TY 2019 GeneralExplanationAttachment
Name:
THE ROCKEFELLER FOUNDATION
EIN:
13-1659629
Identifier Return Reference Explanation
  990PF, PAGE 10, PART XV, LINES 2A THROUGH 2D GRANT APPLICATION SUBMISSION INFORMATION(A) THE FOUNDATION DID NOT ACCEPT UNSOLICITED INQUIRIES IN 2019 EXCEPT FOR APPLICANTS TO THE BELLAGIO CENTER, ITALY.(B) APPLICANTS TO THE BELLAGIO CENTER, ITALY, ARE ASKED TO APPLY ON LINE AT WWW.ROCKEFELLERFOUNDATION.ORG.(C) IN 2019, THERE WERE NO SPECIFIC SUBMISSION DEADLINES FOR THEFOUNDATION'S PROGRAMS, OTHER THAN FOR THE BELLAGIO PROGRAM. INADDITION, FROM TIME TO TIME, REQUESTS FOR PROPOSALS WERE SENT OUT WITHSPECIFIC DEADLINES TO A SELECT GROUP OF PROSPECTIVE GRANTEES FORPARTICULAR PROJECTS.(D) THE ROCKEFELLER FOUNDATION DEVELOPS ITS PROGRAMS, STRATEGIES ANDAPPROACHES DESIGNED TO HAVE AN IMPACT ON A PARTICULAR SET OF ISSUES ORCHALLENGES THROUGH A CONSULTATIVE AND COLLABORATIVE PROCESS. WE ENGAGE A VARIETY OF GROUPS, INCLUDING SUBJECT MATTER EXPERTS, POLICYMAKERS AND REPRESENTATIVES OF APPLICABLE COMMUNITIES TO FULLY UNDERSTAND A GIVEN CHALLENGE OR OPPORTUNITY, INCLUDING THE ECONOMIC, POLITICAL OR SOCIAL CONTEXT IN WHICH IT RESIDES. IN THE COURSE OF PROGRAM DEVELOPMENT, THE FOUNDATION IDENTIFIES AND CONSIDERS ORGANIZATIONS THAT WE BELIEVE ARE BEST POSITIONED TO IMPLEMENT DEFINED COMPONENTS OF A PROGRAM. THIS PROCESS HELPS DETERMINE THE ORGANIZATIONS TO WHICH THE FOUNDATION WILL PROVIDE GRANTS, AND WE WILL THEN REQUEST PROJECT PROPOSALS FROM THOSE ORGANIZATIONS. IN ORDER TO FOCUS AND MAXIMIZE THE IMPACT OF OUR GRANTMAKING, WE RARELY PROVIDE FUNDING IN RESPONSE TO UNSOLICITED PROPOSALS. AS A MATTER OF POLICY, THE FOUNDATION DOES NOT GIVE OR LEND MONEY FOR PERSONAL AID TO INDIVIDUALS OR, EXCEPT IN RARE CASES, FUND ENDOWMENTS, OR CONTRIBUTE TO BUILDING AND OPERATING FUNDS.DURING 2019, THE ROCKEFELLER FOUNDATION PURSUED ITS 1913 MISSION OF PROMOTING THE WELL-BEING OF HUMANITY THROUGHOUT THE WORLD BY BUILDING COLLABORTIVE RELATIONSHIPS WITH PARTNERS AND GRANTEES TO SOLVE GLOBAL CHALLENGES RELATED TO HEALTH, FOOD, POWER AND ECONOMIC MOBILITY. CURRENT WORK WITHIN THESE INITIATIVES, AS WELL AS AREAS BEING EXPLORED FOR FUTURE INITIATIVES, ARE DESCRIBED ON THE FOUNDATION'S WEB SITE AT WWW.ROCKEFELLERFOUNDATION.ORG, WHICH IS CONTINUALLY UPDATED. ACTIVE WORK DURING 2019 INCLUDED: CLIMATE AND RESILIENCE; HEALTH INITIATIVE; 100 RESILIENT CITIES; SMART POWER FOR RURAL DEVELOPMENT; DATA AND TECHNOLOGY; AND EQUITY AND ECONOMIC OPPORTUNITY.THE FOUNDATION ALSO OPERATES A CONFERENCE AND STUDY PROGRAM AT ITSBELLAGIO CENTER IN ITALY.
EXPENDITURE RESPONSIBILITY GRANTS AND PRIS 990PF, PART VII-B, LINE 5(C) THE FOLLOWING TEXT RELATES TO THE STATEMENT 21, THE EXPENDITURE RESPONSIBILITY STATEMENT, IN RESPONSE TO PART VII-B, LINE 5C. PROSPECTIVE GRANTEES ARE ASKED TO FURNISH INFORMATION IN ORDER TO ENABLE THE FOUNDATION TO DETERMINE WHETHER THEY HAVE NOT RECEIVED A DETERMINATION OF 501(C)(3) STATUS FROM THE U.S. INTERNAL REVENUE SERVICE OR MAY BE CONSIDERED THE EQUIVALENT OF A TAX-EXEMPT CHARITY, IF FORMED OUTSIDE THE UNITED STATES. PROSPECTIVE GRANTEES WITH RESPECT TO WHOM THE FOUNDATION HAS "EXPENDITURE RESPONSIBILITY" OBLIGATIONS ARE INFORMED BY LETTER, BEFORE PAYMENT IS MADE ON A GRANT, OF THE RESPONSIBILITIES IMPOSED UPON THE FOUNDATION AND ITS GRANTEES BY THE INTERNAL REVENUE CODE OF 1986, AS AMENDED. EACH GRANTEE MUST AGREE IN WRITING TO THOSE TERMS AND CONDITIONS, INCLUDING THE OBLIGATION TO PROVIDE FINANCIAL AND SUBSTANTIVE REPORTS ON HOW FOUNDATION GRANT FUNDS ARE EXPENDED. THE REPORTS THAT ARE RECEIVED ARE REVIEWED FOR GENERAL ACCURACY, SUFFICIENCY AND COMPLIANCE WITH THE TERMS AND CONDITIONS OF THE GRANT. ADDITIONAL INFORMATION IS REQUESTED FROM GRANTEES IN INSTANCES WHERE REPORTS ARE CONSIDERED INADEQUATE. WHERE THE FOUNDATION HAS NOT RECEIVED FINANCIAL OR SUBSTANTIVE REPORTS FROM A GRANTEE WHEN EXPECTED, FOUNDATION STAFF FOLLOW UP IN SEVERAL WAYS, INCLUDING REMINDERS THAT ARE SENT AT MONTHLY INTERVALS AFTER REPORTS ARE EXPECTED AND PERSONAL FOLLOW-UP BY PROGRAM AND GRANTS MANAGEMENT STAFF THROUGH TELEPHONE, MAIL AND E-MAIL.STATEMENT 21 LISTS GRANT AND PROGRAM-RELATED INVESTMENT EXPENDITURES WITH RESPECT TO WHICH THE FOUNDATION HAS EXERCISED EXPENDITURE RESPONSIBILITY. WHERE THE GRANTEE'S NAME IS FOLLOWED BY AN ASTERISK (*), THE GRANTEE ORGANIZATION IS EITHER A PRIVATE FOUNDATION, A PRIVATE OPERATING FOUNDATION, OR A FOREIGN PRIVATE-FOUNDATION EQUIVALENT. ALL OTHER GRANTEES ARE NON-501(C)(3) ORGANIZATIONS OR ORGANIZATIONS FOR WHICH THE FOUNDATION HAS NOT MADE A REASONABLE DETERMINATION OF 501(C)(3) EQUIVALENCY STATUS THAT RECEIVED GRANTS FOR CHARITABLE PROJECTS AND MAINTAINED PAYMENTS IN SEGREGATED FUNDS AS REQUIRED BY TREASURY REG. 53.4945-6(C).IF A PARTICULAR GRANT EXPENDITURE IS SHOWN TO HAVE BEEN FULLY EXPENDED BY THE GRANTEE BUT THE FOUNDATION HAS NOT YET RECEIVED ONE OR MORE NARRATIVE REPORTS, THE FOUNDATION WILL REPORT ON THE STATUS OF THE EXPENDITURE ON OUR 2019 990-PF. UNLESS OTHERWISE NOTED, THE REPORTS RECEIVED WERE FOUND TO BE IN ORDER AND TO SHOW THAT THE FUNDS WERE FULLY EXPENDED FOR THE PURPOSE OF THE GRANT.REPORTING STATUS IS AS OF 10/15/2020.
FOUNDATION STATUS CODE "PC" 990PF, PART XV WITH REGARD TO PART XV SUPPLEMENTARY INFORMATION REFLECTING GRANTS AND CONTRIBUTIONS PAID DURING THE YEAR AND APPROVED FOR FUTURE PAYMENT, ORGANIZATIONS GIVEN THE FOUNDATION STATUS CODE DESIGNATION "PC" (OR PUBLIC CHARITY) INCLUDE U.S. PUBLIC CHARITIES DESCRIBED IN SECTION 509(A)(1) OR (2) OF THE CODE AND ORGANIZATIONS BASED OUTSIDE THE U.S. THAT HAVE BEEN FOUND TO BE THE EQUIVALENT OF A U.S. PUBLIC CHARITY.
CONTROLLED ENTITIES 990-PF, PAGE 5, PART VII-A, LINE 11 THE FOLLOWING CONTROLLED ENTITY IS NOT AN EXCESS BUSINESS HOLDING:PX VENTURE (A), LLC51 ASTOR PLACE, 10TH FLOORNEW YORK, NY 10003EIN# 84-1995535TRANSACTION: $5,068,728 CAPITAL CONTRIBUTION (TRANSFER TO CONTROLLED ENTITY)
SUMMARY OF DIRECT CHARITABLE ACTIVITIES 990PF, PAGE 7, PART IX-A THE ROCKEFELLER FOUNDATIONBELLAGIO CENTER, ITALYSUMMARY OF DIRECT CHARITABLE ACTIVITESFORM 990PF, PART IX-ATHE BELLAGIO CENTER HAD OPERATING EXPENSES OF $5,956,090.06, SINCE 1959, THE CENTER HAS SERVED AS A RESOURCE FOR FOSTERING DIALOGUE AND PROBLEM SOLVING FOR DIVERSE PARTICIPANTS AROUND THE WORLD. THE CENTER HOSTS CONFERENCES THAT FOCUS ON TOPICS OF INTERNATIONAL INTEREST, WITH PREFERENCE GIVEN TO APPLICANTS WHO PROMOTE DEVELOPMENT AND ALIGN WITH THE FOUNDATION'S AREAS OF INTEREST. IN 2019 THE BELLAGIO CENTER HOSTED 50 MEETINGS WITH A TOTAL OF 1260 PARTICIPANTS; 37% OF WHOM WERE FROM THE UNITED STATES, 35% FROM DEVELOPED COUNTRIES OUTSIDE OF UNITED STATES, AND 22% FROM DEVELOPING COUNTRIES. IN ADDITION, THE CENTER OFFERS TWO-TO-FOUR WEEK RESIDENCIES TO SCHOLARS, ARTISTS, AND PRACTITIONERS. IN 2019, THE CENTER HOSTED 101 RESIDENTS, 46 % OF WHOM WERE FROM THE UNITED STATES, 33% FROM DEVELOPED COUNTRIES OUTSIDE OF THE UNITED STATES, AND 13% FROM DEVELOPING COUNTRIES. A LISTING OF 2019 CONFERENCES, TEAM RESIDENCIES AND INDIVIDUAL RESIDENTS IS BELOW.2019 BELLAGIO CENTER CONFERENCES2/11/2019 2/15/2019, " DIVERSITY AND INCLUSION IN DIPLOMACY, CONFLICT RESOLUTION AND DEVELOPMENT: WORKSHOP TO REFINE EDITED VOLUME AND DEVELOP CURRICULAR MATERIALS," INSTITUTE FOR WOMEN, PEACE AND SECURITY, UNITED STATES2/18/2019 2/22/2019, " REIMAGINING INDEPENDENT MEDIA SUPPORT," BBC MEDIA ACTION, UNITED KINGDOM2/19/2019 TO 2/23/2019, " SCALING FOR-BENEFIT ENTERPRISE: SHAPING AN ECONOMY THAT BENEFITS ALL STAKEHOLDERS," FOURTH SECTOR GROUP, UNITED STATES2/25/2019 TO 3/1/2019, " LEADING CHANGE IN INTERNATIONAL ORGANIZATIONS," THE ROCKEFELLER FOUNDATION, UNITED STATES3/4/2019 TO 3/8/2019, "GLOBAL RESILIENCE PARTNERSHIP," GLOBAL RESILIENCE PARTNERSHIP, UNITED KINGDOM3/11/2019 TO 3/15/2019, "#GIVINGTUESDAY GLOBAL SUMMIT," #GIVINGTUESDAY, UNITED STATES3/25/2019 TO 3/29/2019, "DEFENDING DEMOCRACY AND SUPPORTING THE TRANSATLANTIC PARTNERSHIP," CENTER FOR AMERICAN PROGRESS, UNITED STATES 3/27/2019 TO 3/30/2019, "MISSION ORIENTED INNOVATION NETWORK (MOIN) SUMMIT," UCL, INSTITUTE FOR INNOVATION AND PUBLIC PURPOSE, ITALY4/2/2019 TO 4/6/2019, "LAUNCHING AN SDG LEADERSHIP CITIES INITIATIVE," BROOKINGS INSTITUTION, UNITED STATES 4/8/2019 TO 4/12/2019, "ACCELERATING DEVELOPMENT AT THE INTERSECTION OF AGRICULTURE AND ENERGY," 430 NORTH COLLEGE AVE, UNITED STATES4/9/2019 TO 4/13/2019, "CELEBRITY PHILANTHROPY SYMPOSIUM: HOW TO LEVERAGE FAME FOR SOCIAL GOOD," SAINT PARTNERS PHILANTHROPY SERVICES, PHILIPPINES4/23/2019 TO 4/27/2019, "CONNECTING WOMEN LEADERS TO CREATE CHANGE," PAT MITCHELL MEDIA, UNITED STATES5/6/2019 TO 5/10/2019, "A DIALOGUE TOWARD A NEW GLOBAL AID REGIME," NATIONAL SCHOOL OF DEVELOPMENT, CHINA5/9/2019 TO 5/11/2019, "DEVELOPING THE ROCKEFELLER FOOD STRATEGY," THE ROCKEFELLER FOUNDATION, UNITED STATES5/13/2019 TO 5/17/2019, "THE SAHEL, LAND OF OPPORTUNITIES: FRAMING CONTEXTUAL AND PRACTICAL SOLUTIONS FOR LASTING PEACE AND PROSPERITY IN THE SAHEL," UNITED NATIONS CONVENTION TO COMBAT DESERTIFICATION (UNCCD), MAURITANIA5/20/2019 TO 5/24/2019, "CREATING A UNIVERSITY GLOBAL COMPACT, "GEORGE MASON UNIVERSITY, UNITED STATES 5/21/2019 TO 5/25/2019, "DELIVERING ON THE SDGS: WHAT NEEDS TO BE DONE TO IMPROVE THE GLOBAL INSTITUTIONAL ARCHITECTURE AND FINANCING OF THE FOOD AND AGRICULTURE SECTOR," CHATHAM HOUSE, UNITED KINGDOM5/27/2019 TO 5/31/2019, "IGNITING A REVOLUTION IN DEVELOPMENT THAT HAS PEOPLE AND LEADERSHIP AT THE CENTER," TEACH FOR ALL, UNITED STATES6/5/2019 TO 6/9/2019, "INNOVATIVE FRONTIERS OF DEVELOPMENT II," MAGIC SEED MEDIA, UNITED KINGDOM 6/10/2019 TO 6/13/2019, "CO-IMPACT COLLABORATIVE PHILANTHROPY," BILL & MELINDA GATES FOUNDATION, UNITED STATES 6/18/2019 TO 6/24/2019, "BELLAGIO60," THE ROCKEFELLER FOUNDATION, UNITED STATES 6/19/2019 TO 6/24/2019, "HOMECOMING," THE ROCKEFELLER FOUNDATION, UNITED STATES 6/30/2019 TO 7/4/2019, "FUTURE OF DEMOCRACY ROUND TABLE II," BERGGRUEN INSTITUTE, CANADA7/8/2019 TO 7/12/2019, "REIMAGINING CLIMATE FINANCE, 2020-2030," CLIMATE FINANCE ADVISORS, BLLC, UNITED STATES 7/9/2019 TO 7/13/2019, "IDENTIFYING PRACTICAL SOLUTIONS TO ACCELERATING FINANCIAL INCLUSION THROUGH INTERNATIONAL COLLABORATION," CONSUMER CENTRIX, UNITED STATES7/15/2019 TO 7/19/2019, "RESULTS BASED FINANCING FOR MINI-GRIDS," EED ADVISORY, KENYA7/22/2019 TO 7/26/2019, "COHORT 2030 CONVENING: STRATEGIES TO UNLOCK THE POWER OF THE NEW GENERATION TO DELIVER ON THE SDG 16+ AGENDA AND BUILD PEACEFUL, JUST, AND INCLUSIVE SOCIETIES," INTERNATIONAL YOUTH FOUNDATION, UNITED STATES7/29/2019 TO 8/2/2019, "THE DIGITAL REACH INITIATIVE RESOURCE MOBILIZATION WORKSHOP," TILLER, UNITED STATES 7/30/2019 TO 8/2/2019, "ACCELERATING PROGRESS TO ERADICATE TB," STONY BROOK UNIVERSITY, UNITED STATES 8/5/2019 TO 8/9/2019, "CIVIC SPACE 2040-BUILDING A BETTER FUTURE FOR CIVIL SOCIETY, PHILANTHROPY AND DEVELOPMENT," INTERNATIONAL CENTER FOR NOT FOR PROFIT LAW, HUNGARY8/19/2019 TO 8/23/2019, "THE EARLY YEARS IN CRISIS: WORKING TOGETHER TO MOBILIZE SUPPORT FOR THE YOUNGEST REFUGEES AND THE PEOPLE WHO CARE FOR THEM EVERY DAY," BERNARD VAN LEER FOUNDATION / MOVING MINDS ALLIANCE, NETHERLANDS8/26/2019 TO 8/31/2019, "ACCADEMIA CONCERTANTE WORKSHOP," ACCADEMIA CONCERTANTE D'ARCHI DI MILANO, ITALY8/27/2019 TO 8/31/2019, "IMPACT INVESTING FOR RETAIL INVESTORS," US SIF: THE FORUM FOR SUSTAINABLE AND RESPONSIBLE INVESTMENT, UNITED STATES9/2/2019 TO 9/6/2019, "TRANSFORMING CHILD & ADOLESCENT HEALTH: TECHNICAL REVIEW & LANCET SERIES FINALIZATION MEETING (BELLAGIO SERIES UPDATE: 15 YEARS ON)," SICKKIDS CENTRE FOR GLOBAL CHILD HEALTH, CANADA9/9/2019 TO 9/13/2019, "BUILT FOR PURPOSE: CHARTING THE FUTURE OF ASIA'S CIVIL SOCIETY IN TRANSFORMATIVE TIMES," NEELAN TIRUCHELVAM TRUST, SRI LANKA9/9/2019 TO 9/12/2019, "GLOBAL COMMISSION TO END ENERGY POVERTY," MIT, UNITED STATES9/16/2019 TO 9/20/2019, "POWER OF LAW AND POWER OF PEOPLE: MOVEMENT LAWYERING FOR GLOBAL JUSTICE," EARTH RIGHTS INTERNATIONAL, UNITED STATES9/23/2019 TO 9/27/2019, "A GLOBAL AGENDA FOR A NEW MAP OF LIFE PREPARING THE WORLD FOR LONGER, HEALTHIER AND MORE FULFILLED LIVES," THE LONGEVITY FORUM/LONDON BUSINESS SCHOOL, UNITED KINGDOM 9/24/2019 TO 9/28/2019, "WOMEN'S AND GENDER STUDIES IN AFRICA: PROMOTING GENDER JUSTICE AND SOCIAL EQUITY IN AN AGE OF NEOLIBERALISM AND CONSERVATISM," THE PENNSYLVANIA STATE UNIVERSITY, UNITED STATES 10/8/2019 TO 10/12/2019, "DESIGNING A FUTURE FOR AI IN SOCIETY," CASPIAN AGENCY, UNITED STATES 10/16/2019 TO 10/19/2019, "AI GOVERNANCE AND HUMAN RIGHTS," ELEMENT AI, CANADA 10/22/2019 TO 10/25/2019, "OPERATIONALIZING A VISION OF LIBERATING DATA TO EMPOWER PEOPLE," UNITED NATIONS FOUNDATION, UNITED STATES 11/4/2019 TO 11/8/2019, "DIGITAL FINANCING OF THE SUSTAINABLE DEVELOPMENT GOALS (UN SECRETARY GENERAL'S TASK FORCE)," UNITED NATIONS DEVELOPMENT PROGRAMME (UNDP), UNITED STATES 11/11/2019 TO 11/15/2019, "MINE 2 CONSUMER: MULTI-STAKEHOLDER ROUNDTABLE ON RESPONSIBLE MINERALS AND METAL SOURCING FROM AUTOMOTIVE TO JEWELRY," THE DEVELOPMENT PARTNER INSTITUTE, UNITED KINGDOM11/12/2019 TO 11/16/2019, "ONLINE CONTENT MODERATION AND THE PROMISE OF ARTIFICIAL INTELLIGENCE," ANNENBERG PUBLIC POLICY CENTER, UNIVERSITY OF PENNSYLVANIA, UNITED STATES 11/18/2019 TO 11/22/2019, "TOWARD A GLOBAL GOLD STANDARD FOR FEMINIST FOREIGN POLICY," INTERNATIONAL CENTER FOR RESEARCH ON WOMEN, UNITED STATES 11/19/2019 TO 11/23/2019, "PUTTING HUMANS AT THE CENTRE OF SOCIAL CHANGE: TRANSFORMING THE CULTURE OF SOCIAL CHANGE," THE WELLBEING PROJECT, BELGIUM11/25/2019 TO 11/29/2019, "LANCET COMMISSION ON THE VALUE OF DEATH," POINT OF CARE FOUNDATION, UNITED KINGDOM12/2/2019 TO 12/6/2019, "BELLAGIO EXTREME URBAN HEAT CONFERENCE," ATLANTIC COUNCIL, UNITED STATES 12/9/2019 TO 12/13/2019, "SYSTEMS CHANGERS 2020: SHAPING AN ECONOMY THAT BENEFITS ALL STAKEHOLDERS," FOURTH SECTOR GROUP, UNITED STATES TEAM RESIDENCIESALBERTO, JORGE, COLUMBIA, UNIVERSIDAD SANTO TOMAS MEDELLN, ""MEDELLIN, A COLLECTIVE PROJECT. A CRITICAL APPROACH. ARCHITECTURE AND URBAN DESIGN AS TOOLS FOR SOCIAL CHANGE." (8/21/2019-9/18/2019)PEREZ, JARAMILLO, COLOMBIA, UNIVERSIDAD SANTO TOMAS MEDELLN, "MEDELLIN, A COLLECTIVE PROJECT. A CRITICAL APPROACH. ARCHITECTURE AND URBAN DESIGN AS TOOLS FOR SOCIAL CHANGE." (8/21/2019-9/18/2019)DABIR, NEELA, INDIA, TATA INSTITUTE OF SOCIAL SCIENCE, MUMBAI, INDIA, "A BLUEPRINT FOR THE INTEGRATION OF VOCATIONAL EDUCATION INTO MAINSTREAM HIGHER EDUCATION IN INDIA, IN THE CONTEXT OF THE UPCOMING NEW EDUCATION POLICY" (7/8/2019-7/29/2019)WADIA, LEENA, INDIA, OBSERVER RESEARCH FOUNDATION, "A BLUEPRINT FOR THE INTEGRATION OF VOCATIONAL EDUCATION INTO MAINSTREAM HIGHER EDUCATION IN INDIA, IN THE CONTEXT OF THE UPCOMING NEW EDUCATION POLICY" (7/8/2019-7/29/2019)LI, TANIA, CANADA, UNIVERSITY OF TORONTO, "PLANTATION LIFE" (3/20/2019 4/17/2019)SEMEDI, PUJO, INDONESIA, DEPT. OF ANTHROPOLOGY, UNIVERSITAS GADJAH MADA, "PLANTATION LIFE" (3/20/2019 4/17/209)RAO, APARNA, INDIA, PORS & RAO, "PATHOS: POETIC ANIMATRONICS THROUGH HAND ON OPEN SYSTEMS" (2/4/2019 3/4/2019)SIMONSEN, SOREN, DENMARK, PORS & RAO, "PATHOS: POETIC ANIMATRONICS THROUGH HAND ON OPEN SYSTEMS" (2/4/2019 3/4/2019)2019 BELLAGIO CENTER RESIDENTS:ADAMS, ALEXANDRA, UNITED S