Ins and Outs of Foundations

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Ins and Outs of Foundations
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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

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Todays Presentation
I. Numbers II. Foundations III. ! IV. The
Process V. Some Websites
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U.S. Health Research and Development Expenditures
Private Foundations 4
Federal 44
Industry 52
1996 Total 35.8 billion
Source Health Care Financing Administration
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Academic Health Center Research Revenues (1997)
9 Foundations, Voluntaries, etc.
68 - Federal Government
9 - Faculty Practice
1 State/Local Government
14 Industry
Source Foundation Giving, 1998
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Foundations Share of Private Philanthropy
Foundations
Bequests
8.8
8.0
Corporations
5.2
Individuals
78.0
Source Foundation Giving, 1999
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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)
Public/Society Benefit 10.86 (6.2) Environment/
Wildlife 5.25 (3.0) International
Affairs 2.14 (1.2)
in Billions
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U.S. Foundations - Grants by Major Categories
15 - Human Services
24 - Education
17 - Health
2 - Religion
4 - Intl Affairs
13 - Arts Humanities
3 - Social Science
12 - Public/Society Benefit
5 - Science Technology
5 - Environment Animals
Source Foundation Giving, 1999
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U.S. Foundations - Grants for Education
Subcategories of Giving
20 - Graduate Professional
42 - Higher Education
2 Other
26 - Elementary Secondary
1 Student Services
4 Educational Services
5 Library Science/Libraries
Source Foundation Giving, 1999
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U.S. Foundations - Grants for Health,
Subcategories of Giving
6 Reproductive Health Care
3 General Other
Rehabilitative
3 Policy Management
30 Hospital Medical Care
9 Public Health
4 Health Care Financing
11 Specific Diseases
19 Medical Research
14 Mental Health
Source Foundation Giving, 1999
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Ten Largest Foundations Supporting Health/Medical
Research
Source Foundation Giving Trends, 2000
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Ten Largest Foundations Supporting Health/Medical
Research
Source Foundation Giving Trends, 2001
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Todays Presentation
I. Numbers II. Foundations III. ! IV. The
Process V. Some Websites
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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
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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

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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

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What are Foundations?

• Non profit, non-governmental organizations of
  different types
• company sponsored (Merck)
• operating (HHMI)
• community (Cleveland)
• independent (BWF)

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

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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

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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

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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

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Independent FoundationsBurroughs 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

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Todays Presentation
I. Numbers II. Foundations III. ! IV. Clinical
Research V. Some Websites
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Where does the money come from?
5
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OUCH!
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well . . .
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Many organizations support small programs
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Todays Presentation
I. Numbers II. Foundations III. ! IV. The
Process V. Some Websites
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The Key to Success

• Identifying the best foundations to approach.

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Many Foundations

• Support basic research
• Support health services research
• Support specific disease-oriented research

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Foundations, Voluntaries and Medical Research

• Juvenile Diabetes Fndn.
  http//www.jdf.org/
• Doris Duke Charitable Fndn.
  http//ddcf.aibs.org/medical/index.asp
• James S. McDonnell Fndn. http//www.jsmf.org
  /
• Amer. Cancer Society http//www.cancer.org/
• Amer. Heart Assoc. http//www.americanheart.org/
  
• Amer. Diabetes Assoc. http//www.diabetes.org/
  

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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.

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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.

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Another Source Voluntaries American Cancer
Society

• As the nations 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

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BWF Mission

• To advance the medical sciences by supporting
  research and other scientific and educational
  activities

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Competitive versus Ad Hoc Grants
Ad Hoc Grants
Competitive Grants
15
85
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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

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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 dont visit unless invited

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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?

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• 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

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Todays Presentation
I. Numbers II. Foundations III. ! IV. The
Process V. Some Websites
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Web Sites

• General Foundation Funding
• Council on Foundations www.cof.org
• The Foundation Center www.fdncenter.org
• Grantmakers in Health www.gih.org
• Grantsnet www.grantsnet.org
• Guidestar (tax returns) www.guidestar.org

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Web Sites

• Foundation and non-profit sector information
• Chronicle of Philanthropy www.philanthropy.com
• Philanthropy Journal www.pj.org
• Worth Magazine www.worth.com
• Fdn. News and Commentary www.cof.org

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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

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One thing is certainIf you never write a
grant,you will never get a grant.
Tsang and Oh, 1986
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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.

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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

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Sources of Funding
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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)

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Private Foundations(National, State, Local)

• Kaiser Family Foundation
• Kellogg Foundation
• Robert Wood Johnson Foundation
• Knight Foundation

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Individuals

• (especially as bequests)

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Corporations

• Johnson Johnson
• NationsBank (and other banks)
• Aetna (and other insurance companies)
• Canon
• Pharmaceutical companies (e.g. Merck)
• Most Fortune 500 companies

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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

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Grantsmanships Golden Rule

• The one who has the gold
• makes the rules.

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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
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Before You Begin a Grant Proposal

• 1. Know your consumers and their needs
• 2. Know public/private service areas and
• networks
• 3. Know where gaps and service duplications
  exist
• 4. Know your programs capacities, strengths,
• weaknesses
• 5. Research all funding options available
• 6. Know the source you are applying for
• 7. Develop generic proposals

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Generic Proposal Outline

• Proposal Summary
• Intro/Background about your organization
• Statement of Challenge/Problem/Opportunity
• Program Goals/Objectives/Outcomes

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Grant-Seeking Dos

• 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.

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Grant-Seeking Dos (cont)

• Use existing needs assessments (health depts.,
  cooperative extension, universities, planning
  commissions) - document impact of your efforts.
• Contact funding source - market your proposal.
• Dont let dollars drive program design or propose
  something you dont want to do.
• Develop generic proposals that are well-written
  reviewed by others.
• Persevere keep a sense of humor.

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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

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Conclusions

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