THE NEA AND THE DANCE FIELD: AN ANALYSIS OF GRANT RECIPIENTS FROM 1991 TO 2000
THESIS
Presented in Partial Fulfillment of the Requirements for the Degree Masters of Arts in the
Graduate School of The Ohio State University
By
Jennifer Ann Sciantarelli
*****
The Ohio State University 2009
Thesis Committee: Approved by Professor Margaret Wyszomirski, Advisor
Professor Candace Feck ______Advisor Arts Policy and Administration Program
Copyright by
Jennifer Ann Sciantarelli
2009 ABSTRACT
The National Endowment for the Arts has been instrumental in the development
of the dance field in the U.S. In the mid-1990s, the Agency transformed. Its budget was
cut by 40 percent and the grant distribution process was restructured. The effects of
restructuring on the dance field are examined in this study. NEA grants to the field from
1991 to 2000 were compiled into a database and explored through three distribution
lenses: geography, genre and grantee type.
When the NEA was restructured, artists prophesied disaster. In fact, data reveals
that the field adapted to changes in federal subsidy and grew decentralized, diversified
and connected to communities. After restructuring, while the dance field received less funding from the NEA, it maintained a consistent proportion of NEA grant dollars in comparison with other arts fields. This shows that the field can overcome obstacles, remaining competitive and vital to the American cultural landscape.
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ACKNOWLEDGMENTS
I thank my advisor, Margaret Wyszomirski, for her guidance during my years in the Arts Policy and Administration program at Ohio State, as well as her patience during my thesis process. Dr. Wyszomirski also provided an invaluable collection of literature, including her set of NEA annual reports.
I thank Dr. Candace Feck for offering her experience and sound advice, as well as jumping in to this project with great enthusiasm.
The Lawrence and Isabel Barnett Fellowship enabled my graduate studies at Ohio
State. I am forever grateful to Mr. and Mrs. Barnett for their dedication to the arts and education.
I would like to thank the National Endowment for the Arts for the many resources the Agency provided me, including the grant recipient database, which was the basis for my database, and grant application guidelines. My research would not have been possible without the NEA’s assistance.
Finally, I am indebted to my support system provided by family and friends.
They have stood by me throughout this endeavor and provided unwavering encouragement.
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VITA
April 29, 1978………………………...... Born – Lexington, Kentucky
2000………………………………………B.A. Journalism, University of Kentucky
2006-Present……………………………...Communications Manager, BalletMet Columbus, Columbus, Ohio
2005-2006………………………………...Administrative Assistant, Ohio Cultural Facilitates Commission, Columbus, Ohio
2003-2005………………………………...Member, Treasurer, Arts Priori, The Ohio State University
2003-2005………………………………...Member, Central Ohio Student Advocates for the Arts, The Ohio State University
2003-2005………………………………...Barnett Fellow, The Ohio State University
FIELDS OF STUDY
Major Field: Arts Policy and Administration
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TABLE OF CONTENTS Page Abstract…………………………………………………………………………………....ii Acknowledgements…………………………………………………………………...….iii Vita…………………………………………………………………………………….....iv Table of Contents………………………………………………………………………....v List of Figures...……………………………………………………………………..…..viii List of Tables.…………………………………………………………………...……...... ix
Chapters:
1. Introduction….…………………………………………………………………….1
1.1 The National Endowment for the Arts……………………………………..….4 1.1.1 Matching grants………………………...…………………………...6 1.1.2 Panels…...…………………………………………………………...7 1.1.3 National Council on the Arts…………………...…………………...8 1.1.4 Dance discipline directors……………...……………..……………..8 1.1.5 Controversy breeds change………………...………..………………9 1.2 The dance field……………………………………………………………….14 1.2.1 The Ford Foundation………...……………………………………..15 1.2.2 Growth of the field………………...……………………………….16 1.3 Relationship between the NEA and the dance field……………………….…17 1.4 Research……………………………………………………………………...18 1.4.1 Relevant literature……………...…………………………………..18 1.4.2 Methodology...……………………………………………………..19
2. Literature review and grant database exploration..………………………………22
2.1 Impetus for restructuring: The Culture Wars………………………………...22 2.2 Perspectives from the field: Related literature………………………….…....24 2.2.1 Congressional testimony…………...………………………………29 2.2.2 NEA grant application guidelines…...……………………………..31 2.3 NEA annual reports 1991 – 2000: An analysis………………………………35 2.3.1 1991 annual report………………...……………………………….35 2.3.2 1992 annual report………………...……………………………….35 2.3.3 1993 annual report………………...……………………………….36 2.3.4 1994 annual report………………...……………………………….37 2.3.5 1995 annual report………………...……………………………….38 2.3.6 1996 annual report………………...……………………………….41 2.3.7 1997 annual report………………...……………………………….43
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2.3.8 1998 annual report………………...……………………………….44 2.3.9 1999 annual report………………...……………………………….46 2.3.10 2000 annual report…….………………………………………….47 2.4 Dance grant database………………………………………………………...49 2.4.1 Observation through variables: Grant use categories……………...52 2.4.2 Observation through variables: Geography………………………..54 2.4.3 Observation through variables: Genre……………………………..55 2.4.4 Observation through variables: Grantee type……………………...56 2.4.4.1 Individual grantees……………………………………….56 2.4.4.2 Organization size………………………………………...57 2.4.4.3 Organization age…………………………………………59 2.4.5 Overview of findings………………………………………………60
3. Dance grant database observations………………………………………………65
3.1 Overview……………………………………………………………………..69 3.2 Geographic distribution analysis…………………………………………….72 3.2.1 Regional level analysis…………………………………………….75 3.2.1.1 Northeast…………………………………………………76 3.2.1.2 West……………………………………………………...77 3.2.1.3 South……………………………………………………..77 3.2.1.4 North Central…………………………………………….78 3.2.2 State level analysis………………………………………………....78 3.2.2.1 U.S. territories……………………………………………80 3.2.2.2 States that never received a grant………………………...81 3.2.3 Geographic distribution conclusion………………………………..82 3.3 Grantee type analysis………………………………………………………...84 3.3.1 Individual artists versus dance organizations…………………...…85 3.3.2 Age of organization………………………………………………...89 3.3.3 Size of organization………………………………………………..94 3.3.3.1 Overall observations……………………………………..96 3.3.3.2 Large……………………………………………………..97 3.3.3.3 Medium…………………………………………………..98 3.3.3.4 Large other……………………………………………….98 3.3.3.5 Medium other………………………………………….....99 3.3.3.6 Small other…………………………………………….....99 3.4 Genre distribution analysis…………………………………………………100 3.4.1 Modern……………………………………………………………103 3.4.2 Ballet……………………………………………………………...104 3.4.3 Folk/ethnic………………………………………………………..105 3.4.4 Other…………………………………………………………...... 106
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3.4.5 Mixed……………………………………………………………..107 3.4.6 Genre conclusion…………………………………………………107
4. Conclusion……………………………………………………………………...109
4.1 Summary of findings………………………………………………………..110 4.1.1 Geography findings……………………………………………….111 4.1.2 Grantee type findings……………………………………………..114 4.1.3 Genre findings…………………………………………………….115 4.2 Further research………………………………….…………..……………..117 4.3 Conclusion………………………………………………………………….118
Bibliography……………………………………………………………………………124
Appendices
Appendix A: General nonprofit arts organization contributed income structure………129 Appendix B: National Endowment for the Arts appropriations history………………..130 Appendix C: National Endowment for the Arts chairman and dance program directors, 1965-present…………………………………………………………………………….131 Appendix D: National Endowment for the Arts funding distribution areas pre and post restructuring…………………………………………………………………………….132 Appendix E: Dance recipient database, 1991-2000…………………………………….133
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LIST OF FIGURES
Figure Page
1.1 National Endowment for the Arts budget, 1991-2000..…………………………..5
2.1 Total grants to dance organizations and individual artists, 1991-2000………….51
3.1 Obligations to the dance field, 1991-2000, in millions…………………………..66
3.2 Total grant obligations versus obligations to the dance field, 1991-2000……….67
3.3 Grant obligations to select discipline categories, 1991-1996……………………69
3.4 Total grants to dance organizations and artists, 1991-2000……………………..70
3.5 Percentage of total grant dollars to each region, 1991-2000…………………….75
3.6 Number of grants to individual dance artists, 1991-1995……………………….87
3.7 Dollars to individual dance artists, 1991-1995…………………………………..87
3.8 Percentage of grants to each age category, organizations only, 1991-2000……..91
3.9 Percentage of grants to each size category, organizations only, 1991-2000…….96
4.1 Dance grant distribution to the South, 1991-2000……………………………..112
4.2 Percentage of total dance grants to mixed genre individuals and organizations.116
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LIST OF TABLES
Table Page
1.1 National Endowment for the Arts budget, program obligations, obligations to dance, 1991-2000…………………..……………………………………………..6
1.2 Pre and Post restructuring grant process elements……………………………....11
3.1 Percentage of total grant obligations to the dance field, 1991-2000………….…67
3.2 Percentage of total grant obligations to select discipline categories, 1991-1996..68
3.3 Grants to the dance field by thematic category post-restructuring, 1997-2000….72
3.4 Top three ranking states by number of grants, 1991-2000………………………79
3.5 Top three ranking states by dollar amount, 1991-2000………………………….79
3.6 Grants and grant dollars to individual artists and organizations, 1991-1995…....86
3.7 Percentage of total grants to each dance genre category, 1991-2000………..…103
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CHAPTER 1
INTRODUCTION
“In the last decade, no single issue has been of greater concern to the dance community in America, or has been more often discussed by the members of that community, than the weakening and threatened demise of the National Endowment for the Arts.”
Robert Atwood, America’s Changing Political Environment and the Defense of the NEA,
Attitude—The Dancers Magazine. Winter 1999.
The dance field is vast and evolving. Dance is an intangible art; it is human bodies moving through space, challenging the boundaries of gravity, commenting on politics, society, heritage or simply movement itself. Dance is immediate, live and not easily preserved. While individual choreographers make up much of the field, nonprofit dance companies continue to develop, not exclusively in the established artistic cores of the United States’ east and west coasts, but in every corner of the nation.1
The dance field in the United States is not only comprised of well-known large
professional companies including the American Ballet Theatre, New York City Ballet or
Alvin Ailey American Dance Theatre. The field includes smaller, stylistically diverse
companies like Axis Dance Company, contemporary dance collaborations of dancers
with and without disabilities; the Chicago Barn Dance Company, which supports contra
dance and square dance, and Rennie Harris Puremovement, a hip hop based company.
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The field also includes presenting organizations such as New York City’s Joyce
Theater and service organizations including Dance/USA.
Nonprofit dance organizations, like other nonprofit organizations, rely on a diversified funding system consisting of earned and contributed income; within the contributed income stream, several revenue sources are utilized, including foundations, corporations, individuals and government entities. One such government entity is the
National Endowment for the Arts, an independent federal agency that supports nonprofit arts organizations through grants, programs and research. Appendix A offers a basic diagram of the contributed funding streams for nonprofit organizations.
The NEA has substantially contributed to the development and cultivation of the dance field in the U.S. Its relationship to the field can be examined from multiple angles.
From a financial aspect, the federal agency has provided billions of dollars to the field during its more than 40 years of existence. As a legitimacy tool, NEA support exponentially impacts contributed income from other avenues including corporations and foundations; it often has the potential to legitimize a new organization and further validate an established one. Programs established and administered through the NEA affect the growth of the field and its opportunities to reach wider and more diversified audiences for education, outreach and performance. Research conducted through the
NEA supports the field and helps it establish greater awareness of itself and cohesion among genres.
The NEA has grown up as a vital piece of the United States’ arts policy system.
During its history, it has felt the pangs of adolescence through middle age, all the while reinventing itself and, thus, reinventing its significance to the structure and stability of the
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dance field. The NEA has gone through numerous changes in its life span. One of the most noteworthy periods of transformation occurred in the 1990s when the agency was significantly downsized and the grant process reorganized. This was an era of substantial arts policy transformation. Little has been written about its impact on the arts, particularly the field of dance. The effect of these changes at the NEA on the dance field will be examined in the following study. Grants given to the field from 1991 to 2000 will be explored through three different distribution lenses: geography, genre and grantee type. Within grantee type, I will examine individual grantees (choreographers that were eligible from 1991 to 1995), size of grantee organizations and age of grantee organizations. The period from 1991 to 2000 provides examples of grants before and after reorganization.
In 1994, at the first national conference sponsored by the NEA, nearing the agency’s 30th anniversary, then Chairman, Jane Alexander, expressed her “renewed sense of the connection between art and our lives.”2 Less than two years later, the
agency barely survived elimination with a substantial cut in appropriations. More than 10
years later, the agency celebrated its 40th anniversary by emphasizing not a “renewed”
connection, but an historical timeline of its contributions to the arts. At the 40th
Anniversary NEA Symposium at American University in May 2006, festivities
emphasized the agency’s accomplishments in its lifespan thus far. However, discussions
of the agency’s role in arts policy in the future were scarce. In a panel discussion, Dance
Program Director Douglas Sonntag asserted that the agency had fostered the growth of
the dance field, distributing $300 million to the field throughout its history. He
mentioned that the agency would impact the field in the future through preservation,
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creation of new work, access and education, many of the areas on which the agency already focuses. Missing from any dialogue during the anniversary celebration was a reference to the history of volatility in the organization. But perhaps the agency can better prepare for its future by reflecting on troubled times in its past.
1.1 The National Endowment for the Arts
The NEA, established in 1965, is a federal agency committed to “supporting excellence in the arts – both new and established, bringing the arts to all Americans, and providing leadership in arts education,” according to www.nea.gov. The agency is the primary mechanism for public support of the arts at the federal level. Since its inception, the NEA has awarded more than 124,000 grants throughout the nation and more than $3 billion according to the agency’s website. Not just a grant-making instrument, the NEA has expanded its roles in arts policy and arts funding over the years through initiatives, awards, research, institutes and programs. Appendix B provides the agency’s entire appropriations history. Figure 1.1 below shows the total NEA budget for each fiscal year from 1991 to 2000. Note the steady line of funding from 1991 to 1995 and the sharp drop in funds in 1996. Following the major cutback, funds stabilize once again, though they are a reduced amount of the budgets in the first half of the decade.
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$200
$150
$100 (current dollars) (current
Amount in millions $50
$0 1991 1993 1995 1997 1999 Fiscal year
Figure 1.1: National Endowment for the Arts budget from 1991 to 2000, in millions.
The structure of the NEA and its programs has changed often throughout its existence. A relatively small part of the NEA’s funds go toward research or initiatives, administrative costs, etc. During the 1990s, between 20 and 40 percent of the agency’s funds were directly given to state arts agencies through the Federal-State Partnership
Program. A large portion of NEA funds are reserved for grants to nonprofit organizations and individual artists. Prior to changes made in 1996, these were known as
Program grants; following the changes, these grants were only given to organizations and called Grants to Organizations. This category will be the principal focus of this thesis.
Table 1.1 below provides the total NEA budget compared to total grants to programs and grants to the dance field. Note the significant drop from 1995 to 1996 in all columns of funding, yet the increase in percentage of program funds to the dance field.
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Fiscal Year Total NEA Total Funds Total Funds Percent of Program Appropriations Obligated to Obligated to Funds Obligated to 3 Programs Dance Dance 1991 $174,080,737 $87,486,331 $8,477,672 10% 1992 $175,954,680 $88,258,581 $8,194,011 9% 1993 $174,459,382 $80,892,889 $7,911,667 10% 1994 $170,228,000 $80,675,830 $7,638,593 9% 1995 $126,829,720 $69,316,874 $7,120,747 10% 1996 $99,470,000 $26,680,133 $3,725,000 14% 1997 $99,494,000 $50,609,219 $5,073,000 10% 1998 $98,000,000 $38,649,673 $3,860,000 10% 1999 $97,966,000 $38,890,067 $4,006,000 10% 2000 $97,627,600 $36,573,121 $4,584,000 13%
Table 1.1: NEA budget, program obligations, obligations to dance and percentage of
obligated funds to dance from 1991 to 2000.
In its inaugural funding year of 1965, the agency was a program of six funding
categories: dance, music, literature, theatre, visual arts and education.4 The Federal-State
Partnership program mentioned above was set into action in 1967.4 In that same year, the
first grants to individual artists were given, and additional discipline categories were
instituted. More programs and funding categories were added through the years as the
budget and staff increased and the agency’s purpose became more defined. A detailed
account of the NEA from 1991 to 2000 will be provided in Chapter 2 through an analysis of annual reports. Relevant components of the agency’s basic structure for grants to individuals and organizations will be examined in the following sections.
1.1.1 Matching Grants
A staple of the NEA throughout its existence has been the matching grant requirement for its grants to nonprofit organizations, Access to Artistic Excellence grants or Grants to Organizations. Grants were also given to state, regional and local arts
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agencies through partnership programs. Non-matching grants to individual artists in any artistic field were offered until restructuring in 1996, when individual awards were limited to jazz, literature and heritage fellowships. While these awards initially could be used for general programs, as of restructuring they could be used only towards specific projects.
In order to qualify for an NEA project grant, an organization must have an outside funding source matching at least dollar to dollar the NEA funds.5 In the Planning and
Stabilization grant category, grants were required to be matched in a three to one ratio in
many cases. This matching provision was similar to that which the Ford Foundation
(discussed later in this chapter) established years earlier. The matching fund requirement
attributed to the idea that NEA funds generated other funding contributions, a means for
organizations to legitimize themselves and obtain funds from other sources. According
to NEA data, in 2005, every NEA grant dollar “generated…seven dollars more from
other funders, ticket sales, and related sources.”5
1.1.2 Panels
Another important element of the NEA subsidy process has historically been the panel review. As the agency’s budget increased, an organized method of application review was needed. By the 1970s, peer panels became an essential element of grant applicant review and were primarily made up of well-known and successful professional artists.6 While the agency chairperson makes the final decision regarding grants, panel
review is a significant part of the decision-making process. The panel process has been a
bone of contention throughout the years, as panelists are often in the position of judging
their peers’ work and applications; objectivity could be viewed by some as problematic
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or difficult to achieve. The issue of objectivity has been addressed in the restructuring of the panel review several times throughout the years.
1.1.3 National Council on the Arts
Established in 1964, the National Council on the Arts serves as an advisory board for the NEA, according to the Endowment’s website. The Council advises the Chairman on grant applications and guidelines, initiatives, budget distribution and policy issues, and makes recommendations for the National Medal of Arts. Members are appointed by the
President and approved by the Senate. In the first year of implementation of restructuring—1997—Congressmen were added to serve on the Council with no voting privileges.7 The Council is a significant part of the agency’s structure, adding an
additional layer of oversight to agency processes and funding distribution.
1.1.4 Dance Program Directors
Since the establishment of the NEA there have been eight directors of the Dance program, one less than the number of NEA chairmen.8 Five of the eight served for three
years or less. This kind of turnover might say something about the program. Perhaps the
reality that change was constant at the agency prompted constant change in directors as
well. The current Dance Program director, Douglas Sonntag, has held his position since
1997, the first year of implementation of the restructuring. The previous director, Sali
Ann Kriegsman, was the previously longest tenured Dance Program director, serving from 1986 to 1995. There was no director from 1995 to 1997, the most significant period of budget woes, agency reorganization and grant process reform. Sonntag served as the program’s administrator before taking the office of director.
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1.1.5 Controversy Breeds Change
The 1990s brought about a sort of reincarnation at the NEA, which at the time was faced with seemingly imminent elimination. The relevance of the agency in light of its role in supporting divisive art was continuously challenged. When congressionally reauthorized in 1990, amidst controversies concerning “offensive” art that had indirectly received federal funds, the NEA allocation process was restructured in that more money went to state and local governments rather than directly to artists and organizations—25 percent of the program funds went to state and regional agencies and five percent was reserved to “address the needs of underserved communities.” As a consequence, the agency shifted toward more redistributive policy. Also, a new emphasis was put on arts education.9 In addition, the panel structure was modified, increasing the number of
panelists and adding non-arts professionals (or laypersons) to the panels responsible for
evaluating grant applications to reduce the incidence of bias and conflicts of interest.9
The agency was not new to controversy or opposition, but this was the first time the controversy led to such a lengthy and severe impact. In the 1970s, controversial grants were later described as “Maplethorpian” by Livingston Biddle, yet the agency persevered.10 The budget and agency size increased, thanks to the leadership of then
chairperson Nancy Hanks and, at the end of the decade, Livingston Biddle. In the 1980s
during the era of President Ronald Regan, the Republican Party platform strongly encouraged private funding of the arts rather than public funds. The Republican reign in the 1980s began to change the tide, and the NEA began to weaken. In 1994 the
Republican Congress’ “Contract with America” called for eliminating agencies like the
NEA. By 1996, the Republican platform advocated elimination of agencies including the
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NEA and the National Endowment for the Humanities. All of these external factors contributed to the agency’s dramatic funding decrease in the middle of the decade.
In 1996, the agency faced a dramatic shift, based on significant budget cuts and plans to phase out the entire budget in a two-year period.11 The budget plummeted to
$99.5 million, a decrease of more than 39 percent from the previous year, according to
the NEA.12 Congress reauthorized the agency for only two additional years and placed
“specific prohibitions on the agency.”12 As the fiscal year 1997 annual report explains:
The Endowment reorganized its grant programs from discipline-based categories into broad-based, thematic categories to meet the financial and social challenges of the times. Stimulated by a 39 percent Congressional budget cut in 1996, the reorganization included staff reductions, elimination of most individual grants, and elimination of seasonal support and general operating grants for organizations, who now are generally limited to one grant application per year.13
Specifically, the changes, as listed on page 4 of the 1996 annual report, included:
• The reduction of the grant programs from 17 discipline-based to four divisions:
Creation and Presentation; Planning and Stabilization; Education and Access, and
Heritage and Preservation;
• The addition of Leadership Initiatives;
• The elimination of grants to individuals, except for Literature and National
Heritage Fellowships and American Jazz Masters Awards;
• The institution of Combined Arts Panel reviews as an additional level of review;
• The reduction of the maximum number of applications from an individual
organization in each fiscal year to only one, and
• The requirement of organizations to apply for support for a particular project, not
broad operating support.
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Table 1.2 below outlines the differences before and after the major restructuring.
Pre Restructuring Post Restructuring • Grants to Organizations & Individuals • Grants to Organizations (with few exceptions) • 17 discipline-based categories • Four categories not organized by discipline, but by type of project • Peer panel review • Combined arts panel review • Unlimited grant applications for • One grant application per individual organizations organization annually • Seasonal or Operating support • Project support
Table 1.2: Pre- and Post-restructuring grant process elements
Under the structure established in 1996, the Endowment awarded grants to
nonprofit arts and cultural organizations in four functional areas: “Creation and
Presentation,” “Education and Access,” “Planning and Stabilization” and “Heritage and
Preservation.” Additionally, it provided grants in Learning in the Arts, Challenge
America, and Partnership Agreements. The only individual artist fellowships still
available were reserved for the fields of literature, folk arts and jazz: Literature
Fellowships and the National Heritage Fellowships and American Jazz Masters.7 This
virtual elimination of individual artist grants significantly impacted the dance community
in that individual choreographers—who make up a sizeable portion of the field—were no
longer eligible for direct funding through the NEA.
In 1998, the agency faced funding reorganization once again. Congress mandated
that 40 percent of program funds were to go to state arts agencies and that organizations
in one state could receive a maximum of 15 percent of the agency’s total grant funds.14
These changes reinforced more redistributive and regulatory policies than the distributive policy of the past, and efforts to pass on granting responsibility and accountability to the
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local and state arts agencies. It also reflected further steps to ensure broader distribution of funds. In 2000, another small change was implemented: the agency’s grant category of Education and Access was divided into two separate categories and each received its own budget allocation.
The NEA grant process returned to a discipline orientation as of fiscal year 2005.
The agency’s 2003-2008 strategic plan, according to its website, included a program goal
“to make the arts more widely available in communities throughout the country.”7
Clearly, distribution is a concern for the agency and has been a concern with every
restructuring. Annual reports from 1991 to 2000 help demonstrate the agency’s emphasis on reaching all areas of the country; as discussed in Chapter 2, several reports gave prominence to projects that reached beyond the traditional cultural centers in large urban
areas. For example, the ArtsREACH program initiated in 1998 provided directed grants
to the 20 states in which NEA grants had been the scarcest.15 And in 2000, a new
category of Arts on Radio and Television was established, to acknowledge the unique opportunity of the media to provide viewers throughout the country access to arts
programs.16
According to Joni Cherbo and Margaret Wyszomirski’s Mapping the Public Life
of the Arts in America, the National Endowment for the Arts was created under a “Public
Leveraging Arts Paradigm.”17 As Cherbo and Wyszomirski explain, “the PLA paradigm was primarily concerned with professional nonprofit arts organizations; was organized, in
the main, around discrete arts disciplines; and worked largely by awarding matching
grants and grants-in-aid to the states.”18
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Over time, the paradigm began to shift. According to Cherbo and Wyszomirski, three characteristics stand out in current cultural policy:
1) Blurring and enlarging of the boundaries of inclusion and concern, which, in turn, has led to a focus on redefining key policy terms and assumptions.
2) The adoption of a systems approach rather than a focus on individual artists, specific arts organizations, particular disciplinary fields, or distinct cultural communities.
3) The development of a more complex and diversified approach to all aspects of the policymaking process. This includes giving more explicit attention to the public purposes of federal arts and cultural policies; developing more ongoing coalitions and advocacy strategies; and developing a repertoire of policy strategies and administrative mechanisms for effecting and supporting arts and cultural policy.19
Regardless of the current grant process and policies, this paradigm discussion is still viable because the system is evolving in this direction through strategies and partnerships; organizations and artists adapt to new systems. This thesis incorporates
Cherbo and Wyszomirski’s policy theories, examining how the new paradigm affects the dance field and its relationship with the NEA. Additionally, the perpetual evolution of the agency begs the question of stability—is the agency still looking for a legitimate purpose or appropriate method of distribution, or will the agency continue to adjust to ever-shifting political, economic and social environments?
In fiscal year 2008, Congress gave the NEA its largest funding increase in 30 years. With an increase of more than $20 million, the agency’s budget grew to
$144,706,800.7 The agency that was threatened with elimination more than a decade ago saw a renewed endorsement by a revamped Congress. Even with the 2008 increase,
United States citizens still spend less per capita on the arts than taxpayers in most
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European countries. Will the NEA someday truly solidify its purpose and relationship with the arts in this country and have reliable support from Congress?
1.2 The Dance Field
The nation’s dance field is incredibly vast and diverse, consisting of anything from hip hop to modern to ballet to folk dance. Dance is found in expansive concert halls like the Metropolitan Opera House; in black box theatres on college campuses; in houses of worship, and in casinos on the Las Vegas strip. Each dance organization operates differently depending on its genre (ballet, modern or other), mission (performance, advocacy, etc.), tax status (nonprofit or for-profit), etc. This thesis focuses on nonprofit dance companies and other organizations, legally established through the Internal
Revenue Service as 501(c)3 organizations. Other than the eligible individual artists and government agencies, the NEA only awards program grants to 501(c)3 organizations.
Each organization faces different challenges and competition within and outside of the field. For example, while small local companies might fight for ticket sales when competing with touring productions, touring productions might face hardships due to travel restrictions of international artists through Visa policies.
Typically, most nonprofit dance companies garner about 60 percent of their income through tickets and other sales, according to a report from the 1992 Census.20
The remaining 40 percent or so of income comes from contributions from individuals,
corporations and government entities. In 1992, NEA support accounted for about 3.5
percent of contributed income to dance organizations.20
1.2.1 The Ford Foundation
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One cannot discuss the funding opportunities for the dance field in the United
States without paying special attention to the Ford Foundation, which was, prior to the birth of the NEA, the primary funding source for the growth of the dance field in the nation. Even after the NEA was established, from 1963 to 1973 the Foundation held its place as the major single source of funding for dance organizations in the country.21 In
1963 alone, the Foundation gave $7.7 million to ballet, marking the largest amount ever given to a single art form by a foundation.21 The Foundation went beyond funding and
sought to develop the field, particularly through ballet training programs.22 Seed money
from the Foundation helped establish academies, schools and regional companies; it was
instrumental in pulling dance away from the regions with a stronghold (particularly New
York City) and toward a wider distribution network throughout the country. As Alice
Goldfarb Marquis wrote:
“…Operating without the constraints attached to taxpayer funds, Ford was able to pick and choose its beneficiaries, often targeting large sums for specific goals to be attained over many years. The dance program was typical of the foundation’s approach…”23
The Foundation’s influence extended beyond the dance field and was felt in all art
forms. Its grant structure heavily shaped what would become the structure of the NEA,
particularly its matching funds component and its panel process. It relied on independent
experts in the field to evaluate applications. It also stressed the importance of program or
project evaluation.24
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1.2.2 Growth of the Field
The dance field in the United States has made significant strides since the establishment of the NEA. One study notes that the field had a 1,000 percent growth since 1965.25 In 1965 the U.S. field was relatively narrow and concentrated in a few key
areas, particularly California and New York. Companies including the American Ballet
Theatre, Martha Graham Dance Company and Alvin Ailey American Dance Theater
were based out of New York City and strengthened their income and reputation through
touring nationally and internationally.
Throughout the 20th century the field grew in numbers and in geographic
distribution. From 1987 to 1992 alone, the number of nonprofit dance organizations rose
43 percent, from 188 to 275, according to U.S. Census data.26 By 2002, 557 dance
companies were operating in the U.S., according to Census data available at
www.census.gov. Increased companies, schools, touring, outreach, service organizations
and other elements have aided in the growth of not only concert dance—ballet and modern especially—but also folk or cultural dance organizations. According to Census data, in 1987 there were six nonprofit folk or ethnic dance companies in the U.S.; by
1992, this number had grown to 22.27 As the field grew, so did its needs and competition.
This fed the development of its support systems and service organizations like
Dance/USA.
The field is diverse, with both large and established companies coexisting with small start-ups and presenting organizations. Additionally, umbrella, service and advocacy organizations are affected by changes to government support, as they, too, are
16
eligible for funding opportunities if they meet the requirements, including nonprofit status.
1.3 Relationship Between the NEA and the Dance Field
The NEA and dance forged a significant partnership from the agency’s inaugural year of existence—the first NEA grant ever awarded was to the American Ballet Theatre,
$100,000 on December 20, 1965; the New York Herald Tribune wrote “The Treasury of
United States has saved a national treasure.”28 This marked the beginning of a
longstanding relationship between the NEA and the dance field. The agency has
supported not only classical ballet, but genres from modern to tap dance to folk or ethnic
dance, as well as multidisciplinary organizations and artists that cross genres and art
forms. The field boomed since the establishment of the NEA and well into the late 20th century. In fact, between the establishment of the NEA in 1965 and 1992, American dance companies grew from 37 to over 250.29 But when the agency’s budget was slashed
and grants to individual artists were eliminated, professionals in the field worried. Did
the fears of artists and administrators prove justified or did the field survive the blow
without major damage? In the last year of its funding to individual artists the NEA
awarded more than $1.2 million to 93 choreographers.30 Was this funding to the field
lost when the agency was restructured or did choreographers find funding alternatives,
new methods of support either within or outside the NEA? Additional federal funding for
dance companies, touring and presenting organizations came through other NEA
programs including State and Regional Partnerships, but did this take the place of the
lack of funding to individual artists?
17
1.4 Research
1.4.1 Relevant literature
Little has been written about United States dance funding, but much research and analysis has been done about the restructuring the NEA underwent in the mid 1990s. The literature review for this thesis is succinct, focusing primarily on historical documents that provide context and quantitative data, namely NEA annual reports. These annual reports cataloging the agency’s activities in each fiscal year tell much about the changing times, from their design to language to their depth of information about the organization itself. An overview of NEA annual reports from 1991 to 2000, the years on which the thesis is focused, will be discussed in Chapter 2.
Theories and literature examined in preparation for this research include the new cultural paradigm outlined by Cherbo and Wyszomirski. One relevant thesis looks at the effect of the 1996 reorganization on national arts policy, examining the new arts policy model and the government’s function in it.31 This thesis focuses on all grants, not specifically on dance or another discipline. In addition to giving a strong history of the agency and its unrest, it offers analyses similar to this thesis for the cumulative NEA grants in the same decade. Robert Atwood’s quote used earlier in this chapter introduces his article, America’s Changing Political Environment and the Defense of the NEA. The article focuses on the larger implications of the elimination of the NEA, specifically,
“what is the place and value of the arts in contemporary American society?” Atwood argues that, from the 1950s through the 1970s, the dance field enjoyed not only public praise, but also great corporate, individual and governmental support. In the late 1990s, he writes, the arts significantly lessened their appeal and worth in the political arena, and
18
that politicians asserted that “the arts have a greater negative than positive impact on society.”32 His article emphasizes the positive benefits of the arts and touches on the concept of public value that, in the 21st century, has become the cornerstone of arts
advocacy messages. Though this first-person narrative is brief and primarily expresses
the opinions of one dance teacher, its placement in a leading dance magazine shows the
severity of the NEA peril; the issue made its way into trade publications, prompting those
in the field to speak out and take action. Also, much was written about the NEA
restructuring and the events that triggered it in articles, journals and books. These
provide background and depth to this research, providing perspectives of artists affected
by the reform.
1.4.2 Methodology
This report employs historical inquiry methodology. Within this methodology,
the researcher “compiled facts and shaped interpretations.”33 Such methodology was
appropriate for this research, as the researcher analyzed data from historical documents. I
utilized original government documents as my primary resources while secondary
resources offered different perspectives on the contextual dialogue, only enhancing the
inquiry process.34 I primarily used a content analysis method, analyzing Access to
Artistic Excellence grants or Grants to Organizations to the dance field drawn from NEA annual reports and a dance grantee dataset.35 Explicit analysis and search for trends
included both quantitative—dollars going to the field and number of grants awarded—
and a context more qualitative in nature—what types of projects in what dance areas get
what percentage of funding.
19
The report’s primary data was drawn from the NEA annual reports from 1991 to
2000 and the NEA dance grantee dataset acquired from the NEA through a Freedom of
Information Act request. The dance grantee dataset provides information on all grantees of Access to Artistic Excellence or Grants to Organizations in the category of dance from
1991 to 2000.3 Information includes genre, type of organization, earned and contributed income, date founded, etc. Rather than sampling data, I utilized every grant given to the dance field within the grant awards within a consecutive 10-year period of funding. The annual reports are organized according to grant categories. Most provide a short general description of the project each grant is intended to support. For the years in which individual grants were not listed in the annual reports, the data was available on the NEA website.
Relevant data has been drawn from the reports and entered into worksheets. All grants to dance were organized into a database using Microsoft Excel database software
and were coded for several variables. Details on the NEA database compilation, the
benchmark tool for this research, are provided in Chapter 2.
1 P. 13. Smith, T. (2003). Raising the barre: The geographic, financial, and economic trends of nonprofit dance companies. Washington, DC: National Endowment for the Arts Research Division. 2 P. 62. Zesch, L. (1994, July). A new beginning for NEA. American Theatre. 3 Beginning in fiscal year 1997, Access to Excellence matching grants were called Grants to Organizations. 4 P 10. National Endowment for the Arts (2000). The National Endowment for the Arts, 1965-2000: a brief chronology of federal support for the arts. Washington DC: National Endowment for the Arts Office of Communication. 5 P. 28. National Endowment for the Arts (2006). National Endowment for the Arts: A brief history-1965- 2006. An excerpt: The beginning through the Hanks era. Washington DC: U.S. Government Printing Office. 6 Pps. 30-31. Ibid. 7 Retrieved at
20
10 P. 161 Marquis, A. (1995). Art Lessons: learning from the rise and fall of public arts funding. New York: BasicBooks. 11 P. 54. National Endowment for the Arts (2006). National Endowment for the Arts: A brief history-1965- 2006. An excerpt: The beginning through the Hanks era. Washington DC: U.S. Government Printing Office. 12 P. 57. National Endowment for the Arts (2000). The National Endowment for the Arts, 1965-2000: a brief chronology of federal support for the arts. Washington DC: National Endowment for the Arts Office of Communication. 13 P. 5. National Endowment for the Arts (1997). Fiscal year 1997 annual report. Washington DC: US Government Printing Office. 14 P. 58. National Endowment for the Arts (2000). The National Endowment for the Arts, 1965-2000: a brief chronology of federal support for the arts. Washington DC: National Endowment for the Arts Office of Communication. 15 National Endowment for the Arts (1998). Fiscal year 1998 annual report. Washington DC: US Government Printing Office. 16 P. 25. National Endowment for the Arts (2000). The National Endowment for the Arts, 1965-2000: A brief chronology of federal support for the arts. Washington DC: National Endowment for the Arts Office of Communication. 17 P. 9. Cherbo, J. & Wyszomirski, M. (2000). Mapping the public life of the arts in America. In J. Cherbo & M. J. Wyszomirski (Eds.), The public life of the arts in America (pp. 3-21). New Brunswick: Rutgers University Press. 18 P. 10. Ibid. 19 P. 11. Ibid. 20 P. 5. National Endowment for the Arts (1998). Dance organizations report 43 percent growth in economic census: 1987-1992. Washington DC: US Government Printing Office. 21 P. 53. Kendall, E. (1983). Dancing: A Ford Foundation Report. New York: Ford Foundation. 22 Ibid. 23 P. 63. Marquis, A. (1995). Art Lessons: learning from the rise and fall of public arts funding. New York: BasicBooks. 24 P. 64. Ibid. 25 P. 120. Ibid. 26 P. 1. National Endowment for the Arts (1998). Dance organizations report 43 percent growth in economic census: 1987-1992. Washington DC: US Government Printing Office. 27 P. 2. Ibid. 28 P. 21. National Endowment for the Arts (2000). The National Endowment for the Arts, 1965-2000: A brief chronology of federal support for the arts. Washington DC: National Endowment for the Arts Office of Communication. 29 P. 4. Alper, N., et. al. (1996). Artists in the workforce: Employment and earnings, 1970-1990. National Endowment for the Arts Research Division Report #37. Santa Ana, CA: Seven Locks Press. 30 P. 38. Carr, C. (1999, September 28). The land of less. The Village Voice. 31 Choi, J. (2002). American arts policy and the National Endowment for the Arts in the 1990s. Masters thesis, The American University, Washington DC. 32 P. 4. Atwood, R. (1999, Winter). America’s changing political environment and the defense of the NEA. Attitude-The Dancers’ Magazine, 4-5. 33 P. 69. Stankiewicz, M. (1997). Historical research methods in art education. In S.D. LaPierre and E. Zimmerman (Eds.), Research methods and methodologies for art education (pp. 57-73). Reston, VA: National Art Education Association. 34 P. 63 Efland, A. (1995). Historical research methods for art educators. In P. Smith (Ed.), Art education historical methodology: An insider’s guide to doing and using (pp. 62-69). Reston, VA: National Art Education Association. 35 Pps. 40-41. Stokrocki, M. (1997). Qualitative forms of research methods. In S.D. LaPierre and E. Zimmerman (Eds.), Research methods and methodologies for art education (pp. 33-55). Reston, VA: National Art Education Association.
21
CHAPTER 2
LITERATURE REVIEW AND GRANT DATABASE EXPLORATION
2.1 Impetus for Restructuring: The Culture Wars
The NEA has faced critics throughout its existence. Some have felt that support of the arts was best achieved through local and state levels of government. Others have felt the government had no place subsidizing the arts at all, that they should, instead, be funded through corporate and individual donors. Also in question were the projects and artists the NEA funded. Were they of artistic excellence? How is artistic excellence defined? Were they offensive and, if so, did this make them unsuitable of public subsidy? Did they benefit the country as a whole or small, elite groups?
The NEA has faced periods of controversy, but none made such an impact as a few controversial works of art beginning in 1989 that put the entire agency on the chopping block and at the heart of a firestorm. Artist Andre Serrano’s Piss Christ received NEA dollars indirectly by way of an organization that received an NEA grant, as did Robert Mapplethorpe’s provocative photographs. These artists and others were caught in a national public and political battle over obscenity that severely impacted the
NEA and the entire arts community. This battle prompted Congress to mandate an
Independent Commission to review NEA grant-making procedures.1 It also prompted a
22
House-Senate committee to prohibit the funding of art that is deemed obscene.2 By 1996,
Congress planned to phase out the agency.
Religious interest groups (the Christian Coalition), conservative Congressmen—at the forefront was Senator Jessie Helms—and others called for not only content restrictions; they further sought an end to the NEA and federal government funding for the arts. Some felt the agency supported offensive works that were, in fact, not art.
Others simply felt the federal government should tighten its purse strings and eliminate agencies that were an unnecessary financial burden on American taxpayers. Even some arts supporters had enough of the battle and agreed that the federal government should remove itself from arts subsidy and leave decisions to the marketplace. As a letter to the editor in 1991 stated, “to fund art with content restrictions is a disservice to the art community and to fund art without content restrictions is a disservice to the taxpayer.”3
From the 1989 firestorm throughout the early 1990s, the NEA, other federal
agencies and arts policy remained in the public eye in an impassioned debate that went
far beyond a few controversial works of art; the concept of national arts support was
forever changed. Though members of Congress repeatedly voted to abolish the NEA, it
stayed afloat, albeit an unsteady sail. The NEA underwent several slight adjustments
throughout the early nineties, which will be discussed in the analysis of NEA annual
reports below. These foreshadowed a severe 40 percent cut in the NEA budget in 1996,
as well as major restructuring that shifted the agency’s focus from disciplines and
individual organizations, to projects and nationwide arts allocation.
As a result of the controversies in the late 1980s and arguments to cut federal
subsidy of the arts, Congress created the Independent Commission to review NEA grant
23
making procedures and “to consider whether the standard for publicly funded art should be different from the standard for privately funded art.”4 The Commission was
comprised of 12 appointed members and included a staff of eight arts policy experts.5 In
its report to Congress, the Commission called attention to the NEA’s accountability to its
public. It recommended that the NEA’s funding system be reformed, based on the
changing needs of a transforming nation.6 The Commission’s report prefigured the
considerable agency changes that would take place a few years later, and the shift of the
agency to provide for the public first and the artist second.
2.2 Perspectives from the Field
Even after the Endowment’s massive restructuring, groups opposing the
legitimacy of the agency continued in their fight to end funding. In 1997 and 1998, the
Concerned Women for America, an organization dedicated to bringing Biblical values
into public policy, published articles vehemently advocating for the elimination of the
agency, specifically citing a grant for the controversial film, The Watermelon Women,
and other projects by the filmmaker, Women Make Movies.7 The 1997 article claims the
agency “is well out of the mainstream,” funding “experimental art” and “seldomly
promotes traditional art.”7 The CWA further claims that most NEA grants reach a small
group of artists and arts audiences in a few cities, noting that geographic distribution of
funds is severely disproportionate, something the agency takes great care in addressing in
mid- and late 1990s annual reports. The CWA goes so far as to call the NEA “a
boondoggle that’s become a billion dollar handout to the rich.”7 Opinions like this were
not uncommon in the 1990s. Such harsh criticism prompted the agency to overhaul its
24
public image in subsequent years with changes to agency policies and programs as well as changes in agency messages to the public.
An article in The Village Voice in 1999 studied performing artists struggling after the culture war and the Endowment restructuring.8 The article states that since 1995 there was a “domino effect” on artists. “Heady with victory in the Republican
Revolution of ’94, right-wingers thought they could finally kill the hated National
Endowment for the Arts…they managed merely to take its soul.”8 Choreographers
interviewed in the article said they had been forced to live in debt after the NEA cut
funding to individual artists—such became the nature of the occupation. “Dance now lives full time in the land of less: less touring, less commissioning, less funding, less
rehearsal space,”8 While emerging artists managed to find opportunities and support, in a
more problematical situation were established artists in the middle of their professional
careers.8 Some artists were depending on commissions abroad. Other choreographers
had to severely cut budgets, including their own salaries, hire fewer dancers, or look to
sponsorships for support. Norman Frisch, an artist consultant interviewed for the article, uses examples of artists skimming the line between commercial and creative projects and suggests for sustainability “the new model is work for the Hollywood-Broadway industry. Do what you need in order to subsidize yourself.”8
A Dance Magazine article published in 1998 examines the impact on the arts after
one year of the new structure.9 Though this is not enough time to truly see the impact of
restructuring, it offers an initial outlook and, perhaps, a forecast for the future. Under the
new structure, more companies were funded, but with smaller grants to each. Karen
Christensen, the then Deputy Director of Grants and Partnerships, noted that panel
25
members argued for “more equitable distribution of grants nationwide.”9 Companies like the Dance Theatre of Harlem received some of the largest grants to the dance field
($115,000), though less than the previous year ($200,000). According to Clark’s article, grants ranged from $5,000 to $7,000 overall in each of the four new categories and averaged less than previous grant years. The article notes, as an example of the emerging trend of less funds to more organizations, that 20 dance companies were funded in the
Education and Access category in 1998 compared to 13 in 1997; however the total grant dollars to the dance field in that category dropped from $800,000 to $600,000.9
Clark asks in her article whether “innovation [is] being sacrificed to ensure wider acceptance of access to the arts.” 9 Rather than an answer from Christensen, she counters
with another question: “do you reward excellence in a few companies…or do you try to
serve a broader public.”9 It seems the NEA was still adjusting and adapting to the new
structure in 1998, re-evaluating its objectives and, in turn, the role of the arts in the
country.
Another article from Dance Magazine examines what would happen to the dance field without the NEA.10 The artistic director of DanceAspen, Henry Young postulates
that companies without endowments would fold first, then there would be “a slow
strangulation of those companies where management’s institutional strength is
insufficient to survive the changes caused by the loss of millions of dollars in grants
during one year.”10 He says dance would be hit harder than other performing arts fields
because of its general lack of endowments, thus having fewer reserves to aid in its
sustainability; at the time of the article, only four U.S. ballet companies had endowments
more than $20 million.10 Young advises dance companies to focus on cultivating
26
individual and foundation support regardless of the NEA’s future, looking for strong financial and human resources within the institution as well as support from the community.10
Young’s article discusses the synergy between the NEA and the dance field in the
1970s with the agency’s National Dance Touring Program aiding the increase of
companies throughout the U.S. beyond New York and California.10 But while Young
praises the impact of the NEA on the development of the field, he spends little time
discussing its future relationship. Rather than fight for the NEA’s survival, Young
encourages dance organizations to fight for their own survival with or without the
agency. It is clear by the late 1990s arts organizations were forced to face the possibility
of a future without federal funding. Even years after drastic NEA cuts, organizations
feared a dire outlook, an environment in which the arts would struggle to stay alive and
significant in the public eye.
As Robert Atwood suggests, the fragility of the NEA’s existence was not the only
question in the 1990s; more importantly was “the place and value of the arts in
contemporary American society.”11 Atwood suggests arts supporters must convince
naysayers that the arts are valuable to the country and, thus, deserve federal subsidy. The
message, the public image of the arts, needed an overhaul; the positive connection of the
arts to each American, the role of art in everyday life and the American identity needed to
be recognized and defended aggressively by advocates and artists.
As Atwood provides anecdotes proving the value of the arts, he singles out dancers, their supreme athletic conditioning and their connection to professional sports.
He mentions an encounter he had with a college football player. When the athlete
27
discovered Atwood was a dance instructor, he discussed how taking ballet classes had improved his game enough for him to potentially go professional.12 Atwood also mentions the notoriety artists like Mikhail Baryshnikov had and that many dancers enjoyed steady employment with dance companies before the culture wars. Times changed, public opinion changed and government support certainly changed.
Atwood closes his article with a “call to action.”12 He encourages artists and arts
supporters to talk about their experiences, provide factual information and personal value statements, a model of arts advocacy in use today. “Defense of the arts must be decisive,
uncompromising, and couched in terms that the American public will understand and
respond to.”12
Creative America: A Report to the President was presented in 1997 by the
President’s Committee on the Arts and Humanities. First Lady Hillary Clinton presided
as honorary chair. The advisory committee established by Executive order included
artists, corporate executives and community leaders and several heads of federal cultural
agencies. It was a mix of individuals from the public and private sectors. The report was
a reaction to the culture wars and attempted, like the American Assembly publication of the same year, to redefine and reposition the arts for the public benefit.
Creative America uses strong rhetoric concerning the arts, perhaps to counter the negative image of the NEA and, consequently, the arts in general. Frequently used language in the report includes values, public good, cultural heritage, cultural capital and cultural life.13 The positive connotation connected to these terms refocuses the arts and
their public image. The idea of the arts as necessary for the good of the nation runs throughout the document. Also stressed is the abundance of the arts and humanities
28
within all areas of public life, and the integration within the cultural sector. It is noted that dance companies “face special hurdles” in attracting and retaining audiences due to
“declining leisure time, an aging population, and the widespread availability of compact disks, videotapes, and other electronic media.”14
Also published in 1997 was The Arts and the Public Purpose, by the 92nd
American Assembly, a group of artists, arts executives, critics, businesspeople,
foundation officers, scholars, politicians and policymakers.15 The report focuses inherently on the public purpose of the arts—including commercial, nonprofit and traditional arts—and how to make it a more central priority within arts organizations, likely a result of the NEA upheaval that had been going on for years in the wake of the culture wars. The Arts and the Public Purpose aims to redefine the arts and emphasize
their scale and role in society through nine recommendations. Themes of accessibility,
preservation, education and alliances run throughout these recommendations.16 As the
NEA had just restructured its grant processes and endured much public scrutiny, the
Assembly report repositions arts subsidy. It argues that the arts deserve rather than need
public support because they serve the public good.17
2.2.1 Congressional Testimony
Many artists and arts advocates provided testimony during Congressional
hearings on the reauthorization and appropriations of the NEA in the 1990s, particularly
during the times when the agency faced severe budget cuts or, more drastic, elimination
of all funding. The agency struggled for bipartisan support, though the Republican Party
consistently sought out zero funding. Kabby Mitchell, III, a teacher at Pacific Northwest
Ballet and a member of Dance/USA, spoke at a hearing in 1993. Dancer Anna Halprin
29
served as a witness in 1994 and Arthur Mitchell, founding director of the Dance Theater of Harlem, addressed Congress earlier the same year. Dancers, choreographers and other artists joined the Chairman and staff members of the NEA during hearings to evaluate the agency’s budget and operations. Artists spoke out on the importance of agency support and its impact on the arts and, in turn, on the American people.
Testimony was also offered by those opposed to the Endowment and government subsidy for the arts. In 1995, the House Subcommittee on Interior and Related Agencies heard from Marshall Wittmann, Director of Legislative Affairs for the Christian Coalition regarding fiscal year 1996 appropriations for the NEA.18 Wittmann argued “the main point of contention is not whether the arts should be funded, but rather which is the proper entity to fund the arts—the government or the private sector.” Wittmann cited the lack of Congressional control over the NEA and its funds as well as controversy that arose from agency-funded works as two of many reasons to abolish the agency. As he listed funded works that attacked Christianity, Wittmann contended “such blatant bigotry would not be tolerated if it were targeted at another protected class.”18
Chairman Jane Alexander addressed Congress on many occasions, typically
providing both stories and data about programs and artists the NEA has supported. She
offered human-interest stories as well as economic impact statistics. In a testimony in
January 1995 before the Senate Committee on Labor and Human Resources, Alexander
fiercely defended the Endowment, addressing its critics. She noted the broad reach of
NEA funds, from a small Kansas town to Detroit’s inner city. “The Arts Endowment
isn't a subsidy for the elite,” she states, “it's for…ordinary people trying to make a better
life, people who understand that the arts improve their schools, renew the spirit of their
30
communities, and that the Endowment speaks to the soul of who we are as individuals and as a nation.”19 In that statement, Alexander covers all bases, allowing the arts to
move beyond a stereotype of inappropriate or indecent products for narrow and elitist
groups to education, historic preservation, community pride and more for all corners of
the country and all American people. Alexander mentions the meager cost of the NEA to
taxpayers—64 cents a year—and the leveraging impact NEA grants have on art
organizations.
In a reauthorization hearing in 1999 of the Senate Committee on Health,
Education, Labor, and Pensions, the chairmen of the NEA and NEH as well as many
advocates from the field presented to the committee successful programs funded by the
agencies. When dance artist and founder of the National Dance Institute Jacques
d’Amboise was asked about arts education programs for troubled youth in New York
City, d’Amboise responded with a discourse on the diffusion of arts and arts education beyond New York. “I have been all over the country doing programs with children,” d’Amboise said, “and there are fabulous people doing things all over the country in the arts and humanities…‘The Big Apple’ is still flourishing, but it is not just ‘the Big
Apple.’”20 Charlene Bickford, director of the First Federal Congress Project at George
Washington University, discussed at the same hearing that the national endowments are
necessary because there are many projects that are a “national responsibility,” projects
and programs with a “tremendous outreach.”21
2.2.2 NEA Grant Application Guidelines
The 1990 Grant Application Guidelines explain a three-tiered application review
process: a grant panel, the National Council on the Arts and the Chairman of the
31
Endowment. At this time, site visits were required for dance company grants as well as choreographer fellowships. A final report was required from all grant recipients. The application includes choreographer fellowship requirements, noting that fellowships were not specifically for works to be completed, but anything that aids “artistic growth.”22
Additional opportunities included partnerships with the Dance, Inter-Arts and State programs as well International Exchange Fellowships, which provided for six-month studies in Japan or France.23 Cultural exchanges seem to be a center of attention through
subsidy opportunities for individual artists.
Dance company grants, under the 1990 guidelines, went to new projects or to
“strengthen existing or previously supported activities.”24 There was a limit of one
application per year per company in this category, but the grant application could be for
multiple projects. Requirements for applicants included “paid professional artistic and
managerial staff, at least 20 weeks of rehearsals and/or performances during the current
year and at least 20 weeks during the previous year.”24 Another requirement was that
grantee organizations must pay the prevailing minimum wage for artists; the guidelines
listed the American Guild of Musical Artists pay scale for dancers.25 These strict and
specific requirements did not allow unincorporated or amateur organizations to apply for
grants, and, perhaps, may have been a challenge for fledgling organizations with small
budgets; however, in some ways they may have ensured the legitimacy and credibility of
grant applicants. Both individual artists and organizations were eligible for grants in the
category of General Services to the Field, according to the 1990 guidelines. As may be
expected, dance style was requested in the application; options were ballet, modern,
jazz/tap, ethnic and other.26
32
The 1996-97 application guidelines for grants to organizations were quite different than the discipline-specific guidelines in years prior. Most requirements were directed toward applicants in general without reference to disciplines, save a few requirements. The guidelines state from the beginning that “the Endowment remains committed to supporting equitable opportunity for all and investing in as diverse a reflection of our society as possible.”27 Applicants may only submit one application in
one category, with few exceptions. Not only did the guidelines require applicants to be
nonprofits (unless working through a fiscal agent) with a four-year history of
programming (with exceptions for folk and traditional arts); they also spelled out
operating expenditure levels for orchestra and operas.27 No such expenditure level
requirement was listed for the dance organizations.
Despite budgetary requirements, the guidelines reported that “the Arts
Endowment recognizes that significance may be measured by excellence or creativity,
not by budget size, organizational longevity, or geographic reach.”28 This makes clear
that large, established organizations in culture centers may not have an advantage over
other organizations. Grants in three of the four thematic categories ranged from $5,000
to $200,000 with a one to one match from additional funding sources: Heritage and
Preservation, Education and Access and Creation and Presentation. The category of
Planning and Stabilization, however, had many variations in the formula. This category
included projects like audience research and development, community planning and
endowment acquisitions.29 Grants in this category ranged from $15,000 to $500,000,
while match ratios increased in tandem with funding requests.30 The Endowment
33
required minimum operating expenditure levels for most applicants requesting stabilization grants. Again, no specifications were listed for dance applicants.
All of the thematic category review criteria discussed artistic excellence, project impact, and feasibility. Interesting inclusions under Education and Access were that priority was given to projects that “broaden and deepen educational experiences for
Americans of all ages and to projects that make the arts available to those Americans who lack adequate opportunities to participate in the arts.”31 Innovation and creativitiy were
also noted. The guidelines overall noted that “public funding of the arts should foster
mutual respect for the diverse beliefs and values of all persons and groups.”32 While this
was not part of the official review criteria for projects, it was certainly a consideration.
Different than the 1990 applicants, the 1996-97 grant applicants encountered a
four-tiered review process: experts in a discipline, advisory panel in thematic area,
National Council on the Arts and the NEA Chairman.33 Also revised from the 1990
guidelines was the requirement of site visits. For 1996-97 applicants, site visits were
scheduled at the Endowment’s discretion and were not required, likely the result of
agency streamlining.33 As with the 1990 application guideline, final reports were
required from all grant recipients. However, in addition, progress reports were listed as a
requirement in the 1996-1997 guidelines.34 These progress reports were, perhaps, an added protection for federal funds, a level of accountability to ensure that funds were used in accordance with the agreed upon intent.
34
2.3 NEA Annual Reports 1991-2000: An Analysis
2.3.1 1991 annual report
Fiscal year 1991, the first year analyzed in this study, marked significant changes in the NEA structure. At the end of 1990, Congress reauthorized the agency for two more years. In 1991, Congress increased funds to state and regional arts agencies by 50 percent. Twenty-five percent of program funds were earmarked for state and regional arts agencies, while five percent of program funds were “reserved for programs administered by state and regional arts agencies that addressed developing arts organizations and artistically-underserved communities.”35
Other changes occurred, including considerable panel reforms intended to remove
conflicts of interest. Project descriptions became a requirement on all grant applications.
Project descriptions had been required for previous applications, but not for Fellowships.
Interestingly, page 12 of the annual report states “remaining central to the mission of the
Endowment is its support of the source of creativity, the artist—the individual painter, performer and writer.” Only a few years later, nearly all individual artist support from the NEA was eliminated.
2.3.2 1992 annual report
The 1992 annual report begins with three pages of “The Arts Endowment in
Brief.”36 There were no significant policy changes noted in the annual report summary,
but an overview of the agency structure and operation.
35
Funds obligated to dance in 1992 were more than $8 million, including 282 grants and one cooperative agreement. While most Choreographer Fellowships went to artists in New York and California, some reached new regions including Oregon, New Mexico,
Rhode Island and Maine. Other grant categories in 1992 included Grants to Dance
Presenters, Dance Company Grants, General Services to the Field and Special Projects.
The 1992 dance report emphasized the importance of choreographers and the diversity of dance genres. “The individual choreographer is central to the development of dance.”37 The dance report also discussed the scope of projects, geography and genres,
noting that the agency provided company grants to companies in 22 states and the
territories.37 The diversity of projects subsidized in 1992 included California’s Earth
Circle Association and its preservation of traditional Native American dances.38
2.3.3 1993 annual report
In fiscal year 1993, the annual report took on a very different look and tone. The
design was more creative and free. The report includes a Chairman’s Statement, in the
first term of Jane Alexander (sworn in at the end of fiscal year 1993) following a period
with no chairman. The annual report states the mission of the NEA, as explained by
Alexander:
To stimulate all the arts throughout the land; to support excellence in the arts; to offer opportunities for the American people to participate in the arts as creators and performers…and as consumers of the arts, namely as members of living audiences.39
Alexander appears to have begun her term as NEA chairman with passion and
energy, as seemingly mirrored by the new design of the annual report and its sense of
renewed spirit. The political environment began to shift in 1993. Also in his first term
36
was President Bill Clinton, sworn into office that January. Clinton’s election brought the return of a Democrat in office after 12 years of Republican presidents.
The year also marked the publication of Dancemakers, a comprehensive NEA examination on choreographers in four U.S. cities: New York City, Chicago, San
Francisco and Washington, DC.40 While the survey did not intend to represent the
national outlook, it is an important piece in an area with little other research. It also
sends a message of recognition by the NEA that individual artists—in this case,
choreographers—are vital to the strength of American arts. Another report published for the Endowment by Dance/USA in 1993 was Moving Around: Partnerships at Work in
Dance on Tour, which acknowledged dance touring projects by presenters and companies that were funded by the agency.41
The dance grant section in the annual report acknowledges choreographers and
the importance of individual artist grants. “Since the Endowment’s beginnings, the agency has recognized the need to help the individual choreographers as a keystone of
U.S. artistic advancement. This year the Program provided fellowship support to 46 professional choreographers ranging in age from 19 to 79.”42 Just a few years later, the
NEA announced the elimination of grants to choreographers and most other individual
artists.
2.3.4 1994 annual report
The annual report for fiscal year 1994 returns to a very simple, straightforward
design with no letter from the Chairman. Each program award category (13 discipline
programs) is introduced briefly and followed with the list of grants, including a
description of each grant. Partnership funds are listed in the same uncomplicated fashion.
37
Panel members are also named in the report. Overall, the 1994 report is very cut and dry, as if the Chairman and her staff wanted to focus time, energy and budget on keeping the agency alive. Also, the public image of the agency was threatened; perhaps a simple annual report was the best way to keep the waters still until the agency’s public image could truly begin to be reformed. The NEA anticipated tough times ahead with the shifting political environment. The Republican Party published the Contract with
America, which called for eliminating agencies like the NEA if it became the majority party in Congress. Subsequently, Republicans won the majority of Congressional seats in the 1994 elections. Survival was the NEA’s obvious goal at this point; this is clear. A little less clear was its strategy for survival; this was to develop in the next several years.
2.3.5 1995 annual report
As its 30th anniversary year, 1995 marked a new turn for the NEA. In this annual
report, President Bill Clinton emphasizes the arts in schools, “the creative imagination”
and “a national cultural network.”43 Especially interesting is the last paragraph of
Clinton’s letter:
“In these challenging times, when some question the value of public support for the arts, we should reflect upon our obligation to the common good. The arts are not a luxury, but a vital part of our national character and our individual human spirit.”43
The report outlines a “comprehensive planning process, creating the blueprint for
a reinvented, streamlined National Endowment for the Arts.”44 In 1995, the agency goes
from funding by discipline to funding through four divisions, effective in fiscal year
1997: Heritage and Preservation, Education and Access, Creation and Presentation and
Planning and Stabilization.44 Another significant change is the limitation of
38
organizations to one application; previously, the number of organization applications was unlimited. Additionally, each application must go through four levels of review including two panel reviews, one by experts within the project’s discipline and another by a combined multidisciplinary panel with experts in various fields. Finally, each application is assessed by the National Council on the arts and the NEA Chairman.
The 1995 annual report states the revised structure “was born out of the notion that sustainable strength of the nonprofit arts can be achieved through unity of organizations which share a common mission or even a common home.”45
Accordingly, the report mentions NEA partnerships with other federal agencies including the Office of Juvenile Justice and Delinquency Prevention (the Pathways to
Success program) and the Department of Health and Human Services (Arts and
Prevention program). An arts education partnership with the Department of Education
initiated in 1995 is another sign of the increasing use of alliances, building ties with other
federal agencies as well as ties with local, state and regional institutions. The initiative is
also part of a growing emphasis on arts education, particularly education for youth, the next generation of artists and arts supporters. This growing emphasis is evident in the dance field through projects that incorporate community enrichment activities.
The letter from Chairman Jane Alexander focuses on community and unity, appropriate in a reference to the Oklahoma City bombing in 1995 and efforts to restore the community through a collaborative design workshop and subsequent exhibition, “We
Will Be Back: Oklahoma City Rebuilds.”46 The Chairman’s notes in the 1995 report are
considerably longer than ones in previous reports, with allusions to many artists and
examples of collaborations and partnerships.
39
For the first time since at least 1991, the 1995 annual report includes an NEA fact sheet, clearly defining the agency’s role and relevance.47 The mission is “to foster the
excellence, diversity and vitality of the arts in the United States and to broaden public
access to the arts.”47 The fact sheet also details the structure of the NEA, including the
roles of the Chairman and the National Council. The Council advises the Chairman, as
discussed previously. As of 1995, the Council was comprised of 26 private citizens
appointed by the President, each serving a six-year term.48
The agency report also examines the panel process, noting the rotation and
geographic, racial and artistic diversity of advisory panels.48 Panelists cannot serve on a
panel that might consider the panelist’s own application.48
Impact is addressed in the 1995 annual report, as it often is. The leverage power
of NEA grants is noted. “Every grant directly benefits the grantee and thus their home community and state. Endowment dollars attract private contributions, and this partnership stimulates local economic activity”49 Such a mention of economic impact
could have been a nod to the political powers once again evolving. For the first time in about 40 years, the Republican Party gains control of both the Senate and the House in
1995. As the NEA was already on shaky ground, a predominantly Republican Congress makes Congressional support even more challenging to achieve. At this time, the
Democratic and Republican parties were truly divided in their platforms regarding the
NEA and other federal agencies that fund the arts; while the Democratic Party still
publicly defended federal support for the arts, the Republican Party sought to eliminate or
defund the NEA.
40
Within the listing of grants to dance, the NEA annual report mentions relevant issues affecting the field and its future. Concerns include an “increasingly eroded infrastructure” and “deficits, fewer touring engagements, fewer performances at home, and decreasing financial support from public and private sources.”50 The report also
noted “such larger societal problems such as AIDS.”50
2.3.6 1996 annual report
The 1996 annual report again focused on the restructuring of the organization,
effective in fiscal year 1997. The restructuring represented an effort to simplify
processes, paperwork and staff and panel time for application review. President Clinton’s
letter in the 1996 annual report states the NEA “is a beacon, not only of creativity, but of
freedom.”51 This powerful statement is a lot to live up to for an agency in the midst of a
massive overhaul and at the center of a heated political and public debate.
The agency underwent a 40 percent budget cut, affecting staff and grant
reductions. Also, the new structure eliminated grants to individuals except creative
writing, jazz and national heritage. This follows several years of annual reports that
stressed the importance of support for individual artists. Additionally, organizations no
longer receive general program support from the NEA, only specific project support. The
report states that the new structure “reflects more accurately the cross-fertilization of one
arts discipline with another.”52 “One of the outcomes that [the agency] hope[s] for is
collaboration among arts organizations, not only for fiduciary reasons, but for aesthetic
growth and experimentation.” 52
The year brought new NEA initiatives in an effort to leverage funds through other
sources.53 American Canvas involves community meetings to discuss arts support and
41
Open Studio is an initiative to provide public internet access and mentor programs for arts organizations across the country. Additionally, the NEA website was launched in
1996.
Beginning in 1996, artists and arts organizations could apply for grants in one of four general areas, according to page 8 of the annual report:
• Grants to Organizations (within the four thematic categories);
• Grants to Individuals (Creative Writing Fellowships only);
• Partnership Agreements; and
• Leadership Initiatives.
American Jazz Masters and National Heritage awards are received by nomination only, not application.
Yet another change to the NEA structure in 1996 is its approach to partnership agreements with state and regional organizations.54 In years prior, state and regional organizations used to submit applications for different grants, different projects. As of
1996, the relationship with these groups is simplified and grants to each organization are
combined. The revision “will reduce paperwork for all involved and allow the
Endowment a more comprehensive understanding of each state’s activities and the
interrelationship among the states.”54 This new process seems to give more control to the
state and regional organizations regarding their endeavors. Arts organizations were required to apply for grants using detailed project descriptions and follow-up assessments, perhaps offering more accountability for use of NEA funds. This is a slight
shift in the agency’s redistributive policies.
42
2.3.7 1997 annual report
Fiscal year 1997 marked the first year of implementation of the significant grant process restructuring discussed in 1996. The annual report restates the grant programs were re-categorized “to meet the financial and social challenges of the times.”55 In fiscal
year 1997, the NEA awarded more than 1,000 grants totaling $90.6 million in the
overarching programs of Grants to Organizations, Partnership Agreements, Leadership
Initiatives and Grants to Individuals. Under Grants to Organizations, grant categories
were Creation and Presentation, Planning and Stabilization, Education and Access, and
Heritage and Preservation. The grants were awarded based on “artistic excellence and merit, the impact of the project and the applicant’s ability to carry out the project.”55
Thus, organizations applying for grants had to consider not only the quality of project
idea, but also the logistics of completion; applicants had to envision the project’s
practicality and value from beginning to end. Also, after restructuring, applicants could
submit only one application per fiscal year, unless they submitted as part of a consortium.
The fiscal year 1997 annual report outlined programs, leadership, panels, grants
and staff. The report was thorough in its examination of operations, as if restructuring
gave the agency the opportunity to communicate a renewed sense of identity to the
public.
Just under half of grants awarded to organizations in the four categories fell into
Creation and Presentation.56 The investment in this category “spawned not only
excellence in the arts in the United States, but also their remarkable and vigorous
diversity.” 56 Awards in the category of Planning and Stabilization—many of which must
be matched 3-to-1 in outside funding sources—helped organizations strengthen
43
“organizational capacity through planning, improving management systems, implementing projects to generate revenues, and fiscal capitalization initiatives.”57
2.3.8 1998 annual report
Chairman Jane Alexander, who ended her four-year term, was replaced by Bill
Ivey in 1998, sworn in by the re-elected President Clinton. In the 1998 annual report,
Chairman Ivey’s letter stresses the diversity and wide reach of NEA grants. Grants were awarded to organizations of all sizes and dispersed throughout the United States; such diversification and scope is a theme repeated throughout the report.
With a new chairman comes a new five-year strategic plan, 1999 to 2004.
Appropriations drop to $98 million, down from nearly $99.5 million in fiscal year 1997.58
New Congressional mandates are also set in place. There was a 15 percent cap on the
total dollar amount of grants to organizations in any one state, excluding national or multi-state impact projects; priority was given to projects that reach underserved
populations, and funds to state arts agencies were increased from 35 percent of the budget
to 40 percent. 58 Also in 1998, Congressional members served on the National Council
on the Arts for the first time. Although the six Congressmen on the Council served in a
non-voting, ex-officio capacity, they still reviewed grant proposals. This, perhaps, shows
another legislative step to regulate the NEA.
One initiative established in 1998 demonstrates an effort toward more far-
reaching grant distribution, a trend that continues through the decade. ArtsREACH
provides direct grants to organizations in the 20 states where NEA grants have
traditionally been underrepresented. Again, there is a sense of importance to the reach
and diversity of NEA funds. While the agency played a key role in the decentralization
44
of dance and other arts fields throughout its history, there seems to be a subtle shift over the years from primarily serving artists and arts institutions to primarily serving the public at large. Funds are reserved through ArtsREACH for communities beyond the metropolitan centers of New York or California, communities that were not exposed to a large number of NEA-funded projects in the past.
The largest category of NEA funding for organizations in 1998 is Creation and
Presentation.59 The category received 49 percent of the total applications for matching
grants to organizations.59 The discussion of the category in the annual report highlights
project diversity and geographic distribution. Grantees include organizations in 46 states,
Washington, DC, Puerto Rico and the U.S. Virgin Islands.59 Additionally, many multi-
state projects were funded.
Education and Access grants awarded in 1998 nurtured partnerships, touring
projects, projects for adults, disabled people and more.60 The diversity of grant recipients
is also emphasized for Heritage and Preservation. 60 Projects ranged from “traditional” to
“innovative.” 60 One such project was through the Dance Notation Bureau in New
York.60 The development of a computer program linking animation and Labanotation
software served as “an important breakthrough for the dance field nationwide…
facilitating the notation and preservation of dance history and choreography for artists,
students and scholars.” 60
Beginning in 1998, all grantees are not listed in the annual report. Instead, the
report highlights some grants. The grantees in their entirety are available on the NEA
website. A change in peer panel review came about in 1998. While in 1997, applications
were reviewed both by panels in one artistic discipline and multidisciplinary panels in
45
each grant category, applications in 1998 were only reviewed by panels organized by artistic discipline.61 This shift is notable, perhaps put into practice to further streamline
panel review within a limited budget or prompted by ineffective multidisciplinary panel
reviews. About $82 million in funds were obligated in 1998, down from $94 million in
1997.
2.3.9 1999 annual report
In 1999, the NEA’s 1999-2004 strategic plan was released.62 The plan included
“specific program goals with measurable outcomes,” a sign that both NEA programs and
NEA funded projects would be closely evaluated in the future not just for their immediate
value, but for their overall impact and clear purpose.62 The Challenge America initiative
began in 1999 and included efforts in arts education, access, partnerships and cultural
heritage, generally safe areas of funding with little controversy and, again, the potential
for widespread distribution. Also noted in the 1999 annual report, the ArtsREACH
initiative increased grants to target states by 350 percent in its first year. 62 The initiative
was another attempt to decentralize funding and reach all Americans.
The Creation and Presentation category received about 43 percent of grant
applications in 1999, with about 643 grants awarded totaling $17.1 million.63 About 432
grants were awarded in Education and Access for about $12.3 million.64 Heritage and
Preservation awarded 169 grants totaling $3.5 million.65 Finally, about 124 grants and
$5.8 million were awarded in Planning and Stabilization, including a stabilization grant to
the New York City Ballet.66 Overall, a little less than half of the grant applications the
NEA received were approved and funded.
46
Other funding was provided to new initiatives and partnerships including the
National Millennium Initiative, international exchanges and interagency partnerships.
Over the years there are more and more special funding categories, opportunities to fund special projects that cross disciplines and thematic categories. This is an illustration of the diversification of agency funds and federal support.
The 1999 annual report acknowledges NEA funding for the dance field, noting the New England Foundation for the Art’s National Dance Project.67 The project supports touring across the country. As the report states, “touring is uniquely important to the dance field because virtually all dance companies must find additional performance opportunities beyond their home towns in order to develop their dancers, repertory and audiences.”67 This recognition of touring is notable, as the NEA was a leading supporter
of dance touring under the great Chairman Nancy Hanks in the 1970s with the National
Dance Touring Program.68 Twenty years later, touring is still fundamental to many dance
companies, though funded less by the NEA and other sources, even though the agency
advocates arts for all Americans.
2.3.10 2000 annual report
Chairman Ivey’s letter to the President in the 2000 annual report showed that the
agency was focused on education and outreach more than ever. In this, the 35th
anniversary of the NEA, developing and nurturing new artists and arts supporters was key to survival of the agency and of the arts field. New initiatives in 2000 included Creative
Links, a program for at-risk youth, and the Public Works initiative that funded public art projects. The message from the NEA in 2000 was clear: the arts must reach out and endeavor to become an integral part of communities, an integral and obvious part of
47
every American existence. The arts should not only affect, but also serve the public.69
Such a notion of serving the common good has been a repeated topic of debates concerning the existence of a nonprofit sector and its public subsidy. Addressing the arts and American society, Chairman Ivey proposed a bill of “Cultural Rights.”69 Taken
directly from the Chairman’s statement, the bill, on page 6, reads as follows:
• Heritage. The right to fully explore America’s artistic traditions that define us as families, communities, ethnicities, and regions.
• A Creative Life. The right to learn the processes and traditions of art, and the right to create art.
• Artists and Their Work. The right to engage the work and knowledge of a healthy community of creative artists.
• Performances, Exhibitions, and Programs. The right to be able to choose among a broad range of experiences and services provided by a well- supported community of cultural organizations.
• Art and Diplomacy. The right to have the rich diversity of our nation’s creative life made available to those outside of the United States.
• Understanding Quality. The right to engage and share in art that embodies overarching values and ideas that have lasted through the centuries.
This bill of rights represented a turning point for the NEA and a window of opportunity for arts organizations seeking federal funding. Americans no longer were privileged to experience or create artistic products; they had a right to a life filled with arts participation, education and appreciation. This shifted the meaning of artistic quality from the traditional idea of artistic excellence.
In 2000, about 45 percent of the NEA budget went to grants to organizations through the matching grant categories, about 1,400 grants and $36.5 million awarded.
This included a new grant category in addition to Creation and Presentation, Heritage and
Preservation, Planning and Stabilization, and Education and Access (Education and
48
Access were given separate budget allocations in 2000). The new grant category, Arts on
Radio and Television, was added to reflect the incredible advancement of technology.70
Broadcasting arts programs allows the arts to reach sizeable audiences. This was in keeping with the agency’s ever-growing focus on accessibility and distribution to regions or populations with little previous opportunity to fully experience NEA funded arts projects. As noted on page 25 of the report:
Investing $3 million for 44 projects, the NEA supported the creation and presentation of 2,300 hours of arts programming, providing Americans in every state with access to art forms from folk music and Native American storytelling to cultural history and artist interviews. The 85 hours of television programming is estimated to have reached between 200 and 230 million viewers, with more than 2,200 hours of radio programs having reached 10 to 12 million listeners per week.70
Worthy to make a note of, the 2000 annual report provides lengthy descriptions of
select funded projects in each grant category, a persuasive communication tool. Previous
reports have provided short overviews of many projects, or no information at all. This
storytelling method of reporting shows a trend for reflection, deeper understanding of
funded projects and their impact. Storytelling also might evoke more credibility and
sincerity than less personal descriptions. It might also reflect President Clinton’s
tendency to use storytelling in his public speeches.
2.4 Dance Grant Database
Using database information obtained from the NEA as well as NEA annual
reports, this researcher has developed a comprehensive database of all dance
organizations and individuals awarded NEA grants from 1991-2000. As previously
expressed, this was an undeniably volatile decade in the agency’s history. In 1991,
49
appropriations totaled approximately $174 million; by the end of the decade, appropriations had plummeted to just over $97 million, as noted on the Agency’s website. Most of this decline occurred during the period of agency restructuring, where funding dropped from $162 million in 1995 to $99 million the following year. For dance companies, NEA funding in those years fell from about $5.7 million to $2.7 million.71
At the same time the NEA was on the brink of elimination and appropriations were decreasing, the dance field was growing. According to an NEA report, the number of nonprofit dance companies increased by 93 percent between 1987 and 1997.71
Economic stability may have helped stimulate such growth. After a slight lag in the late
1980s, the development of new companies in the 1990s provided a window of opportunity for new and emerging artists to initiate dance careers. The field grew 73 percent in the decade from 1982 to 1992.72
The figure below illustrates the total number of grants distributed to the dance
field through individual artist grants or grants to organizations from 1991 to 2000. Note
that this figure does not take into account the total dollar amounts distributed to the field
through other sources including state, local and regional partnerships or collaborative
projects. As shown in the figure, the number of grants to the field dropped after 1995,
when it reached 220 grants, and reached its lowest point in fiscal year 1997 at 88 grants.
50
300 284 283 250 242 220 200 204 179 144 150 116 100 88 114 50 0
Number of grants of Number 1991 1993 1995 1997 1999
Fiscal year
Figure 2.1: Total grants to dance organizations and individual artists, 1991-2000.
I have drawn my data from NEA annual reports from 1991 to 2000 and the NEA dance grantee dataset accessed from the NEA through a Freedom of Information Act request. I have extracted every grant to the dance field through the Access to Artistic
Excellence or Grants to Organizations programs from1991 to 2000, including individual artist grants, which were given until the restructuring. The annual reports are organized according to grant categories and provide a short description of the project each grant will support.
Relevant data has been drawn from the reports and dataset provided by the NEA through the Freedom of Information Act, entered into a worksheet using an explicit coding system. I have examined all grants made to the field in the aforementioned grant programs into a database using Microsoft Excel database software and have coded them by several variables: genre, region and grantee type (individual and organization grantees). Within grantee type, I have examined grantee organizations by size (revenue)
51
and age (date founded). Individual artists were excluded from these grantee type studies.
These variables or lenses of perspective can provide insight into funding trends for the field and how the field was affected by the NEA’s evolution. Each variable will be explained below, and results from each variable examined will be discussed in Chapter 3.
2.4.1 Observation through variables: Grant use categories
While not a part of this thesis, a follow-up study might code all the grants into a set of categories identical to the funding categories post-restructuring: “Creation and
Presentation,” Education and Access,” “Planning and Stabilization” and “Heritage and
Preservation.” In 1998, Education and Access was separated into two categories. The discussion here is limited to a brief analysis of the post-restructuring thematic categories.
Many grants given before 1996 overlapped post-restructuring categories. It is
difficult to choose one of the four primary categories to place a grant due to its support
description. Because many of the grants awarded before restructuring were often general
operating or sustainability support and not devoted to a specific project, they tend to
overlap categories, often several categories. The grant restructuring process required that
funds no longer went towards general operating support; they must be devoted
specifically to an organization project. One could see this modification as a way to
harness more control of exactly what was funded by the agency, an attempt to cut down
on the funding of controversial works.
An example of a grant that is difficult to categorize is one made to the Dance
Theatre of Harlem in 1992. The company was awarded a $261,000 grant “to support the
New York season, creation of new work and domestic touring during the 1992-1993
season.”73 The ambiguous and general description lends itself to several post-
52
restructuring categories. This grant could be considered Creation and Presentation because it goes, in part, to creation of new works. It could also fall under the category of
Education and Access because it goes, in part, to touring, providing access opportunities to larger audiences. Dance Brazil was awarded $15,000 in 1994 “to support the 1994-95 home season, administration and the creation of a second home in San Antonio, Texas, for Dance Brazil.”74 This presents the same obstacles for categorization. Would it fall
under Creation and Presentation due to its emphasis on funding the season? Or would it
be best examined as Planning and Stabilization because the funds go, in part, to the
establishment of a second home? Many grant descriptions such as these were lengthy
and described something that could fit into virtually every NEA grant category.
A possible reason for such changes in scope of organization support could be the category restructuring itself. As grants from 1991 to 1995 were rewarded on a discipline basis, many of the grant support descriptions were large in scope; money was distributed among projects in an organization. The priority seemed to be on supporting and sustaining organizations. Following restructuring, an emphasis was put on project support—that is, providing a grant for a single area or project. The priority shifted to supporting projects first and organizations second. In fact, Congress prohibited the NEA
from providing seasonal or general program support.75 The reason for the change could
be the NEA’s desire to have more control over how the funds are put to use by an
organization. After the controversies during the culture wars, it can be deduced that, in
its direct grants to nonprofits (not state and local arts agencies) the NEA intended to
attain greater accountability for how grant funds were spent without controlling artistic
content. Before restructuring, grants were not officially awarded for general operating
53
expenses or capital improvements, but were frequently awarded for seasonal support, i.e. choreographer and dance salaries, administrative costs, etc. The funds were often spread through an organization, making it difficult to separate NEA funded aspects of the organization’s programs from non-funded operations. Funding projects likely provided a simplified and more direct assessment, and additionally afforded the NEA liability only for the funded project, not the organization’s general operations. Though the NEA surely looked at the overall reputation of an organization before awarding a grant after restructuring, there was less emphasis on the organization and more on the project itself.
2.4.2 Observation through variables: Geography
To evaluate geographic trends, the states of the grantees were coded into geographic categories based on those used in Raising the Barre. They are:
• North Central: Indiana, Iowa, Illinois, Kansas, Michigan, Minnesota,
Missouri, Nebraska, North Dakota, Ohio, South Dakota, Wisconsin
• Northeast: Connecticut, Maine, Massachusetts, New Hampshire, New
Jersey, New York, Pennsylvania, Rhode Island, Vermont
• South: Alabama, Arkansas, Delaware, District of Columbia, Florida,
Georgia, Kentucky, Louisiana, Maryland, Mississippi, North Carolina,
Oklahoma, South Carolina, Tennessee, Texas, Virginia, West Virginia
• West: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana,
Nevada, New Mexico, Oregon, Utah, Washington, Wyoming
54
Puerto Rico and the U.S. Virgin Islands were omitted from any of the aforementioned geographic categories. Instead, the territories were identified in a separate category of Territories.
According to Raising the Barre “though concentrated in high population states, dance companies became more widely dispersed throughout the country” in the 1990s.76
The report states that in 1989, 61 percent of dance companies were based in New York,
California, Texas, Pennsylvania, Massachusetts, Florida and Illinois; the percentage of companies located in those states had dropped to 54 percent by 1999.76
A large percentage of grant money was distributed to the Northeast region in all
years of funding studied, with the West coming in second. Certainly it is no surprise that
New York and California undoubtedly house more dance companies than any other state
and continue to lead in the growth and development of new companies. Based on
passages in many annual reports, part of the impetus for restructuring the NEA grant
process was to make funds more widespread, to a range of organizations and locations.
The geographic distribution of funds will be discussed in detail in Chapter 3.
2.4.3 Observation through variables: Genre
The grants have been coded according to the type of dance. The genre distinctions used were: ballet, modern, folk/ethnic, other and mixed. Ballet, modern and folk/ethnic are self-explanatory categories. The category of Other represents genres that do not fall under ballet, modern or folk/ethnic. These include ballroom, tap dance, jazz, etc. The category of Mixed represents presenting organizations that feature a multitude of genres; multidisciplinary service and umbrella organizations; other organizations not genre specific including educational institutions, and individual artists that produce an
55
equal amount of artistic products in different dance genres or art fields. The genre names used in this study are based on both the categories of the NEA dataset used and the categories in NEA research note number 67, Dance Organizations Report 43 percent
Growth in Economic Census: 1987-1992.
It appears that ballet and modern dance companies both receive a significant portion of funds. The NEA created a close connection with concert dance from its creation: the first NEA grant ever awarded was to the American Ballet Theatre. From then on, many of NEA dance grant recipients have been American ballet companies.
This could suggest the NEA considers concert dance genres as more deserving of federal support because they are in keeping with the idea of “high art” as well as more professionalized than traditional or folk arts; however, as will be discussed in Chapter 3, other dance genres including folk arts received grants, especially after restructuring.
2.4.4 Observation through variables: Grantee type
This report examines grants to dance organizations, support systems and services and individual choreographers. While grant opportunities for independent choreographers were eliminated in the restructuring, the number and dollar amount of grants given to individuals prior to restructuring is noteworthy. Beyond the type of grantee are two demographic factors specific to organizations: size and age.
The results of these variable assessments will be discussed in Chapter 3.
2.4.4.1 Individual Grantees
To truly observe the impact of grant restructuring on the dance field, one must examine grants to individual artists. Indeed, the dance field consists of many
56
independent artists. Choreographers are not synonymous with dancers; nor are they always teachers. However, while each occupation is distinct, there is much overlap among jobs in the dance field. Many choreographers are performers. Many direct their own companies, pulling duty as arts administrators as well as creators of an artistic product. Choreographers may own their own studios, playing the role of teacher and choreographer. While some choreographers work with or found their own companies, many choreographers work independently. Many are commissioned to create works for companies or schools, or seek out original projects or partnerships with different sets of dancers; thus, contract or short-term projects can make up a significant part of a choreographer’s professional career.
According to one source, in 2003, there were 15,140 working choreographers.77
According to the U.S. Bureau of Labor Statistics, in 2006, there were about 40,000
professional dancers and choreographers. Because others may have been between jobs at
the time of the survey, the total is most likely higher. Additionally, about 17 percent of
professional dancers and choreographers were self-employed.78
Choreographers can work in a multitude of specializations including ballet,
modern, hip hop, liturgical dance, etc. Choreographers can work in these genres in
settings including, but not limited to concert dance, music videos, theme parks, cruise lines, musical theatre, revues and circuses. Clearly, the arena in which choreographers may be found is expansive and they make up an important part of the dance field.
2.4.4.2 Organization Size
In terms of federal funding, one wonders if size, indeed, does matter. To examine
for this thesis, the size of the grantees were coded based on the total contributed and
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earned income of the organization. These size specifications utilized were structured nearly the same way as classifications of Dance/USA in its May 2001 Snap Facts.
Dance/USA is the leading national service organization for the field and, thus, is a reliable and legitimate source for national size proportions.
• Large Ballet: Total Income of more than $5 million
• Medium Ballet: Total Income of $1 million and $5 million
• Large Modern: Total Income of more than $860,000
• Medium Modern/Other: Total Income between $200,000 and $860,000
• Small: Total Income of $200,000 or less
While these categories were created by Dance/USA to specifically examine ballet and modern companies, they will be renamed in this research so as to include all genres.
Since ballet companies are generally larger than other types of dance companies, the categories have been named accordingly.
• Large: Total Income of $5 million or more • Medium: Total Income between $1 million and $4,999,999 • Large Other: Total Income between $860,000 and $999,999 • Medium Other: Total Income between $200,000 and $859,999 • Small Other: Total Income of $199,999 or less
So why does size matter in this research? Size is a variable worth evaluating because of what it could say about the power of larger organizations to garner more funding from multiple resources, including government grants. Does a larger organization have a better ability to reach larger audiences, thus generating a wider distribution of the art product to a larger population? Organizations with more money, in most cases, are afforded more opportunities to expand their reach through touring, devote
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more money towards larger and greater numbers of productions, as well as have larger budgets for marketing, development and other administrative functionalities. But does their size earn them more NEA grants? Do they have an advantage over smaller organizations, which outnumber large organizations in the field? To thoroughly assess these questions, an investigation of all applications, not just grant recipients, would be essential. Such an investigation is beyond the scope of this thesis.
2.4.4.3 Organization Age
Grantee age is important to evaluate as a policy issue. Is the NEA to nurture established, self-sustaining organizations that have proven themselves or is it to help advance new organizations finding their place in the field? Is it to support excellence or innovation, or strive for a balance of both? With the NEA’s leveraging role by providing
“seed money” to organizations, this variable is a legitimate and worthwhile evaluation tool.
Given the idea that grants to some organizations could be construed as essentially entitlements, this variable is especially important. Is the NEA to support stable and established organizations or help new and struggling organizations develop within the cultural landscape? Is the age of the organization a factor in whether or not it deserves funding?
Is it possible that the restructuring and funding decrease hurt fledgling dance companies? Did it affect their ability to secure federal funds and, hence, to remain financially viable? Did it offer ‘entitlements’ to companies that consistently received
NEA funds?
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Smith’s 2003 report states that most dance companies in the United States are
“less than 40 years old.”79 Age is an important variable in a discussion of NEA funding
patterns. It can help determine whether a majority of companies in the United States are
awarded grants or if grants go disproportionately to the few older companies. It can also
be determined whether or not there was a significant change in this distribution following
NEA restructuring.
The organization age data in the grant database was organized by the date the
company was founded. The six organization age categories used in the study, in 10-year
increments, were as follows: