many people, resource scarcity, and environmental degradation; of strangers and another's color, tribe, religion, and values; of crime and terrorism; and of drugs and disease. How can one best promote global peace and stability at the turn of the millennium and beyond? Can a new framework for security analysis and policy development be constructed? These and related questions will be the focus of efforts over the coming months to redefine the Fund's world security program.

ANNUAL REPORT 1994 37 ONE WORLD: WORLD SECURITY

GLOBAL materials; and an indefinite moratorium on civil pro­ ATLANTIC COUNCIL OF THE UNITED duction and use of separated plutonium and highly STATES enriched uranium. Washington, D.C. $120,000 over two years Continued support for the council's project to NUCLEAR CONTROL INSTITUTE strengthen the nonproliferation role of the International Washington, D.C. $130,000 over two years Atomic Energy Agency (IAEA). Created m 1957, the Continued support for its Nuclear Oversight Project to IAEA IS authorized to inspect the nuclear facilities of monitor government and industry programs and policies signatories to the Nuclear Non-Proliferation Treaty in that contribute to the spread of nuclear weapons. The order to safeguard against the diversion of nuclear mate­ project works to eliminate large-scale civilian use of plu­ rial from civilian to military purposes. The council seeks tonium and highly enriched uranium, to identify loop­ to ensure that the agency has the financial and other holes in U.S. nonproliferation laws and international resources necessary to meet its growing responsibilities. agreements, to reduce the risks of nuclear terrorism, and to promote regional approaches to halting proliferation. CONNECTICUT COLLEGE New London, Connecticut $25,000 PEACE RESEARCH INSTITUTE FRANKFURT Toward travel costs of participants in the first two of a Frankfurt, Germany $140,000 over two years series of meetings entitled "The Connecticut College Continued support for its nonproliferation program, Initiative on Global Social Development." The purpose aimed at assisting European countries address the prob­ of this series is to assist the Social Development Sum­ lem of nuclear proliferation. The project brings together mit Preparatory Committee as it plans for the United policymakers, academics, journalists, and industrialists Nations Summit on Social Development in from across Europe in an attempt to collect and share Copenhagen, where delegates will address three broad information about the different European governments' topics: reversing poverty, creating jobs, and reducing nonproliferation policies, to strengthen their export con­ fragmentation and exclusion. trols, to forge common policies, and to harness the regions diplomatic and political strength to bolster in­ FOREIGN POLICY ASSOCIATION ternational nonproliferation efforts. New York, New York $25,000 Support for the organizations institution building ef­ ST. BARTHOLOMEW'S CHURCH fort. The Foreign Policy Association is a New York- New York, New York 515,000 based nonprofit institution dedicated to the task of Toward an interdisciplinary study by the church's Project educating Americans about the importance of interna­ on Religion and Human Rights to achieve a new under­ tional affairs and encouraging enlightened citizen par­ standing of the complex and changing relationship be­ ticipation in foreign policy issues. tween religion and human rights, and thus to offer human rights advocates, religious communities, journal­ NATURAL RESOURCES DEFENSE COUNCIL ists, and public policymakers practical assistance in their New York, New York $110,000 over two years work. The centerpiece of the project was a May confer­ ence attended by more than 100 participants, including Continued support toward a program to monitor and prominent religious leaders, in New York City. reduce the global inventory of nuclear explosive materials. Over the next two years, the Natural Resources Defense Council will continue to push for a global ban on the SOUTHAMPTON, UNIVERSITY OF production of "fissile materials" for weapons (princi­ Southampton, England $105,000 pally plutonium and highly enriched uranium); a global Toward the 1996 costs of its Programme for Promoting system that reduces and controls nuclear weapon-usable Nuclear Non-Proliferation's newsletter, Newsbrief. Spon­ sored by the University of Southampton's Mountbatten

ROCKEFELLER BROTHERS FUND ONE WORLD: WORLD SECURITY Wisconsin Project on Nuclear Arms Control

tspiy? _ J fmistit

Centre for International Studies, the Programme for Bhaba Atmoic Research Center, vs'here India's Promoting Nuclear Non-Proliferation (PPNN) facili­ first atomic bomb was developed. Since 1948, tates the exchange of information relevant to nuclear pro­ liferation through its publications, conferences, briefings, India has gone from having no nuclear facili­ and networks of diplomats, scholars, industrialists, and ties to mastering each phase of plutonium nonproliferation experts. PPNN is playing a key role in disseminating information surrounding the 1995 Nuclear production—from mining and milling to fin­ Non-Proliferation Treaty renewal conference. ished bombs. India's program was launched

HENRY L. STIMSON CENTER with foreign help and has relied on imports Washington, D.C. $35,000 every step of the way, according to the Wis­

Toward the Campaign for the Non-Proliferation Treaty, consin Project on Nuclear Arms Control, a an initiative of nineteen leading nongovernmental orga­ nizations in the arms control field. The coalition has nonprofit organization that tracks exports in formed to provide technical and policy advice with re­ nuclear materials. India's drive for the bomb spect to the U.S. position at the conference of parties to has made South Asia the most likely place on the Nuclear Non-Proliferation Treaty in May 1995. At the conference, the 162 signatory nations to the treaty, earth for a nuclear war. Pakistan has followed the centerpiece of international nuclear nonproliferation India's nuclear progress step by step, increas­ efforts, will meet to review and assess the operation of the treaty and to decide upon a term for its extension. ing the chance that the next border conflict

could turn into a nuclear confrontation. SUSSEX, UNIVERSITY OF East Sussex, England $80,000 over two years Continued support for a project of its Science Policy Research Unit (SPRU) to examine the implications for ONE WORLD: WORLD SECURITY

international security of the European expansion of plu- tonium production, trans­ port, and use. Over the next two years, the SPRU project will continue to press for greater constraint in the pro­ duction of plutonium in Eu­ rope and to work for stronger international controls on plutonium stocks and flows.

SYNERGOS INSTITUTE New York, New York $25,000 To cover the travel expenses of participants in a prepara­ tory meeting for the United Nations Summit on Social Development in spring 1995. A participant in a seminar on entrepreneurship at the Czechoslovak Management Center. The January meeting in New York City was jointly spon­ sored by Synergos and the Peoples Alliance for Social EAST CENTRAL EUROPE Development, based in Santiago, Chile, a global network CZECHOSLOVAK MANAGEMENT of more than 400 NGOs founded to ensure the effec­ CENTER FOUNDATION tive participation of nongovernmental organizations in Celakovice, Czech Republic $150,000 over two years the process leading up to the Social Summit. Continued general budgetary support for the Czecho­ slovak Management Center, located outside Prague, the WISCONSIN, UNIVERSITY OF first independent Western-style business management Madison, Wisconsin $75,000 training center in the Czech Republic. Established in Continued support toward the Wisconsin Project on 1991 in response to the urgent need for managers with Nuclear Arms Control's work aimed at controlling ex­ market-economy skills, the center now offers an MBA ports that can be used to make nuclear weapons. Draw­ program, continuing education courses for mid-career ing on extensive data it has amassed through past managers, and training sessions for entrepreneurs. investigations of nuclear and missile sales, the Wiscon­ sin Project will create an export information bank to HARVARD UNIVERSITY warn U.S. and foreign exporters about buyers who have Boston, Massachusetts $100,000 ties to programs of countries trying to build nuclear Continued general support for Project Liberty of the arms and long-range missiles. It will also continue its university's John F. Kennedy School of Government. efforts to build support for stronger export controls and Project Liberty is a multinational effort to familiarize for greater openness and accountability in the export- newly elected public officials m East Central Europe with licensing process. democratic processes and institutions and to nurture working relationships between prominent public leaders

40 ROCKEFELLER BROTHERS FUND ONE WORLD: WORLD SECURITY

in East Central Europe and experienced policymakers, BROOKINGS INSTITUTION academics, and private sector representatives in the West. Washington, D.C. $225,000 over three years Continued support for its East Asia Program, which car­ INSTITUTE FOR EASTWEST STUDIES ries out policy research and analysis regarding East Asia New York, New York $33,000 and the United States. Through published research, For a project to improve the structure and effectiveness opportunities for visiting scholars, conferences, media of the Carpathian Euroregion, a voluntary association briefings, and other outreach activities, the East Asia Pro­ of local and regional governments in the Carpathian gram contributes to the debate over a range of policy is­ Mountains region designed to encourage transborder sues concerning the U.S. in its relations with individual cooperation on economic, cultural, and environmental East Asian countries as well as with evolving regional re­ matters. The idea of Euroregions was developed in West­ lationships. Currently, the program is focused on two ern Europe after the Second World War as a way to principal themes: cooperative security and economic in­ prevent the recurrence of devastating conflicts across tegration. borders. The Institute for EastWest Studies has served as a facilitator of this initiative. CARNEGIE COUNCIL ON ETHICS AND INTERNATIONAL AFFAIRS New York, New York $150,000 over three years INTERNATIONAL MANAGEMENT CENTER FOUNDATION For a project to engage high-level representatives from Budapest, Hungary $150,000 over two years Asia and the United States in a dialogue on human Continued general budgetary support for the center, estab­ rights. In collaboration with the Japan Institute of In­ lished in 1988 as the first Western-style business manage­ ternational Affairs in Tokyo and Chulalongkorn Uni­ ment training center in East Central Europe. The versity in Bangkok, the council will organize a series of International Management Center offers a Young Manag­ three international meetings involving scholars, govern­ ers Program leading to MBA degrees at U.S., UK, and ment officials, NGO representatives, journalists, and Australian universities, short courses for mid-career man­ business leaders from Asia and the United States, with agers, and consulting services for entrepreneurs. Technical the goal of forging a new vocabulary for human rights and financial assistance in establishing the curriculum, in the region. training faculty, and granting scholarships for MBA candi­ dates has been provided by the University of Pittsburgh's CENTER FOR STRATEGIC AND INTERNATIONAL STUDIES Katz Graduate School of Business. Honolulu, Hawaii $100,000 over two years Toward the general operating expenses of the United EAST ASIA States Committee of the Council for Security Coopera­ ASIAN CULTURAL COUNCIL tion in the Asia-Pacific (CSCAP), a project of its Pacific Forum/CSIS. CSCAP was created in 1991 as a private New York, New York $300,000 forum for the consideration of regional security issues. General support. The council supports cultural exchange Its members include policy analysts, business executives, between Asia and the U.S. in the performing and visual and journalists from ten Asian countries and the U.S. arts, primarily by providing individual fellowship grants to Asian artists, scholars, students, and specialists for COLUMBIA UNIVERSITY IN THE study and travel in the United States. The organization CITY OF NEW YORK, TRUSTEES OF was founded in 1980 and has been formally affiliated New York, New York $65,000 with the Rockefeller Brothers Fund since 1991. To the pilot phase of "Culture and Diplomacy in Post- Cold War Asia," a project intended to develop a new way of thinking about American relations in Asia. The

ANNUAL REPORT 1994 ONE WORLD: WORLD SECURITY

Takashi Inoguchi of the University of Tokyo, James Shinn of the Council on Foreign Relations, and Gerrit W. Gong of the Center for Strategic and International Studies at the first meeting of the Security Study Group of the Council on Foreign Relations' Asia Project.

goal of the project, led by senior policy analysts and INSTITUTE OF SOUTHEAST ASIAN STUDIES scholars at Columbia's East Asian Institute, is to design Republic of Singapore $190,000 over three years a process to facilitate U.S. policymaking with respect to To initiate an annual roundtable series on the relation­ East Asia that gives an emphasis to political and social ship of the Association of Southeast Asian Nations to ties, that stresses the importance of acknowledging Asian the Asia-Pacific Economic Cooperation conference. The views and values, and that takes into account the shifts roundtable offers an unofficial means for the six coun­ and changes that are occurring in Asia. tries that make up the Association of Southeast Asian Nations (ASEAN) to discuss their interests and priori­ COUNCIL ON FOREIGN RELATIONS ties, and how best to assert these in the context of the New York, New York $100,000 over two years agenda of the Asia-Pacific Economic Cooperation con­ For its Asia Project, a review of the economic transfor­ ference (APEC). mation of East Asia and its implications for U.S. for­ eign policy. The project will have two phases. The first JAPAN CENTER FOR INTERNATIONAL EXCHANGE will be organized around three study groups, one each in the areas of security, economic, and transnational is­ New York, New York $120,000 over three years sues, including U.S. and Asian policy experts. In the sec­ General budgetary support for the American affiliate of ond phase, a smaller working group will review and the Japan Center for International Exchange (JCIE). integrate the product of the study groups into a set of JCIE is the leading private organization involved in pro­ findings and recommendations for U.S. foreign policy moting the enhancement and stability of the US.-Japan in East Asia.

42 ROCKEFELLER BROTHERS FUND ONE WORLD: WORLD SECURITY

relationship. The organization works principally to facilitate contact between American and Japanese policymakers, to help promote joint research between American and Japanese scholars, and to encourage greater collaboration between American and Japanese funders.

NEW YORK UNIVERSITY New York, New York $30,222 For an in-depth study of how the economic transforma­ tion of East Asia might affect the foreign policy and security relations of the East Asian countries. Under the direction of Professor David Denoon, the project will look at the potential negative aspects to rapid economic growth in Asia, including huge investments in arms build-up and a growing imbalance in income distribu­ tion and resource allocation. The project will produce articles and a book setting forth plausible directions for the regions foreign and security policies.

ANNUAL REPORT 1994 PROGRAM GUIDELINES NONPROFIT SECTOR

GOAL To promote the health and vitality of the nonprofit sector, both nationally and internationally.

STRATEGIES

Within the UNITED STATES, promoting civic responsibility and the commitment to public service by helping all citizens, and especially young people, appreciate the value and importance of civic activities and by enhancing the effectiveness of those who volunteer, with special attention to trustees or directors of nonprofit organizations.

Within the UNITED STATES, strengthening the efforts of nonprofit organizations to increase and diversify income, especially from individual donors. Emphasis is also given to supporting selected projects designed to help donors become better educated about nonprofit organizations and to broaden the repertoire of fundraising techniques available to smaller nonprofit organizations.

At the GLOBAL level, encouraging the nonprofit sector by fostering greater international communication and cooperation among nonprofit organizations and by strengthening philanthropy and nonprofit activity in other regions of the world, particularly those where the Fund is engaged in other aspects of its program.

44 ROCKEFELLER BROTHERS FUND NONPROFIT SECTOR

In June 1994, the Johns Hopkins Comparative Nonprofit Sector Project published The Emerging Sector: An Overview, the first in a series of publications that will grow out of this major effort to analyze the scope, structure, financing, and role of the private nonprofit sector in 12 countries, using a common framework and approach. This project, for which the Fund gave early support, provides one indicator of an increased awareness of and interest in the nonprofit sector, and of what appears to be a dramatic growth in the number and activities of nonprofit organizations worldwide. The grants approved in 1994 under the Fund's nonprofit sector program reflect both this increasing international awareness of the sector and the ways in which it is developing in the geographic areas in which the RBF is most active. Two grants to the Asia Foundation— one to help launch the Asia Pacific Philanthropy Consortium and the other toward a symposium on philanthropic development and cooperation in the Asia-Pacific—build on previous Fund efforts to promote philanthropy in Asia. Following recommendations set forth in The Rebirth of Civil Society: The Development of the Nonprofit Sector in East Central Europe and the Role of Western Assistance, the study published by the RBF at the end of 1992, grants were made to a number of organizations located or working in Hungary, Poland, the Czech Republic, and Slovakia to build the capacity of and infrastructure for the rapidly developing nonprofit sectors in those countries. A grant to the National Humanities Center for a conference to explore the relevance of civil society to the consolidation of developing democracies, and a grant to CIVICUS: World Alliance for Citizen Participation to enable participants from around the world to attend the first CIVICUS World Assembly, provided support on the one hand for an opportunity to reflect upon the role of nonprofits in a number of countries, and on the other hand for an opportunity for those directly involved with nonprofit activities and organizations in a wide range of countries to come together, share experiences, and assess their common needs.

In the United States, new grants emphasized the promotion of civic responsibility and public service, while continuing payments were made on grants approved in previous years that reflect the Fund's interest in helping nonprofits increase and diversify income and in developing the basis for a better understanding of the role and functioning of nonprofits, a re-emerging need that is highlighted in the President's Report on page 9 of this publication.

ANNUAL REPORT 1994 45 National Center for NONPROFIT SECTOR Nonprofit Boards

Nancy Piazza., a trustee of the Cuyahoga County UNITED STATES EDUCATIONAL COMMISSION Community Mental Health Board, participat­ OF THE STATES ing in the centers second annual National Denver, Colorado $10,000 Leadership Forum in Washington, D.C. More For the efforts of its Campus Compact to train state com­ missions for the Americorps Program established by the than 450 nonprofit leaders attended the con­ National Community Service Trust Act. Campus Com­ ference, including board members, chief execu­ pact, a national coalition of college and university presi­ tives, and nonprofit senior staff Focusing on dents that works to create public service opportunities for college students, will orient board members and staff the theme, "Oversight or Interference? Striking of the newly created state commissions, each of which is a Balance in Nonprofit Governance," forum charged with coordinating a state plan for national ser­ participants discussed the role of board mem­ vice, providing training and technical assistance to poten­ tial applicants, and selecting grantees. bers in ensuring the proper governance and

accountability of nonprofit organizations. Ac­ INSTITUTE FOR THE ARTS OF DEMOCRACY cording to NCNB President Nancy R. Axelrod, Brattleboro, Vermont $5,500 To support a national grassroots outreach campaign to build interest in the book. The Quickening of America: Rebuilding Our Nation, Remaking Our Lives. Written by institute co- directors Frances Moore Lappe and Paul Martin Du Bois, The Quickening of America pro­ vides ideas and methods for revitalizing citi­ zen participation, offers numerous examples of successful public problem-solving, and is an attempt to help people in local communi­ ties help themselves.

NATIONAL CENTER FOR NONPROFIT BOARDS Washington, D.C. $180,000 over three years To expand its membership program. The center was created in 1988 by Independent Sector and the Association of Governing Boards of Universities and Colleges, with support from the RBF and other philan­ thropies, as a source of practical informa­ tion and ongoing assistance to the more than ten million, a central question addressed by conferees was mostly volunteer, board members governing the over one how board members can strike the right balance million nonprofit organizations in the U.S.

"between responsible oversight and unproduc­ tive interference, and between appropriate del­ egation of responsibilities to staff and 'snoring on the job.'" NONPROFIT SECTOR

INTERNATIONAL tions with the aim of strengthening the emerging volun­ ASIA FOUNDATION tary sectors m these countries. San Francisco, California $180,000 FOUNDATION FOR $150,000 over three years to help launch the Asia Pacific EDUCATIONAL PROGRAMS Philanthropy Consortium, established by Asian nongov­ Prague, Czech Republic $25,000 ernmental organizations with the assistance of the Asia For a television and video film series that explains the Foundation to promote the role of philanthropy in workings of foundations to the public. Topics in the addressing critical issues in the Asia-Pacific. The consor­ seven-part series. About Foundations, will include: the dif­ tium will help strengthen existing and emerging philan­ ferent types of foundations and how they function, the thropies in the Asia-Pacific and facilitate efforts by importance of financial openness and accountability, Asia-Pacific philanthropic organizations to identify issues elements of successful grantmaking, and the role of non­ of mutual concern and cooperate m addressing them. profit organizations in civil society. $30,000 toward the Osaka Symposium on Philanthropic Development and Cooperation m the Asia-Pacific, held INFORMATION CENTER FOR in December 1994. The Osaka conference was the last FOUNDATIONS AND OTHER in a series of international symposia, begun m 1989 m NOT-FOR-PROFIT ORGANIZATIONS Bangkok, focused on the need to promote the develop­ Prague, Czech Republic $60,000 over two years ment of funding sources to support rapidly evolving and Continued general support for the Information Center increasingly influential indigenous nongovernmental for Foundations, an information and service center for organizations and nonprofit activities in East Asia. nonprofit organizations in the Czech Republic. The goals of the recently established center are to increase CIVICUS: WORLD ALLIANCE public awareness of the nonprofit sector, provide train­ FOR CITIZEN PARTICIPATION ing and technical assistance for nonprofit leaders, and Washington, D.C. $75,000 encourage information sharing and networking among For financial assistance to enable participants from nonprofits. Africa, Latin America, Central Europe, Asia, and the Middle East to attend the first CIVICUS World As­ JOHNS HOPKINS UNIVERSITY sembly, January 1995 in Mexico City. Formally launched Baltimore, Maryland $150,000 over two years in May 1993, CIVICUS is an international alliance of For the Institute for Policy Studies' Training of Train­ organizations and individuals aimed at strengthening ers program m East Central Europe. Since 1991, the In­ citizen participation in civic affairs through voluntary stitute for Policy Studies has provided management initiative, philanthropy, and community service. training for the emerging nonprofit sector in East Cen­ tral Europe through its Third Sector Project, which has FOUNDATION FOR A CIVIL SOCIETY offered workshops and internships. Its newly established New York, New York $125,000 over two years Training of Trainers program will prepare a group of General budgetary support. Established m 1984, the Foun­ thirty to forty local trainers and a network of indig­ dation for a Civil Society (formerly the Charter Seventy- enous institutions to train nonprofit sector leaders on Seven Foundation) serves as a catalyst and facilitator for an ongoing basis. projects that encourage democratization and economic conversion in the Czech Republic and Slovakia. Through NATIONAL HUMANITIES CENTER its largest program, the Democracy Network Initiative, Research Triangle Park, North Carolina $35,000 the foundation provides small grants and technical assis­ For a conference that will explore the relevance of civil tance to Czech and Slovak nongovernmental organiza­ society to the consolidation of developing democracies. The February 1995 conference in San Jose, Costa Rica,

ANNUAL REPORT 1994 NONPROFIT SECTOR

will be attended by leading policymakers from East Cen­ program for potential volunteers, publish a manual for tral Europe, Latin America, Western Europe, and the NGOs on the implementation of volunteer programs, U.S. The conference is part of a multiyear effort of the establish a volunteer referral and support center, and National Humanities Center to advance the understand- help other NGOs institute volunteer programs. The mg of civil society and its implications for contempo­ volunteer center is a project of the Support Office for rary social and political change. the Movement of Self-Help Initiatives, an independent service center for NGOs in the social services field in NONPROFIT FOUNDATION Warsaw and the surrounding province. Budapest, Hungary $48,000 over two years TIDES FOUNDATION For its County News Agency Network Project. The Nonprofit Foundation publishes Kurazsi, the Newsletter San Francisco, California $200,000 over two years for Civil Society, the only national newsletter m Hungary For its Civil Society Development Program (CSDP) to focusing on the nonprofit sector. Under the Country enhance the growth of the nonprofit sector in East Cen­ News Project, volunteers from rural areas of the country tral Europe. Through its training programs, CSDP will will be recruited to write weekly articles on important develop a core group of local people who can act as local NGO activities for both community newspapers facilitators and trainers for the growing number of non­ and the national newsletter. profit groups in the region. CSDP grew out of recom­ mendations in The Rebirth of Civil Society, a report on the NONPROFIT INFORMATION state of the nonprofit sector in East Central Europe writ­ AND TRAINING CENTER ten by Jenny Yancey and Daniel Siegel and published by Budapest, Hungary $34,000 the RBR General support for the Nonprofit Information and Training Center, an information and service center for nonprofit organizations in Hungary. The center was re­ PHILANTHROPIC SUPPORT cently established to build a supportive environment for ORGANIZATIONS the voluntary sector in Hungary by increasing public COUNCIL ON FOUNDATIONS awareness of the sector, providing training and technical assistance for nonprofit leaders, and encouraging infor­ Washington, DC. $34,600 mation sharing and networking among nonprofits. General support for 1995. The council has over 1,300 mem­ bers, representing independent, community, operating, SLOVAK ACADEMIC INFORMATION AGENCY and public foundations, corporate grantmakers, and trust Bratislava, Slovakia $80,000 over two years companies. The council also works with 29 affinity groups that are coalitions of grantmakers with a common inter­ Continued general support for the Slovak Academic est, and with 33 regional associations of grantmakers. Information Agency, an information and service center for nonprofit organizations in Slovakia. The goals of the independent center are to increase public awareness FOUNDATION CENTER of the nonprofit sector, provide training and technical New York, New York $60,000 over two years assistance for nonprofit leaders, and encourage infor­ General support for 1995 and 1996. The Foundation mation sharing and networking among nonprofits. Center is an independent national service organization established by foundations to provide an authoritative SUPPORT OFFICE FOR THE source of information on private philanthropic giving. MOVEMENT OF SELF-HELP INITIATIVES It disseminates information through public service pro­ Warsaw, Poland $36,000 grams, publications, and through a national network of Toward its volunteer center in Warsaw. Established in library reference collections for public use. 1993, the center is working to develop a basic training

ROCKEFELLER BROTHERS FUND NONPROFIT SECTOR

INDEPENDENT SECTOR Washington, D.C. $7,400 General support for 1995. Independent Sector operates to bring about a better understanding and appreciation by policymakers and the general public of the private nonprofit sector and the role it plays in American life.

NEW YORK REGIONAL ASSOCIATION OF GRANTMAKERS New York, New York $9,000 General support for 1995. The association offers its more than 150 member organizations in New York, New Jersey, and Connecticut a program of meetings, seminars, and workshops on a wide range of topics, from the legal and technical to existing and emerging areas of grantmaking interest.

ANNUAL REPORT 1994 PROGRAM GUIDELINES EDUCATION

GOAL To strengthen the numbers and quality of teachers in public education in the UNITED STATES through support of the identification, recruitment, training, induction, and continuing development of individuals of the highest caliber in the teaching profession. Particular emphasis is given to projects that instill teacher preparation and in-service training programs with a perspective that reflects a worldwide view, ecological awareness, an appreciation of cultural diversity, and a sense of community and to projects that increase the numbers and excellence of minority teachers entering the profession.

STRATEGIES

• Encouraging outstanding minority students from selected colleges of arts and sciences to enter graduate teacher education programs by offering Rockefeller Brothers Fund Fellowships.

• Promoting the development of early childhood education training programs for teachers in publicly supported child care centers. Head Start programs, and the early grades of elementary school.

• Supporting teacher education programs of compelling merit, particularly as concerned with increasing the numbers and excellence of minority teachers. EDUCATION

In 1994, the Fund's trustees approved revised guidelines for the education program. The revised guidelines represent a narrowing of the program's focus to concentrate on two areas m which the Fund has been active for several years—efforts to increase the number and quality of minority teachers, and early childhood education—as well as projects of particular merit. Over the past five years, the RBF has supported concerted efforts, involving grantees and other funders, to design a comprehensive system of professional advancement and certification in the field of early childhood care and education. In 1990, the Fund invited leaders in the early childhood field to meet together to discuss what were then emerging as major concerns: the inadequate training, compensation, and retention of child care workers. The report of the conference, "A Quest for Coherence m the Training of Early Care and Education Teachers," was an important component in launching a national effort to address the problem. It described early childhood teacher education as underfunded, fragmented, lacking in sequence, often redundant, and varying widely in content. In the absence of a career ladder, it warned, teachers have no incentives to gain further credentials, are underpaid for their work, and leave the field. The resulting high rate of turnover, as well as lack of training, is detrimental to children's care and education. Since then, considerable progress has been made in designing a comprehensive system to be established at the national, state, and local levels cutting across the programs of Head Start, child care, and the early years of public school. Although training plans will necessarily differ according to local conditions, resources, and funding strategies, each state should create the means for teachers to meet uniform qualifications for advancement in their careers and ways to tie compensation increases to levels of knowledge and skills. There is now a vision of what is needed for coherence in early care and education, but the hard work of implementation still lies ahead. In 1994, the Fund provided renewed support to four organizations, leaders in the field, to continue their work.

ROCKEFELLER BROTHERS FUND FELLOWSHIPS FOR MINORITY STUDENTS ENTERING THE TEACHING PROFESSION

The Fund selected its third round of recipients of the Rockefeller Brothers Fund Fellowships for Minority Students Entering the Teaching Profession. At the same time, members of the first class of fellows (1992) were accepted into outstanding graduate education programs. RBF Fellowships are awarded annually to 25 outstanding minority undergraduates in the arts and sciences who wish to pursue a graduate degree in education and to teach in American public elementary or secondary schools. The fellows are nominated from among 25 colleges and universities that have been selected

ANNUAL REPORT 1994 51 EDUCATION

;99^ recipients of the Rockefeller Brothers Fund Fellowships for Minority Students Entering the Teaching Profession: (front row, left to right) Teresa Rodriguez, Guadalupe Padilla, Ben Martinez, LaTarsha Russell, Candace Boone, Cahriela Dominguez, Keri White, Diana Gonzalez, Maika Watanabe, Felicia Tripp, Darlene Reeves, Keelyn Bradley, Cresencia Spencer, Joseph Aguirre; (back row) Candice Jimerson, Julian Braxton, David Gonzalez, Douglas George, Maria Hyler, Stephen Chen, Andrew Danilchick, Melissa Steel, Isela Ocegueda, Anita Revilla, Michael Simmons, Ian Blake. to participate in the fellowship program on the basis of the overall quality of each institution's undergraduate program, its record of commitment to the education of mmorities, and its stated goals to improve teachmg in the public schools. During the summer following their selection, fellows engage in projects or sets of activities of their own choosing, lasting about seven weeks, that are related to teaching, and then meet for the first time as a group in a workshop with their mentors, returning fellows, and RBF staff Following graduation, the fellows enroll full-time in an approved one- or two-year masters degree program, during which time they receive a yearly stipend as part of the fellowship. Upon completion of graduate programs, fellows begin work in public school classrooms as credentialed teachers. For those who have incurred debts in pursuing their education, the fellowships assist with loan repayment of up to $1,200 annually for each of the first three years that the fellow continues in the teaching profession.

The minority fellowships program is the cornerstone of the Fund's education program. It is intended to be a visible, nationwide effort to help address the discrepancy between the low number of minority teachers compared to the dramatically increasing enrollment of minority students. The Fellowships are also intended to raise the level of awareness on liberal arts campuses of the importance and potential rewards of teaching

52 ROCKEFELLER BROTHERS FUND EDUCATION

in public schools; to encourage fellows to serve in those schools most in need of excellent minority teachers; to retain minority teachers in the profession while helping them to develop into a leadership corps which will serve over the long-term as an agent for positive change in the schools; and, finally, to increase the prestige of teaching as a career. The members of the third class of Rockefeller Brothers Fund fellows, and their mentors, are:

1994 FELLOWS 1994 MENTORS Joseph Manuel Aguirre, University of California^ Riverside Robert Bmswanger, Dartmouth College Ian Tron Blake, University of Pennsylvania Miguel A. Centeno, Princeton University Candace Rachele Boone, University of Michigan Ruth Ferguson, Pace University Keelyn DeMont Bradley, Swarthmore College Andrew Garrod, Dartmouth College Julian K. Braxton, Pace University Hank Greenspan, University of Michigan Stephen Ho Chen, Emory University Dorothy E. Hartley, University of California, Riverside Andrew Walter Danilchick, Swarthmore College Reginald F. Hildebrand, Williams College Gabriela Dominguez, Mount St. Mary's College Sylvester Hopewell, Emory University Douglas Casey George, Duke University Ruthanne Kurth-Schai, Macalester College David Michael Gonzalez, Dartmouth College Caroline L. Lattimore, DM^Y University Diana Patricia Gonzalez, University of California, Riverside David Malone, Ehike University Maria Elizabeth Hyler, Wellesley College Joseph Mason, Swarthmore College Candice Richarda Jimerson, Dartmouth College Lillian F Mayberry, University of Texas at El Paso Ben Fabian Martinez, Pomona College Margaret McCormack, Princeton University Isela Ocegueda, Princeton University Ines Salazar, University of Pennsylvania Guadalupe Torres Padilla, University of Texas at El Paso Shan Saunders, University of Michigan Darlene Reeves, City University of New York-Queens College Shahriar Shahriari, Pomona College Anita Tijerina Revilla, Princeton University Lisa Smulyan, Swarthmore College Teresa Adrienne Rodriguez, Williams College Eva F. Travers, Swarthmore College LaTarsha Aline Russell, Duke University Maria Eva Valle, Pomona College Michael Lynn Simmons, Macalester College Yolanda Venegas, University of California, Riverside Cresencia Sardua Spencer, Dartmouth College Michelle Wagner, Williams College Melissa Asantewa Steel, Williams College Voncile White, Wellesley College Felicia Lee Tripp, University of Michigan Anne G. Wilcoxen, Mount St. Mary's College Maika Watanabe, Swarthmore College Susan Zimmerman, City University of New York- Queens College Keri Lyn White, Pomona College

ANNUAL REPORT 1994 EDUCATION

MINORITIES EARLY CHILDHOOD CENTER FOR COLLABORATIVE EDUCATION NATIONAL ASSOCIATION FOR THE EDUCATION OF YOUNG CHILDREN New York, New York $200,000 Washington, D.C. $40,000 Continued support for its innovative teacher education program, in which graduate education students work as For a videotape on careers in early childhood education. teaching fellows in the center's reform-minded urban The videotape is a response to the current crisis m the schools. The Center for Collaborative Education is a con­ field of early childhood education in attracting and re­ sortium of public elementary and secondary schools in taining qualified personnel. Aimed at high school and Manhattan which serves as the New York City branch of college students, school counselors and teachers, and the Coalition of Essential Schools. Its teacher education adults considering a career change, the primary message program combines academic learning with the opportu­ of the program will be that early childhood education is nity to gain classroom experience in a successful urban a diverse, rewarding, and challenging field that requires high school serving mostly poor and minority students. specialized preparation and offers more career opportu­ nities than is generally perceived.

RESEARCH FOUNDATION OF THE CITY UNIVERSITY OF NEW YORK NATIONAL CENTER FOR THE EARLY CHILDHOOD WORK FORCE New York, New York $105,000 over three years Washington, D.C. $100,000 over two years Continued support for Hunter College's Project MERIT, a recruitment and mentoring program that as­ Toward the Early Childhood Mentoring Alliance, a na­ sists minority students entering the teaching profession. tional effort to provide information and assistance in Each year, the program selects approximately twenty stu­ the development of mentor programs, in which experi­ dents interested in teaching and supports them until they enced teachers become on-the-job trainers for newly re­ enter either Hunter College's elementary teacher educa­ cruited staff Such programs increase competency among tion program, its secondary education program, or a novice child care workers while providing financial in­ graduate program in teacher education. Project centives and recognition to senior staff. Started in Cali­ MERIT'S success lies in the individual help and atten­ fornia in 1988, mentor programs have now been tion offered each student as well as the sense of commu­ established in Massachusetts, Wisconsin, Michigan, Vir­ nity it fosters among participants. ginia, Tennessee, North Carolina, and Minnesota.

TOMAS RIVERA CENTER NEW YORK STATE CHILD CARE COORDINATING COUNCIL Claremont, California $50,000 Albany, New York $50,000 To develop and implement a bilingual public education Toward implementation of a comprehensive career de­ campaign to attract Latinos to careers in teaching. velopment plan for staff of early childhood programs in Launching its campaign in Texas, where the ratio of New York State. The plan was produced by the Career Hispanic teachers to pupils is particularly low, the cen­ Development Working Group, a public/private partner­ ter will produce a set of public service announcements ship representing every sector of early childhood educa­ on radio and television, a toll-free information line, and tion in the state. Steps toward implementation of the a brochure series containing information on all aspects plan will include: completing a description of skills all of entering the teaching profession. The Tomas Rivera early childhood teachers must have, establishing an in­ Center is an institute for policy studies dedicated to im­ formation system on teacher education and career op­ proving the well-being of the nation's Latino population. portunities, and developing high-quality early childhood associate degree programs across the state.

54 ROCKEFELLER BROTHERS FUND EDUCATION

Better Chance) Programs. Re­ searchers will explore the extent to which American society has or has not provided personal, pro­ fessional, social, and cultural op­ portunities for minority students who attended some of the country's most competitive sec­ ondary schools and colleges nearly three decades ago.

RECRUITING NEW TEACHERS Belmont, Massachusetts $100,000 Toward the Outreach and Re­ sponse components of the Ur­ ban Teacher Recruitment Rockefeller Brothers Fund intern C.J. Vang with 5th grader Adrien Siegfried. The two are Agenda, an effort to recruit participating in the school's Teach for the Future program, in which outstanding minority undergraduate students tutor pupils at Community Prep, an independent middle school for inner- teachers, particularly minority city children in Providence^ Rhode Island. teachers, for the nations largest urban school districts. Recruit­ ing New Teachers will prepare WHEELOCK COLLEGE public service advertisements and teacher recruitment Boston, Massachusetts $70,000 kits; provide respondents with information on pathways into teacher education programs, financial aid, and job Continued support for the work of its Center for Ca­ availability; and share information on prospective teach­ reer Development in Early Care and Education. Founded ers with the school districts and teacher education pro­ in 1990, the center is now the leading source of informa­ grams best positioned to serve them. Founded in 1988, tion and technical assistance to states, communities, and Recruiting New Teachers produced the award-winning programs seeking to improve training for work in early public service campaign: "Reach for the Power: Teach." childhood education. This grant supports the centers efforts to put m place a new system for career training SUMMERBRIDGE and advancement, developed over a four-year period of research and testing, in twelve, selected sites around the San Francisco, California $150,000 over three years country. To hire a staff recruitment coordinator for its nation­ wide programs-—-tuition-free, academically rigorous summer classes and year-round tutorial sessions for tal­ ented middle school pupils with limited educational PROJECTS OF opportunities. Summerbridge's goals are to prepare, sup­ PARTICULAR MERIT port, and stimulate sixth, seventh, and eighth grade stu­ PUBLIC/PRIVATE VENTURES dents to enter challenging high school programs and to Philadelphia, Pennsylvania $25,000 encourage the outstanding high school students and col­ For a study of a group of minority men and women lege undergraduates who serve as its faculty to choose who entered preparatory schools in the mid-sixties careers in teaching. through the Dartmouth and Mount Holyoke ABC (A

ANNUAL REPORT 1994 PROGRAM GUIDELINES NEW YORK CITY

In late l^^^j the Fund began a process of reviewing the New York City program guidelines. New guidelines are expected to he adopted

by the end of zppj". In the meantime, the guidelines that were in effect through 199^ are included below so that readers might better

understand the context in which the following grants were made.

GOAL

To improve the quality of life in NEW YORK CITY, with a special awareness of the need, at a time when the City is faced with the dangers of racial and ethnic polarization, to find ways to build strength from the City's diversity.

STRATEGIES

• Assisting selected clusters of community-based organizations involved in the rehabilitation and construction of low-cost and affordable housing and in neighborhood preservation and development; and supporting efforts to define and develop new housing policy options.

• Responding to the AIDS crisis in the City by assisting public policy formation and leadership development; the initiation of community-based, non-hospital care and services; and the identification and development of effective public education.

• And, particularly through projects consistent with the Funds other programs, encouraging the improvement and reform of the City's public schools and promoting sustainable resource use practices within the City. NEW YORK CITY

In 1994, the Fund continued to pursue the goal of improving the quality of life in New York City through grants related to low-mcome and affordable housing and to the AIDS crisis, as well as through grants to selected projects that relate to other Fund program concerns. Both the housing and AIDS grants were concentrated on continuing programs or projects that had previously been supported by the Fund and on initiatives that grew out of or built upon previous grants. Since the RBF's AIDS program began eight years ago, the Fund has had three program aims: public policy formation and leadership development; initiation of community-based, non-hospital care and services for those infected; and the development of public education for populations—especially minority communities and adolescents—which are at particular risk of infection. In New York City, 91 percent of all children and 84 percent of all women with AIDS are either black or Latino. As the AIDS crisis spread within minorities communities, the Fund provided start-up and continued support for citizens commissions, such as the Black Leadership Commission on AIDS and the Latino Commission on AIDS, that seek to mobilize a particular minority community on its own behalf. Established and steered by community leaders, such commissions have become important vehicles for carrying out research, public policy advocacy, and public education. Significant support has also been provided to policy and networking projects focusing on the needs of a specific group affected by AIDS, including adolescents, mothers, orphans, those with housing-related problems, and inmates upon their release from prison. In late 1994, the Fund's trustees and staff began a review of the New York City program. Revised guidelines are expected to be approved by the end of 1995. While it is anticipated that the Fund will move in new directions, the program's objective will remain the same: to improve the quality of life in New York City.

ANNUAL REPORT 1994 57 NEW YORK CITY

AMERICAN MUSEUM OF NATURAL HISTORY New York, New York $25,000 Toward planning for two conferences on biodiversity, to be held in 1995 as part of the museum's 125th anniversary celebrations. The first conference will explore what scientists already know about losses m biodiversity, what additional information is needed, and what sorts of data can bear effectively on policy-making and implementation. The second will grow out of the first and address building international scientific capacity to respond to biodiversity destruction.

CUNY GRADUATE CENTER FOUNDATION New York, New York $7,500

To design and print a brochure entitled "Scholar in the City." With the printing of the new brochure, which will launch a major fundraismg campaign, the foundation hopes to educate New Yorkers about the impor­ tance of the City University of New York (CUNY) Graduate School and University Center, a consortium of seventeen city col­ leges which provides some of New York City's brightest, but poorest students with Community Service Society of Mw York: A building under reconstruction in New York the chance to receive a superior graduate edu- City, an example of the kind of gut rehabilitation needed to restore a residential building cation. lost through owner disinvestment and abandonment.

HENRY STREET SETTLEMENT PUBLIC EDUCATION ASSOCIATION New York, New York $150,000 New York, New York $35,000 General support. Established m 1893 on New York City's Toward a pilot, community-based program for school Lower East Side, Henry Street provides low-income resi­ improvement and reform. The Public Education Asso­ dents with essential social services. These include tran­ ciation will join with two community-based organiza­ sitional residences for homeless families, AIDS outreach, tions—South Bronx Churches and East Brooklyn a mental health clinic, a senior center, a multidisciplinary Congregations—to provide these organizations with arts center, and a wide range of educational and con­ training, information, and support that will enable them flict-resolution programs for children and youth. With to bring about change in their school districts. The its success working with complex and seemingly intrac­ project will concentrate on monitoring district school table urban social problems, Henry Street Settlement is boards, disseminating information about school perfor­ playing an important role in addressing contemporary mance, and developing a "consumer's guide" to district urban problems. schools.

58 ROCKEFELLER BROTHERS FUND NEW YORK CITY New York City Partnership Foundation

HOUSING BARNARD COLLEGE New York, New York $82,000 Contmued support to expand a study of the social net­ works of public housing residents. Current New York City public housing policies, in an attempt to discour­ age racial and ethnic segregation, tend to separate ex­ tended families by denying preferences to new applicants that would allow family members to live close together. Investigators are examining whether a different policy, which encourages family proximity, might improve the lives of public housing residents by bolstering family and other support networks, and potentially decrease reli­ ance on welfare and other public subsidies.

COMMUNITY SERVICE SOCIETY OF NEW YORK New York, New York $256,000 over two years For a national field study of two alternative models of ownership and management of low-income housing: mu­ tual housing associations and community land trusts. Both provide mechanisms to maintain permanent affordability and for tenant or community groups to own and control their housing. This grant also provided funding to com­ plete demonstration projects to forestall disinvestment and abandonment of low-income housing. As part of its program interest in maintaining

affordable housing in New York City, the Fund NEW YORK CITY MISSION SOCIETY New York, New York $240,000 over two years has made three multi-year grants to the New York

To plan a housing initiative by coalitions of Latino City Partnership Foundation. The most recent churches. The project will begin by engaging Latino grant provided support for the Neighborhood housing professionals, nonprofit and business leaders, and political representatives with church leaders m a stra­ Entrepreneurs Program of the foundations Hous­ tegic planning process. Targeting five Latino communi­ ing Partnership Development Corporation ties in the City, project leaders will then identify proposed sites for demonstration projects to be devel­ (HPDC), which promotes local home ownership oped through local church/community partnerships. and assists in the physical and economic redevel­

opment of low-income neighborhoods. Pictured NEW YORK CITY PARTNERSHIP FOUNDATION here are HPDC's Van Hundley and his mother, New York, New York $200,000 Martha, with two tenants in Crown Heights, Toward the costs of the Neighborhood Entrepreneurs Program of the foundation's Housing Partnership De­ Brooklyn, whose home is soon to be renovated. velopment Corporation. The objective of the program is to assist the City's Department of Housing Preserva- NEW YORK CITY

tion and Development move rental properties taken over NEW YORK AIDS COALITION through tax foreclosure, currently totally about 3,000 New York, New York $60,000 over two years buildings, into community-based private ownership. The Continued support for the coalition, which advocates Neighborhood Entrepreneurs Program promotes local for the housing-related needs of people infected with home ownership and assists in the physical and economic AIDS. The coalition provides technical assistance and redevelopment of low-income neighborhoods. support to community-based organizations working in the area of AIDS housing, and assists coalition building among organizations working to improve AIDS hous­ AIDS ing programs and funding. AIDS AND ADOLESCENTS NETWORK OF NEW YORK NEW YORK COMMUNITY TRUST New York, New York $80,000 over two years New York, New York $20,000 Continued general support. The AIDS and Adolescents Continued support for the Health and HIV/AIDS Network of New York is a coalition of professionals Education Fund, which supports peer education and and organizations formed in 1987 in response to the student-driven projects in New York City public high growing need among youth programs, AIDS organiza­ schools. Developed by high school students working tions, health care facilities, and government agencies to within the Chancellor's Office of External Programs, address the emergence of AIDS infection in the adoles­ the Health and HIV/AIDS Education Fund operates cent community. The network works to improve AIDS on the premise that peer influence is one of the most policies, services, and programs for adolescents, and to critical factors in adolescent decision making and that raise public awareness about the impact of AIDS on the peer education is a powerful mechanism for student lives of young people. learning and behavioral change.

ROCKEFELLER BROTHERS FUND

PROGRAM GUIDELINES SPECIAL CONCERNS: SOUTH AFRICA

GOAL To improve the quality and accessibility of basic education in SOUTH AFRICA by supporting projects which provide a range of fundamental learning skills for children and adults.

STRATEGIES • Encouraging the development of appropriate literacy, reading, and learning materials as well as curricula for early childhood and adult basic education.

• Assisting innovative efforts to improve the teaching methodology and practice of lower primary school teachers.

• Supporting the improved capacity and effectiveness of nonprofit organizations focused on early childhood, lower primary, and adult basic education. SPECIAL CONCERNS: SOUTH AFRICA

Since 1990, the Fund's Special Concerns program has focused on improving the quality and accessibility of basic education for children and adults in South Africa though the support of projects to develop improved curricula and learning materials and to enhance teaching methodology and practice. In the course of this effort, the Fund has provided assistance for a number of innovative programs that have undertaken pioneering work to help some of the most disadvantaged members of society: illiterate adults, out-of-school children, and rural populations trying to learn under extremely adverse conditions. The dramatic events of 1994—the country's first democratic elections, the end of apartheid, and the ushering m of a government of national unity—pose new opportunities and challenges for South African nongovernmental organizations engaged in educational reform. Many of the groups supported by the Fund over the past five years are now expanding their programs and exerting a positive influence on the development of new educational policies and systems. Pilot projects that have been successfully tested on a small scale may now be applied nationwide. At the same time, the voluntary sector has lost many of its most energetic and capable leaders to the public sector, while the relationship between NGOs and the state—and how the provision of services will be divided—remains unclear. In late 1994 the Fund's trustees reviewed these developments and decided, given the enormous ongoing needs and challenges, to continue to assist efforts aimed at improving basic education m South Africa. These include the development of literacy, easy reading, and learning materials and of appropriate curricula for adult basic education and early childhood programs. The Fund will narrow slightly its program focus on improving teaching skills to concentrate on in-service training of lower primary school instructors (those who teach the first four years of school) because of the very high dropout and failure rate of students during these early years.

Finally, in response to the pressure on nonprofits during the transition from apartheid, the Fund has added a capacity-building component to its program in an effort to improve the effectiveness of South African nonprofit organizations working in the area of basic education. Such capacity building might include helping a prospective grantee identify its organizational strengthening needs, and building the costs of such activities into a grant. Another strategy might be providing nonprofit groups support for strategic planning or technical assistance. The purpose of such an approach is to contribute at a critical moment to the growth of a vital, healthy nonprofit sector in South Africa.

ANNUAL REPORT 1994 63 SPECIAL CONCERNS: SOUTH AFRICA

BASIC EDUCATION ENGLISH LITERACY PROJECT TRUST Johannesburg, South Africa $31,000 CAPE EDUCATIONAL TRUST Cape Town, South Africa $118,000 over three years To train teachers in the effective use of the project's adult basic education materials. These materials, consisting of To Its Early Learning Resource Unit (ELRU) to develop thirty, self-contained learning modules and a teacher's materials for early childhood education. This grant sup­ manual, are aimed at individuals who are literate in their ports two projects. Under the first, ELRU will create own language but would like to begin reading and writ­ teaching aids and materials for its Second Language and ing in English. Anti-Bias Curriculum Project, an initiative that trains child care workers, faced with integrated classrooms for the first NATAL, UNIVERSITY OF time, to introduce children to several languages, foster tolerance and mtercultural awareness, and teach basic Durban, South Africa $36,000 skills. ELRU wiU also begin a new project to develop train­ Continued support for the materials development pro­ ing materials for illiterate child care providers. gram of its New Readers Project. This grant will enable

CAPE TOWN, UNIVERSITY OF Cape Town, South Africa $32,000 For its Primary Education Project to de­ velop an in-service teacher-training di­ ploma for primary school teachers in the lower grades. Administered and accredited as a part-time "distance education" course, the in-service program will cover four areas—language and the teaching of literacy, junior primary school studies, educational theory and practice, and basic mathematics—and is intended to help pri­ mary school teachers in rural communi­ ties improve their knowledge and Teacher and pupils in an English class in Cape lowii^ South Africa, part of the pedagogical skills. University of the Western Cape's Teacher Inservice Project.

CAPE TOWN FUND, UNIVERSITY OF the project to translate, reprint, and publish in various New York, New York $150,000 over two years indigenous languages easy reading materials for adults For a project to develop a youth services center in New created under the first phase of the project. In its first Crossroads, a township on the outskirts of Cape Town two years, the New Readers Project published thirty- that was one of South Africa's most troubled regions in three books in both English and Zulu. the apartheid era. The new center will have a library and study facilities, mentoring services, abuse counseling, PRIMARY OPEN LEARNING PATHWAY TRUST career guidance advisers, and medical services. It is in­ Cape Town, South Africa $100,000 over two years tended as a model comprehensive service center which Continued support for programs aimed at integrating can be replicated nationally in the townships. illiterate children into the formal schooling system. These programs, including teacher training courses and special instructional materials, are targeted at the millions of youngsters who either never entered school or who

ROCKEFELLER BROTHERS FUND SPECIAL CONCERNS: SOUTH AFRICA

dropped out of school under the apartheid system. Over the next two years, the project plans to establish an Edu­ cation Development Centre in Gugulethu, a black town­ ship, that will engage in curriculum and materials development, provide consultancy services, and pilot teacher-training courses for children's literacy programs.

SOUTH AFRICAN INSTITUTE OF DISTANCE EDUCATION TRUST Johannesburg, South Africa $100,000 over two years For a project to explore how radio can be used m adult basic education. Through this new initiative, in coop­ eration with the Ministry of Education and Training and the South African Broadcasting Corporation, the institute hopes to find ways of reaching South Africa's more than 15 million illiterate adults, many of whom live in remote rural areas.

WESTERN CAPE, UNIVERSITY OF THE Cape Town, South Africa $100,000 over three years For a project of the university's Faculty o{ Education to improve in-service teacher training in South Africa. Its Teacher Inservice Project's activities include: classroom- based, in-service teacher training and curriculum and materials development; organizational development work with entire staffs of schools; and research and policy development. Under this grant, the project will work to develop in-service teacher-training programs aimed at rural areas in the Southern Cape.

Toddlers at play at a preschool in a rural area of the Free Stale. Teacher training and educational materials jor the program are provided through SPECIAL OPPORTUNITIES the Cape Educational Trust's Early Learning Resource Unit project. SOCIETY FOR VALUES IN HIGHER EDUCATION

East Lansing, Michigan $10,000 SOUTH AFRICA FREE ELECTIONS FUND As a contribution to enable the society to bring two prom­ New York, New York $25,000 inent South African educators to its annual meeting. For the activities of the South Africa Free Elections Professor Theo Jordan of the University of Fort Fiare Fund, formed by a group of concerned Americans to and Professor Herbert Vilakazi of the University of raise funds to assist South African initiatives promoting Zululand, leaders in the effort to construct a new edu­ full, free, and informed voter participation m the April cation system following apartheid, attended the July elections. Contributions were distributed to nonprofit, meeting and entered into the society's discussions of nonpartisan organizations in South Africa. ethical issues and challenges in higher education.

ANNUAL REPORT 1994 RAMON MAGSAYSAY AWARD FOUNDATION

Ramon Magsaysay Awards have been made since the mid-1950s to individuals and organizations in Asia whose civic contributions and leadership "exemplify the greatness of spirit, integrity, and devotion to freedom of Ramon Magsaysay," former president of the Philippines. The Awards were created by the Fund's trustees to honor Mr. Magsaysay, whose life was tragically ended in an airplane crash, and to draw attention to the principles for which he stood—the merit, worth, and potential of every individual, and the sanctity of human rights. Up to five awards of $50,000 each are presented annually in five categories: government service, public service, community leadership, international understanding, and journalism, literature, and creative communication arts. These awards are often regarded in the region as the Nobel Prizes of Asia. Grants are awarded by the board of trustees of the Ramon Magsaysay Award Foundation, which is headquartered in Manila. The Foundation received its principal support from the Rockefeller Brothers Fund. In 1987 the Program for Asian Projects was created to support projects in Asia that exemplify both the spirit of the Ramon Magsaysay Awards and the program concerns of the Fund. Magsaysay Awardees and the Magsaysay Foundation itself are eligible for grants under this program, which is administered by an Asian board of advisers. Approval of grants, which are intended to assist the Magsaysay Awardees to extend their work, rests with the Fund's board of trustees. RAMON MAGSAYSAY AWARD FOUNDATION

RAMON MAGSAYSAY both as a government-in-exile and as an independent Ti­ AWARD FOUNDATION bet, and formulate an implementation strategy. RAMON MAGSAYSAY AWARD FOUNDATION Manila, Philippines $150,000 JOHN V. DALY PAUL JEONG GU JEI For the Ramon Magsaysay Awards for 1994. Up to five Seoul, South Korea $20,000 awards of $50,000 each are presented annually to indi­ To develop an alternative welfare policy in urban areas. viduals (or organizations) in Asia whose civic contribu­ Led by Fr. Daly, a Catholic priest, and Mr. Jei, a member tions and leadership reflect the ideals of Ramon of parliament, project staff will conduct interviews with Magsaysay, former president of the Philippines. The five social workers, members of grassroots organizations, and award categories are: government service, public service, welfare recipients, and hold two conferences, in order to community leadership, international understanding, and design improved services for the urban poor. One of their journalism, literature, and creative communication arts. goals is to foster better cooperation between government agencies and community-based organizations. PROGRAM FOR PRATEEP U. HATA ASIAN PROJECTS CHAMLONG SRIMUANG MURLIDHAR D. AMTE Bangkok, Thailand $10,000 Maharashtra, India $10,000 For a project of the Duang Prateep Foundation to help Toward the acquisition of computer and other electronic residents of Bangkok's Klong Toey neighborhood resettle equipment for the Rehabilitation and Training Centre in rural areas. The initial participants of the project will of the Maharogi Sewa Samiti, an organization bene­ be graduates of the organizers' Chumporn program, which fitting leprosy patients, founded by Murlidhar Amte. provides city youth an opportunity to live and work on a The equipment will be used m a secretarial training pro­ farm. The project is an effort both to improve the lives of gram for young, literate patients. young people living in one of Bangkok's poorer areas and to relieve severe overcrowding in the city. CHANDI PRASAD BHATT

Uttar Pradesh, India $10,000 HANS B. JASSIN For the continuation of an environmental conservation ALI SADIKIN project to restore the green cover on denuded mountain Jakarta, Indonesia $20,000 slopes in the northern state of Uttar Pradesh, which have To computerize the operations of the H.B. Jassin Centre been degraded through large-scale commercial exploita­ for Literary Documentation, a research library holding an tion of the forest, resulting in flood, landslides, soil ero­ extensive collection of Indonesian books and documents. sion, and scarcity of food, water, and fuel. The project organizes local villagers and teaches them how to renew AKHTER HAMEED KHAN and sustainably manage the land. SHOAIB SULTAN KHAN Islamabad, Pakistan $5,000 HH THE DALAI LAMA For two video documentaries. The first focuses on a highly Dharamsala, India $4,400 successfial literacy program at AJlama Iqbal Open Uni­ For a project to draw up a comprehensive human resources versity in Islamabad, which has developed teaching mate­ development plan for the Central Tibetan Administra­ rials relevant to its young, rural student population. The tion (CTA), with the goal of nurturing a civil service second chronicles the Oranji project, a community-based workforce capable of administering democratic institu­ sanitation program in Karachi that has grown to include tions. Aided by a consultant, CTA staff will assess present primary health care and education, and cooperative mar­ manpower capability, prepare a projection of the Tibetan keting. A major goal of the project is to enhance public community's human resource needs over the next five years awareness of the potential of small-scale, local initia­ tives in addressing social problems.

ANNUAL REPORT 1994 BIENVENIDO LUMBERA Quezon City, Philippines $10,000 To write a book on the history of the film industry in the Philippines from 1898 to 1988. The book will include a discussion of the social and historical background of the last century, using collages, photos, and art work.

RAMON MAGSAYSAY AWARD FOUNDATION Manila, Philippines $19,500 $10,000 in continued support for a project, "Asian Issues and Trends for Development," an annual assembly which pro­ vides a forum at which Ramon Magsaysay awardees can discuss the common political, economic, social, and cul­ tural problems facing the region. Each meeting focuses on Recipients of the 1994 Ramon Magsaysay Awards: the issues and trends affecting one specific country in Asia. (from left to right) Fei Hsiao Tung, Abdul Samad $4,500 to continue publication of the Program for Asian Ismail, Mechai Viravaidya, Sima Samar, Kiran Bedi, Projects newsletter, The Magsaysay Awardee, so that awardees and Eduardo Jorge Anzorena. Dr. Kiran Bedi received can keep in touch with one another and abreast of on­ the award for Government Service in recognition of going projects. her successful efforts as inspector general of prisons $5,000 to publish the Ramon Magsaysay Award Foun­ to improve conditions at India's largest prison com­ dation's book of record. The Ramon Magsaysay Awards, and plex. The recipient of the award for Public Service, the awardee pamphlet series. Mechai Viravaidya, is the founder of the Population SUMMER INSTITUTE OF LINGUISTICS and Community Development Association, which has Quezon City, Philippines $10,000 mounted public education campaigns in Thailand to To publish a second edition of the Tausug-English Dictio­ promote family planning and to fight the spread of nary: Kahtangan Ihan Maana. The Summer Institute of Lin­ AIDS. Dr. Fei Hsiao Tung, who shared the prize for guistics has been conducting research among the 350,000 Community Leadership with Dr. Sima Samar, has Tausug of the southwestern Philippines since 1959. As sought to improve peasant standards of living by with its other publishing projects, this initiative is aimed promoting industrialization in small communities. Dr. at increasing English literacy among the Tausug com­ munity while also promoting an appreciation among Samar, director of the Shuhada Clinic in Quetta, researchers, teachers, and the general populace of the Pakistan, has worked to relieve suffering among the Tausug language and culture. Afghan refugee population in Pakistan. Dr. Abdul

Samad Ismail of Malaysia, former managing editor of M.S. SWAMINATHAN the New Straits Times Group, received the award for Madras, India $10,000 Journalism, Literature, and Creative Communication. To study the traditional ways of conserving biological Fr. Eduardo Jorge Anzorena, SJ, recipient of the prize diversity m selected tribal areas in Tamil Nadu and to for International Understanding, helped create the help the tribal communities reap economic benefits from their conservation efforts. In particular, the research Asian Coalition for Housing Rights, which advocates team hopes to strengthen the role of women in the pres­ for housing rights on behalf of Asia's poor. ervation of native plant varieties by providing them with training and unproved tools and equipment, and by help­ ing them bring their products to market.

ONE WORLD: SUSTAINABLE RESOURCE USE

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance GLOBAL

ALLIANCE TO SAVE Green taxes project 75,000 37>5oo 37.500 ENERGY, THE Washington, D.C.

ASPEN INSTITUTE Environmental Security Policy Project 30,000 30,000 Queenstown, Maryland

CALIFORNIA INSTITUTE World Environmental Ethics Initiative 25,000 25,000 OF PUBLIC AFFAIRS Claremont, California

CLAYOQUOT BIOSPHERE Research station 25,000 25,000 PROJECT SOCIETY Tofino, British Columbia

CONSENSUS BUILDING To assist the Policy Dialogue on 50,000 50,000 INSTITUTE Trade and the Environment Cambridge, Massachusetts

CONSERVATION LAW To promote investments in energy 75,000 75,000 FOUNDATION efficiency in the U.S. and Europe Boston, Massachusetts

CONSULTATIVE GROUP ON General support 40,000 20,000 20,000 BIOLOGICAL DIVERSITY Nevs' York, New York

EARTHACTION ALERTS Environmental bulletins 25,000 25,000 NETWORK Amherst, Massachusetts

EARTHLIFE CANADA Forest protection campaign 50,000 50,000 FOUNDATION Queen Charlotte City, British Columbia

ENVIRONMENTAL International component of its global 150,000 75,000 75,000 DEFENSE FUND atmosphere program New York, New York

FOUNDATION FOR To promote investments in energy 75,000 75,000 INTERNATIONAL efficiency in the U.S. and Europe ENVIRONMENTAL LAW DEVELOPMENT For its trade and environment program 50,000 50,000 London, England

HARVARD UNIVERSITY Center for International Affairs: 150,000 75,000 75,000 Cambridge, Massachusetts International environmental institutions project

INFORUM, INC. General support 50,000 50,000 Kutztown, Pennsylvania

INSTITUTE FOR AGRICULTURE Trade and Environment Policy and 50,000 50,000 AND TRADE POLICY Research Consortium Minneapolis, Minnesota

'Appropriation made prior to 1994

ANNUAL REPORT 1994 71 ONE WORLD: SUSTAINABLE RESOURCE USE

Total Paid in PaymenC Unpaid Appropriation Previous Years in 1994 Balance

INSTITUTE OF STRATEGIC To promote investments in energy 30,000 30,000 EVALUATION FOR ENERGY AND efficiency in France ENVIRONMENT IN EUROPE Paris, France

KEYSTONE CENTER Conference on sustainable forestry 20,000 Keystone, Colorado management

NATIONAL WILDLIFE International Forestry Advocacy Project 60,000* 25,000 35,000 FEDERATION Washington, D.C.

PACIFICINSTITUTEFOR Global environment program 75,000 37.500 37.500 STUDIES IN DEVELOPMENT, ENVIRONMENT, AND SECURITY Oakland, California

STOCKHOLM ENVIRONMENT Climate Network Europe 120,000 60,000 60,000 INSTITUTE Stockholm, Sweden Climate Network Europe 150,000 50,000 100,000

SYNERGOS INSTITUTE, General support 375,000 125,000 125,000 125,000 INC, THE New York, New York

TIDES FOUNDATION Biodiversity Action Network 60,000 60,000 San Francisco, California

TRUSTEES OF TUFTS COLLEGE Global Development and Environment 45,000 45,000 Medford, Massachusetts Institute's book series, Frontier Issues in Economic Thought

TVE TELEVISION TRUST To distribute The Quiet Revolution film series 20,000 FOR THE ENVIRONMENT London, England

WOODS HOLE World Commission on Forests and 150,000 75,000 75,000 RESEARCH CENTER Sustainable Development Woods Hole, Massachusetts

WORLD RESOURCES Green taxes project 75,000 37)5oo 37.500 INSTITUTE Washington, D.C.

WORLDWATCH INSTITUTE General support 525,000^ 375,000 150,000 Washington, D.C.

UNITED STATES

ALASKA CONSERVATION To develop a model fishery management 50,000 50,000 FOUNDATION plan for Alaska Anchorage, Alaska Alaska Coastal Rainforest Campaign 35,000^ 35,000

AMERICAN FARMLAND TRUST Membership development project 1,000,000 500,000 250,000 250,000 Washington, D.C.

'Appropriation made prior to 1994

72 ROCKEFELLER BROTHERS FUND ONE WORLD: SUSTAINABLE RESOURCE USE

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance

CENTER FOR MARINE Campaign for Restoration of Marine 75,000 37.500 37.500 CONSERVATION Fish and Fisheries Washington, D.C.

CENTER FOR POLICY Sustainable development program 225,000 150,000 75,000 ALTERNATIVES Washington, D.C.

CENTER FOR RESOURCE Island Press publications 90,000* 60,000 30,000 ECONOMICS Washington, D.C.

ENVIRONMENTAL Tri-State Transportation Campaign DEFENSE FUND New York, New York

FLATHEAD LAKERS, INC., THE Ecosystem protection plan 15,000 5,000 10,000 Poison, Montana

FOUNDATION FOR To increase public awareness of the 20,000 20,000 NATIONAL PROGRESS decline of U.S. fisheries San Francisco, California

LAND AND WATER FUND To create model utility-based renewable 75,000 37.500 37.500 OF THE ROCKIES energy strategies in the Southwest Boulder, Colorado

LIBRARY OF CONGRESS Symposium on The Federal Role in Washington, D.C. Ecosystem Management

LONG ISLAND Watershed protection efforts 70,000 40,000 30,000 SOUNDKEEPER FUND Norwalk, Connecticut

MANAGEMENT INSTITUTE Pilot Program in Environmental 50,000 25,000 25,000 FOR ENVIRONMENT Management Education AND BUSINESS Washington, D.C.

MARYLAND, THE School of Public Affairs: International 50,000 15,000 15,000 UNIVERSITY OF, Institute of Environmental Policy FOUNDATION, INC. and Management Adelphi, Maryland

NATIONAL AUDUBON Endangered Species Coalition project 50,000 25,000 25,000 SOCIETY New York, New York

NATIONAL FISH AND Northeastern Fisheries and Sustainable 35,000 35,000 WILDLIFE FOUNDATION Communities Project Washington, D.C.

PACIFIC RIVERS To develop a sustainable resource 60,000 30,000 30,000 COUNCIL, INC. management plan for the Flathead Eugene, Oregon Basin and Northern Rockies

RURAL EDUCATION Northeast Sustainable Agriculture ACTION PROJECT Working Group Montpelier, Vermont

'Appropriation made prior to 1994

ANNUAL REPORT 1994 ONE WORLD: SUSTAINABLE RESOURCE USE

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance

SOUTHERN ENVIRONMENTAL To promote utility-based energy efficiency 225,000 75,000 150,000 LAW CENTER programs in the Southeast Charlottesville, Virginia

SURFACE TRANSPORTATION Toward its work on national transportation 100,000 50,000 50,000 POLICY PROJECT policy reform Washington, D.C.

HENRY A. WALLACE INSTITUTE Toward its work on national agricultural 150,000 50,000 100,000 FOR ALTERNATIVE policy reform AGRICULTURE, INC. Greenbelt, Maryland

WORLD RESOURCES North American Biodiversity Forum 75,000 37.500 37-500 INSTITUTE Washington, D.C.

EAST CENTRAL EUROPE

BIOCULTURAL ASSOCIATION Technical equipment 20,000 10,090 1,910 Budapest, Hungary

CENTER FOR CLEAN Program to reduce air pollution in 115,000 65,000 50,000 AIR POLICY Northern Bohemia Washington, D.C.

CENTRE FOR General support 150,000 50,000 100,000 ENVIRONMENTAL STUDIES FOUNDATION Budapest, Hungary

EASTERN EUROPEAN Projects of its Independent Ecological 25,000* 6,871 18,129 INDEPENDENT Center ENVIRONMENTAL FOUNDATION For a project of its Independent 50,000 30,000 20,000 Budapest, Hungary Ecological Center to improve local environmental management

ENVIRONMENTAL LAW Environmental Program for Central 120,000 80,000 40,000 INSTITUTE, THE and Eastern Europe Washington, D.C.

ENVIRONMENTAL General support 150,000 50,000 100,000 MANAGEMENT AND LAW ASSOCIATION Budapest, Hungary

EUROPEAN NATURAL Multilateral development bank 225,000 75,000 150,000 HERITAGE FUND monitoring project Rheinbach/Bonn, Germany

FRIENDS OF THE EARTH Multilateral development bank 60,000 60,000 Washington, D.C. monitoring project

GERMAN MARSHALL FUND Environmental Partnership for 650,000 210,000 40,000 400,000 OF THE UNITED STATES Central Europe Washington, D.C. Environmental Partnership for 40,000 40,000 Central Europe 'Appropriation made prior to 1994

74 ROCKEFELLER BROTHERS FUND ONE WORLD: SUSTAINABLE RESOURCE USE

Total Paid in Pa^tnent Unpaid Appropriation Previous Years in 1994 Balance

GONCOL FOUNDATION River Watch Network in East Central 40,000 40,000 Vac, Hungary Europe

GREENWAYS-ZELENE STEZKY To develop greenways in the 90,000 30,000 60,000 Valtice, Czech Republic Czech Republic

HUNGARIAN ACADEMY Handbook on environmental protection 20,000 10,000 OF SCIENCE Budapest, Hungary

HUNGARIAN FOUNDATION General support 300,000 240,000 60,000 FOR SELF-RELIANCE Budapest, Hungary

INSTITUTE FOR Start-up and initial operating costs 150,000 100,000 50,000 ENVIRONMENTAL POLICY Prague, Czech Republic To draft a sustainable development 50,000 50,000 plan for Central Europe

INSTITUTE FOR Madeleine M. Kunin Special 50,000 50,000 SUSTAINABLE COMMUNITIES Opportunities Fund South Royalton, Vermont

INSTITUTE FOR To encourage multilateral development 50,000 35,000 15,000 TRANSPORTATION AND bank funding of mass transit in East DEVELOPMENT POLICY Central Europe New York, New York

INTERNATIONAL Energy efficiency program 300,000 100,000 100,000 INSTITUTE FOR ENERGY CONSERVATION, INC. Washington, D.C.

PROJECT FOR Historic preservation and urban renewal 125,000 75,000 50,000 PUBLIC SPACES, INC. activities in the Czech Republic New York, New York To establish the Czech Center for 75,000 75,000 Rebuilding Community

QUEBEC-LABRADOR Atlantic Center for the Environment 150,000 50,000 FOUNDATION, INC. programs Ipswich, Massachusetts

VERONICA To establish an eco-counseling network 165,000 55,000 Brno, Czech Republic in the Czech Republic

EAST ASIA

ASHOKA Biodiversity fellowship program 150,000 50,000 100,000 Arlington, Virginia

ASIAN NGO COALITION Multilateral development bank 60,000 60,000 RESEARCH FOUNDATION, INC. monitoring project Manila, Philippines

'Appropriation made prior to 1994

ANNUAL REPORT 1994 75 ONE WORLD: SUSTAINABLE RESOURCE USE

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance

CANTHO, UNIVERSITY OF Acid Sulphate Soils Project 40,000 15,000 25,000 Cantho, Vietnam Conference on shrimp aquaculture 7,000 7,000 development in Vietnam's coastal zone

CENTER FOR MARINE Political ecology project 8,000 8,000 FISHERIES RESEARCH Ambon, Indonesia

CHIANG MAI UNIVERSITY Social Research Institute: Political 7,500 7,500 Chiang Mai, Thailand ecology project

CLIMATE ACTION NETWORK- General support 115,000 65,000 50,000 SOUTHEAST ASIA Quezon City, Philippines

CLIMATE INSTITUTE Toward planning for the Asia-Pacific 25,000 25,000 Washington, D.C. Climate Change Conference

EAST-WEST CENTER To the Program on Environments spatial 119,000 40,000 79,000 FOUNDATION information systems research network Honolulu, Hawaii To the Program on Environment's 80,000 40,000 40,000 restoration ecology project in Vietnam

HANOI, UNIVERSITY OF Center for Natural Resources Management 35,000 15,000 Hanoi, Vietnam and Environmental Studies: Project on integrated coastal management in the Red River Delta

HARIBON FOUNDATION National initiative in coastal 75,000 125,000 FOR THE CONSERVATION management training OF NATURAL RESOURCES Metro Manila, Philippines

INDONESIAN INSTITUTE Center for Social and Cultural Studies: 7,000 OF SCIENCES Political ecology project Jakarta, Indonesia

INSTITUTE FOR Green China project 120,000 60,000 60,000 DEVELOPMENT RESEARCH Boston, Massachusetts

INSTITUTE FOR RESEARCH Political ecology project 6,000 6,000 AND DEVELOPMENT OF KALIMANTAN'S CULTURE Singkawang, Indonesia

INTERNATIONAL INSTITUTE Energy efficiency activities in East Asia 300,000 200,000 100,000 FOR ENERGY CONSERVATION, INC. Washington, D.C.

INTERNATIONAL INSTITUTE Sustainable agriculture program 210,000 100,000 30,000 OF RURAL RECONSTRUCTION New York, New York

LEGAL RIGHTS AND NATURAL Asian Development Bank RESOURCES CENTER, INC. monitoring project Quezon City, Philippines 'Appropriation made prior to 1994

ROCKEFELLER BROTHERS FUND ONE WORLD: SUSTAINABLE RESOURCE USE

Total Paid In PajTncnt Unpaid Appropriation Previous Years in 1994 Balance

MALAYA, UNIVERSITY OF Institute for Advanced Studies: 15,000 15,000 Kuala Lumpur, Malaysia Political ecology project

NANJING INSTITUTE OF Agroecosystem project 90,000 20,000 30,000 40,000 ENVIRONMENTAL SCIENCE Nanjing, China

NATIONAL COMMITTEE ON Sustainable land use plan for 225,000 75,000 75,000 75,000 U.S.-CHINA RELATIONS, INC. the Ussuri Watershed New York, New York

OBOR, INC. To publish books on the environment in 30,000 18,000 Guilford, Connecticut Vietnam and Indonesia

RURAL DEVELOPMENT Natural resource management study 19,000 19,000 RESEARCH CENTRE Kunming, People's Republic of China

SAVE THE CHILDREN Regional Initiative in Sustainable 150,000 110,000 40,000 FEDERATION, INC. Agriculture Westport, Connecticut

SOLAR ELECTRIC Program to promote the use of 150,000 50,000 50,000 50,000 LIGHT FUND solar power systems in rural areas Washington, D.C.

UNIVERSITAS TANJUNGPURA Political ecology project Pontianak, Indonesia

WILDLIFE FUND THAILAND Institution building 100,000 70,000 30,000 Bangkok, Thailand

WINROCK INTERN AT lONAL Scholarly exchanges with China 195,000 135,000 57,000 INSTITUTE FOR AGRICULTURAL DEVELOPMENT, INC. Farm and Community Forestry Program 120,000 40,000 80,000 Morrilton, Arkansas

YALE UNIVERSITY School of Forestry and Environmental 50,000 50,000 New Haven, Connecticut Studies: Study of the environmental implications of China's economic growth

Subtotal 4,354,500 3>33i'039

' Lapsed * Appropriation made prior to 1994

ANNUAL REPORT 1994 77 ONE WORLD: WORLD SECURITY

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance GLOBAL

ARMS CONTROL Nuclear nonproHferation media project 120,000 00,000 40,000 ASSOCIATION Washington, D.C.

ATLANTIC COUNCIL OF International Atomic Energy 60,000 60,000 THE UNITED STATES, INC. Agency project Washington, D.C.

CARNEGIE ENDOWMENT FOR Non-ProHferation Project 255,000 85,000 05,000 05,000 INTERNATIONAL PEACE Washington, D.C.

CONNECTICUT COLLEGE Connecticut College Initiative on 25,000 25,000 New London, Connecticut Global Social Development

FOREIGN POLICY Institutional strengthening project 25,000 25,000 ASSOCIATION New York, New York

INSTITUTE FOR SCIENCE Nuclear Non-Proliferation Project 100,000 50,000 50,000 AND INTERNATIONAL SECURITY Washington, D.C.

MONTEREY INSTITUTE OF Project on the new role of international 150,000 100,000 50,000 INTERNATIONAL STUDIES organizations in nonproliferation Monterey, California NIS Nonproliferation Project 150,000 50,000 50,000 50,000

NATURAL RESOURCES Project to monitor and reduce global 55,000 55,000 DEFENSE COUNCIL, INC. inventory of nuclear explosive materials New York, New York

NEW YORK UNIVERSITY NIS Non-Proliferation Media Project 90,000 45,000 45,000 New York, New York

NUCLEAR CONTROL Nuclear Oversight Project 130,000 65,000 65,000 INSTITUTE Washington, D.C.

PEACE RESEARCH European nonproliferation program 140,000 70,000 70,000 INSTITUTE FRANKFURT Frankfurt, Germany

PRINCETON UNIVERSITY, Program on Nuclear Policy Alternatives 120,000 60,000 60,000 TRUSTEES OF Princeton, New Jersey

ST. BARTHOLOMEW'S CHURCH Project on Religion and Human Rights 15,000 15,000 New York, New York

SOUTHAMPTON, Programme for Promoting Nuclear 300,000 205,000 95,000 UNIVERSITY OF Non-Proliferation Southampton, England Programme for Promoting Nuclear 105,000 55,000 50,000 Non-Proliferation's newsletter, Newsbrief

•^Appropriation made prior to 1994

78 ROCKEFELLER BROTHERS FUND ONE WORLD: WORLD SECURITY

Total Paid in Payme: Unpaid Appropriation Previous Years in 199 Balance STIMSON CENTER, Confidence-Building Measures Project 100,000* 50,000 50,000 HENRY L., THE Washington, D.C. Campaign for the Non-Proliferation Treaty 35,000 35,000

SUSSEX, UNIVERSITY OF Science Policy Research Unit: European 40,000 40,000 East Sussex, England and Japanese Plutonium Policies project

SYNERGOS INSTITUTE Preparatory meeting for UN Summit on 25,000 5,000 New York, New York Social Development

UNITED NATIONS Nuclear nonproliferation project 90,000 45,000 45,000 ASSOCIATION OF THE UNITED STATES OF AMERICA, INC. New York, New York

VERIFICATION TECHNOLOGY Publication on verification issues 75,000 25,000 25,000 25,000 INFORMATION CENTRE London, England

WISCONSIN, UNIVERSITY OF Wisconsin Project on Nuclear Arms Control 75,000 75,000 Madison, Wisconsin

EAST CENTRAL EUROPE

CZECHOSLOVAK General support 150,000 125,000 25,000 MANAGEMENT CENTER FOUNDATION Celakovice, Czech Republic

FRIENDS OF WWB/USA, INC. To establish affiliates in Central and 225,000 150,000 75,000 New York, New York Eastern Europe

HARVARD UNIVERSITY John F. Kennedy School of Government: 100,000 Cambridge, Massachusetts Project Liberty

INSTITUTE FOR General support 600,000 495,000 105,000 EASTWEST STUDIES New York, New York Carpathian Euroregion initiative 33,000 33,000

INSTITUTE FOR General support 300,000 100,000 132,000 HUMAN SCIENCES Vienna, Austria

INTERNATIONAL HOUSE Alan & Tudy McLaine East Central 30,ooo 20,000 20,000 20,000 New York, New York European Program

INTERNATIONAL General support 150,000 125,000 25,000 MANAGEMENT CENTER FOUNDATION Budapest, Hungary

"Appropriation made prior to 1994

ANNUAL REPORT 1994 79 ONE WORLD: WORLD SECURITY

Total Paid in Payment Unpaid Appropriation Previous Years m 1994 Balance EAST ASIA

ASIA SOCIETY, THE, INC. Prospects for International Cooperation 50,000 50,000 New York, New York in Northeast Asia conference

ASIAN CULTURAL General support 300,000 300,000 COUNCIL, INC. New York, New York

AUSTRALIAN NATIONAL Pacific Trade and Development Conferences 30,000* 20,000 10,000 UNIVERSITY, THE Canberra, Australia

BROOKINGS INSTITUTION, THE East Asia Studies Program 225,000 225,000 Washington, DC.

CALIFORNIA, UNIVERSITY Institute of East Asian Studies (Berkeley): 147,000 57.130 OF, THE REGENTS OF THE U.S.-North Korea bilateral conferences Berkeley, California

CARNEGIE COUNCIL ON Dialogue on Human Rights in Asia project 150,000 50,000 100,000 ETHICS AND INTERNATIONAL AFFAIRS New York, New York

CENTER FOR STRATEGIC Toward general expenses of the United 50,000 50,000 AND INTERNATIONAL States Committee of the Council for STUDIES, INC. Security Cooperation in the Asia-Pacific Honolulu, Hawaii

CHICAGO COUNCIL ON Asia and the Middle West project 150,000 50,000 FOREIGN RELATIONS, THE Chicago, Illinois

COLUMBIA UNIVERSITY IN Culture and Diplomacy in Post-Cold 65,000 65,000 THE CITY OF NEW YORK, War Asia project TRUSTEES OF New York, New York

COUNCIL ON FOREIGN The Shifting Balance of Global Economic 25,000* 25,000 RELATIONS, INC. Power and the Implications for U.S.-Asian New York, New York Relations project

Asia Project 100,000 25,000 75,000

GEORGETOWN UNIVERSITY Harmonization of Law and Policy in the 150,000 50,000 100,000 Washington, D.C. Asia-Pacific Region project

.INSTITUTE OF SOUTHEAST ASEAN-APEC project 100,000 50,000 50,000 ASIAN STUDIES Republic of Singapore ASEAN-APEC project 190,000 50,000 140,000

INTERNATIONAL HOUSE Dartmouth—International House 80,000* 40,000 40,000 OF JAPAN conference series Tokyo, Japan

' Lapsed * Appropriation made prior to 1994

ROCKEFELLER BROTHERS FUND ONE WORLD: WORLD SECURITY

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance

JAPAN CENTER FOR General support 40,000 80,000 INTERNATIONAL EXCHANGE, INC. New York, New York

JAPAN SOCIETY, INC. McEachron Policy Forum 100,000 50,000 50,000 New York, New York

JOHNS HOPKINS Paul H. Nitze School of Advanced 40,000 20,000 UNIVERSITY International Studies: Book on Baltimore, Maryland Korean Peninsula

MARYLAND, UNIVERSITY Center for International Security Studies: 44,000 OF, FOUNDATION Project on U.S.-Japan relations Adelphi, Maryland

NATIONAL ACADEMY Managing the U.S.-Japan relationship in 175,000 125,000 50,000 OF SCIENCES science and technology project Washington, D.C.

NATIONAL BUREAU OF The New Russia in Asia project 150,000 100,000 50,000 ASIAN RESEARCH Seattle, Washington

NEW YORK UNIVERSITY Study of East Asian economic 30,222 30,222 New York, New York transformation and its regional security implications

YONSEI UNIVERSITY Institute of East and West Studies: 117,500 33>5oo 41,500 42,500 Seoul, Korea Structural Transition and Industrial Cooperation in Northeast Asia project

Subtotal 2,968,722 1,495,500

* Appropriation made prior to 1994

ANNUAL REPORT 1994 81 NONPROFIT SECTOR

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance UNITED STATES

AMERICAN ALLIANCE Citizenship and Community Program 50,000 50,000 FOR RIGHTS AND RESPONSIBILITIES Washington, D.C.

ASPEN INSTITUTE FOR Nonprofit Sector Research Fund 300,000 154,000 HUMANISTIC STUDIES Queenstown, Maryland

EDUCATIONAL COMMISSION For its Campus Compacts project to OF THE STATES train state commissions for the Denver, Colorado Americorps Program

INSTITUTE FOR THE ARTS To publicize The Quickening of America 5,500 5,500 OF DEMOCRACY Brattleboro, Vermont

INVESTMENT FUND FOR To launch a commingled investment fund 225,000 175,000 50,000 FOUNDATIONS, THE for foundations Washington, D.C.

NATIONAL CENTER FOR To expand its membership program 60,000 NONPROFIT BOARDS Washington, D.C.

NATIONAL COUNCIL OF Assistance to State Associations of 150,000 100,000 50,000 NONPROFIT ASSOCIATIONS Nonprofit Organizations Project Washington, D.C.

PUBLIC ALLIES: THE General support for its national office 150,000 65,000 50,000 35,000 NATIONAL CENTER FOR CAREERS IN PUBLIC LIFE Washington, D.C.

UNION INSTITUTE Center for Public Policy: Programs on 124,000 54,000 Cincinnati, Ohio the nonprofit sector and public policy

WASHINGTON CENTER Minority Leaders Fellowship Program 75,000 25,000 25,000 25,000 FOR INTERNSHIPS AND ACADEMIC SEMINARS Washington, D.C.

YALE UNIVERSITY Institution for Social and Policy Studies: 150,000 50,000 50,000 50,000 New Haven, Connecticut Program on Non-Profit Organizations

INTERNATIONAL

ASIA FOUNDATION, THE Asia Pacific Philanthropy Consortium 150,000 50,000 100,000 San Francisco, California Osaka Symposium on Philanthropic 30,000 30,000 Development and Cooperation in the Asia-Pacific

'Appropriation made prior to 1994

82 ROCKEFELLER BROTHERS FUND NONPROFIT SECTOR

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance

CIVICUS: WORLD ALLIANCE To support NGO participation at its 75,000 75,000 FOR CITIZEN PARTICIPATION first world assembly Washington, D.C.

COMMITTEE OF General support 30,000 GOOD WILL, THE Prague, Czech Republic

COUNCIL ON Program for Leadership in 75,000 40,000 35,000 FOUNDATIONS, INC. International Philanthropy Washington, D.C.

FOUNDATION FOR A General support 125,000 50,000 75,000 CIVIL SOCIETY New York, New York

FOUNDATION FOR For its film series. About Foundations 25,000 25,000 EDUCATIONAL PROGRAMS, THE Prague, Czech Republic

INFORMATION CENTER FOR General support 60,000 30,000 30,000 FOUNDATIONS AND OTHER NOT-FOR-PROFIT ORGANIZATIONS Prague, Czech Republic

INTERNATIONAL YOUTH Polish Children and Youth Foundation 150,000 05,000 15,000 50,000 FOUNDATION Battle Creek, Michigan

JAPANESE NGO CENTER General support 120,000 40,000 40,000 40,000 FOR INTERNATIONAL COOPERATION Tokyo, Japan

JOHNS HOPKINS Institute for Policy Studies: 150,000 ' 75.000 75,000 UNIVERSITY, THE Training of Trainers program Baltimore, Maryland

NATIONAL HUMANITIES For a conference on civil society 35,000 35,000 CENTER Research Triangle Park, North Carolina

NONPROFIT FOUNDATION County News Agency Network Project 48,000 24,000 24,000 Budapest, Hungary

NONPROFIT INFORMATION General support 34,000 34,000 AND TRAINING CENTER Budapest, Hungary

SLOVAK ACADEMIC General support 80,000 40,000 40,000 INFORMATION AGENCY Bratislava, Slovakia

SUPPORT OFFICE FOR THE Toward its volunteer center 36,000 36,000 MOVEMENT OF SELF-HELP INITIATIVES, THE Warsaw, Poland

"Appropriation made prior to 1994

ANNUAL REPORT 1994 83 NONPROFIT SECTOR

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance

TIDES FOUNDATION Civil Society Development Program San Francisco, California

PHILANTHROPIC SUPPORT ORGANIZATIONS

COUNCIL ON General support 34,600 34,600 FOUNDATIONS, INC. Washington, DC.

FOUNDATION CENTER General support 60,000 30,000 30,000 New York, New York

INDEPENDENT SECTOR General support 7.400 7,400 Washington, DC.

NEW YORK REGIONAL General support 9,000 9,000 ASSOCIATION OF GRANTMAKERS New York, New York

Subtotal 1,359,500 1,000,000

'Appropriation made prior to 1994

ROCKEFELLER BROTHERS FUND EDUCATION

Total Paid in Payinent Unpaid Appropriation Previous Years in 1994 Balance RBF FELLOWS

STIPENDS FOR FELLOWS 275,^50 123,900 AND MENTORS

MINORITIES

ARIZONA BOARD Project 1000 teacher education initiative 150,000 50,000 50,000 50,000 OF REGENTS Tempe, Arizona

CENTER FOR Teacher education program 100,000 100,000 COLLABORATIVE EDUCATION, THE New York, New York

CLAREMONT UNIVERSITY Multi-Ethnic Teacher Advancement 150,000 50,000 05,000 15,000 CENTER Project Claremont, California

PRESCOTT COLLEGE Pre-service environmental teacher 50,000 25,000 25,000 Prescott, Arizona education program

RESEARCH FOUNDATION Program to support minority teacher 105,000 35,000 70,000 OF THE CITY UNIVERSITY education students at Hunter College OF NEW YORK New York, New York

TOMAS RIVERA CENTER, THE Attractmg Latinos to Careers m 50,000 50,000 Claremont, California Teaching program

EARLY CHILDHOOD

NATIONAL ASSOCIATION Videotape on careers in early 40,000 40,000 FOR THE EDUCATION OF childhood education YOUNG CHILDREN Washington, D.C.

NATIONAL CENTER FOR Early Childhood Mentoring Alliance 50,000 50,000 THE EARLY CHILDHOOD WORK FORCE Washington, D.C.

NEW YORK STATE CHILD To develop a career development plan 50,000 50,000 CARE COORDINATING for early childhood professionals in COUNCIL New York state Albany, New York

WHEELOCK COLLEGE Center for Career Development in 70,000 70,000 Boston, Massachusetts Early Care and Education

'Appropriation made prior to 1994

ANNUAL REPORT 1994 85 EDUCATION

Total Paid in Payment npaid Appropriation Previous Years in 1994 ilance UNDERGRADUATE, LIBERAL ARTS PROGRAMS

COMMUNITY Teach for the Future program 60,000* 20,000 20,000 PREPARATORY, INC, Providence, Rhode Island

PRINCETON UNIVERSITY, Summer Institute in History 224,984* 76,166 148,818 TRUSTEES OF Princeton, New Jersey

PROJECTS OF PARTICULAR MERIT

PUBLIC/PRIVATE VENTURES For a study of A Better Chance participants 25,000 25,000 Philadelphia, Pennsylvania

RECRUITING NEW Urban Teacher Recruitment Agenda TEACHERS, INC. Belmont, Massachusetts

SUMMERBRIDGE To hire a staff recruitment coordinator 150,000 50,000 100,000 San Francisco, California

Subtotal 1,174,668 528,900

'Appropriation made prior to 1994

86 ROCKEFELLER BROTHERS FUND NEW YORK CITY

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance

AMERICAN MUSEUM OF Planning for two biodiversity conferences 25,0 25,000 NATURAL HISTORY New York, New York

CUNY GRADUATE CENTER Scholar in the City brochure 7,500 7,500 FOUNDATION, INC. New York, New York

HENRY STREET General support 150,000 75,000 75,000 SETTLEMENT New York, New York

PUBLIC EDUCATION Community-based school reform project 35,000 35,000 ASSOCIATION New York, New York

HOUSING

BARNARD COLLEGE Public housing policies study 82,000 82,000 New York, New York

BEC NEW COMMUNITIES Leadership institutes 150,000 75,000 75,000 HOUSING DEVELOPMENT FUND COMPANY New York, New York

COMMUNITY SERVICE For its project on mutual housing 256,000 120,000 120,000 SOCIETY OF NEW YORK associations and community land trusts New York, New York

NEW YORK CITY To plan a housing initiative by coalitions 240,000 120,000 120,000 MISSION SOCIETY of Latino churches New York, New York

NEW YORK CITY Neighborhood Entrepreneurs Program 200,000 PARTNERSHIP FOUNDATION New York, New York

PRATT INSTITUTE Pratt Community Economic 300,000 140,000 60,000 100,000 New York, New York Development Internship

AIDS AND ADOLESCENTS General support 80,000 40,000 40,000 NETWORK OF NEW YORK, INC. New York, New York

BLACK LEADERSHIP General support 30,000 40,000 40,000 COMMISSION ON AIDS, INC. New York, New York

'Appropriation made prior to 1994

ANNUAL REPORT 1994 87 NEW YORK CITY

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance

CORRECTIONAL AIDS in Prison Project 50,000 25,000 25,000 ASSOCIATION OF NEW YORK, THE New York, New York

FUND FOR THE CITY OF The Orphan Project 1,000 50,000 30,000 NEW YORK, INC. New York, New York

LATINO COMMISSION General support 30,000 40,000 40,000 ON AIDS, INC. New York, New York

NEW YORK AIDS Housing program 60,000 30,000 30,000 COALITION, INC. New York, New York

NEW YORK Health and HIV/AIDS Education Fund 20,000 20,000 COMMUNITY TRUST New York, New York

Subtotal 1,032,500 493,000

88 ROCKEFELLER BROTHERS FUND SPECIAL CONCERNS: SOUTH AFRICA

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance BASIC EDUCATION

ABE DEVELOPMENT Curriculum development 100,000 50,000 50,000 SERVICES TRUST Cape Town, South Africa

CAPE EDUCATIONAL TRUST Early Learning Resource Unit 118,000 36,000 82,000 Cape Town, South Africa

CAPE TOWN, UNIVERSITY OF Primary Education Project 32,000 32,000 Cape Town, South Africa

CAPE TOWN FUND, INC., Youth services center 150,000 75,000 75,000 UNIVERSITY OF New York, New York

CATHOLIC WELFARE Development Education and Leadership 87,000* 54,000 33,000 AND DEVELOPMENT Training for Adults project Cape Town, South Africa

COOPERATIVE Teacher training program 79,000 36,000 43,000 ORGANIZATION FOR THE UPGRADING OF NUMERACY TRAINING Johannesburg, South Africa

ENGLISH LITERACY Teacher training project 31,000 31,000 PROJECT TRUST Johannesburg, South Africa

NATAL, UNIVERSITY OF New Readers Project 36,000 36,000 Durban, South Africa

PRIMARY OPEN LEARNING Children's literacy project 50,000 50,000 PATHWAY TRUST Cape Town, South Africa

SOUTH AFRICAN Adult basic education radio programs 50,000 50,000 INSTITUTE OF DISTANCE EDUCATION TRUST Johannesburg, South Africa

USWE TRUST Curriculum development 100,000 50,000 50,000 Cape Town, South Africa

WESTERN CAPE, Teacher In-service Project 29,000 71,000 UNIVERSITY OF THE Cape Town, South Africa

WITWATERSRAND, Era Initiative 105,000 70,000 35,000 UNIVERSITY OF Johannesburg, South Africa

"Appropriation made prior to 1994

ANNUAL REPORT 1994 89 SPECIAL CONCERNS: SOUTH AFRICA

Total Paid in Payment Unpaid Appropriation Previous Years in 1994 Balance SPECIAL OPPORTUNITIES

SOCIETY FOR VALUES IN For travel costs of two South African lo.ooo 9,958 42' HIGHER EDUCATION, THE educators to the society's annual meeting East Lansing, Michigan

SOUTH AFRICA FREE For activities related to the April elections 25,000 25,000 ELECTIONS FUND New York, New York

Subtotal 541,958 371,000

90 ROCKEFELLER BROTHERS FUND RAMON MAGSAYSAY AWARDS

Total Paid in Payment Unpaid Topriation Previous Years in 1994 Balance RAMON MAGSAYSAY AWARD FOUNDATION

RAMON MAGSAYSAY Ramon Magsaysay Awards for 1994 150,000 150,000 AWARD FOUNDATION Manila, Philippines

PROGRAM FOR ASIAN PROJECTS

ALCALA, ANGEL C. Coastal restoration project 10,000* 10,000 Quezon City, Philippines

AMTE, MURLIDHAR D. To acquire equipment for a secretarial 10,000 10,000 Maharashtra, India training program for leprosy patients

ASIAN INSTITUTE OF Self-Contained Housing Delivery TECHNOLOGY System manuals Bangkok, Thailand

BENGZON, ALFREDO R.A. Community education effort regarding 10,000* 10,000 Manila, Philippines the use of medications

BHATT, CHANDI PRASAD Forest restoration project 10,000 10,000 Uttar Pradesh, India

HH THE DALAI LAMA To develop a human resources plan for 4,400 4,400 Dharamsala, India the Central Tibetan Administration

DALY, JOHN V. To develop urban welfare policies JEI, PAUL JEONG GU Seoul, South Korea

DESAI, MANIBHAI B. Project on watershed development 4,000"^ 4,000 Pune, India in drought-prone areas

HANAFIAH, TAN SRI For a project to increase indigenous 9,360' 9,360 BIN HAJI AHMAD peoples' representation in corporate Kuala Lumpur, Malaysia administration

HATA, PRATEEP U. Klong Toey Project SRIMUANG, CHAMLONG Bangkok, Thailand

JASSIN, HANS B. To computerize operations of the H. B. 20,000 SADIKIN, ALI Jassin Centre for Literary Documentation Jakarta, Indonesia

JOSE, FRANCISCO SIONIL Seminars on contemporary issues Manila, Philippines

KHAN, SHOAIB SULTAN Video documentaries KHAN, AKHTER HAMEED Islamabad, Pakistan Video documentaries 5,000 5,000

'Appropriation made prior to 1994

ANNUAL REPORT 1994 91 RAMON MAGSAYSAY AWARDS

Total Paid in PajTTienc npaid Appropriation Previous Years in 1994 llance

LEE, TAI-YOUNG Training for family legal aid counselors 15,000 15,000 KIM, IM-SOON Seoul, Korea

LI, KWOH TING Economic Development and Ethical Taiwan, China Standards in Asia project

LUMBERA, BIENVENIDO To write a book on the Philippine Quezon City, Philippines film industry

PHILIPPINES, College of Agriculture: Technology 9,800* 9,800 UNIVERSITY OF THE Application for Sustainable Agriculture Laguna, Philippines project

PRESS FOUNDATION OF ASIA Program to increase media coverage 5,000 5,000 Manila, Philippines of PAP projects

RAMON MAGSAYSAY Asian Issues and Trends for AWARD FOUNDATION Development project Manila, Philippines Asian Issues and Trends for Development project

Publication of The Magsaysay Awardee 4,500^ 4,500

Publication of The Magsaysay Awardee 4,500 4,500

Publication of The Ramon Magsaysay Awards 5,000* 5,000 and the Awardee Pamphlet series

Publication of The Ramon Magsaysay Awards 5,000 5,000 and the Awardee Pamphlet series

Heroes of Asian Journalism

SARIAN, ZACARIAS B. Agri-Kapihan Yearbook 5,000' 5,000 Manila, Philippines

SUMMER INSTITUTE To publish a Tausug-English dictionary 10,000 OF LINGUISTICS Quezon City, Philippines

SWAMINATHAN, M.S. Biological diversity conservation project 10,000 Madras, India

Subtotal 287,660 128,900

'Appropriation made prior to 1994

92 ROCKEFELLER BROTHERS FUND GRANTS SUMMARY

SUMMARY OF PAYMENTS MADE IN 1994

Payments in 1994

One World: Sustainable Resource Use $ 4,354,500

One World: World Security 2,968,722

Nonprofit Sector 1,359,500

Education 1,174,668

New York City 1,032,500

Special Concerns: South Africa 541,958

Ramon Magsaysay Awards 287,660

11,719,508

Payments matching employee contributions to charitable institutions 21,865

11,741,373

Grant returned (31,000)

Appropriations paid in 1994 $ 11,710,373

MAGSAYSAY AWARDS WORLD SOUTH AFRICA SECURITY

NEW YORK CITY

EDUCATION

NONPROFIT SECTOR

ANNUAL REPORT 1994 93 GRANTS SUMMARY

RECONCILIATION OF GRANTS PAID DURING THE YEAR OR APPROVED FOR FUTURE PAYMENT

UNPAID APPROPRIATIONS, DECEMBER 31, 1993 Principal Fund ; 7,517,225 Ramon Magsaysay Award Foundation -o- Asian Projects Fund 137,660 RBF Awards in Arts Education 89,946 $7,744,831

APPROPRIATIONS AUTHORIZED IN 1994 Principal Fund 11,253,972 Ramon Magsaysay Award Foundation 150,000 Asian Projects Fund 128,900 RBF Awards in Arts Education -o- 11,532,872 Le Appropriations Lapsed: Principal Fund 150,912 RBF Awards in Arts Education 89,946 240,858

11,292,014

APPROPRIATIONS PAID IN 1994

Principal Fund 11,400,040 Ramon Magsaysay Award Foundation 150,000 Asian Projects Fund 137,660 RBF Awards in Arts Education -o- 11,688,50^

UNPAID APPROPRIATIONS, DECEMBER 31, 1994 Principal Fund 7.2i9'437 Ramon Magsaysay Award Foundation -0- Asian Projects Fund 128,900

RBF Awards in Arts Education -0- 7,34«.337

94 ROCKEFELLER BROTHERS FUND FINANCIAL REPORT

REPORT OF INDEPENDENT PUBLIC ACCOUNTANTS

To the Board of Trustees of the Rockefeller Brothers Fund, Inc.:

We have audited the accompanying balance sheet of Rockefeller Brothers Fund, Inc. as of December 31,1994, and the related statement of fund activity for the year then ended. These financial statements and the schedule referred to below are the responsibility of the Fund's management. Our responsibility is to express an opinion on these financial statements and schedule based on our audit. We conducted our audit in accordance with generally accepted auditing standards. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinion. In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Rockefeller Brothers Fund, Inc. as of December 31,1994 and the results of its operations for the year then ended in conformity with generally accepted accounting principles. As explained in Note 2, the financial statements include investments in limited partnerships which, in certain instances, have valued portions of their underlying portfolios on fair value bases as determined by management of each limited partnership or their designee. As of December 31,1994, $10,289,252 (3.2% of the fund balance) of the investments in the limited partnerships have been recorded at fair value. Because of the inherent uncertainty of valuation, the estimates of fair values may differ significantly from the values that would have been used had a ready market for the investments existed, and the differences could be material. Our audit was made for the purpose of forming an opinion on the basic financial statements taken as a whole. The schedule of functional expenses (Exhibit I) is presented for purposes of additional analysis and is not a required part of the basic financial statements. This information has been subjected to the auditing procedures applied in our audit of the basic financial statements and, in our opinion, is fairly stated in all material respects in relation to the basic financial statements taken as a whole.

Arthur Andersen LLP New York, New York April j, iggj

ANNUAL REPORT 1994 FINANCIAL REPORT

ROCKEFELLER BROTHERS FUND, INC. BALANCE SHEET December 31, 1994 with Comparative 1993 Totals

Ramon Magsaysay Award Asian Pocantico Total Total Principal Pocantico Foundation Projects Restoration •994 '993 Fund Fund Fund Fund Fund All Funds (Note n)

ASSETS

Cash $2,012,224 $401,402 $14,111 $12,095 $ $2,439,832 $14,100,997 Accounts Receivable 10,442 - - - - 10,442 37,969 Contributions Receivable - - - - 250,000 250,000 -

Interest and Dividends Receivable 1,601,641 238,402 15.553 I4'4I5 9,372 1,879,383 2,039,310

Due from Brokers and Dealers 720,034 111,764 7,392 6,699 - 845,889 2,675,339

Investments, at market vai ue (Note 3) 261,073,597 40,726,713 2,749,942 2,339,315 1,889,031 308,778,598 345,725,705

Program Related Investments: Program mortgage loans (Note 4) 2,211,421 - 2,211,421 540,000 Real estate (Note 4) 510,000 - - 510,000 510,000 Other 764,959 - - 764.959 764,959 Recoverable Taxes Paid (Note 7) 360,385 - - 360,385 181,181 Prepaid Expenses (Note 5) 650,190 - - 650,190 546,570

Fixed Assets (net of accumulated depreciation and amortization of $1,679,164) 580,195 1,127,529 7,933,584 9,641,308 7,207,804

Interfund [,572,047 (1,267,247) (269,125) (35,800) 125 - -

Total Assets $272,067,135 $41,338,563 $2,517,873 $2,336,724 $10,082,112 $328,342,407 $374,329,^

LIABILITIES AND FUND BALANCES

Liabilities:

Securities sold short, not yet purchased $ $ - $ $ $14,020,051 Grants payable (Note 2) 7.219.437 - 128,900 - 7,348,337 7.744.831 Due to brokers and dealers 1,547,104 246,168 16,408 14,681 - 1,824,361 8,154,917 Accounts payable and accrued liabilities 229,798 543.931 - 205,449 979,178 818,219 Taxes payable 390,911 - - - 390,9" -

Total liabilities 9.387.250 790,099 16,408 143,581 205,449 10,542,787 30,738,018

Commitments (Note

Fund Balances 262,679,885 40,548,464 2,501,465 2,193,143 9,876,663 317,799,620 343,591,816 Total Liabilities and Fund Balances $272,067,135 $41,338,563 $2,517,873 $2,336,724 $10,082,112 $328,342,407 $374,329,834

The accompanying notes are an integral part of this balance sheet.

96 ROCKEFELLER BROTHERS FUND FINANCIAL REPORT

ROCKEFELLER BROTHERS FUND, INC. STATEMENT OF FUND ACTIVITY

For the Year Ended December 31, 1994 with Comparative 1993 Totals

Ramon Magsaysay Award Asian Pocantico Total Total :incipal Pocantico Foundation Projects Restoration '994 '993 Fund Fund Fund Fund AD Funds (Noten)

REVENUES

Dividend income $2,293,987 $334,006 $21,626 $20,291 $500 $2,670,410 $2,410,561

Interest income 7,012,889 1,041,269 65,721 61,664 8'>349 8,262,892 9,477,957

Other investment income (loss) (1,536,714) (223,746) (14.487) (13.593) 4.500 (1,784,040) 334.798

Contributions 7,820 2,555,761 2,563,581 3.535.474

7,777,982 1,151,529 72,860 68,362 2,642,110 11,712,843 15,758,790

EXPENSES

Functional expenses (Exhibit I): Direct charitable activities 608,925 2,117,707 - - 746,589 3.473.2.21 3.3I7.I98 Program and grant management 13,236,226 - 183,913 173.555 13,593,694 14,465,218 Investment management 1,752,316 214,229 10,939 10,263 30,892 2,018,639 1.874,349

General management 1,792,706 179.957 31.799 - 120,990 2,125,452 1,605,512

17,390,173 2,511, 226,651 1,471 21,211,006 21,262,277

(Deficiency) excess of revenues over expenses (9,612,191) (1,360,364) (153.791) (115.456) 1.743.639 (9,498.163) (5,503

GAIN ON INVESTMENTS

Net realized gain from securities sales 10,840,716 1,578,196 102,185 95.878 13,042 12,630,017 24,229,354

Net change in unrealized gain on investments (24,843,838) (3,617,277) (234,211) (219,755) (8,969) (28,924,050) 9,588,806

(14,003,122) (2,039,081) (132,026) (123,877) 4,073 (16,294,033) 33,818,160

(Deficiency) excess of revenues and gain on investments over expenses (23,615,313) (3,399,445) (285,817) (239.333) 1,747.712 (25,792,196) 28,314,673

FUND BALANCES beginning of year 286,295,198 43,947,909 2,787,282 2,432,476 8,128,951 343,591,816 315,277,143

FUND BALANCES end of year $262,679,885 $40,548,464 $2,501,465 $2,193,143 $9,876,663 $317,799,620 $343,591,816

The accompanying notes are an integral part of this statement.

ANNUAL REPORT 1994 97 FINANCIAL REPORT

ROCKEFELLER BROTHERS FUND, INC, NOTES TO FINANCIAL STATEMENTS

December 31, 1994

(I) ORGANIZATION AND PURPOSE The Rockefeller Brothers Fund, Inc. (the "Fund") is a nonprofit, charitable corporation existing under the New York not-for-profit corporation law and is classified as a private foundation as defined in the Internal Revenue Code. The Fund's principal purpose is to make grants to local, national and overseas philanthropic organizations. The Fund also provides fellowships for minority students entering the teaching profession.

The Board of Trustees has designated the allocation from the Principal Fund and other funds to the following special purpose funds:

POCANTICO FUND: For the maintenance and operation of the Pocantico Historic Area at Pocantico Hills, New York as an historic park benefiting the public.

RAMON MAGS AYS AY AWARD FOUNDATION FUND: To increase the amount of the Ramon Magsaysay Awards and other support for the activities of the Ramon Magsaysay Award Foundation, Inc.

ASIAN PROJECTS FUND: Income to be used for a period of twenty years for special projects which exemplify the spirit of the Ramon Magsaysay Awards and Asian program concerns of the Fund.

POCANTICO RESTORATION FUND: For the renovation and preservation of the Pocantico Historic Area for visitation by the public and for use by the Fund for philanthropic programs.

(2) SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES The financial statements of the Fund have been prepared on an accrual basis. The significant accounting policies followed are described below:

INVESTMENTS: Investments in securities are carried at quoted market prices. Unrealized gains or losses are determined using quoted market prices at the respective balance sheet dates. Realized gains or losses from sales of securities are determined on a specific identification basis as of the trade date. Security costs are determmed on a first-in first-out (FIFO) basis.

Investments in limited partnerships are valued on the basis of the Fund's equity in the net assets of such partnerships. In certain instances, portions of the underlying investment portfolios of the limited partnerships contain non-marketable or thinly traded investments which have been recorded at fair value as determined by management of the limited partnerships. As of December 31,1994, $10,289,252 of the Fund's investments in limited partnerships were recorded at fair value as determined by the Fund's management or their designee, which might differ significantly from the market value that would have been used had a ready market for the investment existed and the differences could be material.

Effective July i, 1993, the Fund pooled the investments of the Principal Fund, Pocantico Fund, Ramon Magsaysay Award Foundation, and Asian Projects Fund. As a result, interest and dividend income and realized and unrealized gains or losses are allocated to each fund using the unitized investment method.

GRANTS PAYAB LE: Grants are recorded at the time of approval by the trustees and notification to the recipient. The Fund estimates that the grants payable balance as of December 31, 1994 will be paid as follows:

1995: $5,630,137 1996: $1,640,200 1997: $78,000 Total: $7,348,337

Fellowships for minority students are awarded in three stages, for summer projects, graduate study and student loan repayments. Included in the Grants Awarded as of December 31, 1994 is $275,250 awarded to Fellows. As of December 31, 1994, the Fund has commitments of approximately $709,200, if each of the Fellows completes all stages of the Fellowship Program, based on two years of graduate study.

ROCKEFELLER BROTHERS FUND FINANCIAL REPORT

TAX STATUS: The Fund is exempt from Federal income taxes under Section 501(c)(3) of the Internal Revenue Code and has been classified as a "private foundation." Provision has been made for the Federal excise tax on net investment income.

The Fund is subject to unrelated business income tax related to its investment in Lipco Partners, L.P., and the appropriate provision has been made.

FIXED ASSETS: The Fund capitalizes fixed assets which includes leasehold improvements, furniture and fixtures and office equipment. Depreciation and amortization of the fixed assets are provided over the following estimated useful service lives: leasehold improvements: life of lease; office equipment: 7 years; computer equipment: 5 years; computer software: 3 years.

(3) INVESTMENTS Investments at December 31, 1994 and 1993 are summarized as follows:

December 31, 1994 December 3,1 , 1993 Unrealized Appreciation/ Cost (Depreciation) Market Cost Market

Short-term investments $21,424,062 $40,721 $21,464,783 $20,615,540 $20,824,883

Stocks 126,160,826 8,864,125 135,024,951 116,109,925 136,641,241

Bonds 107,491,111 (2,781,339) 104,709,772 113,340,275 115,112,005 Limited partnerships 49,382,412 (1,851,447) 47,530,965 61,990,383 73,147,576 Foreign Currency Fluctuations 48,127 48,127 - -

$304,458,411 $4,320,187 $308,778,598 $312,056,123 S345'725.705

The cost of investments in each fund at December 31, 1994 and 1993 is as follows:

December 31, 1994 December 31, 1993

Principal Fund $258,683,076 $266,795,866 Pocantico Fund 39,130,281 38,626,031 Ramon Magsaysay Award Foundation Fund 2,550,853 2,518,274 Asian Projects Fund 2,205,170 2,174,492 Pocantico Restoration Fund 1,889,031 1,941,460

$304,458,411 $312,056,123

According to the terms of its limited partnership agreements, the Fund is committed to contribute approximately $1.2 million as of December 31, 1994 in additional capital.

The Fund, through its investment advisors, periodically invests in foreign exchange contracts. Such contracts are recorded in investments at market in the accompanying financial statements. All transactions are executed by the Fund's investment managers in accordance with policies established by the Fund's Finance Committee. Gains and losses on these instruments are included in the determination of realized and unrealized income, depending on whether the positions had settled prior to December 31,1994. The terms of these contracts are generally 3 months or less. The table below summarizes, by major currency, the notional principal amounts of the Fund's foreign exchange contracts outstanding at December 31,1994. The "buy" amounts represent U.S. dollar equivalents of commitments to purchase the respective currency and the "sell" amounts represent the commitments to sell the respective currency.

Unrealized Currency Buy Sell Gain/(Loss)

Australian Dollar $ 1,170,616 $ 1,207,315 ($ 36,699) Deutsche Mark 1,335-648 1,291,424 44,224 Japanese Yen 1,027,504 995,318 32,186

ANNUAL REPORT 1994 FINANCIAL REPORT

(4) PROGRAM RELATED INVESTMENTS The Fund's program related investments have limited or no marketability and are stated at the lower of cost or estimated fair value. The Fund's real estate is carried at the cost of the donor of $510,000, and has been leased rent-free to a nonprofit organization under the terms of an agreement which expires in the year 2056.

In February 1994, the Fund entered into a loan agreement with the Ramon Magsaysay Award Foundation ("RMAF") which authorized RMAF to borrow up to three million dollars during the period the loan commenced through December 31, 1995. The underlying promissory note bears interest on the unpaid principal at the rate of 6 percent per year; such interest shall accrue beginning January i, 1995. Payment of principal of 5120,000 and related interest will be made annually over the term of the loan with the first payment due by December 31, 1995; and on December 31, 2019, the outstanding balance will be payable in full. As of December 31, 1994, the Fund had loaned RMAF approximately $1,670,000; the remaining authorized amount of approximately $1,330,000 is expected to be drawn upon during 1995.

(5) PENSION PLAN The Fund participates in the Retirement Income Plan for Employees of Rockefeller Brothers Fund, Inc., et al., a noncontributory plan covering substantially all its employees. The Fund's policy is to make contributions to maintain the plan on a sound financial basis.

The following table sets forth the plan's funded status and amounts recognized in the Fund's financial statements at December 31, 1994 and for the year then ended:

Actuarial present value of benefit obligations:

Accumulated benefit obligation, including vested benefits of $2,913,630 $3,120,729

Projected benefit obligation for services rendered to date $3,815,900 Plan assets at fair value 4,759,979

Plan assets in excess of projected benefit obligation 944,079 Unrecognized prior service cost 67,217 Unrecognized net gain (loss) from past experience different from that assumed and effects of changes in assumptions (322,417) Unamortized transitional net asset 642,416

Prepaid pension cost included in assets $556,863

Net pension (benefit) for 1994 included the following components: Service cost—benefits earned during period $209,265 Interest cost on projected benefit obligation 275,719 Actual return on plan assets 2,8,735 Net amortization and deferral (466,542)

Net periodic pension (benefit) ($10,293)

The weighted-average discount rate and rate of increase in future compensation levels used in determining the actuarial present value of the projected benefit obligation were 8 percent and 5.5 percent, respectively. The expected long-term rate of return on assets was 9 percent.

(6) RELATED PARTY TRANSACTIONS The Fund paid Rockefeller and Co., Inc., fees of $159,500 as one of its investment advisors and paid Rockefeller Financial Services, Inc., fees of $36,200 for the management of the Fund's qualified pension plans and other services for the year ended December 31, 1994.

100 ROCKEFELLER BROTHERS FUND FINANCIAL REPORT

The Fund was reimbursed $101,000 for the fair value of certain common expenses, including accounting and occupancy, by the Rockefeller Family Fund, Inc. The Fund was also reimbursed $39,000 and $21,000 for the fair value of certain common expenses, including accounting and occupancy, by the Asian Cultural Council, Inc. and the Consultative Group on Biological Diversity, Inc., respectively.

The Fund has invested a total commitment of $23,000,000 in Lipco Partners, L.P., which is managed by a Board member.

The Fund paid fees of approximately $1,500,000 in 1994 for maintenance of the Pocantico properties to Greenrock Corporation, which is wholly owned by Rockefeller family members.

(7) FEDERAL TAXES As a private foundation, the Fund is assessed an excise tax by the Internal Revenue Code. This tax is generally equal to 2 percent of net investment income; however, it is reduced to i percent if a foundation meets certain distribution requirements under Section 4940(e) of the Internal Revenue Code. For 1994, the Fund qualified for the reduced tax rate, and taxes have been provided for on investment income at i percent. The Fund is subject to unrelated business income tax on a certain amount of the income derived from its investment in Lipco Partners, L.P. For 1994, this investment generated net ordinary income subject to unrelated business income tax and incurred tax expense of $520,623. For 1994, the Fund also incurred a capital loss of approximately $3.8 million from this investment. Under the provisions of the Internal Revenue Code, the Fund is allowed to carry back this loss to those two prior years it had paid unrelated business income tax on this investment. For 1994, the Fund applied a portion of its 1994 investment loss against the amounts paid in 1993 and 1992, and an amount of $296,157 has been recorded as recoverable taxes in the balance sheet. The Fund is entitled to carry forward the balance of its 1994 capital loss for five years to offset any unrelated business income tax which may arise on capital gain income.

(8) COMMITMENTS The Fund, together with its affiliates, occupies office facilities which provide for minimum annual rental commitments excluding escalation as follows: Fiscal Year

1995 $ 642,469 1996 642,469 1997 642,469 1998 642,469

The lease expires on December 31, 1998. Net rent expense aggregated approximately $587,000 in 1994.

On January i, 1992, the Fund entered into a formal arrangement with the National Trust for Historic Preservation in the United States, whereby the Fund assumes the costs associated with maintenance and operations of the Pocantico Historic Area, including all utilities, real estate and other taxes, and impositions assessed against the property. In 1994 and 1993, these costs aggregated approximately $1,654,000 and $1,376,000 respectively. In addition, $446,000 was expended for capital improvements in 1993.

Under the same agreement, the Fund agreed to conduct a program of public visitation of the Pocantico Historic Area. Historic Hudson Valley was engaged by the Fund to operate this program on its behalf The public visitation program commenced in April 1994. The Fund expects to pay approximately $781,000 in start-up costs for the visitation program. In 1994 and 1993, these costs aggregated approximately $229,000 and $355,000, respectively.

(9) POSTRETIREMENT HEALTHCARE BENEFITS In December 1990, the Financial Accounting Standards Board issued Statement 106, "Employers Accounting for Postretirement Benefits other than Pensions ("SFAS 106"). This new standard requires that the expected cost of these benefits must be charged to expense during the years that the employees render service. This is a change from the Fund's current policy of recognizing these costs on the cash basis. The Fund is required to adopt the new accounting and disclosure rule no later than 1995, although earlier implementation is permitted.

Effective January i, 1995, the Fund will adopt SFAS 106. The Fund estimates under its current plan that the adoption of SFAS 106 would result in an unfavorable effect on Fund Activity of approximately $977,000.

ANNUAL REPORT 1994 lOI FINANCIAL REPORT

(10) NEW ACCOUNTING PRONOUNCEMENTS In 1993, the Financial Accounting Standards Board issued Statement 116, "Accounting for Contributions Received and Contributions Made" and Statement 117, "Financial Statements of Not-For-Profit Organizations." These statements are required to be adopted in 1995. The Fund expects the only significant impact of the adoption of these statements will be the addition of a statement of cash flows.

In 1994, the American Institute of Certified Public Accountants issued Statement of Position ("SOP") 94-3, "Reporting of Related Entities by Not-For-Profit Organizations," giving uniform guidance concerning the reporting of related entities. This SOP is required to be adopted in 1995. The Fund expects the impact of the adoption in the 1995 financial statements will be the additional presentation of the financial results of the Asian Cultural Council, Inc., a not-for-profit organization of which the Fund is the sole member.

(II) PRIOR YEAR'S FINANCIAL STATEMENTS Certain reclassifications of the 1993 financial information have been made to conform to the 1994 presentation. The financial information presented for 1993 in the accompanying financial statements is intended to provide a basis for comparison and reflects summarized totals only.

A reclassification between the Principal Fund and the Ramon Magsaysay Award Foundation Fund has been made to the 1993 Fund Balance at the approval of the Board of Trustees.

102 ROCKEFELLER BROTHERS FUND FINANCIAL REPORT

EXHIBIT I: SCHEDULE OF FUNCTIONAL EXPENSES

For the Year Ended December 31, 1994 with Comparative 1993 Totals

Direct Charitable Activities

cantico Program Total General Pocani oration and Grant Investment General Total 1993 Programs Fu Fimd Management Management Management •994 (Note ii)

SALARIES AND EMPLOYEE BENEFITS

Salaries $247,589 $173,424 $1,138,504 $98,566 $641,047 $2,299,130 $1,888,095

Employee benefits 66,346 43,728 305,082 26,105 170,563 611,824 436,269

313.935 217,152 1,443,586 124,671 811,610 2,910,954 2,324,364

OTHER EXPENSES

Grants awarded 11,238,244 11,238,244 12,442,453

Fellowship program expenses io3)535 103,535 98,503

Visitation program expenses (Note 8) 228,? 228,886 355,228

Federal excise and other taxes (Notes 2 and 7) 440,507 440,507 423,246

Unrelated business income tax (Notes 2 and 7) - 35i,>74 - 351,174 i95,'77 Consultants' fees 1,504 69,672 32,530 42,713 29,057 125,264 300,740 340,717 Investment services - 1,396,758 - 1,396,758 1,523,491

Legal and audit fees 16,826 - 34,961 132,438 184,225 260,131

Travel 49,106 4,630 227,357 2,407 23,529 307,029 313,892

Rent and electricity 52,408 343,089 21,938 191,959 609,394 548,577

Program conferences and events 29,280 154,729 104,009

Facilities maintenance and operations (Note 8) 1,654,112 - - - - 1,654,112 1,375,852

Telephone 3,866 19,980 25,309 3,318 20,820 73,293 51,738

General office expenses 40,279 85,734 1,434 175,121 15,849 135,868 454,285 393,039

Publications 62,267 62,267 99,442

Depreciation and amortization 15,012 49,601 329,010 98,275 38,506 181,190 711,594 516,427

$608,925 $2,117,707 $746,589 $13,593,694 $2,018,639 $2,125,452 $21,211,006 $21,262,277

ANNUAL REPORT 1994 TRUSTEES

TRUSTEES Joseph A. Pierson^ Cypress Films Catharine O. Broderick Suite 415, 630 Ninth Avenue Room 5600, 30 Rockefeller Plaza New York, New York 10036 New York, New York 10112

David Rockefeller, Jr. David J. Callard' Room 5600, 30 Rockefeller Plaza Wand Partners Inc. New York, New York 10112 Suite 2435, 630 Fifth Avenue New York, New York loiii Richard G. Rockefeller 71 Foreside Road Colin G. Campbell Falmouth, Maine 04105 Room 3450, 1290 Avenue of the Americas New York, New York 10104 Steven C. Rockefeller Post Office Box 648 Jonathan F. Fanton Middlebury, Vermont 05753 New School for Social Research 66 West i2th Street S. Frederick Starr' New York, New York looii Oberlin College Neva R. Goodwin Oberlin, Ohio 44074 II Lowell Street Russell E. Train'* Cambridge, Massachusetts 02138 Suite 500, 1250 24th Street, N.W Kenneth Lipper Washington, D.C. 20037 Lipper & Co. loi Park Avenue New York, New York 10178 FINANCE COMMITTEE William H. Luers Kenneth Lipper, Chairman^ Metropolitan Museum of Art Colin G. Campbell, Acting Chairman'' 5th Avenue at 82nd Street Kim S. Fennebresque New York, New York 10028 Henry Upham Harris, Jr. Jessica Tuchman Mathews Robert Kasdin Council on Foreign Relations Claudine Malone 2400 N Street, N.W Rodman C. Rockefeller Washington, D.C. 20037 Robert B. Taylor Abby M. O'Neill Room 5600, 30 Rockefeller Plaza New York, New York 10112

Richard D. Parsons 589 Fifth Avenue New York, New York 10017

'Effective December 5, 1994 • Effective June 16, 1994 * Until June 16, 1994 "• Advisory Trustee ' Until October 31, 1994 ''Effective October 31, 1994

104 ROCKEFELLER BROTHERS FUND OFFICERS AND STAFF

OFFICERS STAFF

Abby M. O'Neill PROGRAM OFFICERS Chairman Dayna L. Cunningham' Room 5600, 30 Rockefeller Plaza William S. Moody New York, New York 10112 Nancy L. Muirhead Michael F. Northrop Steven C. Rockefeller Hilary K. Palmer Vice Chairman Post Office Box 648 Peter W. Riggs Middlebury, Vermont 05753 Caroline Zinsser Charles L. Granquist, Colin G. Campbell Director of Pocantico Programs President Room 3450, 1290 Avenue of the Americas PROGRAM ASSISTANT New York, New York 10104 Jeffrey O. Noles

Russell A. Phillips, Jr. Executive Vice President PROGRAM SUPPORT Room 3450, 1290 Avenue of the Americas Cinthia B. Altman New York, New York 10104 Lynn E. Anderson Miriam Aneses Benjamin R. Shute, Jr. Thomas Bishop' Secretary & Treasurer Judith Clark'* Room 3450,1290 Avenue of the Americas New York, New York 10104 Regina Creegan' Kathleen F. Dunlop'' Geraldine F. Watson' Ernestine Faulkner Comptroller Bridget M. Fenlon Room 3450, 1290 Avenue of the Americas Catalina M. Griffin New York, New York 10104 Jennifer A. Hortin Teresa Jeanpierre Leah A. D'Angelo Joan A. Landis Assistant Treasurer Julie A. Lesser Room 3450, 1290 Avenue of the Americas New York, New York 10104 Jacklyn A. Lloyd Bridget Massay A. Heather Masters COUNSEL Kimberly A. Miller

Antonia M. Grumbach Frances A. Raymond^ Patterson, Belknap, Webb & Tyler Elida Reyes** 1133 Avenue of the Americas Sandra Rideout New York, New York 10036 Kerinne A. Ryan' Barbara Schauber Mabel Schettini'" Robert Stone Anne W. Suessbrick ' Effective September 19, 1994 Joan E. Sullivant - Effective October 31, 1994 ' Effective March 14, 1994 Susan C. Wolfrom "t Effective April i, 1994 * Effective August 15, 1994 CONSULTANT '' Until September 23, 1994 ' Effective October 31, 1994 James R. Rush * Effective January 17, 1994 ' Until August 30, 1994 '" Effective August i, 1994

ANNUAL REPORT 1994 HOW TO APPLY FOR A GRANT

To qualify for a grant from the RBF, as from most other foundations, a prospective grantee in the United States must be either a tax-exempt organization or an organization seeking support for a project that would qualify as educational or charitable. A prospective foreign grantee must satisfy an RBF determination that it would qualify, if incorporated in the United States, as a tax-exempt organization or that a project for which support is sought would qualify in the United States as educational or charitable. A grantee must also be engaged in work that fits generally within the Fund's guidelines. A preliminary letter of inquiry is recommended for an initial approach to the Fund. Such a letter, which need not be more than two or three pages in length, should include a succinct description of the project or organization for which support is being sought and its relationship to the Fund's program, information about the principal staff members involved, a synopsis of the budget, and an indication of the amount requested from the Fund. Letters of inquiry should be addressed to Benjamin R. Shute, Jr., Secretary, at the offices of the Fund. The review of inquiries is ongoing throughout the year. Although the RBF has made substantial gifts to organizations and programs in which it has considerable interest, most grants run between $25,000 and $^00,000, often payable over more than one year but typically not more than three. The Fund does not support building projects or land acquisition. Neither, as a general rule, does the Fund make grants to individuals nor does it support research, graduate study, or the writing of books or dissertations by individuals. There are two exceptions. First, the Rockefeller Brothers Fund Fellowships, under the education program, are awarded to individuals selected from colleges that, because of their particular support of minority students, have been invited by the Fund to participate in the fellowship program. Second, through the Program for Asian Projects, the Fund supports projects that exemplify both the spirit of the Ramon Magsaysay Awards and the program concerns of the Fund; these grants are available only to Ramon Magsaysay Awardees, including individuals, and to the Ramon Magsaysay Award Foundation.

GRANT PROCEDURE

Each letter of inquiry to the RBF is reviewed by one or more members of the staff, who try to be prompt in notifying applicants if their plans do not fit the current program guidelines or budgetary restraints. If a project is taken up for grant consideration, staff members will ask for additional information, including a detailed proposal, and almost certainly for a meeting with the principal organizers of the project.

A detailed proposal, when requested, is expected to include a complete description of the purpose of the project or organization, the background and the research that have led to the development of the proposal, the methods by which the project is to be carried out, the qualifications and experience of the

106 ROCKEFELLER BROTHERS FUND HOW TO APPLY FOR A GRANT

project's or organization's principal staff members, a detailed, carefully prepared, and realistic budget, and a list of those who serve as board members or advisers to the project. Attached to each proposal must be a copy of the organization's tax exemption notice and classification from the Internal Revenue Service, dated after 1969, and a copy of its most recent financial statements, preferably audited. Proposals from former grantees of the Fund will be considered only after earlier grants have been evaluated and grantees have submitted necessary reports of expenditures of those grants. Grants are awarded by the trustees, who meet regularly throughout the year. Fund grantees are required to submit financial and narrative reports at specified intervals and at the end of each grant period. In addition, RBF staff members follow projects along throughout the life of the grant and evaluate the project at the end of the period. The evaluations become part of the Fund's permanent records.

GRANT INFORMATION

In addition to publishing an annual report, the Rockefeller Brothers Fund submits grants information on a regular basis to the Foundation Center for inclusion in its publications, including The Foundation Grants Index Quarterly and The Foundation Grants Index. The Foundation Center's databases on grantmakers and their grants are available online via DIALOG. The Foundation Center maintains reference libraries in New York, New York; Washington, D.C.; Atlanta, Georgia; Cleveland, Ohio; and San Francisco, California; and Cooperating Collections in more than 200 locations nationwide provide a core collection of Foundation Center publi­ cations. Information about the location of Cooperating Collections can be obtained from the Foundation Center by calling 1-800-424-9836 (toll free).

The Fund maintains a World Wide Web site on the Internet that includes information about the Fund's program guidelines, descriptions of recent grants, and a list of currently available publications. The Fund's web site can be found at http://www.rbf.org/rbf/.

ANNUAL REPORT 1994 INDEX

A Carnegie Endowment for International Eastern European Independent Peace 78 Environmental Foundation 29, 74 ABE Development Services Trust 89 Catholic Welfare and Development 89 Educational Commission of Aguirre, Joseph M. 53 Centeno, Miguel A. 53 the States 46, 82 AIDS and Adolescents Network of English Literacy Project Trust 64, 89 New York 60, 87 Center for Clean Air Policy 74 gr Environmental Defense Fund 28, 71, 73 Alaska Conservation Foundation 72 Center for Collaborative Education 54, Environmental Law Institute 74 AJcala, Angel C. 91 Center for Marine Conservation 73 y6 Environmental Management and Law Alliance to Save Energy 71 Center for Marine Fisheries Research 32, Association 30, 74 American Alliance for Rights and Center for Policy Alternatives 73 European Natural Heritage Fund 30, 74 Responsibilities 82 Center for Resource Economics 73 American Farmland Trust 72 Center for Strategic and International American Museum of Natural Studies 41, 80 History 58, 87 Centre for Environmental Studies Ferguson, Ruth 53 Amte, Murlidhar Devidas 67, 91 Foundation 29, 74 Flathead Lakers 73 Arizona Board of Regents 85 Chen, Stephen H. 53 Foreign Policy Association 38, 78 Anns Control Association 78 Chiang Mai University 32, 76 Foundation Center 48, 84 Ashoka 32, 75 Chicago Council on Foreign Relations i Foundation for a Civil Society 47, 83 Asia Foundation 47, 82 CIVICUS: World Alliance for Citizen Foundation for Educational Asia Society 80 Participation 47, 83 Programs 47, 83 Asian Cultural Council 41, 80 Claremont University Center 85 Foundation for International Environmental Asian Institute of Technology 91 Clayoquot Biosphere Project Society 26,; Law and Development 26, 27, 71 Asian NGO Coalition Research Climate Action Network-Southeast Foundation for National Progress 28, 73 Foundation 32, 75 Asia 33, 76 Friends of the Earth (France) 31, 74 Aspen Institute for Humanistic Climate Institute 33, 76 Friends of WWB/USA 79 Studies 26, 71, 82 Columbia University in the City of Fund for the City of New York 88 Atlantic Council of the U.S. 38,78 New York, Trustees of 41, 80 Australian National University 80 Committee of Good Will 83 Community Preparatory 86 G Garrod, Andrew 53 Community Service Society of B George, Douglas C. 53 New York 59, 87 Barnard College 59, 87 Connecticut College 38, 78 Georgetown University 80 BEC New Communities Housing German Marshall Fund of the U.S. 31, 74 Development Fund Company 87 Consensus Building Institute 26, 71 Goncol Foundation 75 Bengzon, Alfredo R.A. 91 Conservation Law Foundation 26, 71 Gonzalez, David M. 53 Bhatt, Chandi Prasad 67, 91 Consultative Group on Biological Gonzalez, Diana P. 53 Binswanger, Robert 53 Diversity 71 Greenspan, Hank 53 Biocultural Association 74 Cooperative Organization for the Greenways-Zelene Stezky 31, 75 Black Leadership Commission Upgrading of Numeracy Training 89 on AIDS 87 Correctional Association of New York i Blake, Ian T. 53 Council on Foreign Relations 42, 80 H Boone, Candace R. 53 Council on Foundations 48, 83, 84 Hanafiah, Ahmad 91 Bradley, Keelyn D. 53 CUNY Graduate Center Foundation 58, i Hanoi, University of 33, 76 Czechoslovak Management Center Braxton, Julian K. 53 Haribon Foundation for the Conservation Foundation 40, 79 Brookings Institution 41, 80 of Natural Resources 34, 76 D Hartley, Dorothy 53 c Dalai Lama, H H 67, 91 Harvard University 40, 71, 79 Hata, Prateep U. 67, 91 California Institute of Public Affairs 26, 71 Daly, John V. 67, 91 Henry Street Settlement 58, 87 California, University of. Regents of the 80 Danilchick, Andrew W. 53 Hildebrand, Reginald F. 53 Cantho, University of 32, 76 Desai, Manibhai B. 91 Hopewell, Sylvester 53 Cape Educational Trust 64, 89 Dominguez, Gabriela 53 Hungarian Academy of Science 75 Cape Town, University of 64, 89 Hungarian Foundation for Cape Town Fund, University of 64, 89 Self-Reliance 75 Carnegie Council on Ethics and EarthAction Alerts Network 26, 71 Hyler, Maria E. 53 International Affairs 41, 80 Earthlife Canada Foundation 26, 71 East-West Center Foundation 33, 76

108 ROCKEFELLER BROTHERS FUND INDEX

I L New York State Child Care Coordinating Council 54, 85 Independent Sector 49, 84 Land and Water Fund of the Rockies 73 New York University 43, 78, 81 Indonesian Institute of Sciences 34, 76 Latino Commission on AIDS 88 Nonprofit Foundation 48, 83 Information Center for Foundations Lattimore, Caroline L. 53 and Other Not-for-Profit Lee, Tai-Young 92 Nonprofit Information and Training Organizations 47, 83 Legal Rights and Natural Resources Center 48, 83 INFORUM 27,71 Center 35, 76 Nuclear Control Institute ?8, 78 Institute for Agriculture and Li, Kwoh Ting 92 Trade Policy 27, 71 Library of Congress 28, 73 o Institute for the Arts of Democracy 46, 82 Long Island Soundkeeper Fund 73 Obor 35, 77 Institute for Development Research 76 Lumbera, Bienvenido 68, 92 Ocegueda, Isela 53 Institute for EastWest Studies 41, 79 Institute for Environmental Policy 31, 75 M Institute for Human Sciences 79 Malaya, University of 35, 77 Institute for Research and Development Pacific Institute for Studies in Malone, David 53 Development, Environment, and of Kalimantan's Culture 34, 76 Management Institute for Environment Security 72 Institute for Science and International and Business 73 Pacific Rivers Council 29, 73 Security 78 Martinez, Ben F. 53 PadiUa, Guadalupe T. 53 Institute of Southeast Asian Studies 42, 80 Maryland Foundation, University of 73, 81 Peace Research Institute Frankfurt 38, • Institute of Strategic Evaluation for Energy Mason, Joseph 53 Philippines, University of the 92 and Environment in Europe 27, 72 Mayberry, Lillian F. 53 Pratt Institute 87 Institute for Sustainable Communities 31, 75 McCormack, Margaret 53 Prescott College 85 Institute for Transportation and Monterey Institute of International Press Foundation of Asia 92 Development Policy 31, 75 Studies 78 Primary Open Learning International House 79 Pathway Trust 64, 89 International House of Japan 80 Princeton University, Trustees of 78, 8 International Institute for Energy N Project for Public Spaces 31, 75 Conservation 75, 76 Nanjing Institute of Environmental Public Allies: The National Center for International Institute of Rural Science 77 Careers in Public Life 82 Reconstruction 76 Natal, University of 64, 89 Public Education Association 58, 87 International Management Center National Academy of Sciences 81 Public/Private Ventures 55, 86 Foundation 41, 79 National Association for the Education International Youth Foundation 83 of Young Children 54, 85 Investment Fund for Foundations 82 National Audubon Society 73 Q National Bureau of Asian Research 81 Quebec-Labrador Foundation 32, 75 J National Center for the Early Childhood Japan Center for International Work Force 54, 85 R Exchange 42, 81 National Center for Nonprofit Ramon Magsaysay Award Japan Society 81 Boards 46, 82 Foundation 67, 68, 91, 92 Japanese NGO Center for International National Committee on United States- Recruiting New Teachers 55, 86 Cooperation 83 China Relations 77 Reeves, Darlene 53 Jassin, Hans B. 67, 91 National Council of Nonprofit Research Foundation of the City Jei, Paul Jeong Gu 67, 91 Associations 82 University of New York 54, 85 Jimerson, Candice R. 53 National Fish and Wildlife Revilla, Anita T. 53 Johns Hopkins University 47, 81, 83 Foundation 29, 73 Rodriguez, Teresa A. 53 Jose, Francisco Sionil 91 National Humanities Center 47, 83 Rural Development Research Centre 35, 77 National Wildlife Federation 72 Rural Education Action Project 73 K Natural Resources Defense Council 38, 78 Russell, LaTarsha A. 53 Keystone Center 28, 72 New York AIDS Coalition 60, 88 Khan, Akhter Hameed 67, 91 New York City Mission Society 59, 87 Khan, Shoaib Sultan 67, 91 New York City Partnership s Kim, Im-soon 92 Foundation 59, 87 Sadikin, Ali 67, 91 Kurth-Schai, Ruthanne 53 New York Community Trust 60, 88 Salazar, Ines 53 New York Regional Association of Sarian, Zacarias B. 92 Grantmakers 49, 84 Saunders, Shari 53

ANNUAL REPORT 1994 INDEX

Save the Children Federation 77 T Shahriari, Shahriar 53 w Tides Foundation 28, 48, 72, 84 Wagner, Michelle 53 Simmons, Michael L. 53 Tomas Rivera Center 54, 85 Henry A. Wallace Institute for Alternative Slovak Academic Information Travers, Eva F. 53 Agriculture 29, 74 Agency 48, 83 Tripp, Felicia L. 53 Washington Center for Internships and Smulyan, Lisa 53 Tufts College, Trustees of 28, 72 Academic Seminars 82 Society for Values in TVE Television Trust for the Watanabe, Maika 53 Higher Education 65, 90 Environment 28, 72 Western Cape, University of the 65, 89 Solar Electric Light Fund 77 Wheelock College 55, 85 South Africa Free Elections Fund 65, 90 u White, Keri L. 53 South African Institute for Distance White, Voncile 53 Union Institute 82 Education Trust 65, 89 Wilcoxen, Anne G. 53 United Nations Association of the United Southampton, University of 38, 78 Wildlife Fund Thailand 77 States of America 79 Southern Environmental Law Center 29, 74 Winrock International Institute for Universitas Tanjungpura 35, 77 Spencer, Cresencia S. 53 Agricultural Development 35, 77 USWE Trust 89 Srimvang, Chamlong 67, 91 Wisconsin, University of 40, 79 St. Bartholomew's Church 38, 78 Witwatersrand, University of 89 Steel, Melissa A. 53 V Woods Hole Research Center 72 Henry L. Stimson Center 39, 79 Valle, Maria Eva 53 World Resources Institute 72, 74 Stockholm Environment Institute 28, 72 Venegas, Yolanda 53 Worldwatch Institute 72 Summer Institute of Linguistics 68, 92 Verification Technology Information Summerbridge 55, 86 Centre 79 Y Support Office for the Movement of Veronica 32, 75 Yale University 35, 77, 82 Self-Help Initiatives 48, 83 Yonsei University 81 Surface Transportation Policy Project 29, 74 Sussex, University of 39, 79 Swaminathan, Moncompu S. 68, 92 Zimmerman, Susan 53 Synergos Institute 40, 72, 79

CREDITS Tracey Atlee, 46 Community Service Society of New York, Josh Edenbaum, 55 AI Faviila, 52 Jefferson Metz Fox, 33 Laurence Kaufman, 7 Richard Lord, 20 (bottom), 40 Odette Lupis, 42 Norman McGrath, 18, 19 Chiemi Ogawa, 27 Peter Riggs, 34 Jerry L. Thompson, 5, 9,11, 20 (top) Harvey Wang, 59 Stefan Yarabek, 30 Caroline Zinsser, 64,65

no ROCKEFELLER BROTHERS FUND