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“Ins and Outs” of Foundations. Purpose: ► Sketch the Foundation “World” in general ► Focus on foundations that support health research ► Convince you:

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Presentation on theme: "“Ins and Outs” of Foundations. Purpose: ► Sketch the Foundation “World” in general ► Focus on foundations that support health research ► Convince you:"— Presentation transcript:

1 “Ins and Outs” of Foundations

2 Purpose: ► Sketch the Foundation “World” in general ► Focus on foundations that support health research ► Convince you:  Foundations have a unique role in research  To consider applying for foundation support of your research

3 Today’s Presentation I. Numbers II. Foundations III. $! IV. The Process V. Some Websites

4 Source: Health Care Financing Administration U.S. Health Research and Development Expenditures Private Foundations 4% Federal 44% Industry 52% 1996 Total = $35.8 billion

5 68% - Federal Government 9% - Faculty Practice 9% Foundations, Voluntaries, etc. 1% State/Local Government 14% Industry Academic Health Center Research Revenues (1997$) Source: Foundation Giving, 1998

6 Foundations’ Share of Private Philanthropy Source: Foundation Giving, 1999 Bequests Foundations Corporations Individuals 8.0% 78.0% 8.8% 5.2%

7 Giving in 1998 Religion $76.06 (43.6%) Education $24.56 (14.1%) Health $16.99 (9.7%) Human Services $16.08 (9.2%) Foundations $16.94 (9.7%) Arts, Culture, and Humanities $10.53 (6.0%) $ in Billions Public/Society Benefit $10.86 (6.2%) Environment/Wildlife $5.25 (3.0%) International Affairs $2.14 (1.2%)

8 U.S. Foundations - Grants by Major Categories Source: Foundation Giving, 1999 17% - Health 5% - Environment & Animals 3% - Social Science 15% - Human Services 24% - Education 2% - Religion 4% - Int’l Affairs 5% - Science & Technology 13% - Arts & Humanities 12% - Public/Society Benefit

9 42% - Higher Education 20% - Graduate & Professional 26% - Elementary & Secondary 5% Library Science/Libraries 4% Educational Services 1% Student Services 2% Other Source: Foundation Giving, 1999 U.S. Foundations - Grants for Education Subcategories of Giving

10 U.S. Foundations - Grants for Health, Subcategories of Giving 30% Hospital & Medical Care 11% Specific Diseases 14% Mental Health 19% Medical Research 4% Health Care Financing 3% Policy & Management 9% Public Health 3% General & Other 6% Reproductive Health Care Source: Foundation Giving, 1999 Rehabilitative

11 Ten Largest Foundations Supporting Health/Medical Research FoundationAmount No. 1. Robert Wood Johnson FoundationNJ$295,930,780858 2. W. K. Kellogg FoundationMI 78,910,718103 3. David and Lucile Packard FoundationCA 65,317,776182 4. Whitaker FoundationVA 63,389,306129 5. California FoundationCA 39,372,381101 6. Burroughs Wellcome FundNC 35,045,751142 7. Chicago Community Trust and Affiliates IL 26,956,598 39 8. Duke EndowmentNC 24,711,751267 9. Pew Charitable TrustsPA 23,509,000 38 10. Rockefeller FoundationNY 22,894,423107 Total$676,038,4841,966 Source: Foundation Giving Trends, 2000

12 Ten Largest Foundations Supporting Health/Medical Research FoundationAmount No. 1. Robert Wood Johnson FoundationNJ$369,971,256563 2. David and Lucile Packard FoundationCA 103,169,074208 3. California EndowmentCA 90,095,951106 4. Whitaker FoundationVA 50,054,802123 5. Bill & Melinda Gates FoundationWA 47,281,50023 6. Burroughs Wellcome FundNC 36,447,910137 7. Donald W. Reynolds FoundationNV 35,330,207 10 8. Starr FoundationNY 33,544,22557 9. Rockefeller FoundationNY 33,086,235128 10. W.M. KeckCA 31,675,00011 Total$830,656,1601,366 Source: Foundation Giving Trends, 2001

13 Today’s Presentation I. Numbers II. Foundations III. $! IV. The Process V. Some Websites

14 Special Role of Foundations “Uniquely qualified to initiate thought and action, experiment with new and untried ventures, dissent from prevailing attitudes, and act quickly and flexibly.” 1965 Treasury Report

15 Strengths of Philanthropic Support ► Move quickly to fill a gap ► Function as neutral conveners ► Model successful approaches ► Develop information for policy debate ► Fund politically unpopular areas of research ► Take risks

16 Limitations of Philanthropy ► Limited funds to commit to research ► Less willingness to support overhead or infrastructure ► Desire to model and move on ► Tendency to carry out own program rather than work collaboratively

17 What are Foundations? Non profit, non-governmental organizations of different types  company sponsored (Merck)  operating (HHMI)  community (Cleveland)  independent (BWF)

18 Grants by Foundation Type Source: Foundation Today Series, 2000 Corporate fdns $2,446.1 (12.6%) Community fdns $1,457.8 Operating fdns $619.3 Total # Grants: 46,800 Total $: $19.5 billion Independent fdns $14,933.6 76.8% (7.5%) (3.2%)

19 Corporations and Their Foundations: Merck ► Derive funds from a for-profit company ► Grants generally related to the business efforts ► 60% of pharmaceutical and computer corporate contributions were product donations

20 An Operating Foundation: Howard Hughes Medical Institute ► Hires its grant recipients (scientists) as employees ► Provides long-term support to permit risk taking and protection from working on politically unpopular research

21 Community Foundations: Cleveland Foundation Community Foundations: Cleveland Foundation ► In a good position to receive individual dollars ► Limited tradition of support for biomedical and basic research ► More beginning to move into this area ► Identification of research and approaches are issues ► The Cleveland Foundation Story as a Model

22 Conversion Foundations: Jewish Healthcare Foundation of Pittsburgh Conversion Foundations: Jewish Healthcare Foundation of Pittsburgh ► Generally a sub-class of independent foundations. ► Formed from dollars derived when nonprofit health institutions convert to profit making (e.g. sale of a private hospital) ► Many new foundations of this type ► flexibility

23 Independent Foundations: Burroughs Wellcome Fund ► Established by a philanthropist with a mission ► Mission strategies determined by an independent Board of Directors ► Scope of funding can vary ► Includes many small, family foundations: McDonnell Foundation

24 Today’s Presentation I. Numbers II. Foundations III. $! IV. Clinical Research V. Some Websites

25 Where does the money come from? ~5%

26 OUCH!

27 well...

28 Many organizations support small programs Many organizations support small programs

29 Today’s Presentation I. Numbers II. Foundations III. $! IV. The Process V. Some Websites

30 The Key to Success: Identifying the best foundations to approach….

31 Many Foundations ► Support basic research ► Support health services research ► Support specific disease-oriented research

32 Foundations, Voluntaries and Medical Research ► Juvenile Diabetes Fndn. ► Doris Duke Charitable Fndn. ► James S. McDonnell Fndn. ► Amer. Cancer Society ► Amer. Heart Assoc. ► Amer. Diabetes Assoc.

33 Doris Duke Charitable Fndn. A large diverse foundation that also supports medical research: “The Medical Research Program of the DDCF currently seeks to support clinical research and address the gap between the exponential increase in basic biomedical discoveries and their application to improve human health. We believe that a vigorous clinical research enterprise is essential for the timely translation of basic research findings into new treatments, preventions, and cures for human diseases.”

34 McDonnell Fndn ► ► 3 current program areas:   Bridging mind, brain & behavior   Studying Complex Systems   Brain Cancer Research ► ► “ Despite its costly human toll, brain cancer is a relatively under-funded area of cancer biology research. The Foundation is particularly interested in supporting novel research that will generate new knowledge leading to increased rates of survival and improve functional recovery for individuals with brain cancer. ”

35 Another Source: “Voluntaries” American Cancer Society ► ► “As the nation’s largest private, not-for- profit source of funds for scientists studying cancer, the American Cancer Society focuses its funding on investigator-initiated, peer-reviewed proposals.” ► ► $119M for research in 2000

36 “To advance the medical sciences by supporting research and other scientific and educational activities” BWF Mission

37 Ad Hoc Grants Competitive Grants 85% 15% Competitive versus Ad Hoc Grants

38 Next Steps ► ► Competitive Programs:   Work with grants office to identify foundations in research area   Review websites for program specifics   Contact responsible program officer to verify that your research idea falls in target area   Contact at least 2 successful grantees   Apply

39 Next Steps: ► ► Ad Hoc Opportunities:   Work with your Foundation liaison office to determine feasibility and as partner in process   Opportunities more for infrastructure and special one- time activities such as special conferences that will have an impact   Look carefully at the competitive programs --Is there a match?   Email, call – don’t visit unless invited

40 Next Steps: Ad Hoc (continued): ► ► Initially contact by email ► ► Use plain English: what do you care about? Why does it matter? Why is it a prime candidate for a risk-taking funder?

41 ► ► 5 Focus Areas:   Basic Biomedical Sciences   Emerging Infectious Diseases   Interfaces in Science   Translational Research   Science Education ► ► Strategy: support young investigators early in their careers with bridging grants - $500K

42 Today’s Presentation I. Numbers II. Foundations III. $! IV. The Process V. Some Websites

43 General Foundation Funding Council on Foundations The Foundation Center Grantmakers in Health Grantsnet Guidestar (tax returns) Web Sites

44 Foundation and non-profit sector information Chronicle of Philanthropy Philanthropy Journal Worth Magazine Fdn. News and Commentary Web Sites

45 Foundations with few $ Can Play an Important Role in Research: Foundations with few $ Can Play an Important Role in Research: Encourage you to consider foundations as funders for:  unique areas  More risky research  Interdisciplinary research  Politically sensitive research  Special activities

46 “One thing is certain… If you never write a grant, you will never get a grant.” Tsang and Oh, 1986

47 Reasons to Seek Funding ► You have a coalition but have no funds. ► You have a coalition project that requires additional funding. ► You have received an RFP (Request for Proposal) from federal/state agency or foundation. ► Your position depends on grant support. ► You are trying to fund a position for another individual.

48 Why Seek Research Funding? ► Funding for immunization coalitions has waned, making it harder for coalitions to continue and/or initiate activities ► Funding sources (e.g., APA, CDC, CMS) often seek competent organizations to test immunization initiatives

49 Sources of Funding

50 Federal Agencies ► Centers for Disease Control and Prevention (CDC) ► Association of Teachers of Preventive Medicine (ATPM) ► U.S. Department of Health and Human Services (HHS)

51 Private Foundations (National, State, Local) ► Kaiser Family Foundation ► Kellogg Foundation ► Robert Wood Johnson Foundation ► Knight Foundation

52 Individuals (especially as bequests)

53 Corporations ► Johnson & Johnson ► NationsBank (and other banks) ► Aetna (and other insurance companies) ► Canon ► Pharmaceutical companies (e.g. Merck) ► Most Fortune 500 companies

54 Non-Profit Agencies/Organizations ► March of Dimes ► American Red Cross ► American Academy of Pediatrics ► Community Access to Child Health (CATCH Grants) ► Service clubs (Lions, Rotary, Kiwanis, Junior League) ► Charitable organizations (e.g., churches) ► Hospital foundations

55 Grantsmanship’s “Golden Rule” The one who has the gold makes the rules.

56 Grantseeking is a Process Set Your Funding Priorities Gather Information Research Funding Sources Write the Proposal Submit the Proposal Your Proposal is not Funded Your Proposal is Funded

57 Before You Begin a Grant Proposal 1. Know your consumers and their needs 2. Know public/private service areas and networks networks 3. Know where gaps and service duplications exist 4. Know your program’s capacities, strengths, weaknesses weaknesses 5. Research all funding options available 6. Know the source you are applying for 7. Develop generic proposals

58 Generic Proposal Outline ► Proposal Summary ► Intro/Background about your organization ► Statement of Challenge/Problem/Opportunity ► Program Goals/Objectives/Outcomes

59 Grant-Seeking Do’s ► Do your homework regarding issues, assets, funding sources & successful proposals. ► Invite all stakeholders to plan, become involved & support your efforts to secure funding. CLUE: Involve potential funding source in project development. ► Find & nurture project champions - take a team approach. ► Identify funders’ needs & granting patterns - match your proposal to target audience. ► Be organized - stay ahead of application deadlines.

60 Grant-Seeking Do’s (con’t) ► Use existing needs assessments (health depts., cooperative extension, universities, planning commissions) - document impact of your efforts. ► Contact funding source - “market” your proposal. ► Don’t let dollars drive program design or propose something you don’t want to do. ► Develop generic proposals that are well-written & reviewed by others. ► Persevere & keep a sense of humor.

61 Objectives ► Identify the benefits of securing research funding to implement coalition activities ► Site three examples of how research funding has been used to developed immunization programs ► Address the reporting requirements for research funders

62 Conclusions ► Funding for coalition activities exist ► Coalitions should seek research funds to further their activities ► Reporting requirements to research funders are not difficult

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