an entrepreneurial spirit: ABOUT ROCKEFELLER PHILANTHROPY ADVISORS Rockefeller Philanthropy Advisors is a 501(c)(3) non-profit organization that helps donors to create thoughtful, effective philanthropy throughout Three Centuries of the world. Headquartered in New York City, it traces its antecedents to John D. Rockefeller, Sr., who in 1891 began to professionally manage Rockefeller Family his philanthropy “as if it were a business.” Rockefeller Philanthropy Advisors provides research and counsel on charitable giving, develops Philanthropy philanthropic programs, and offers complete program, administrative and management services for foundations and trusts. Rockefeller Philanthropy Advisors currently advises on and manages more than $100 million in annual giving in more than 20 countries.

437 Madison Avenue 101 Second Street 37th Floor 24th Floor New York, NY 10022 San Francisco, CA 94105 (212) 812-4330 (415) 543-0733 www.rockpa.org table of contents

2 Foreword Melissa A. Berman, President and CEO, Rockefeller Philanthropy Advisors

4 Preface Eileen Rockefeller Growald, Founding Chair, Rockefeller Philanthropy Advisors

5 The Rockefeller Family’s Philanthropic Beginnings: A Brief History Peter J. Johnson, Historian, Author and Rockefeller Family Associate

Edited by Donzelina A. Barroso 20 Values, Rituals, and Communication in Rockefeller Family Philanthropy Eileen Rockefeller Growald, Founding Chair, Rockefeller Philanthropy Advisors

31 Learning Philanthropy: Opportunity and Relationship-Building Among the Younger Generations Peter O’Neill Allison Whipple Rockefeller Theo Spencer Penny Fujiko Willgerodt, Vice President & Senior Philanthropic Advisor, Rockefeller Philanthropy Advisors

45 Personal Engagement and Passion in Philanthropy: Two Generations Share their Experiences David Rockefeller, Sr. David Rockefeller, Jr.

© 2005, Rockefeller Philanthropy Advisors 64 Biographies E This book is printed on paper made from 30% post-consumer content. This text is adapted from the transcript of “Reflections on the Past, Present and Future: The Legacy of Rockefeller Family Philanthropy,” a public symposium hosted by Rockefeller Philanthropy Advisors and held on November 18, 2004 at The Asia Society, New York City. foreword allowed for a great deal of flexibility and for individual expression of issues and perspectives. While David MELISSA A. BERMAN, PRESIDENT AND CEO, Rockefeller, Jr., for example, is very deeply involved in ROCKEFELLER PHILANTHROPY ADVISORS music and in music education, these topics are not particularly an interest of others in his family. The “Reflections on the Past, Present and Future: second is that the Rockefellers plan their philanthropy The Legacy of Rockefeller Family Philanthropy,” a from the long-term perspective. Their efforts reflect a public symposium hosted by Rockefeller Philanthropy true understanding of how long it takes to effect Advisors (RPA) on November 18, 2004, addressed a significant change. Third is the family’s faith in the variety of topics related to the Rockefeller family’s non-profit sector, a factor that is critical to the success philanthropic legacy. Peter Johnson, the Rockefeller of any philanthropic venture. There seems to be …the family historian, provided a historical perspective on increasing concern about accountability and Rockefeller the beginnings of philanthropy in the family. Eileen transparency in the non-profit sector in our time. family passes down values, Rockefeller Growald discussed her views on values, Many donors have an almost hostile attitude toward not views— institutions, and rituals in Rockefeller family the non-profits they fund, assuming that if they do a significant philanthropy. Penny Fujiko Willgerodt, a Senior not watch carefully, the non-profit will misuse the distinction. Philanthropic Advisor at RPA, led a discussion with funds it receives. The members of the Rockefeller three members of the Fifth Generation—Peter family who share their remarks here have a great deal O’Neill, Allison Whipple Rockefeller, and Theo of confidence in the institutions with which they work. Spencer—about some of the more original projects Lastly, the Rockefellers must have a special governance to emerge from the younger generations, as well gene. A great deal of thought goes into the structures as about concerns for the future of the legacy as of their family organizations, their councils, their the family grows and finances dissipate. The day meetings, and their various committees. That careful concluded with reflections from David Rockefeller, Sr. planning has made family members very astute, from and David Rockefeller, Jr. about personal approaches an early age, about the difference between governing to philanthropy. and managing. It also makes them astoundingly good The comments published here coalesce around board members, and it continues to foment their four principles that the Rockefeller Philanthropy interest in founding new institutions. These are just a Advisors staff has observed in its work with this few of the key lessons that my colleagues and unusual and innovative group of donors. The first I have learned over the years of working with this principle is that the Rockefeller family passes down group of individuals. We are delighted to share some values, not views—a significant distinction. This has of these thoughts in this publication.

2 Foreword Foreword 3 preface The Rockefeller Family’s Philanthropic Beginnings: EILEEN ROCKEFELLER GROWALD, FOUNDING CHAIR, ROCKEFELLER PHILANTHROPY ADVISORS A Brief History

Rockefeller Philanthropy Advisors was founded PETER J. JOHNSON, HISTORIAN, in February of 2002. We at RPA have been so pleased AUTHOR AND ROCKEFELLER FAMILY ASSOCIATE to see the growing numbers of people involved with us in furthering philanthropy in the United States lthough one could go back further in the and abroad. The mission of Rockefeller Philanthropy family line, the progenitor of the Rockefeller Advisors is to create thoughtful, effective philanthropy family as we know it was John D. Rockefeller throughout the world, and each of the participants in (JDR). The Rockefeller family had been in the JDR’s mother, “Reflections on the Past, Present and Future: The aUnited States for about 100 years when JDR was born Eliza Davidson Legacy of Rockefeller Family Philanthropy” has in 1839, into modest circumstances. He was born in Rockefeller, contributed to that cause in their own way. The the southern tier of upstate New York, which was very was an extremely discussions and dialogues published here shed light much a frontier area at the time. JDR’s father, William devout woman on how values of philanthropy have been passed A. Rockefeller, was a very interesting character. He who raised down through the generations of the Rockefeller was both a farmer and a patent medicine salesman, her children to be practicing family, while allowing for a myriad of interests and a sort of entrepreneur. He was not present very often Christians. If perspectives. It is hoped that the thoughts shared in the family, but had a very strong influence on his one were to here may serve to help other families, institutions, children. JDR’s mother, Eliza Davidson Rockefeller, pinpoint a discernible and individuals interested in advancing their own was an extremely devout woman who raised her origin of the philanthropic efforts. children to be practicing Christians. If one were to Rockefeller pinpoint a discernible origin of the Rockefeller philanthropic tradition, it philanthropic tradition, it would probably be her. would probably She was committed to tithing, or giving ten percent be her. of one’s income to the church and church-related activities, and taught her children to do the same. The family moved around quite a bit and settled in Cleveland, Ohio by the early 1850s. Cleveland was not a frontier town; it was a small, bustling town with a growing and impressive trade

4 Preface A Brief History 5 network. Cleveland was situated in the Western involved in railroads in Florida, and streets in Standard Oil Reserve District of Ohio, and there was a tradition of Miami and Palm Beach still bear his name. Together began earning unprecedented education brought to the area by New Englanders who they built what would become Standard Oil into annual income. had settled it. Although most people did not attend a tremendous national competitor. It eventually Prior to this, school at this time, JDR almost graduated from high became the dominant American oil company, using only royalty had been able school. Rather than complete his studies, he decided extremely competitive—some would say ruthless— to command it was much more important to gain some business methods. such wealth. training. He enrolled in a business college where he By the late 1870s, Standard Oil, chaired by learned the elements of bookkeeping and business law, JDR, controlled almost ninety percent of American and learned how to write properly in Spencerian petroleum output. This made JDR an extremely script. Many of his letters from this period are quite wealthy man. But what is most striking is that with In his first flowery and beautiful documents. Standard Oil, JDR created a new corporate structure year of work John D. Rockefeller entered the business world that became the basis for almost all other American JDR earned about $45, in 1855. He worked for a dry goods merchant, earning corporations to follow. Standard Oil also generated and gave $15 to $20 per week. The Rockefeller Archives Center enormous negative reaction against corporations, away about still has the ledger that he began when he started this which eventually led to significant political changes $5. This was really the job. Known as “Ledger A,” it lists JDR’s income and and demands for reform. (The Standard Oil Trust beginning all of his expenses, including such items as collars for was dissolved by the United States Supreme Court of the story. his shirts and food. But it also lists quite clearly his in 1911.) charitable contributions. In his first year of work he Standard Oil began earning unprecedented earned about $45, and gave away about $5. This was annual income. Prior to this, only royalty had been really the beginning of the story. able to command such wealth. In the mid-1880s, The story quickly accelerated after JDR Standard Oil was earning $25 million to $30 million became involved in the early days of the American per annum in profits. These were distributed to its petroleum industry. He realized that drilling for and shareholders, and as JDR owned 25% to 30% of its extracting the petroleum from the ground was not the shares; his annual disposable income, to use a modern key point of the petroleum business: rather, it was the term, amounted to somewhere between $4 million to refining and distributing of the petroleum that was $5 million. At the time, although there were local most lucrative. JDR formed a partnership in the late taxes, there were no property taxes, and certainly no 1850s with Henry Morrison Flagler, who remained a income taxes. close friend for life. Flagler subsequently became What did he do with the money? There was

6 A Brief History A Brief History 7 too much of it to be buried in the backyard, so he had become very famous. Letters asking for financial to do something. A good portion of it was used to assistance poured in to his office. He did not feel that invest in other parts of the American economy. JDR’s it was right to turn them over to anyone else. There portfolio during this period was a stunning example of were literally steamer trunks full of letters that went good investment policy. He invested in all of the major around with him to different places, and he attempted railroads, the major American financial institutions, to read each letter, assess the request, and send money real estate (including a large portion of Vancouver when appropriate. It became increasingly difficult for Island in Canada, which he purchased for its timber), him to do so on his own. and other extractive industries such as coal and In the late 1880s, when JDR was working iron ore. on the founding of the University of Chicago, he A significant portion of his annual income at encountered Frederick Gates, a man who was working this time continued to be devoted to what could be for the Pillsbury family in Minnesota. Gates was an termed “charity”—it had not yet become philanthropy. ordained Baptist minister, and quite a salesman. JDR From 1855, when we have the first examples of JDR’s asked Gates, after they had worked out the rudiments charitable giving, until almost 1900, he gave almost of the University of Chicago, to work for him to exclusively to Baptist organizations in the United assist him with his charitable giving. Gates was an States. This was not uncommon. People tended, and organizational genius, and quickly got everything into still tend, to give to those organizations of which they place. He discovered that many of the organizations feel a part. In addition, there were not a lot of secular that JDR had been supporting were dubious. This was organizations to which money could be given. But a frequent problem at the time. JDR was also making every Baptist university, college, orphan asylum, and some highly questionable business investments. Gates hospital in the United States received money from stepped in to organize John D. Rockefeller’s personal JDR. He also supported the operations of the church office and investments, really creating the Rockefeller itself, and supported the two great pan-Baptist family office during this period. Missionary Organizations: the Baptist Home Mission By the late 1890s, there is a change in JDR’s Society, and the Baptist Foreign Mission Society, overall giving strategy. There is still a significant which was already very actively at work in China. amount of money being given to Baptist organizations. The University of Chicago, which JDR helped to But suddenly, JDR began giving to Presbyterians and establish, was intended to be the great Baptist Methodists, to the occasional Catholic organization, as university in the United States. well as to secular organizations, to a much greater In addition to becoming wealthy, JDR had degree than before. He began this new trend by giving

8 Brief History Brief History 9 $1 million gifts to about 15 major American nature of public education in the American South, as universities, among them: Harvard, Yale, Princeton, well as addressing problems of public health in the Brown—where his son was enrolled—the University of American South. Germ theory was just starting to be Michigan, the University of California, and Syracuse understood in the United States at this time, as was University. This was a tremendous amount of money the cause of disease. It had become clear that disease at that time. was actually caused by human sloppiness, whereas in Gates, an ordained minister, shared JDR’s the past vague theories about “bad air” and the like strong Christian imperative to engage with society and abounded. At this time, there were no sewage systems to help to solve its problems. Nonetheless, he had lost or clean water, and little in the way of personal his faith and felt that much of what he had been hygiene. These issues needed to be dealt with in a taught, and, in fact, preached from pulpits around the scientific manner. Sanitation needed to be improved country, was simply not true. He felt that JDR’s giving and a cadre of medical personnel needed to be trained. to date did not address the underlying social problems John D. Rockefeller and Gates approached with which this country was confronted: poverty, these needs not from the point of view of training ignorance, disease, racism, etc. He convinced JDR individual physicians, but as a public health issue, to redirect his giving into a more fundamental kind which represented a much broader approach. Public of charity. This is the beginning not quite of health and public education thus went hand-in-hand philanthropy as we know it today, but of a move because the only instrument through which you could toward modern philanthropy. And in addition to improve public health at the time was through public the Rockefellers, Andrew Carnegie and Mrs. Russell education. We all remember being taught to wash our Sage are also deeply involved in the same set of issues hands in elementary school. These behaviors all at this time. originated during this period of time. So the General Gates convinced JDR to begin creating Education Board, and later the Rockefeller Foundation organizations to address social issues rather than to (founded in 1913), and also JDR personally, began to work through other organizations. In 1901, JDR provide a great deal of money to create and improve founded the Rockefeller Institute for Medical medical education in the United States. These efforts Research—which would become a pioneering produced a number of people who were scientifically American institution in the area of scientific medical trained in a discipline and could actually effect change. research. This is followed by the creation of the It was an extremely important long-term investment. General Education Board, which became an extremely This is quite fascinating, especially in light of the fact courageous and important institution, changing the that JDR, who lived a relatively healthy 97 years and

10 Brief History Brief History 11 favored homeopathy, had no great faith in medicine could be reconciled, in which businessmen could be himself. convinced to treat their workers in a more humane The creation of both the Rockefeller Institute fashion, and in which workers could be shown that for Medical Research and the General Education mutual cooperation was necessary for the success of Board represents JDR’s move into modern any business. The Foundation took components from philanthropy. As the pouches of letters and requests a number of different places, including the China kept pouring into the office, Frederick Gates and John Medical Board, which had been doing public health in D. Rockefeller, Jr. (Junior), who had by now graduated China for some time. from Brown University and had begun working in his The Rockefeller Foundation was not met with father’s office, tried repeatedly to refine the system by tremendous popular acclaim at the time. In fact, it was

The creation which they sorted and contemplated the multitude of met with the opposite—tremendous suspicion. What of both the requests received. Unless it was quite obviously a letter are the Rockefellers up to now? They are going to Rockefeller from a crazy person, they tried to answer every overwhelm American society with the force of Institute for Medical request. They soon realized they needed a separate concentrated wealth. There was great suspicion of Research and organization to handle all of those requests. They wealth and its corrupting influence in American life. the General hired staff to read and answer the letters and to take This led JDR and Junior to understand that they had Education Board proper action. By 1910 or so, JDR had $1 billion in to operate the foundation in such a way that it would represents assets. Frederick Gates famously said to him, “Your gain not only the grudging acceptance, but the trust, JDR’s move wealth is building up, and if you do not make of the American people. They did that by quickly into modern philanthropy. arrangements for it, it is going to overwhelm your adding respected outside people to the board of descendants. You must do something to organize all directors. Presidents of major American universities, of it.” such as Charles William Elliot of Harvard, for These two factors, the increasing volume of example, were added to the board, as was Charles requests and JDR’s great wealth, led to the creation of Evans Hughes, a Chief Justice of the Supreme Court. the Rockefeller Foundation. The Foundation had very Hughes ran for the presidency against Woodrow specific programs: medical education, public health, Wilson in 1916. Everyone thought he had been and labor relations in the United States. One historian elected until pack horses from the Sierra Nevada has described this period of time as the “age of Mountains arrived in Washington, DC with extra industrial violence.” And it was a very violent period. votes for Woodrow Wilson. Both figures were highly One component of the Rockefeller Foundation was regarded in public opinion. After appointments such as designated to address ways in which labor and capital these, the image of the Foundation began to improve.

12 Brief History Brief History 13 With regard to John D. Rockefeller’s approximately $500 million over a period of five to philanthropy, while business principles and methods of seven years to his son, and stepped down from his assessment were not absent from what JDR and Gates involvement with all of the major philanthropies, planned, they did not apply any sort of test to what allowing Junior to become Chairman in each case. It they were doing, other than to ask whether the grantee was under the guidance of Junior, from about 1915 organization was using the money for the designated until the late 1930s, that the Rockefeller Foundation purposes. Both JDR and Gates understood that the began to expand its programs and activities. problems they hoped to tackle were of long duration, John D. Rockefeller, Jr. also created some deeply embedded in American society, and that change foundations on his own. One, the Laura Spelman would and could not come immediately. For instance, Rockefeller Memorial, named after this mother, John D. if one tried to create a public education system in did for the social sciences what the Rockefeller Rockefeller, Jr. felt the a rural area of the American South where nothing had Foundation, the General Education Board, and the same set of existed before, it would take at least 12 years for the Rockefeller Institute for Medical Research were doing obligations first graduating class to emerge and for results to be for the hard sciences. It literally created faculties that his father did of seen. While they applied business principles to the of anthropology, political science, sociology, and engagement creation of charitable organizations, they did not run economics at many major American universities. It with society, these organizations as businesses. was an astonishing feat of boldness to have funded this and also felt that John D. Rockefeller, Jr. (Junior) shared a type of program. The Memorial was later absorbed through their number of characteristics with his father. One of the into the Rockefeller Foundation as its social science philanthropy most important was his deep devotion to religious branch. Junior also created a temporary foundation they were doing the observance. He felt the same set of obligations that his called the International Education Board in the Lord’s work father did of engagement with society, and also felt 1920s, endowing it with about $100 million of his in a very that through their philanthropy they were doing the own funds. These were spent out entirely during the profound way. Lord’s work in a very profound way. He took control course of the 1920s for the purpose of rebuilding of the Rockefeller Foundation and his father’s assets European universities devastated by World War I, beginning in about 1915. JDR did not want to impose and for funding fellowships for faculty members and burdens on any of his children. If Junior had not researchers. This effort generated the beginnings shown a willingness to engage, it is my guess that of the modern molecular biology and physics much of the Rockefeller fortune probably would have communities, eventually helping to bring about the been given to these foundations, and very little of it to revolution in molecular biology and in atomic physics. the family members themselves. JDR transferred By the late 1920s, Junior’s assets doubled to a

14 Brief History Brief History 15 total of about $1 billion. Following the stock market be just as important, if not more so, than large gifts. crash of 1929, by the mid-1930s his assets were Junior had five sons (John Davidson, Nelson reduced to $400 million, representing a sixty percent Aldrich, Laurance Spelman, Winthrop and David) and drop in his net worth. It was a significant change. That one daughter (Abby Mauzé). As there was no law of drop, and the changes that were brought about by the primogeniture, he had to devise a system whereby New Deal—of raising income taxes in order to balance there would be an equitable distribution of the federal budget—reduced his disposable income by responsibility and assets among all of his children. an additional two-thirds to three-quarters. The top From 1870 to 1940, there had been a process of income tax rate in the 1920s was 20%, while by 1935, centralization and consolidation in the Rockefeller it was 80% of income over $1 million. Inheritance tax fortune and in the Rockefeller philanthropies. Yet now had been reintroduced, and gift taxes were coupled it had become clear to Junior’s sons that their wealth with inheritance taxes. would need to be managed very differently in the These measures reflect political forces of future than it had been up to that time. Through a the time. For most people, the American capitalist process of discussion and consensus among his system had failed, and to the degree that American children, responsibility was eventually shared among philanthropy is a child of American capitalism, that all of them with the creation of the Rockefeller had failed as well. Faith was then placed in the actions Brothers Fund on December 12, 1940. Initially, of government to solve social issues, and it did so however, the eldest son, JDR III, had taken on all the quite effectively during the 1930s and 1940s. But responsibility. By the early 1930s, JDR III had nonetheless, the Rockefeller Foundation and others graduated from Princeton (class of 1928), sat on 35 continued to operate and contribute to society. In the boards, including those of the Rockefeller Institute for early 1940s, at the request of the Mexican government, Medical Research, the Rockefeller Foundation, the for example, the Rockefeller Foundation sent a group General Education Board, and International House. of three scientists to Mexico to see what help could be All he did was go to meetings. During World War II, given in terms of assistance to Mexican agriculture. he wrote a letter to his father and said, “I cannot do That trip was the beginning of the Mexican this anymore. There are a few topics in which I am Agricultural Station in Mexico City and the work really interested, and I will continue to do those, of Dr. J. George Harrar and others that produced but I think it is time for my brothers to take some the Green Revolution. It started with a $20,000 responsibility.” David had already joined the board appropriation by the board of the Rockefeller of the Rockefeller Institute for Medical Research, Foundation in 1941. Small gifts, when timely, can and in the years after World War II, took full

16 Brief History Brief History 17 responsibility for that organization. But the the first place. Currently, there is not a single responsibility began to flow outward. member of the Rockefeller family on the board of Just as importantly, the assets available to the the Rockefeller Foundation, although Peggy Dulany, individual Rockefeller brothers were substantially less one of David Rockefeller’s daughters, was a trustee than those available to their father and grandfather. during the 1990s. It is hard to say whether it would The brothers developed a very interesting and be better or worse if the Rockefellers had retained …he would effective means of cooperating and pooling resources, a greater involvement, but John Foster Dulles once have understood both for philanthropy and investment. They also told JDR III that there should always be a Rockefeller that the family began, because of astute management of their as Chairman of the Rockefeller Foundation because it could not resources, to develop the personal resources to is their name and they care about upholding standards. have retained control over pursue their own interests, apart from those they the ideas shared. JDR III focused on issues of birth control and programs and empowerment of women in the developing world, funded by the Foundation as well as improving relations with Asia; Nelson and because these David on Latin America; Laurance on conservation; need to and Winthrop on development in Arkansas and, emerge from a consensus interestingly, the creation of the Republican Party interaction of Arkansas. among a Many people have speculated how John D. well-respected board of Rockefeller would have felt about his family no longer trustees and being directly involved in the Rockefeller Foundation. a good staff. I think that he would have understood that the family He recognized that it was could not have retained control over the ideas and necessary programs funded by the Foundation because these to devolve need to emerge from a consensus interaction among control to a broad group a well-respected board of trustees and a good staff. of people. He recognized that it was necessary to devolve control to a broad group of people. However, I think he would have expected that his family would have maintained a much higher profile within the Foundation, so I do not think the question would have occurred to him in

18 Brief History Brief History 19 Values, Rituals, and miss that set of values when you walk through Communication in Rockefeller Rockefeller Center, especially as a member of the family. Whenever I see those carvings—which really Family Philanthropy represent the first written Rockefeller family values— I question whether I do enough. I would argue that my EILEEN ROCKEFELLER GROWALD, FOUNDING CHAIR, own generation, the Fourth, or Cousins Generation, ROCKEFELLER PHILANTHROPY ADVISORS has extended and elaborated on those values and on the sense of mission John D. Rockefeller, Jr. had. I am sure my fellow Cousins and members of the Fifth Generation join me in the feeling that we need to ow many of you have done something in the past week be responsible stewards of wealth for improving the that you have done from a sense of obligation? How common good. many of you have done something that—and Some years ago we held a brain-storming it might be one and the same—that you just session and came up with a list of values that we share feel really great about? Those two values, in promoting the common good, both individually and obligation and opportunity, are part of the in collaboration with others. Among the many values genesis of the values that have been passed on our list are the following eight: nurture family down from my grandfather (John D. Rockefeller, Jr.) John D. h through the generations; provide safe environments Rockefeller, and my great-grandfather (John D. Rockefeller). My for open dialogue; respect diversity; consider every Jr. created his great-grandfather founded the Rockefeller Foundation topic within the larger context; think long-term; serve own set of with the mission of promoting the well-being of values, which effectively within your communities; support the value are carved mankind throughout the world. His son took the of leadership and public service; and finally, do not in stone at mantle of philanthropy onto his shoulders in a very take yourself too seriously. Rockefeller dutiful way, and, I believe, in a way that sometimes Plaza: “every I am the 3rd from the youngest of my right implies a crushed him emotionally. He served on some 35 generation. In my 20s, I was looking for how I could responsibility; boards. No wonder he was prone to depression. I serve be effective in this world, and how could I use my life every on four boards and it seems like too much sometimes. opportunity, in a way that would live up to the opportunities and an obligation; John D. Rockefeller, Jr. created his own set of the enormous gratitude that I felt for being part of this every values, which are carved in stone at Rockefeller Plaza: family. And so as it happened, I met Norman Cousins, possession “every right implies a responsibility; every opportunity, a duty.” who had a great impact on me in creating the Institute an obligation; every possession a duty.” It is a hard to for the Advancement of Health, which promotes the

20 Values, Rituals, and Communication Values, Rituals, and Communication 21 scientific understanding of mind-body interactions in have had fewer financial resources. Though my health and disease. After seven years of working with grandfather had a huge amount of wealth to steward in All my the Institute, part of the subject matter had evolved his life, he also found that it was too much of a burden activities, into the field that is now called Emotional to do by himself, and was glad to have his six children I have found, are part of Intelligence. Daniel Goleman, author of several books to take part in the process. The Rockefeller Brothers a learning on the subject, actually credited me for introducing Fund came into existence when my father (David process that him to the field, which at the time of the Institute’s Rockefeller) and his siblings decided to pool their sheds light on how we can 1 evolution was called Emotional Literacy. It is a subject resources. My generation created the Rockefeller do our that is very close to my heart. I believe it essential for Family Fund; it was our way of coming together. work more people to understand themselves and understand how Today we use these vehicles as collective vehicles of effectively. to communicate appropriately and effectively with philanthropy. Not only do we create organizations, but others. The beauty of this principle is that it applies we also serve on many boards, our own and otherwise. whether one is a child in a playground or the chairman All my activities, I have found, are part of a learning of the board of a major corporation. I am heartened process that sheds light on how we can do our work by the fact that many corporations and companies more effectively. Family members also look to the now seek the advice of consulting services to help help of advisors such as those we have at Rockefeller them deal better with interpersonal issues. Emotional Philanthropy Advisors (RPA). RPA enables all of us Intelligence has begun to make inroads in our to see what other good projects are being carried out communities. throughout the world, and how we as family members Our family has created a long list of can best leverage our financial resources. institutions—nearly 100 over the years—and I think this fact speaks to how the example set by Grandfather handing down the legacy and Great-Grandfather includes the spirit of An equally important part of this equation is: entrepreneurship.2 In fact, I refer to myself as a How are we as a family passing these values down to venture philanthropist. I think that many of the subsequent generations? Part of this challenge is members of my generation, as well as of the Fifth through personal contact, which I believe has had a Generation, have been extremely entrepreneurial in very strong impact on our family. Today, there are their approach to philanthropy. Part of the reason for about 150 blood relatives of John D. Rockefeller. this is that whereas Great-Grandfather could finance While practices vary from family to family, we have projects entirely on his own and through the creation always included our in-laws in all of our philanthropic of the Rockefeller Foundation, subsequent generations endeavors. I think this inclusion accounts, in part, for

22 Values, Rituals, and Communication Values, Rituals, and Communication 23 our strong affection for each other. In June, when we get together for our meetings, each There are several rituals in place that help us generation has a dinner. This very personal time to maintain relationships with one another. One is allows us simply to catch up with each other. Without This very the annual Christmas lunch that began with our that opportunity, the soul of the family would be lost. personal time Grandfather. When I was little, we used to go to his The next day, after all the business meetings are over, allows us simply to New York City apartment, but as the family grew out there is a time in the late afternoon when we celebrate catch up with of that space, we started to go to what has become the the birth passages of each person as they reach a each other. family seat—the “Playhouse” in Tarrytown, NY that critical birthday. Each person has the opportunity Without that opportunity, Grandfather built for the generations to follow. But we to be recognized, not for their professional the soul of the also have a family luncheon two weeks before, which is accomplishments, but for who they are as human family would scheduled around our annual meetings, held in June beings. Each person is asked if they would like to be be lost. and December of each year. Those gatherings, which presented to the family and, if so, who would they like everyone marks in their calendars, and which many to present them (there is quite a bit of free choice built of us attend, are part of the ritual or the structure of into this ritual). Finally, when they are presented, they how we get together. are given a rose. Their picture is taken with the person Within that structure of annual meetings and who presented them, and everyone claps. It is a very social events, there are several rituals that have simple but heartwarming ritual. influenced how we treat each other, how we act in The final ritual I will share here, “Inter- meetings—family or otherwise—and how we think generational Dialogue,” was created by my cousin about ideas and doing good in the world. One of these Laura Chasin and her husband Dick. They are is the simple act of making toasts. Our family loves to founders of the Public Conversations Project, whose talk! Last night, for example, my father hosted a main effort is to bridge the divide between people on dinner for the outgoing President of the Rockefeller opposite sides of issues. The Public Conversations Foundation, Gordon Conway. Midway through dinner Project has dealt with timely and difficult issues, such my Dad made the most beautiful and spontaneous as abortion, for one. Laura devised a wonderful system toast about him. It is a way of recognizing and whereby we—any member of the family over age appreciating those around us, whether family eighteen, in-laws included—sit in a circle, and each of members, colleagues, friends, or otherwise. us has two minutes to share whatever we wish. It can My generation has also created a number of be as simple as, “I just started college this fall,” to, “I rituals that have been adopted by the family as a have just found a new love in my life.” There are very whole. One of these is a ceremony called “Passages.” strict rules: listeners are not allowed to comment on

24 Values, Rituals, and Communication Values, Rituals, and Communication 25 what they hear; no one is allowed to give advice; and and found tremendous solace in nature as a place no one may interrupt. The purpose of the exercise is where there is never any judgment. simply to listen. Wouldn’t the world be a better place if more of us just listened? This is not something that Q: Could you comment on how the Rockefeller family we are consciously trying to instill, but I do think that and the Rockefeller Foundation feel about the listening is a value that is being passed on. Good issue of asymmetry. Most of the recipients of your listening leads to good philanthropy. I would now family’s philanthropy have so much less money like to open the discussion to questions. than you. How do you communicate dignity and create meaningful interchange with that level of imbalance? Q: There is obviously a very strong faith tradition in the Rockefeller family. To the extent that you are ERG: Certainly it is a subject that Rockefeller comfortable discussing it, how does that faith Philanthropy Advisors deals with on a daily basis in tradition in your own lives still impact what you advising clients. It is also a subject that is particularly do in the world? dear to my sister Peggy Dulany’s heart. She created the Synergos Institute, an organization that helps Eileen Rockefeller Growald (ERG): One of the values bridge the divide between the haves and the have-nots, I read to you was to “respect diversity,” and that plays from the ground up and the top down, both through itself out in terms of religion too. We have a number grass-roots efforts around the world and by using of religions represented in our family. I would say we the influence of government officials and people in share the basic belief in God and in the good tenets places of power to access funds for those with fewer of all religions—to be good neighbors, to do good resources. This can be done through a micro-lending for others, and to give to others in need. Religion, program, for example, or by establishing useful I would say, is not an issue, other than it being a good connections for people. It is a very profound question, foundation. There is also a strong sense of spiritual and I do not think any of us would say we in the connectedness to nature in our family. In fact, in my Rockefeller family know the full answer. generation I would say there is a stronger connection to nature than there is to any one God or one religion. Q: How did the practices you described come into That, too, was passed down from Grandfather, who being? Were they imposed, or were they reached walked through what is now Acadia National Park through prior consensus? And I am also interested (Maine), where he created the road systems himself, in how you deal with other kinds of asymmetry,

26 Values, Rituals, and Communication Values, Rituals, and Communication 27 such as the growing numbers of younger Q: What advice would you give to a family of several Rockefeller family members, age crossover among generations that is working together and trying to generations, and the forces of dissipation, both in improve methods of communication and terms family unit and financial capacity. understanding and to develop a cohesive giving program? ERG: It is a question that is on our minds. There is already a bit of crossover between the Fourth and the ERG: I am very interested in social and emotional Fifth Generations—two members of the Fifth are skills. My advice to any family working with different older than I. This is a topic of ongoing conversation generations is to learn those skills as best you can. The in our family. We may ultimately choose to meet by organization that I founded with Daniel Goleman, the interest area rather than by generation as one Collaborative for Academic, Social and Emotional mechanism of solving the issue. In terms of our Learning (CASEL), is the best of the organizations growth, I think we will eventually reach a critical working in the field. It has a website, and from there mass where no more people will fit in our family you can find out where to get training (www.casel.org). Once people feel heard, you spaces, and then we will have to find a solution. Short of that, I think it comes back to listening can begin to I think it is most important to keep the and to making sure people truly feel heard. One of the work as communication lines open between the generations. As techniques I used before I knew the term Emotional a “we” as opposed to one of the youngest in my generation, I remember Intelligence or Social and Emotional Learning, was to as a “me.” many conversations about when we were going to be take a flip chart to meetings. I have used this quite I think it is accepted for the work that we were doing, because the successfully with very strong-minded people with a much more fruitful way older generations were just so much more advanced. I differing opinions. Whenever someone repeats an idea to work. hope the Fifth does not have to wait too long for that that they will probably say three or four more times recognition. They work very hard, generally in during the course of the meeting, I write it down. I different ways and with fewer resources. make sure to ask them if I have understood exactly Our rituals have evolved organically. As what they meant. Writing comments down moves the I said, my cousin Laura Chasin suggested the conversation along, because the moment they see it Intergenerational Dialogue—my favorite, by the written, they feel heard. Once people feel heard, you way—and it was so inclusive that we were all can begin to work as a “we” as opposed to as a “me.” favorable toward adopting it. I think it is a much more fruitful way to work.

28 Values, Rituals, and Communication Values, Rituals, and Communication 29 I hope I have been able to impart some of the Learning Philanthropy: methods used by my family to generate not only good Opportunity and Relationship- philanthropy, but family unity as well. Building Among the Younger Generations

PETER O’NEILL

ALLISON WHIPPLE ROCKEFELLER

THEO SPENCER

PENNY FUJIKO WILLGERODT, VICE PRESIDENT & SENIOR PHILANTHROPIC ADVISOR, ROCKEFELLER PHILANTHROPY ADVISORS

enny Fujiko Willgerodt (PFW): I would like to stimulate a conversation among our three panel members, Peter O’Neill, Allison Whipple Rockefeller, and Theo Spencer, pall members of the Fifth Generation of the Rockefeller family. The discussion will be framed by the following questions: What Rockefeller What Rockefeller philanthropy value or heritage do you see in your philanthropy work? How have you learned about philanthropy? value or Like other families, the Rockefeller family has heritage do you see in developed both formal and informal structures for your work? organizing itself, and philanthropy has played a key How have you role in family affairs. Which of those structures has learned about 1 For more information, see: Daniel Goleman, Emotional Intelligence: Why It philanthropy? Can Matter More than IQ. (New York, NY: Bantam, 1997); and Daniel specifically helped you with regard to your own Goleman, Working with Emotional Intelligence. (New York, NY: Bantam, 2000). learning process? What lessons are relevant for younger generations of other wealthy families? As the 2 For a partial list, see: Kenneth W. Rose, ed., Select Rockefeller Philanthropies (Sleepy Hollow, NY: the Rockefeller Archive Center, 2004).

30 Values, Rituals, and Communication Learning Philanthropy 31 financial legacy of this family starts to wind down, doing, and being given opportunities to serve. Could younger generations have to struggle with the tension you comment? between the often unrealistic expectations from the non-profit sector and their own capacity to give of Theo Spencer (TS): I would like to mention the Youth, both time and money. How does one reconcile those Community Gardens, and Urban Environment tensions? Collaboration of the 1990s. At this time, the Fifth To begin, Peter has a number of facts about Generation was trying to figure out what its members the Fifth Generation that will help to frame our were interested in and what projects members could discussion. collaborate on. We conducted a poll, and the two top issues that came out were education and the Peter O’Neill (PO): I must begin by saying that we are environment. We wanted to get the hands-on now officially called the Fifth / Sixth Generation; this experience of carrying out a small advocacy project was recently changed in our bylaws, to incorporate the ourselves, so a few of us came together and started the growing Sixth Generation. To give an idea of the Youth, Community Gardens, and Urban Environment volume that we are talking about, the Fifth / Sixth Collaboration in 1993. generation has 89 members over the age of 18— To make a long story short, we decided that we comprised of 60 blood relatives and 29 spouses — were going to focus on community gardens in New whereas the next oldest generation, the Fourth, or York City that were threatened, unnecessarily we Cousins Generation, has 45 members over age 18— thought, by development. We conducted site visits and comprised of 21 blood relatives and 24 spouses. So the met with organizations that were trying to save them. family is facing a real challenge with regard to staying We then put out a request for proposals, pooled some connected as a family and effective as philanthropists. money, and eventually made some very small grants (ranging from $1,000 to $40,000). But it was an PFW: Serving on boards has been critical for members incredible process in terms of a hands-on experience. of the Fifth Generation in terms of philanthropy That was my initiation into working with other education—both for hands on experience, and for the family members, and was one of the factors that opportunity to observe older generations at work. led me to a greater involvement in other family There is a lot of discussion now in families about philanthropic efforts. the best ways to educate younger family members about philanthropy. This family in particular Allison Whipple Rockefeller (AWR): It was a wonderful has placed a great deal of emphasis on learning by project. The community gardens effort was literally

32 Learning Philanthropy Learning Philanthropy 33 grass-roots. There are 750 community gardens in New to leverage what we have by bringing people together. York City, and they were really born from vacant lots That entrepreneurial spirit allows for a much more that different neighborhood groups planted and active participation in solving the problem. We do not Rockefeller nurtured in the early 1970s. In the mid-70s the city simply respond to grant requests. family decided it was necessary to formalize relationships philanthropy with these community groups, and drew up annual one AWR: I think that being activist and engaged, as well is really entrepreneurial dollar leases. When we became involved, in the 1990s, as being willing to take a leadership role in advocating philanthropy. the city administration felt threatened. Rudolph for the causes that you care about is a characteristic of Giuliani posed an enormous challenge to these the work of the Fifth Generation. gardens at the time, and was revoking their leases. We went out there under those circumstances, and the PO: While the work of the Fifth is entrepreneurial, it results were just remarkable. We chose gardens that was facilitated by the leadership of Steven Rockefeller were affiliated with schools, because our poll had and others on the Family Philanthropy Committee indicated education and the environment, and we that helped set up the public charity known as The thought it would be a good way to combine both Philanthropic Collaborative (TPC). TPC, the donor …being activist interests. It was one of the first times that I can advised fund vehicle at Rockefeller Philanthropy and engaged, as well as remember in recent New York City history where you Advisors, allowed us the flexibility to quickly convene being willing had an integrated group of funders and non-profit a pool of resources around an issue. Most of the to take a leaders coming together around an issue and making money for the project came from the generosity of leadership role in advocating a real difference. As a result of this effort, hundreds members of the Third and Fourth generations, which for the causes of gardens were saved from demolition.3 were trying to support the leadership of the Fifth that you care Generation and to give it an opportunity. about is a characteristic TS: That leads me to one of the aspects of this family of the work of that really interests me and is reflective of some of its PFW: Allison, would you tell us about the Cornerstone the Fifth traditions. Rockefeller family philanthropy is really Parks Project, since we are on the topic of the Generation. entrepreneurial philanthropy. What interests me about environment? philanthropy is the idea that you can see a need, identify it, and try and bring people together to help AWR: The Cornerstone Parks of New York is an solve the problem. The Rockefeller Family Fund’s initiative housed at Rockefeller Philanthropy endowment is not as large as that of other family Advisors that essentially deals with closed gas station foundations or other foundations in general, so we try properties, and their rehabilitation into micro-parks

34 Learning Philanthropy Learning Philanthropy 35 and community centers. There are 180,000 closed gas on what is considered older and outspent. So I believe stations in the United States. There are 800 in New my generation is turning around and looking at what Hampshire alone, and thousands in New York State. has happened behind us, and has embraced the notion It is remarkable how these have become part of our that we can work together to find solutions for the landscape. Those appropriate for the Cornerstone betterment of the world that we know and love. Parks of New York project are defined by a very specific criterion: they must be located in the historical PFW: What you are talking about is a leveraging of center of an older community or town, and not in a resources and connections in order to make projects strip mall or shopping center, and they need to have come to fruition, as well as a leveraging of our cultural the service station building on site and some sort of history. I think the ability to recognize good leveraging local revitalization effort underway. Many fit that opportunities would be another characteristic of the criterion. Whenever I’ve spoken about this project, it Fifth Generation’s approach to philanthropy. This also seems everyone has their hometown gas station to touches on the dynamics of asymmetry, as it was called recommend. earlier, of having or not having power, as well as on

I believe I am working hand in glove with New York the responsibility that comes with having access to we are a State government, and my intention is to create resources, and how those are deployed. generation a network of small parks and community centers Peter could you speak about your experiences of healers. throughout the state. I would very much like that New in raising capital funds for the International House? I York State communicate its values and its traditions know this was a challenge and a great leadership through this network of parks. In other words, I would opportunity that was given to you. Yet, as a member of like each Cornerstone Park to host a “New York the Fifth Generation, you clearly have less access to History Day,” a farmer’s market or other seasonal resources than the older generations. This is a topic events featuring New York State products—whether that is relevant to other families, and I think it is they are agricultural products or arts and crafts. important that we talk about that openly. This project represents a way of looking back at our state heritage, and a way of preserving those PO: John D. Rockefeller, Jr. and his wife, Abby Aldrich traditions that are quickly disappearing. I think my Rockefeller were deeply involved, along with others, in final comment would be that I believe we are a helping to found International House. David, Sr., their generation of healers. We have experienced the youngest child, was a board member and chair of the destruction of our hometowns as we knew them, and executive committee for many years. The work with we as Americans have turned our backs, traditionally, International House has been very personal family

36 Learning Philanthropy Learning Philanthropy 37 philanthropy. I have heard David recount stories members to meet and engage in philanthropy as about being a young child and meeting students from a Family. International House at his parent’s apartment. Hearing We have term rotation in most of our them discuss international issues sparked an interest at institutions, and I will be rotating off next year. There a young age that has continued throughout his life. are already a growing number of family members in Last night I hosted six graduate students from South their early 20s who are going to be rotated on. Our Africa, Kyrgyzstan, and other countries, and it was a real challenge in the future is how to keep the historic Our real wonderful experience for my own children, ages 8 memory of senior people, while allowing the new challenge in and 9. generations to express themselves. the future is how to keep I was on the capital campaign committee with the historic my mother, and Uncle David was very generous to the TS: One thing I would add in terms of the experience: memory of campaign, so it is a family effort. My mother really I admire all Peter has accomplished for International senior people, while allowing helped me to become an equal player, again through House. But he mentioned his mother and her helping the new the TPC. I am now 41. My parents put money aside him to become involved. I too had a charitable trust generations for each one of us. This was very important, set up by my mother. I had to make contributions to express themselves. because when you ask others for money, they want from it every year, so I worked with Donald Ross, who to know that you are also giving. I actually lived in was then head of the RFF, to become involved in the International House for two and a half years while decision-making process. It was through that activity in graduate school. I had the family and other that I became interested in environmental issues. He connections, but I needed to learn how to effectively then got me on the board of a New York State group, fund raise. Environmental Advocates, and my work there There is now not a board that I serve on where ultimately led me to leave my job in journalism and to I do not do that—ask for money—and it is a very begin working with an environmental organization. important skill. Like everything else, it is something I now work for the National Resources Defense you learn about through hands-on experience. I Council. It was wonderful to have had the hands-on learned about the structure of capital campaigns, experience of working with someone who knew about which helped me in leading the Rockefeller Family the non-profit world, and who helped me to make Fund’s (RFF) capital campaign, which has a growing decisions that eventually led me to a change in careers. endowment that stands at $74 million. I see the RFF, created by the Third and Fourth Generation, as PFW: One of the roles that Rockefeller Philanthropy an ever-important institution to enable family Advisors sees for itself is to provide information about

38 Learning Philanthropy Learning Philanthropy 39 the non-profit sector and to guide Family members in “No.” Just like everyone else, I have to turn projects One of the their endeavors. Peter, I would like you to talk about away because there are many other areas in which I roles that the donor advised fund and how it has been used, have stronger interests, and I am also trying to balance Rockefeller Philanthropy because I think it illustrates how families can assist those interests with having children and a family life. Advisors sees younger generations in learning about philanthropy I pick projects that I am passionate about, and for itself is and in practicing their own philanthropy. organizations that I may have fun with. to provide information The transmission of values is also very about the PO: My parents put money each year into the important to me and it makes me reflect on my non-profit ARMGO Fund for myself and my siblings (The parents, who were more involved with organizations sector and to guide Family ARMGO Fund is a donor-advised fund at Rockefeller where they had relationships with excellent members Philanthropy Advisors / The Philanthropic professionals, just as I do with those that I work One of the in their Collaborative). Parents can contribute stocks or with. One of the hallmarks of Rockefeller family hallmarks of endeavors. money to the fund and have their children advise on philanthropy is having brilliant people around to Rockefeller the grantmaking. This is not only a wonderful learning nurture us, to share ideas with, and to make sure that family philanthropy opportunity, but it also gives one great flexibility when we grow. I saw how much my parents enjoyed and is having one’s income does not match one’s interests. It has valued their philanthropic work. I find that all the brilliant people been a very useful vehicle, and I hope to do that with boards I am on are fascinating, whether they are a around to nurture us, to my children one day. part of my business world or my philanthropy world, share ideas because I learn so much. I have always felt that with, and to PFW: Thank you, Peter. I would like to open the somehow I receive more than I give. When you are make sure that we grow. discussion to a few questions. with interesting people and on a high learning curve, you cannot help but to have fun and grow. Q: You have so many things that you could conceivably be interested in. How do you sort them out? You Q: The saving of the community gardens seems to be must be bombarded with great ideas that could be a mopping up of bad public policy. It caused me to the enemy of the truly excellent ideas. question the role of philanthropy in those sorts of situations. My question is really about public policy, PO: I have stayed focused by being a social worker and and how your philanthropy engages it. What is running a mental health clinic, which I have done for your view about the use of philanthropy to eleven years. I did not have time to get involved in too influence and address public policy? many things. One important skill is to learn to say,

40 Learning Philanthropy Learning Philanthropy 41 TS: That it is a very difficult question, especially now. relationship when one gives money to another person As an individual I am very unhappy about what is or organization. And as someone who has written happening in this country politically. It is a question grant reports and received grants for my work in East of how you balance your personal involvement in Harlem, it is a potentially corrupting situation, because philanthropy and what you are able to do as an the staff must focus on outcomes that are anticipated individual with the role that you play on boards. It is and expected by the multiple grant-giving institutions also a challenge, I think, to balance defensive work—in and governmental funders. What we at the RFF have other words, trying to maintain the status quo—with been trying to do is to create a form whereby grantees trying to do something that gets at a bigger problem. can give honest feedback without feeling they will be Where should you expend your energy? Is it in trying penalized for expressing dissatisfaction. to put your finger in the dam, or in trying to create Much of the time in the non-profit world, we, a whole new water delivery system? It is a very funders, do not get feedback on the job we do. Are we complex issue. treating people well? How can we be more supportive? Our form helps us to evaluate this uneven relationship What we at the RFF have PFW: Regarding the Community Gardens to some degree. I think one of the problems from the been trying Collaboration, I think certainly the early and mid- funder-side is that we focus on our own outcomes to do is 1990s, when the collaboration began to delve deeper rather than asking what grantee organizations are to create a form whereby into the tension between housing development and doing and where they need money. In running the grantees can community gardens, it was a period of real learning for clinic, we have to report to three different state give honest many members of the Fifth Generation. It was, in agencies that all have outcome objectives. feedback without effect, the first time they engaged with public policy in Some grants are as small as $20,000, but they feeling they such a face-to-face, confrontational way. I remember expect detailed outcome reports from a small staff that will be meetings held with city council members, trying to get is already overburdened by many other outcomes, penalized for expressing meetings with commissioners, and family members expectations and reporting. dissatisfaction. wanting to take advocacy further than they were able. PFW: Certainly effective philanthropy is about clear Q: In all these endeavors, do you have mechanisms for and open communication in both directions. As Eileen getting feedback from grantees? Growald mentioned earlier, effective listening is certainly a value of the Rockefeller family, and I think PO: I know the RFF gets feedback through survey that value is reflected in our work as grant-makers and forms. We try, because it is an unequal power donors, and in trying to move agendas forward and getting projects accomplished.

42 Learning Philanthropy Learning Philanthropy 43 Q: It occurs to me that you all have done so many Personal Engagement and creative things, as well as keeping up with the Passion in Philanthropy: legacy that you have been given. Some of you serve on boards of places where your parents or Two Generations Share their grandparents served. Do you find that what your Experiences parents involved you in moves you toward these other projects such as the Cornerstone Parks, or do DAVID ROCKEFELLER, SR. you find that your interests depart from theirs? DAVID ROCKEFELLER, JR.

AWR: In my case, I was not born a Rockefeller. My Effective philanthropy children were, and they will have to deal with those avid Rockefeller, Jr. (DR, Jr.): It is a pleasure is about clear issues in due time. But I have enjoyed this legacy very to be here with my father and to share some and open much, because all of the passions I had as a young of our thoughts. Our remarks will focus communication in both person and a young adult, before I ever met my more on our personal experiences and our directions. husband, are so spot-on in the legacy that this approaches to philanthropy rather than on family has given me the privilege to be a part of. dintra-generational issues. I am extremely interested in New York State, and I am We have, I am delighted to say, shared some interested in open space and conservation, and there is philanthropic activities, beginning with serving on the not one board meeting that goes by without Nelson board of the Rockefeller University, on which my Rockefeller being remembered as the initiator of a father has now sat for more than 60 years. I had a directive for clean air and clean water; or Laurance short tenure there largely because it did not directly Rockefeller with the Greenway, Central Park and the relate to my specific passions, a theme I consider very National Parks; or David for his emphasis on the important. We have also served on the Museum of American farmland and the interpretation of Modern Art (MoMA) board together—my father for agriculture and seasonal food. They are all more than 50 years and I for over 25. We served in remembered. These things are such a pleasure to succession on the board of the Rockefeller Brothers waltz into, having done nothing but enjoyed the ride, Fund, as well as on the board of a smaller foundation and I am so pleased and so proud to be a part of it. called the David Rockefeller Fund, which my father set up in order to engage his children and grandchildren in philanthropy. In addition, I 3 Some of that work is documented Kim Robinson, Collaborative Grant Making: Lessons Learned from the Rockefeller Family’s Experience (Washington, DC: succeeded my father as the American advisor to the National Center for Family Philanthropy, 2001).

44 Learning Philanthropy Personal Engagement and Passion 45 Praemium Imperiale—an organization that distributes directives taught me useful lessons—accountability and international prizes for the arts. sharing. To begin the discussion, I would like you, I also learned from him the importance of Dads, to reflect on how your own father and seizing opportunities. I can think of two instances that grandfather influenced you when you were young. illustrate this principle. This first occurred on a trip to First you could address conversations about Williamsburg, Virginia. Father and Mother used to philanthropy, and then you could delve into some early take their children on trips during vacations to influential trips that I know that you took, where not different parts of the United States and, later, abroad, only philanthropy but the potential of philanthropy so that we would get an appreciation of what was was a theme. going on in the world. We went to Williamsburg because Father had met the rector of a church there David Rockefeller, Sr. (DR, Sr.): I was 21 years old when and thought highly of him. Williamsburg had been the Grandfather (John D. Rockefeller) died. Growing up, I seat of the governors of North America before the saw a lot of him, and was devoted to him, as I think he American Revolution. Dr. W.A.R. Goodwin, the was to me. I visited him in Florida, in Lakewood, NJ, pastor of the church, was our guide. He showed Father and in Tarrytown, NY. We had meals together, and I a particular building that needed to be restored. After enjoyed his company immensely. By the time that I we left, he wrote Father and asked him if he would came to know him, however, he had ceased to be restore it, which he did. Father became more involved personally in philanthropy. Although he was interested, and ended up financing the restoration of an important influence in my life, his influence was the entire village of Williamsburg, which I hope many not directly related to philanthropy. of you have visited. You still can see the letter that It can be very Insofar as Father (John D. Rockefeller, Jr.) Dr. Goodwin wrote to Father, and the response in satisfying to was concerned, I think I learned a great deal about which Father signed the letter “David’s Father” identify a need philanthropy from him. Philanthropy was important because he did not want it to known that he was and seize the opportunity to my father in many respects and he felt that it was buying up the land. to help important that his children learn about it at an early The second such example occurred when we alleviate it. age. He gave us an allowance starting around age ten, visited Versailles, France right after World War II. and no matter how small the allowance was, it was The guide pointed out the fact that the chateau was in given with the understanding that: (1) we would keep danger of being ruined, because water was coming a record of how we spent the money; and (2) that we down through holes in the roofs and destroying walls. would give ten percent of it to charity. Both of those Afterward, Father put up the money to replace all the

46 Personal Engagement and Passion Personal Engagement and Passion 47 roofs of Versailles. If you have been there, you know it DR, Sr.: I felt as though I came up through the ranks is quite a big place, so it was not of Chase. Over my 35 years there I think I held every an inconsiderable thing for him to have done. He took officer position possible, from assistant manager to a personal interest in seeing the project through and I chairman. As I worked my way up I observed that the remember on one occasion staying at the hotel in bank’s charitable gifts usually reflected the interests of Versailles and being allowed to ride bicycles through the senior officers of the bank, and or those of their the park and to walk on the roofs while they were wives. But it did not seem to me that there was any being restored. logic or cohesiveness to Chase’s giving. I persuaded the I mention these stories because they gave me officers to spend a weekend together to discuss what insight into some of the things that Father did and the bank should be doing and how much it should For all of us, how he happened upon them. It has been a great spend. We developed a program much along the lines, the question lesson to me, and I have followed his example. It can really, of the Rockefeller Brothers Fund, as a result of of how much be very satisfying to identify a need and seize the which the bank had—and I think still has—a rather strategic thinking we opportunity to help alleviate it. carefully organized corporate philanthropic program. ought to do as I think it has been very effective over the years, individuals, as DR, Jr.: I know my father follows that rule. If you ever much more so than if Chase had continued to give corporations, and as have the opportunity to sit in his office and an idea is on a purely casual basis. foundations, generated about someone who can make something is an important happen, it is never his response to say, “I’ll get to DR, Jr.: For all of us, the question of how much one. that next week.” He says, “Would you get that person strategic thinking we ought to do as individuals, as on the phone, please?” Immediate response in corporations, and as foundations, is an important one. philanthropy, and an entrepreneurial nature, is very With all the choices available, it is very hard to do important. The renovation of corner gas stations what our grandfather and great-grandfather did, which through the Cornerstone Parks Project would be, is to sprinkle dimes around, as Peter Johnson likes to I think, a very good example of that entrepreneurial say. In my own case, my mother (Peggy McGrath spirit. Could you comment on your experiences at Rockefeller) was deeply interested in music, and that Chase Manhattan Bank? You were one of the leaders had a great early influence on me. She used to play the in the corporate world when Chase developed its piano when we were sitting in the evening, either famous art collection, but you also led Chase to doing homework or having a martini. (I was not the become an important vehicle for institutional one with the martini.) Those evenings formed what philanthropy. has become a lifetime of connection to music and the

48 Personal Engagement and Passion Personal Engagement and Passion 49 arts for me. Certainly, art was around on the walls, and the responsibility for a certain percentage of what music was playing in the house. My passion led me I give away each year to each individual on the board. from music and art to arts education, and, ultimately, In that way, each child or grandchild can have a hand to an interest in education reform. And I can trace it in making personally some of those gifts. This has all back to the piano in the living room and the been both fun and productive, and it has introduced Cézanne over the sofa. me to a number of areas that I might not have thought That leads me to ask, Dads, as you think about of myself. the difference between your community giving, and your giving to some of the larger institutions with DR, Jr.: I myself have two daughters, both students which you’ve been so identified—Harvard University, at Columbia University. The older one has already the Museum of Modern Art (MoMA), and the served on the David Rockefeller Fund board, and the I have found Rockefeller University as three major examples—how younger one is coming up in the near future. As they it very differently do you think about your giving to major both live in New York City, they have the opportunity valuable institutions with which you are personally involved to see not only what their father is doing, but what to have my family’s input versus your community giving? their grandfather is doing and thinking. The theme, it on what I seems to me, of personal engagement, is so important. consider to DR, Sr.: I think both are equally important. I set up You mentioned the personal engagement of your be my responsibilities the David Rockefeller Fund in part to address father, John D. Rockefeller, Jr., in Williamsburg, VA. to the community responsibilities, but also because I was You didn’t mention that he rejected, as I understand it, communities eager to have my children and grandchildren observe the colors of some of the bricks that were shown for in which I live, as well as how I have been giving money away. Not that my way possible use in the structures. But you have had similar to hear their is the right way, but it is one way of doing so, and I connections, surely, to the wonderful MoMA, in its thoughts on was interested in their participation and involvement. four iterations. Can you talk a little bit about the what other areas would From my perspective, it has been very useful. meaning of personal involvement, and by that I mean be of interest. Because I have so many children and not just financial involvement? grandchildren, we have a system of rotation on the board. I have found it very valuable to have my family’s DR, Sr.: The MoMA was inspired by three remarkable input on what I consider to be my responsibilities to ladies, one of them my mother (Abby Aldrich the communities in which I live, as well as to hear Rockefeller), in the 1920s. These three ladies invited a their thoughts on what other areas would be of young graduate student at Harvard named Alfred Barr interest. We have also been working on distributing to share his thoughts and advice with them. That is

50 Personal Engagement and Passion Personal Engagement and Passion 51 how the MoMA began, and, of course, it has had an of what turned out to be the winning architect was an extraordinary career. There has been a lot in the entire education in itself. I think it was Peter O’Neill papers about the new building, which has just been who said that we often feel that we get more than we The pleasure completed by a very brilliant Japanese architect, Mr. give. That feeling really comes about through personal of the involvement Yoshio Taniguchi. I think it has become one of, if not involvement in programs or projects. The pleasure with the the, greatest museum of modern art in the world. The of the involvement with the institutions sets up a institutions space was dedicated yesterday, and I cut the ribbon resonance whereby the giver gives freely and with joy sets up a resonance assisted by the governor and the mayor of New York. and learning. Ultimately I believe it is the programs whereby the It is exciting to me that this institution, which started that we have been personally involved in that give us giver gives out very small, has now opened a magnificent new the most pleasure. That has certainly been true for me. freely and with joy and building that is, in my opinion, in itself a very Nonetheless, giving funds without involvement learning. beautiful work of art as well as the ideal setting for is also important, because you cannot be involved Ultimately I some of the most magnificent works of art of the in every project if you give, as I do, to about 100 believe it is the th st programs that 20 and 21 centuries. different organizations, or, as my father does, to 500. we have been So, though you cannot do it everywhere, you can personally DR, Jr.: Your comments make me think about a depend on your friends or colleagues to tell you about involved in that give us the comment made in the previous discussion about the great enterprises in which they are engaged. You can most pleasure. pleasure of knowing really interesting and powerful trust that they have good ideas and good connections. That has people. Because of my Praemium Imperiale trips to Turning now to family foundations: Dads, certainly been true for me. Japan, I was in Tokyo on a regular basis during a ten- could you describe the early days of the Rockefeller year period. When Yoshio Taniguchi became one of Brothers Fund and how it shifted over time from an the three finalists for the MoMA project, I decided I enterprise that was more, as I understand it, about wanted to see his buildings. He gave me a personal personal community giving, into something that had tour through four of his Japanese buildings. I can say a much more strategic cast. that the consistency of his work from what he did earlier to MoMA is amazing. He took concepts that DR, Sr.: I had four brothers, none of whom, sadly, are played out in very clean, uncluttered environments, alive today. Immediately after World War II, we began such as the case of the aquarium in Tokyo or of the meeting on a regular basis to discuss what we were Toyota Museum in Toyota City, for example, and put going to do with our lives, what we thought was them into the middle of a very complicated block in important, and how we would manage the properties Manhattan. Having a chance to see through the eyes and possessions that had been passed down to us by

52 Personal Engagement and Passion Personal Engagement and Passion 53 our father. As a result of those meetings, we recognized although the beneficiaries are probably not generally early on that we were each being approached for entities that our family is personally involved with, charitable contributions by many of the same much less certainly than in the early days, the themes organizations. Without any coordination, it would have are similar. Many of the members of our family still been inevitable (and awkward) that one of us might reside in or near New York City. This is strongly give a very modest sum and another very much more. reflected in the program of the RBF. We thus decided to give jointly to those organizations This is where I believe that scale of the family in which we shared a collective interest. We first has a lot to do with what your family strategies are. I do think that gathered advice from Arthur Packard, our family When you are five brothers and a sister and thinking the heart is as philanthropic advisor who had worked with Father. But about what you want to do collectively, it is very important as the mind in soon afterward we came to the conclusion that it would different from when you number close to 90, such as charitable make sense to have an organization to manage those the Fifth / Sixth Generation. Imagine collective giving. A gifts, and we created the Rockefeller Brothers Fund decision-making there, where it makes more sense to program of giving that (RBF), which today is a well-known organization with have entities that reflect in a general way the strong is based substantial resources. Although our relative resources interests of the foundation or members of the family, exclusively on were quite different at the time we established the and to bring in professionals to help out. the intellectual and objective Fund—I was the youngest, and Father appropriately This also raises the question of how to define may miss gave us increasing amounts as we got older—each of us the family as the generations expand. Are you the important contributed to it, and Father gave a substantial amount nuclear family; are you the line of your father or your opportunities. to help launch the program. After his death, the RBF grandfather? I think the DR Fund is a response to our became a much more significant foundation than it had sense that at its most satisfying, philanthropy can be been originally. That leap occurred in the mid 1960s. a very personal experience. If the family is too big, RBF is now run in a very different and more organized then that personal experience can be hard to maintain. way than it had been originally, and with a much more So while the Rockefeller Foundation is run by non- defined program of activities. But I think all of us felt Rockefeller family members, the RBF, chaired by my that originally it was a very satisfactory way to be able cousin Steven Rockefeller, has seven or eight family to accomplish a great deal more collectively than we members involved, and the DR Fund has family could have on a purely personal basis. members of my father’s line only. Someday there may be the DR Jr. Fund. The RBF has shifted over time in DR, Jr.: It is interesting that today there is still an response to the scale of the family and the scale of the important New York City program at the RBF, and historical interests, and frankly the size of the issues in the room. Have you got any closing thought?

54 Personal Engagement and Passion Personal Engagement and Passion 55 DR, Sr.: Just to re-emphasize that I do think that the I think it would be unfortunate if that were not to heart is as important as the mind in charitable giving. continue. What the impact would be if there were no A program of giving that is based exclusively on the estate taxes is a challenge, because in a sense you have intellectual and objective may miss important less incentive, rather than more, to give. I would hope opportunities. I learned that from my father, and that people would say, “Well, how wonderful, we now I’ve tried to do it myself. Over and above a program have no taxes, therefore we will give even more than that is well-planned and organized, when you see we would have with the taxes.” But I am not sure that opportunities it is wonderful to be able to do would always work. I do think the percentage is really something about them. the question. In my mind, it would be a mistake to eliminate the tax altogether, but on the other hand I DR, Jr.: I guess one would say that if an outcome- think 70 or 80 percent, which we had at one time, is based strategy of philanthropy was taken to its much too high. extreme, the heart would not be engaged. You would engage the mind, and you might not do as well and DR, Jr.: If you look abroad, you see that private charity probably would not have as much fun, and I certainly is, even in very wealthy nations, not a major theme. subscribe to having fun. Let us see if we have I think the question would be, would the residue of the stimulated any questions. stamp of generosity that had been impelled at least to some extent by the tax code, remain and be sustained, Q: I hope this will be a hypothetical question, but as or would we glide into the path of many European and you know, Congress might eliminate the federal other nations, where private philanthropy is really not estate tax. In that case, what effect do you feel this a major player? You may know that Bill Gates, Sr. took will have on the heart, the mind, and the quantum a leading role in advocating for the estate tax. I tried to of giving? help him a couple of years ago, and to date we have not fully prevailed. I think there could be serious DR, Sr.: In my mind there is no doubt that the disadvantages to the non-profit sector as a whole, fact that we are given charitable deductions on certainly in the long run. Whether it would be as contributions is a very positive, encouraging factor to much of a problem in the short run, I think, is giving. I have intended to give the full amount of my probably the main question. charitable deductions ever since that went into effect, and in a number of cases I have gone beyond the Q: I wonder if you might add another historical note. amount. It is a big stimulus to charitable giving, and When we think of the Rockefeller family, we think

56 Personal Engagement and Passion Personal Engagement and Passion 57 of generations and generations in philanthropy, branch; we have worked at it and enjoy each other and but when we think of some of the other great enjoy working together. 19th-century fortunes—the Carnegies, the Vanderbilts, and the Harrimans—we do not think DR, Sr.: And because of the example that was set by of philanthropy. Perhaps the only other examples Grandfather and Father. I can think of are the Rothschilds and your various families. Are the Rockefellers unique, or DR, Jr.: Exactly. So it is very conscious. I have been are there other families that have succeeded over working on my daughters, and the proof of those multiple generations? puddings is still, I think, to be seen. But we do have the example of passing these values down, one person DR, Jr.: I am not a historian of family philanthropy, to another. I do not know how long it will go on, and but I think it may be that other families are more it would be an interesting question, I think, to ask under the radar and doing as much as five and six whether, and to what extent, other families have been generations down the line as our family. We have successful in keeping these traditions. tended to retain family names in our foundations, and without, frankly, any public relations guidance, I think, Q: Those of us in the field can never drive up the have kept the Rockefeller philanthropic “brand” out west side of Manhattan without thinking about there in the minds of citizens. Some 10 years ago, the origins of the Palisades. Do you feel that there around the time of the sale of Rockefeller Center, was a sense in your father’s generation that the a well-known public relations advisor told us that philanthropic dollar had more “oomph,” if you will, philanthropy was really the most distinguishing in addressing issues and making major changes than characteristic of the family today, not historically, it does today? and that to the extent that we wanted to continue strongly as a family, we should promote that. And DR, Sr.: I certainly think that Father had resources at I think, at least informally, we probably have. Why his disposal that were considerably greater than that of other families have not persisted in this way, I really any of the subsequent generations, making it possible do not know, but it takes a lot of work, especially when for him to undertake projects such as the restoration of the family is large. The William branch, John D. Williamsburg, VA, or Versailles, or the Palisades. Any Rockefeller’s brother, and all his descendants, probably of these for my generation and beyond would be group number some 500 or 600 members by today. I do not efforts. I have to say the Northern Forest Lands believe they have as much cohesion as the John Collaboration is a good example of a large-scale

58 Personal Engagement and Passion Personal Engagement and Passion 59 project to which our family has given substantially, Q: With regard to Chase, were you building a good while also bringing in the contributions of other Chase, or a good art collection? What role should a donors. I think that may be a tradition that could be corporate art collection play? continued not only by our family, but picked up by others. If one group sets the lead in undertaking a DR, Sr.: We started the art collection when I was a project beyond their own financial capacities, they can senior officer at Chase. I felt that there were several bring other partners in to support it. considerations. First, there was the question of a brand new building that we had built at 1 Chase Plaza that DR, Jr.: Real estate values certainly are a factor, as is had a lot of wall space that was going to be pretty bare the capacity of the family. From a real estate point of if there was nothing on it. Gordon Bunshaft, the view the northern forests, which are located in architect of the building himself, said to me, “I think northern New York State and New England, are not you need to consider what you are going to do about If one group near any major urban areas that tend to exacerbate that.” So we put together a committee of five very sets the lead property prices. Grandfather had both the capacity and distinguished heads of museums, including Alfred Barf in undertaking the vision in a time where the Palisades were close, but from the MoMA, to advise us as to how we could go a project beyond their not as close, to the developed New York City as they about filling that space in a way that would achieve own financial are today. Thank heaven he had the vision and the its objective of covering the walls with something capacities, opportunity. The opportunities that are out there are interesting, while also being able to support living they can bring other not as obvious, and not as close, certainly, to us urban artists and to acquire beautiful works of art that would partners in to dwellers, as they were in the past. Nonetheless, there be of interest to those who worked in the bank as well support it. are opportunities in the natural world. My work with as those who visited it. We set up an art committee of the National Park Foundation has caused me to see distinguished advisors to help us and then proceeded what amazing advances can be made in some of the to purchase the works of art. I think the results have outlying national parks where there are in-holdings or demonstrated that it was worth doing: many people adjacent holdings that could be added in order to give working for and visiting the bank have enjoyed these integrity to a park. Summer 2005 will be the 25th works over the years, and, in addition, it certainly has anniversary, for example, of Jimmy Carter’s signing of helped a lot of living artists. It has also turned out to the Alaskan National Lands Conservation Act, the be a rather good investment, because the value of the land conservation act that essentially doubled the size collection today, I think is something like five times of the national parks system in one stroke of the pen. what it was when we bought it. Many other corporations followed Chase’s example.

60 Personal Engagement and Passion Personal Engagement and Passion 61 DR, Jr.: I guess it raises the question of what is value, But that aside, I think that the ability that I have had and is value only measured in dollar terms. Certainly, to participate in a number of really exciting and Dads is saying it is not solely based on monetary value, worthwhile undertakings has given me enormous although shareholder pressure tends to push value pleasure. The ribbon-cutting of MoMA was very toward monetary value. My sisters Eileen Rockefeller exciting. It is a tremendous institution, and I have Growald and Neva Goodwin have been working taken great pleasure and satisfaction in raising the I think that the ability that I toward a system of evaluating GNP that takes into money that made the expansion of the museum have had to account non-strictly monetary values such as the possible. So I put very high on the list of satisfaction participate in beauty of the land. If a country digs up its landscape to the ability to do things that are both worthwhile and a number of really exciting produce factories, but loses its tourist base, or the in which one believes. and worthwhile respect of the rest of the world, has it really net added undertakings value? I think there are some similar issues for DR, Jr.: A one-word answer to your question would be has given me enormous shareholders, but it is difficult to quantify. that the creator said, “Thanks.” pleasure.

DR, Sr.: Fortunately, in the case of Chase’s art DR, Sr.: Hopefully he will. collection, even the shareholders can feel they have made a good investment. I am not sure that too many DR,Jr.: It is always nice to be thanked. of the stocks and bonds that the bank has bought have appreciated more than the values of the works of art in its collection.

Q: I have a question of the heart, so please only answer it if you are comfortable doing so. You both led your lives with the full perspective of your lives in mind, so when you get to the end of your lives, what would you like your creator to say to you?

DR, Sr.: Well, probably I am closer to that than David. I have to say, looking back, the thing in my life that has given me greatest satisfaction is having six remarkable children and now many grandchildren.

62 Personal Engagement and Passion Personal Engagement and Passion 63 Biographies tirelessly with her Cousins and other generations of the family on philanthropy. MELISSA A. BERMAN is President and CEO of Rockefeller Philanthropy Advisors. Melissa Berman PETER JOHNSON is an author and historian who has led Rockefeller Philanthropy Advisors since has worked for the Rockefeller Family since 1976, January of 2001. Previously, she served as Senior Vice most closely with John D. Rockefeller III, Laurance President, Research and Program Development at Rockefeller and currently with David Rockefeller, as The Conference Board, a nonprofit, independent an advisor on political and economic issues. He is the business research organization. She oversaw all co-author, with John Ensor Harr, of The Rockefeller research and publications on management practices, Century (Scribner’s, 1988) and The Rockefeller including global corporate citizenship and governance. Conscience (Macmillan, 1991). He has worked closely Ms. Berman is a Director of City Harvest, Rockefeller with David Rockefeller for more than a decade on his Philanthropy Advisors and the Foundation Center. She Memoirs, which was published in October 2002, and is a member of the national advisory panel for New has now been translated into ten foreign languages. Ventures in Philanthropy. She serves as a Judge for Mr. Johnson contributed articles on members of the the Ron Brown Award for Corporate Citizenship, Rockefeller Family to The Encyclopedia of New York a presidential award. Ms. Berman holds a B.A. City History (Yale University Press, 1994), and has from Harvard University and a Ph.D. from written for other scholarly and popular journals, Stanford University. including the Colonial Williamsburg Journal. He and his wife authored articles on the history of Schoharie EILEEN ROCKEFELLER GROWALD, a member County, New York for the new Encyclopedia of New of the Fourth or Cousins Generation, founded the York State History, which will be published in 2005. Institute for the Advancement of Health in 1981. In 1994 she co-founded CASEL, the Collaborative for PETER O’NEILL, a member of the Fifth Academic, Social and Emotional Learning. She is Generation, is a social worker. He is the director of deeply involved in the independent school movement a mental health clinic at Boys and Girls Harbor, an in the United States, as well as the conservation of institution with which he has been affiliated for 11 farmland, viewscapes, and biodiversity. She is the years. He is also currently an adjunct professor at the founding chair of Rockefeller Philanthropy Advisors; Columbia University School of Social Work. He she has also served as chair of the Rockefeller family’s serves on many Boards, both in the private sector and own Committee on Philanthropy, and has worked the public sector. He is on the Board of the Grace

64 Biographies Biographies 65 Church School and International House, where he was (Ph.D., 1940), Mr. Rockefeller served as an officer of leader in a major capital campaign and Chair of the the Chase Manhattan Bank from 1946 to 1981. He Finance Committee. He is currently the Board was Chairman and Chief Executive Officer from 1969 president of the Rockefeller Family Fund, for which until 1980, and continued as Chairman until his also he has been actively trying to build an endowment. retirement in 1981. He served as Chairman of the bank’s International Advisory Committee from 1981- ALLISON WHIPPLE ROCKEFELLER, a member 1999. Mr. Rockefeller has also been involved in of the Fifth Generation, is an advocate for parks, open numerous other businesses, cultural and educational spaces, and historic preservation. She chaired the organizations. His publications include Unused Student Conservation Association, a national non- Resources and Economic Waste (1940), Creative profit that places students in the National Park Service Management in Banking (1964), and Memoirs (2002). system in the United States. She is currently a commission member of the New York State Office of DAVID ROCKEFELLER, JR., is a member of the Parks, Recreation, and Historic Preservation. She is Fourth, or Cousins Generation. He is the former also a long-time Trustee of the Museum of the City chairman and a current director of Rockefeller & Co. of New York, and is a member of the Women’s and an active participant in the non-profit arena, Committee of the Central Park Conservancy. She has especially in the areas of the environment, launched a new project called Cornerstone Parks, an philanthropy, the arts and public education. He is initiative that works to create a statewide network of the immediate past Vice Chair of the National Park small parks and community centers from closed gas Foundation. He was also a member of the Pew station sites and their buildings. Oceans Commission, a former national Vice Chair of the Alaska Conservation Foundation, and a founder DAVID ROCKEFELLER, is a member of the Third of Alaska Fund for the Future. Mr. Rockefeller is the Generation. Mr. Rockefeller serves as Honorary former chair of the North American Nominating Chairman of the Americas Society, the Council on Committee for the Praemium Imperiale. He has Foreign Relations and Rockefeller University. He is served as a Trustee of the Museum of Modern Art, also Chairman of the Rockefeller University Council, the Asian Cultural Council, and as a fellow of the and Chairman Emeritus of the Museum of Modern American Academy of Arts and Sciences. He is a Art. Mr. Rockefeller is also the Founder and honorary member of the Council on Foreign Relations, current Chair of the Trilateral Commission. A graduate of Trustee and former Chairman of the Rockefeller Harvard College and the University of Chicago Brothers Fund, former president of the Rockefeller

66 Biographies Biographies 67 Family Fund, and a former Trustee of The Boston encompassed the performing arts, non-profit Foundation. He is a graduate of Harvard College and technical assistance, and urban social and Harvard Law School. environmental policy concerns. Currently, she is Board secretary of Women & Philanthropy, Board THEO SPENCER, a member of the Fifth Chair of the Weeksville Heritage Center and a Board Generation, is a Senior Project Manager at the member of Sustainable South Bronx. Penny holds Climate Center at the Natural Resources Defense a B.A. from Yale University and an M.A. from Council. Theo has extensive experience as a journalist, Teachers College, Columbia University. working previously as a reporter with Fortune Magazine, New York Newsday, the Albuquerque Tribune and the Stamford Advocate. He has written numerous ABOUT THE EDITOR freelance articles for national publications such as the DONZELINA A. BARROSO has been a New York Times Magazine, New York Magazine and Art philanthropic consultant at Rockefeller Philanthropy Forum. Theo serves on the Board of Directors for the Advisors since 1999. She advises the JB Fernandes Benjamin Spencer Fund, The Trust for America’s Memorial Trust I on grantmaking in Portugal and Health, Environmental Advocates, and as Vice Madeira. She also works on educational funding President of the Rockefeller Family Fund. Theo strategies for disadvantaged Portuguese communities earned his B.A. from Middlebury College and a in North America. Donzelina was previously affiliated Masters in Journalism from the University of with the Camões Center for the Study of the California, Berkeley. Portuguese-Speaking World, at Columbia University. In 1998, her interview with Nobel prize winning PENNY FUJIKO WILLGERODT is a Senior Portuguese author, José Saramago, was published in Philanthropic Advisor at Rockefeller Philanthropy The Paris Review. She received a B.A. from Barnard Advisors. Penny started her career in philanthropy at College in Medieval and Renaissance Studies. the Ms. Foundation for Women. Prior to joining Rockefeller Philanthropy Advisors she was a Program Officer at the Joyce Mertz-Gilmore Foundation (now called the Mertz-Gilmore Foundation) where her work spanned human rights, environment and world security grantmaking. While there, she also directed the Foundation’s New York City programs which

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