Lumina Foundation 2009 Annual Report...permanent. Jaros got married, and he and his wife, Joy, ev entu-ally had three chil dren. “Life catches up with you,” h e says. “I becam

Lumina Foundation for Education 2009 Annual Report

Table of contents

Introduction 1

Preparation 2

Success 4

Productivity 6

Chairman’s message 8

President’s message 9

Financial highlights 10

Guidelines for grant seekers 11

Critical outcomes 12-15

Grants in 2009 16-24

Board and officers 25

Today’s college students can generate huge returns

We all gravitate toward gain. With whatever we spend —money, time, talent, energy ... even our faith and hope —we seek to generate reward. We want valuable commoditiesto create more value ... for ourselves, for those we love, forsociety at large.Admittedly, in these upside-down days, where imitation

trumps PREPARATION and defaults are swapped like trad-ing cards, it’s tougher than ever to recognize genuine value.But there’s still one place to look: into the eyes of a col-

lege student.Today’s students — as exemplified by the three inspir-

ing people on these pages — are a remarkably diversegroup with unlimited potential. America is home to tens ofmillions of these 21st century students, and their SUCCESSis vital to the nation’s future.For the United States to thrive in the rapidly changing

global economy, the full potential of these 21st century stu-dents must be realized. And that means the American systemof higher education must increase its PRODUCTIVITY. Itmust become a flexible and efficient engine for creating themost important resource we will ever produce: human capital.At Lumina Foundation, we have committed ourselves to that

end by establishing a specific, ambitious national goal. OurBig Goal is this: By 2025, we want 60 percent of Americans tohold high-quality postsecondary degrees or credentials.This 2009 report tracks Lumina’s early progress in the effort

to reach that goal. Our work is focused in three critical areas:helping prospective students be fully prepared for college,ensuring that more of those who enroll actually succeed andreach their goals, and helping colleges and universities be moreproductive so they serve more students.We’re proud of the work

reflected here, of course. Butwe’re even more proud to intro-duce you to a few of the peoplewho inspire that work and trulymake it matter.Read their stories, and we think

you’ll agree: There is no betterinvestment we can make.

Valeria Santa Cruz of Tampa, Fla.,17, is following the advice of herfather, Jaime, and making sureshe’s prepared for college success.

(Above): Welder BradBarclay, 58, Somerset,Pa., attended communitycollege to rebuild a careershattered by job loss.

(Below): Jaros Crenshaw, 32, acar salesman in Carmel, Ind.,

is studying online tobecome a specialeducation teacher.

Lumina Foundation for Education 2009 Annual Report 1

Valeria never met her grand-father. He died before shewas born. But many of the

qualities that defined him —notably, his compassion for ani-mals and love of education —are the same ones the Floridateenager embodies today.“My grandfather was a Marinein Peru. He raised 12 children,”says Valeria, 17. “I didn’t knowhim, but he is my role model.”Valeria and her family left theirhome in Peru and came to theUnited States nearly nine yearsago, when her father’s job waseliminated. For 8-year-old Valeria,

the transition was a difficult one.She didn’t speak English, andshe had to leave the friends andfamily she’d known since birth.“It was very lonely,” Valeriarecalls. “The only word I knewhow to say in English was ‘fold-er.’ The adjustment wasn’t easy.”

Her parents’ divorce added toher feelings of frustration andloss. Education became hersolace. She immersed herselfin her studies and, later, in theReserve Officers’ Training Corps(ROTC). Her hard work soon paidoff: As a freshman at MiddletonMagnet High School Pre-CollegiateSTEM Academy in Tampa, Valeriawon a Kimmins Contracting Corp-oration Florida Prepaid Scholar-ship from the HillsboroughEducation Foundation. The foundation also intro-duced Valeria to KnowHow2GO,a pre-college awareness and

“What I like about KnowHow2GOis how it connects the dots aboutcollege,” Valeria says. “It providesinformation and answers ques-tions that, as a student, you maynot even think about. My fatherhas a high school education, andmy mother dropped out of schoolin the ninth grade. My father inparticular has made sure that Iunderstand how important a col-lege education is to my future.”In addition to leadership activi-ties such as ROTC, Valeria ispresident of Middleton HighSchool’s Future Farmers ofAmerica chapter, where she par-

ticipates in manyof the program’scompetitiveevents. She also“tutors” hermother, who isgoing to schoolto learn English.A junior atMiddleton, Valeriahopes to attendthe University ofFlorida and pur-sue a degree in agriculturalbusiness.

“When people talk about theAmerican dream, I think of it asdoing what you’re passionateabout,” Valeria says. “Just likemy grandfather, I don’t let hard-ships get in the way of what I believe in. Excuses are not inmy vocabulary. Whenever some-thing happens to you, you havethe power to choose whetherit’s going to break you or you’regoing to learn from it. My life circumstances are building mycharacter, but my education isbuilding my future.”

preparation effort launched in2007 by Lumina Foundation forEducation, the American Councilon Education and the AdvertisingCouncil. The effort is designed toeducate students — especiallylow-income students, minoritiesand first-generation students —about what it takes to go to college and attain a degree.

Valeria Santa Cruz


High school junior Valeria Santa Cruz is doing all she can to preparefor college success. That means taking challenging courses, including an honors class in animal biotechnology.

Sometimes hardships canbe life lessons in disguise.For Brad, 58, the life les-

sons began in eighth grade. Ahorrific car accident left hisfather paralyzed, forcing him toremain hospitalized for nine yearswhile undergoing rehabilitation.Unable to cope with the day-to-day caretaking responsibilities forher invalid spouse, Brad’s motherturned to alcohol. She eventuallyabandoned her family, movingfrom Pennsylvania to Ohio. By age14, Brad was raising himself.He lived in a small efficiencymotel, working after school in alocal auto store to pay the bills.“I tried to keep my recordclean and not miss school,” herecalls. “Somewhere along theway, however, they (school offi-cials) found out that I didn’t

have any parental guardian athome. When they called me inthe office, they suggested that I go to Ohio, where my motherwas, to finish school. I knewthat wasn’t an option for me.”Instead, Brad dropped out of school.With only a ninth-grade educa-tion, his prospects of earning adecent living were slim. After afew years taking any job hecould to survive, Brad eventuallyturned to welding, where his tal-ents blossomed into a career. In 1988, he was hired byFreightCar America — a rail carmanufacturer in Johnstown, Pa.— and stayed there until 2007,when the company laid him off,along with hundreds of otherworkers at the Johnstown plant.“Like anyone who loses a job,I was scared at first,” recallsBrad, now a resident ofSomerset, Pa. “But then I real-ized I’d been able to earn agood income for 16 years andnow it was time to move on. Myidea was to get a GED. Afterdoing some research, I learned

I could make that happen while also going to college atWestmoreland County CommunityCollege. Now my plan was to notonly get my high school diploma,but also to take college coursesso I could become certified as awelding inspector.”At first, Brad struggled atWestmoreland, taking severalremedial courses in math andEnglish. However, with the helpof the college’s support servicesand a friend who tutored himtwo nights a week and on week-ends, success became a realpossibility. He not only caughtup academically, he became moti-vated to learn more. He made thedean’s list and was asked totutor other welding students. One of Brad’s charges, JeremyGolobic, sees his tutor as an inspiration. “He knows techniquesabout welding that you can’t teachout of a textbook,” says Golobic,27. “Beyond that, he has years ofreal-life knowledge that you won’tfind in any college catalog.”May 6 was a big day in BradBarclay’s life. On that day, heearned a college degree: an associate of applied science degree in welding. His next goalis to pass the exam that willmake him a certified weldinginspector.“Several weeks before thegraduation ceremony, I just keptlooking at my cap and gown,thinking about that one-room efficiency apartment so manyyears ago. The journey has beenwell worth it.”

Brad Barclay


Brad Barclay’s long career as a welder was short-circuited by a job layoff. Now, since earning an associate degree from his local community college, he’s poised for future success.

Jaros always dreamed ofbecoming a special educationteacher, a desire that was

fostered during his childhood inSt. Louis. His two older sisters arespecial education professionals.“I’ve seen some of the experi-ences their students go through,”says Jaros, now a 32-year-oldIndiana resident. “I think that’swhat pushed me in the directionof wanting to help kids who maybe ‘different’ from others.”After graduating high school in1996, Jaros entered GreenvilleCollege in Greenville, Ill. Twoyears into his studies, he decidedto “take a break” from collegelife. That break soon becamepermanent. Jaros got married,and he and his wife, Joy, eventu-ally had three children.“Life catches up with you,” hesays. “I became sidetracked,and the short break I originallyanticipated soon turned into

months and then, before I knewit, years.”Still, Jaros never abandonedhis dream of a career in teach-ing. And in October 2009, heenrolled in Western GovernorsUniversity (WGU), a nonprofitinstitution that offers online,distance-learning programs in avariety of academic disciplines. Founded in 1997 by the gover-nors of 19 states, WGU uses aninnovative approach that boostsproductivity in higher educationby specifically serving workingadults who want to further theireducation — students like JarosCrenshaw.WGU students attend classeson their own time and at theirown pace. Degrees are awardedwhen students demonstrateattainment of specific, real-worldcompetencies — not when theycomplete a set number of credithours based on a certain amountof “seat time” in class. Studentsalso can test out of certain sub-jects once they show mastery ofcourse material. With a family and a full-time

job as a salesman for an auto-motive dealership in Carmel,Ind., Jaros realized that returningto college would be a challenge.Distance learning and WGUoffered him a viable solution. “I struggled for some timewith my decision because Iknew it was going to require abalancing act in terms of mywork schedule and spendingtime with my family,” he says.“But I also realized this wassomething I had to do. It’s amajor time commitment. WhenI come home after working 12-hour days, I know that I can’tjust sit back and relax; I need to study. It’s hard, but I keepmyself focused on the end goal.”Jaros’ determination to reachhis academic ambitions is furtherfueled by his son, Jalen, 7, whosuffers from attention-deficithyperactivity disorder and aslight learning disability. In 2012, Jaros expects tograduate from WGU with a bach-elor’s degree in special education.It will be a milestone in his life,and the goal that he envisionedas a young boy will no longer bejust a dream, he says.“Getting to my dream has beena long haul, and I am not thereyet. But it’s going to happen.”

Jaros Crenshaw


Car salesman Jaros Crenshaw wants to be a special educationteacher, so he’s pursuing a bachelor’s degree by taking onlineclasses — sometimes with help from his son, Jalen.

As members of Lumina Foundation’s board of directors,my colleagues and I spend most of our time focused onthe big picture. After all, if we hope to foster the signifi-cant changes needed to achieve Lumina’s Big Goal forcollege attainment, big-picture thinking is a must.Still, it is important — and always inspiring — for

us to be reminded of the fundamental force that drivesour work: individual college students. The three stu-dents featured on the preceding pages — and thediverse tens of millions of other students they repre-sent — deserve our very best effort. They are this

nation’s future. And that futurecan only be bright if the bene-fits of postsecondary educa-tion are spread more widely,more equitably and more con-sistently among all Americans.As leaders of the Foundation,

it is our obligation to focuson the future — and we havealways taken that role veryseriously. And yet as I reviewmy final year as chairman ofthe board of directors, I hope

you’ll indulge me as I briefly ponder the past.As a founding member of Lumina’s board, and as its

chairman for nearly eight years, I have enjoyed a uniqueprivilege. Along with Martha Lamkin, Lumina’s firstpresident and CEO, I had the chance to guide the for-mation of a new foundation — to help build, from theground up, an organization dedicated to improving society. That is a rare opportunity, and it was one Iembraced eagerly when I came on as vice chairman inthe summer of 2000.My board colleagues and I tried hard to build Lumina

purposefully and thoughtfully, with our eyes focused onthe future. One of our earliest steps in that effort was todiversify Lumina’s financial holdings; this helped sepa-rate the Foundation from its predecessor organizationand established Lumina as an independent entity able tospeak with a strong and credible voice.Also, because we were an independent organization

essentially starting from scratch, we were able toadopt the best practices in philanthropy. A decadelater, those early-adopted practices remain central toour operation and governance. For example, boardmembers are elected to one-year terms and can serve

no more than 12 years. Terms of service are staggered,so the board is regularly infused with new talent with-out sacrificing the combined experience so vital tostable governance.Good governance is also reflected in our dedication

to meeting the highest ethical standards — a processthat includes rigorous procedures for ensuring thatLumina’s directors, officers and staff members avoidconflicts of interest. Also, from the beginning, weplaced a high value on transparency, both in ourfinancial dealings and in our relationships withgrantees and other partners. We also sought to hire the best people, and then

empower them. For example, though board membersprovide overall strategic direction, we do not approveindividual grants, preferring that this authority remainwith the Foundation’s talented staff.At Lumina, we seek regular feedback from our peers

and partners, and we use that feedback to improve ourefforts. We have always tried to measure the effective-ness of our work, to learn from what we do and applythose lessons wisely. That commitment stems from aconviction we shared in those early days: that theFoundation would dedicate itself solely to enhancingthe public good by increasing Americans’ access to andsuccess in postsecondary education.That conviction is stronger than ever. In fact, it has

been sharpened considerably in recent years by ourdecision to direct all of Lumina’s work toward one spe-cific, ambitious aim — that Big Goal I mentioned earlier.In case you need a reminder, our Big Goal is this: By2025, we want 60 percent of Americans to hold high-quality degrees and credentials.We work toward that goal, not merely by giving

grants, but by using many tools, including leadership,partnership, convening, public advocacy and will build-ing, and mission-related investing.Today, under the focused and energetic leadership of

President and CEO Jamie Merisotis and our new boardchair, longtime Lumina colleague Marie McDemmond,we have embraced the challenge that the Big Goal pres-ents, and we’ve done so with the same enthusiasm thatcompelled our actions in the Foundation’s early days.I’m proud to say that Lumina Foundation remains true

to the traditions we established in those early days. AndI’m even prouder that our commitment to America’s stu-dents — to America’s future — still compels us to act.

Looking back on a legacy … and forward to the future

John M. Mutz, Chairman,August 2002-March 2010

8 Lumina Foundation for Education 2009 Annual Report

Chairman’s message


“The only constant is change.”Greek philosopher Heraclitus said it (or something

like it) 25 centuries ago, and it’s never been more true.As we at Lumina Foundation for Education look

back on 2009 — and forward to our organization’stenth anniversary this August — I can’t help but bestruck by the pervasiveness and persistence of changein our lives. It is central — almost dominant, really —in nearly every aspect of our work at Lumina, particu-larly now.After all, the Foundation’s sole purpose is to create

change. As an organization, we are committed to aspecific and very ambitious goal: 60 percent attain-ment of high-quality postsecondary degrees and cre-dentials among all Americans by 2025. That Big Goalrepresents a huge change, a 20 percentage pointincrease in national attainment rates in just 15 years.Also, once realized, the goal will prompt massive eco-nomic and social change for decades to come, as ourbetter-educated citizens seize the opportunities pre-sented by the global economy.As Lumina works to foster those huge changes,

smaller changes are also in the works. In fact, anyonewho visits our Indianapolis offices these days can seeclearly that change is under way. We are nearing completion of a new convening center, a speciallydesigned space that can accommodate gatheringsranging from a handful to a hundred or more. Thiscenter, which will open later in 2010, reflects animportant shift in Lumina’s work, a renewed emphasison our ability to bring various groups together —again, to foster change.The Foundation has also undergone a change in lead-

ership. In March of this year, John Mutz ended hiseight-year stint as chairman of Lumina’s board, leavingan impressive legacy that was built in a very short time.Under John’s steady hand, Lumina went from an essen-tially unknown startup to a national force, one of thenation’s top 30 foundations in terms of asset size andunquestionably the largest devoted solely to increasingAmericans’ success in college. John’s stamp on Lumina isindelible, and we’re fortunate that he will continue toserve as a board member in the coming years.Our new chair, Marie McDemmond, will undoubt-

edly put her own stamp of leadership on the work ofLumina’s board and its shared sense of collective stew-ardship. Marie’s decades of experience in higher edu-cation will provide a valuable and unique perspective

on our work and challenge us to be bolder, smarterand ultimately more effective.All of these internal changes are significant, of

course. But change is even more vivid outside Lumina’swalls, on the campuses and in the classrooms thatconstitute the front lines of our work. The biggestchanges, and the ones most important for us toaddress, are evident in those we seek to help: today’spostsecondary students.The three people introduced at the beginning of this

report embody and symbolize that change. Not one ofthem fits the picture typicallyevoked by the words “collegestudent.” None is a white,upper-middle-class 18- to 22-year-old, doing what his or herparents did: attending collegeat a four-year residential cam-pus. In short, these aren’t thestudents of the 1960s; they are21st century students, a groupwhose diversity is matchedonly by its vast potential.The 21st century student

runs the gamut — racially, ethnically, socially, geo-graphically, economically. The definition encompasseseveryone from recent high school graduates to displacedworkers to second-career retirees ... from part-time dis-tance learners to full-time resident students ... from GEDcompleters to certificate seekers to evening MBA students.As a nation, we need all types of students to suc-

ceed, and in far greater numbers. To reach the BigGoal and help the nation truly prosper economically,socially and culturally, we must concentrate now onserving 21st century students — the students of todayand tomorrow, not those of yesterday.Again, that means change is needed.We need a student-centered higher education system

— one that is flexible, accessible and accountable ... onethat supports student success and ensures quality by fos-tering genuine learning ... one that truly prepares studentsfor work — and for life — in an increasingly globalsociety ... one that serves as an efficient and productiveengine for the development of our most precious nationalasset: human capital.We at Lumina are proud to be a catalyst in that

change effort, and we welcome your partnership inthis vital work.

Change happens; progress requires focused effort

President’s message

Jamie P. MerisotisPresident and CEO

Despite market volatility, our direction remains constant

This chart shows the Foundation’s total assets as reflected in the audited financial statements for each year. Totals for some years may not match those provided in previous annual reports. In those cases, published totals were estimates made prior to the completion of audited statements.* This figure reflects the value of the Foundation’s endowment at its inception.Note: Amounts are rounded to the nearest thousand.

A year-by-year look at Lumina Foundation’s assets

$1.5 billion

$1.4 billion

$1.3 billion

$1.2 billion

$1.1 billion

$1 billion

$900 million

$800 million

$700 million

$600 millionAugust2000

December2000

December2001

December2002

December2003

December2004

December2005

December2006

December2007

December2008

December2009

$759

,879,0

00

$989

,620,0

00$9

89,62

0,000

$1,09

8,557

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8,557

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,235,5

98,00

$1,23

5,598

,0000

$1,36

5,840

,00$1

,365,8

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00

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8,704

,00$1

,428,7

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2,170

,00$1

,092,1

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00

$1,19

6,063

,00$1

,196,0

63,00

00

$759

,879,0

0$7

59,87

9,0000

**

$928

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0$9

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$991

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0$9

91,31

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$876

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Financial highlights

The financial markets, in turmoil throughout 2008,began 2009 the same way, forcing declines inLumina’s portfolio into early March. After that,

however, markets found their footing, and things began toimprove. By year’s end, Lumina’s asset total had reboundedsignificantly and was approaching $1.1 billion. Despite the deep and extended decline, Lumina’s reasoned

investment strategy changed very little through this chal-lenging period. Our balanced approach helped us ensureliquidity and maintain stability even when the portfoliohovered near six-year lows. In fact, though other founda-tions were forced to sell assets at discounts or borrow moneyfor cash needs during the decline, Lumina always had suffi-cient cash available for grant payouts and operating expenses.This stability wasn’t the result of mere good fortune;

it reflects a conscious choice and stems from carefulplanning based on decades of investment experience.We are ever vigilant in ensuring that we honor our grantcommitments. We know that those commitments arekey to achieving the Big Goal we have set as an organi-zation: that, by 2025, 60 percent of Americans will havehigh-quality college degrees or credentials.To ensure progress toward that goal, Lumina’s grant-

making program showed continued growth in 2009. Netpayout (including sponsorships and special philanthropicgifts) was $55.7 million in 2009, up $1.9 million from

the previous year’s total. At the end of 2009, our totalassets totaled just under $1.1 billion.Market volatility wasn’t the only change our investment

staff faced in 2009. This summer, Lumina’s chief invest-ment officer decided to leave the Foundation to pursueother opportunities — a move that prompted us to conducta thoughtful and thorough re-evaluation of our overallapproach to managing the portfolio. After discussions withmany individuals and firms representing a variety of invest-ment approaches, we chose CornerStone Partners ofCharlottesville, Va., to be the Foundation’s outsourcedinvestment adviser.Under this arrangement, which became official Feb. 1,

2010, CornerStone works in partnership with our owninvestment staff to manage the portfolio. Serving as anextension of Lumina’s internal investment process andthe board’s investment committee, the firm focuses onmanaging a customized portfolio that aligns with Lumina’smission and maintains a high level of fiduciary excellence.We are confident that — with CornerStone’s advice

and our continued commitment to thoughtful steward-ship — Lumina’s portfolio will continue to grow in com-ing years, enabling us to intensify the vital work towardachieving our Big Goal.

Lumina Foundation’s complete, audited financial statements for2009 will be available on request after Aug. 15, 2010.


Grants in 2009

Guidelines for grant seekers

What we fundLumina Foundation supports efforts to increase aware-

ness of the benefits of higher education, improve studentaccess to and preparedness for college, improve studentsuccess in college and increase productivity across thehigher education system. Such efforts include:Work that stimulates broad-based and systemic change,helping the Foundation to accelerate progress on our Big Goal (60 percent attainment of high-quality degreesand certificates among all Americans by 2025). Work that focuses on promoting educational access and success for the growing populations of low-incomestudents, students of color, first-generation college students and adult learners. Please note, however, that we donot support direct service programs.Work to create a more informed environment that is willing to adopt more effective practices and policy reform related to issues of access and success. Programs that demonstrate capacity for long-term growth and sustainability. Research and/or evaluation that results in new knowledge andevidence to strengthen opportuni-ties for postsecondary accessand success. Work that addresses increasing effi-ciency, effectiveness and productivityto more cost-effectively educate a significantly larger share of the U.S. population. Collaborative work among established organizations with broad, large-scale, interstate or national reach. Grants vary in size by their scope. The average size

of our open grants is roughly $545,000; the median is approximately $300,000. The grants’ average duration is 31 months; the median is 32 months.

What we don’t fundPartisan political or lobbying efforts (in compliance with the Internal Revenue Code). Direct service programs, including:

Workforce training. Summer bridge programs for high school and college students. English as a second language courses. GED or other test preparation. Literacy training. Social/human services.

Discipline-specific programs or the creation of new degree programs. Graduate-level or professional programs.

Unsolicited institution-specific projects not explicitly designed to stimulate change at a systemic level. Individual scholarships or institutional scholarship programs.Capital campaigns and endowments. Requests exclusively for equipment, such as technologyhardware and software. Corporate sponsorships and fundraising events outsidethe Indianapolis area. Religious activities (We may consider grant requests from religious organizations if the proposed activities promote higher education access and success and serve diverse recipients, without regard to their religious backgrounds.)K-12 education reform. Teacher education/training. Meetings and conferences, unless they relate to a Foundation program. Curriculum development. Generally Lumina does not make grants toindividual institutions.

Who and where we fundOverwhelmingly, Lumina Foundation

makes grants within the UnitedStates and its territories. In addition,as an Indiana-based foundation, weset aside a limited amount of grantfunds each year for work that is spe-cific to our hometown (Indianapolis)and home state. For unsolicitedIndiana-specific requests, the median

grant is typically $100,000. These requests should fol-low the same guidelines as requests from out of state.The Foundation occasionally may initiate a grant to

an entity outside the United States to inform its work ofexpanding access and success in postsecondary educa-tion in the United States.Lumina Foundation makes grants to organizations that

are classified as tax-exempt under section 501(c)(3) of theInternal Revenue Code and as public charities under sec-tion 509(a)(1), (2) or (3) of the Code or to public organi-zations that are designated under section 170(c) of theCode. Please note that Lumina does not make grants to(a.) supporting organizations controlled by disqualifiedpersons to Lumina or (b.) Type III supporting organiza-tions that are not functionally integrated Type III sup-porting organizations (as such terms are defined in theInternal Revenue Code).For more detailed information about our grant-making

program, including information on how to apply for agrant, please view the “Grants” section of our Web site(www.luminafoundation.org/grants/).

“The highest resultof education is tolerance.”

Helen Keller

The outcomes we seek

Preparation

Productivity

Success


Taking a holistic approach to ensure college readiness

Preparation

Critical outcomes

When we at Lumina say that students must be properlyprepared for college, we have a multifaceted meaning. Ofcourse we’re referring to academic preparation; studentsneed to take challenging courses so they are ready for therigors of a postsecondary program. But pre-college prepa-ration means much more than book knowledge. Studentsmust also be prepared financially and socially if they hopeto succeed in education beyond high school. Researchshows that all three aspects of preparation must beaddressed as co-equals. If any aspect is ignored or under-emphasized, the road to college becomes very rocky —and, for many 21st century students, impassable.In 2009, Lumina pursued several strategies in an effort to

foster this holistic approach to student preparation. For example:To enhance academic preparation, we worked to promotethe alignment of standards and assessments used in K-12 systems with those used in postsec-ondary education. Specifically, one of our grants advanced the work of Achieve, a well-known education-reform organization based in Wash-ington, D.C. Through its American Diploma Project (ADP), Achieve hasfocused for several years on college and career readiness. ADP helps states align standards and expecta-tions with postsecondary education, thereby improving pre-college preparation and reducing the need forremediation. Our funding enabled Achieve to advance the concept of all states adopting a set of “common core” standards for college readiness. In the area of financial preparation, we supported research on innovativeapproaches that can assist low-income students and theirfamilies as they seek to make their college dream a reality.For instance, a Lumina grant enabled the College Board to identify effective ways to simplify the Free Applicationfor Federal Student Aid (FAFSA). New America Foundationused our funding to promote policy options that can make529 college-savings plans more appealing to low- and moderate-income families. Also, a major grant to the YMCA of the USA is helping that organization increase the impact of College Goal Sunday, a national program that helps low-income families fill out and file the FAFSA.Finally, to improve students’ social preparation, Lumina made a sizable investment in the expansion of sustainable,high-quality student service and advocacy networks.Our efforts to expand these networks — which actually

contribute to academic and financial preparation as well — represent the bulk of our work in 2009 to achieve the“preparation” outcome. In fact, roughly $12 million of the $18.6 million in preparation grants approved this year were related to KnowHow2GO, a nationwide awareness and action campaign aimed at helping teens take the steps necessary for college success. By and large, those funds are being used to bolster the network of local organizations that provide college-access servicesand information to students and families. In effect, by engaging new states and regions in the KnowHow2GO network (sometimes by attracting new funders or self-funded states), we hope to build a solid college access infrastructure that has national reach and is designed to help those who need it most: low-income students, first-generation students and students of color.

A catalyst for changeOur work this year to improve pre-

college preparation placed Lumina ina familiar role: as a catalyst for thechanges needed to achieve the BigGoal. In that catalytic role, we pursueour goal in three basic ways: by sup-porting effective practice, throughpublic policy advocacy, and by usingour communications and conveningpower to build public will for change.By supporting the public awareness

and communications components ofKnowHow2GO, for example, Luminamade significant strides this year inbuilding public will and supportingpolicy advocacy. The states andorganizations that make up the grow-

ing KnowHow2GO network are steadily increasing theircapacity and their effectiveness as information providersand advocates for the preparation agenda.That agenda was also advanced in the public arena this

year by other Lumina grantees, including Providence,R.I.-based What Kids Can Do (WKCD). As an organiza-tion that works to empower young people to be effectiveagents for social change, WKCD is committed to usingthe power of the “student voice.” This year, with Luminasupport, WKCD produced short, compelling multimediapieces in which first-generation college students speak ofthe barriers they face in seeking access to college. Thevideo presentations will be shared with local and nationalpolicymakers and will also be broadly disseminated viasocial media.

“One person reaching out to one

student — onepotential college

student — is enoughto help them succeed

on their higher education journey.”

Kathleen Cushman, co-founderof What Kids Can Do


Critical outcomes

Success

Taking many paths to one destination: increased attainment

Because Lumina Foundation is focused intently on theachievement of a specific college-attainment goal, onecould argue that the “success” outcome is the one mostcentral to our mission. And the numbers seem to bear thatout, at least when one considers only the grant-makingaspect of our work. In 2009, 44 percent of the grant dollarsLumina approved and 42 percent of the grant dollars paidout were to support projects designed to help postsec-ondary students succeed.Yet, even within the boundaries of supporting student

success, the range of our work is wide — because the chal-lenge of the Big Goal is so significant and the need so great.In short, millions of students face a number of barriers onthe path to college success, and a variety of approachesare required to help them overcome those barriers.We pursued a number of such approaches in 2009 —

reaching out for partnerships with other funders and invirtually every sector in higher education,targeting specific student populations,and supporting research and practicein several areas aimed at enhancingstudent success.

Supporting the sectorsOne of our most visible steps in 2009

was to underscore our commitment tocommunity colleges. We did this inpart by committing nearly $7 million tohelp position one of Lumina’s signatureprograms — Achieving the Dream:Community Colleges Count — fornational expansion and even greater impact. Launched in 2004 by Lumina and six national partner

organizations, Achieving the Dream already involves morethan 130 institutions in 24 states and the District of Columbia,reaching nearly a million students. Now, with its establish-ment as an independent nonprofit organization under theleadership of CEO William Trueheart, Achieving theDream is poised to capitalize on the important lessonslearned in helping community college students succeed.In Indiana, we supported the state’s growing community

college system with a $2.3 million grant to help Ivy TechCommunity College develop an accelerated associate degreeprogram. And nationally, our $500,000 grant to the AmericanAssociation of Community Colleges is helping AACC developa Voluntary Framework of Accountability that can helptwo-year institutions use data to improve student outcomes.Besides community colleges, our “success” work in 2009

focused on another vital sector in higher education: thenation’s minority-serving institutions (MSIs) — including

Historically Black Colleges and Universities, Hispanic-Serving Institutions and Tribal Colleges. In 2009, welaunched the MSI-Models of Success program, awarding atotal of nearly $4.5 million to nine grantees in an effort tosupport exemplary practices among MSIs.Working with these grantees, Lumina seeks to amplify

the collective voice and national leadership of MSIs, whilehelping them develop policies and practices that can helpall institutions educate students of color more effectively.

An adult approachThis year, Lumina also renewed its commitment to a stu-

dent population that is becoming ever larger and more crucialto the nation’s economic security and social stability: adultlearners. One major project, a grant of some $2.5 millionto the Georgetown University Center on Education and theWorkforce, focuses on research to identify the emerging

needs of the nation’s workforce and todetermine how higher education canmeet those needs. Not surprisingly,career-focused, adult-retraining programsfigure prominently in that research.

Also in 2009, we joined the Bill &Melinda Gates Foundation in anational effort to improve develop-mental education — including theremedial or refresher courses thatadult students or displaced workersoften require when they return to col-lege. By committing some $1.6 mil-lion to evaluate the Developmental

Education Initiative (DEI) and share the lessons DEI willteach, Lumina hopes to sharpen this very important toolfor shaping success, particularly among older students.Adult students also were the focus of much smaller but

still significant grants — including a $175,000 grant to theCouncil for Adult and Experiential Learning (CAEL). Withits grant, CAEL is working to develop a center that cansystematically assess the learning that individuals gain, notin the college classroom, but on the job and in other set-tings where college credit is not awarded. The ability toproperly assess “prior learning” is a critical step in helpingadults earn degrees and credentials. Finally, efforts to galvanize the public will for change

were notable in Lumina’s “success” work in 2009. A grant of$1 million to the National Consortium for College Completion(later renamed Complete College America) seeks to makecollege success a national imperative. And a $750,000 grantto the Miller Center of Public Affairs helped launch aseries of nationally televised debates on the issue.

“Completion ratesare the Achilles heelof American higher

education.”

Patrick Callan, president of theNational Center for Public Policy

and Higher Education

Lumina foundation for Educatoin 2005 Annual Report 15

Critical outcomes

Productivity

Broadening benefits by boosting efficiency and cost-effectiveness

Lumina Foundation has always supported efforts toencourage colleges and universities to use their moneywisely to better serve students. In recent years, particularlyin 2009, we took strides to emphasize, enhance and refinethese efforts, with a sharper focus on making higher educa-tion more productive. As with all aspects of the Foundation’swork, this clearer, tighter focus on graduating many morestudents while maintaining academic quality stems directlyfrom Lumina’s public commitment to achieving our BigGoal of 60 percent degree attainment.Clearly, this goal cannot be reached without significant

and substantive changes in the nation’s colleges and univer-sities. “Business as usual” simply won’t work — for at leasttwo reasons. First, traditional approaches can’t be expectedto significantly increase the rates at which students finishacademic courses of study. Second, ourcurrent system lacks capacity to servethe tens of millions of additional studentswho must become college graduates ifwe are to meet the needs of Americansociety and the demands of the nation’seconomy. Achieving Lumina’s goal willrequire nothing short of a transforma-tion of the higher education landscape— a transformation that must encom-pass new models and better approachesfor serving students, especially those whohave been poorly served in the past.

Two essential elementsAt Lumina, we view higher educa-

tion productivity as having two critical elements: efficiencyand cost effectiveness. By this we mean putting our resourcesto better use. The U.S. spends nearly twice the amount perstudent as does the average developed nation. These vastsums dedicated to higher education are important, whetherviewed from the perspective of institutions that spend tohelp students learn or from the viewpoint of students andfamilies who pay the prices these institutions charge. Wehave always promoted — and will continue to promote —education that is within reach of American families at allincome levels. But we also are committed to ensuring thatthe system makes the most of its available money andgraduates many more students while preserving the aca-demic rigor and quality of a college education. Again, theaim is to increase both efficiency and cost-effectiveness somoney can be reallocated to serve many more students.In simplest terms, we want to reduce the amount spent

for each degree earned, thereby increasing the efficiency ofcolleges and universities and enabling them to reach more

students. At the same time, we want to ensure education isdelivered as cost effectively as possible — that it offersthese students the type of learning that truly prepares themfor life and for the workplace at a cost we can afford.

Three focus areasThrough our work, we have identified three important

areas in which policymakers and higher education officialsmust work to boost productivity:1. Paying for results. States need to look for ways to pay for real results, not simply reward potential. Rather than continuing to allocate higher education funds based on student enrollment, policymakers must use tax dollars wisely to ensure that students complete their courses and programs and earn high-quality degrees and credentials.

2. Educating in new ways and places.All colleges and universities mustchange to meet new demands. Theymust educate students in innovativeand affordable ways, not simply per-petuate the traditional classroom setting.3. Reinvesting in graduating morestudents. Colleges must analyzetheir spending, eliminate unnecessaryspending and apply the savings tograduating millions more well-edu-cated students.

Lumina’s commitment to improvingproductivity is evident in our 2009grant making. For example:Of $58.1 million in grants that

Lumina Foundation approved this year, $13.6 million wentto support work in the productivity area.Of this $13.6 million, $9.1 million was awarded in late November, when Lumina announced multi-year produc-tivity grants to seven states: Arizona, Indiana, Maryland, Montana, Ohio, Tennessee and Texas.Productivity was the main focus of 31 of the 136 grants that Lumina Foundation approved in 2009.Of the money paid out in 2009 grants, productivity work accounted for one-fourth of the total.These investments — as well as other Lumina support

for stakeholders — are being used in three ways to pro-mote necessary changes to improve productivity inAmerican higher education:1. Piloting and implementing promising policies and practices.2. Sharing the lessons learned in these pilot efforts, knowingthat not every pilot program can or should be scaled up.

3. Supporting research and communication that informs policy change and builds the will for genuine reform.

“Colleges need tobe looking for ways

to permanentlyrestructure, not justcut their budgets.”

Jane Wellman, executive director,Delta Project on PostsecondaryEducation Costs, Productivity

and Accountability

Grants in 2009


In 2009, Lumina Foundation’s ninth full year as anindependent foundation, we directed all of our worktoward a single Big Goal for college attainment. That

goal, simply stated is this: By 2025, we want 60 percentof Americans to hold high-quality college degrees orcredentials. We pursue this goal in three ways: by sup-porting effective practice, through public policy advocacy,and by using our communications and convening powerto build public will for change.In 2009, our staff fielded more than 600 inquiries and

approved 136 grants for a total commitment of morethan $58 million. Net payout on current and prior years’grants was $55.7 million, an increase of $1.9 million –or 3.4 percent – from our 2008 net payout of $53.8 mil-lion. In addition to grants, we paid out more than $1.5million in special gifts to stimulate the charitable donationsand volunteer activities of board members and staff.The following pages (Pages 17-24), contain a compre-

hensive list of Lumina’s 2009 grant approvals, groupedin four categories. The first three categories corresponddirectly to a group of “critical outcomes” the Foundationhas identified – three significant results that must beproduced by 2025 for the nation to reach the goal of 60percent attainment of high-quality degrees and creden-tials. Those critical outcomes are as follows:

Preparation: Students are prepared academically, financially and socially for postsecondary success.Success: Higher education completion rates are improved significantly.Productivity: Higher education productivity is increased to expand capacity and serve more students.The fourth category, though much smaller than the

others and not directly linked to the achievement of theBig Goal, is nevertheless an important part of our grantmaking. Funds awarded in this category went to advancethe field of philanthropy.Grants approved in 2009 ranged from $2,500 to more

than $4 million. The average was around $425,000.For 2009 we approved:Fifty-one grants totaling more than $18.6 million to address preparation issues.Forty-five grants totaling more than $25.5 million to improve student retention and success.Thirty-one grants totaling nearly $13.6 million to improve productivity in postsecondary education.Nine grants totaling nearly $307,000 to support the field of philanthropy.All of these grants are listed below, grouped accord-

ing to theme. Each listing includes the name and loca-tion of the grantee, the grant amount, a brief purposestatement, and the term of the grant (in parentheses).

Focusing on critical outcomes creates maximum impact

P $18,634,300 32%S

23%P

136 $58,069,538 100%

G

P

233 $50,562,213 100%

P $18,634,300 32%S

23%P

136 $58,069,538 100%

G

P

233 $50,562,213 100%

Net payout in 2009, by outcome sought

* The “Adjustments” category includes $5,596,098 in grant obligations accrued but not paid out in 2009. It also accounts for $2,020,651 in grant monies that were refunded to Lumina in 2009. ** The “Special gifts” category includes gifts, dues and sponsorships made in 2009 to stimulate the charitable donations and volunteer activities of our board members and staff.

Outcome Dollar value Percent Preparation $13,618,595 24%Success 23,216,018 42%Productivity 12,652,400 23%Philanthropy 1,075,200 2%Adjustments* 3,575,447 6%Special gifts** 1,538,568 3% TOTALS $55,676,228 100%

3% Preparation

Success

Productivity

Philanthropy

Adjustments*

Special gifts**

23%42%

24%

6%2%

Preparation

Success

Productivity

Philanthropy

NumberOutcome of grants Dollar value Percent Preparation 51 $18,634,300 32%Success 45 25,543,238 44%Productivity 31 13,585,200 23%Philanthropy 9 306,800 1%TOTALS 136 $58,069,538 100%

Grants approved in 2009, by outcome sought

1%

23%

44%

32%

Grants in 2009

PreparationAcademy for EducationalDevelopmentNew York, N.Y.$149,300 − To support a planninggrant for mapping data about col-lege access and success net-works. (One year)

Academy for EducationalDevelopmentWashington, D.C.$667,700 − To continue theprocess evaluation and to providetechnical assistance with evaluationto KnowHow2GO partners. (29 months)

Academy for EducationalDevelopmentWashington, D.C.$2,600,000 − To strengthen andsustain the KnowHow2GO groundcampaign by providing technicalassistance to state partners,involving additional collaboratorsand organizing an improved learn-ing community for all partners.(Three years)

Academy for EducationalDevelopmentWashington, D.C.$56,300 − To coordinateKnowHow2GO technical supportprovided by CommunityPartners/Paul Vandeventer andAnthony Macklin. (14 months)

AchieveWashington, D.C.$395,700 − To strengthen thealignment of higher education withcollege and career-readiness stan-dards. (Eight months)

Advertising CouncilNew York, N.Y.$1,544,400 − To support theKnowHow2GO campaign thatencourages more low-income stu-dents and their families to takethe necessary steps toward post-secondary education. (Three years)

American Council on EducationWashington, D.C.$2,305,000 − To support in 2009-2011 the KnowHow2GO groundand air campaigns with nationaland local outreach and communi-cation activities. (35 months)

Blue EngineWashington, D.C.$10,000 − To support leadershipdevelopment and increase organi-zational capacity. (13 months)

Center for Law and Social PolicyWashington, D.C.$208,000 − To conduct researchon federal non-higher educationprograms with education and train-ing components, including a state-by-state analysis of how thesefunds are used, and to develop rel-evant policy briefs. (One year)

Center for Nonprofit ExcellenceAkron, Ohio$104,500 − To connect findingsfrom the KnowHow2GO evaluationto similar communities of learningpractices identified in the MakingOpportunity Affordable evaluation.(One year)

Central Indiana Community FoundationIndianapolis, Ind.$260,100 − To support theSummer Youth Program Funderpartnership. (21 months)

Central Indiana CorporatePartnership FoundationIndianapolis, Ind.$100,000 − To expand access toAdvanced Placement professionaldevelopment for high school teach-ers in Indiana. (One year)

College BoardNew York, N.Y.$215,000 − To identify effectiveways to simplify the FreeApplication for Federal Student Aid.(18 months)

College BoardNew York, N.Y.$118,700 − To generate nationalawareness and support for theproposals to improve the federalstudent aid system that wereissued by the Rethinking StudentAid study group in September2008. (16 months)

Corporation for Enterprise DevelopmentWashington, D.C.$10,000 − To support the 2009National Conference on Childrenand Youth Savings and to showcasethe current impact and potentialscale of Children’s DevelopmentAccounts − universal savingsaccounts for children and youth.(One year)

Council for Opportunity in EducationWashington, D.C.$150,000 − To improve the reachand effectiveness of KnowHow2GOstate networks by integrating TRIOprograms on the national andstate level. (One year)

DonorsChoose IndianaChicago, Ill.$300,000 − To engage middleschool teachers in theKnowHow2GO campaign. (13 months)

EducationQuest FoundationLincoln, Neb.$140,000 − To develop and imple-ment a sustainable statewide col-lege access network in Nebraskathat will support advocacy and policy efforts. (29 months)

Encouragement ServicesBloomington, Ind.$10,000 − To create a plan tointegrate Encouragement Servicesinto the Indiana KnowHow2GOwork and the national collegeaccess library. (Three months)


“An investment inknowledge pays the

best interest.”

Benjamin Franklin

Grants in 2009

First American Land-grant CollegeOrganization and NetworkColumbia, Mo.$10,000 − To support the annualFALCON conference focused onstudent access and success attribal colleges. (Six months)

Illinois Student Assistance CommissionDeerfield, Ill.$93,500 − To plan for the nextphase of KnowHow2GO in Illinois.(Seven months)

Indiana Association of United WaysIndianapolis, Ind.$10,000 − To advance the after-school movement in Indianapolisand central Indiana through collab-oration with other after-schoolproviders and community leaders.(One year)

Indiana Department of EducationIndianapolis, Ind.$100,000 − To coordinate stateefforts to increase college accessand success by engaging partnersand leveraging resources. (Three months)

Indiana Department of EducationIndianapolis, Ind.$2,500 − To sponsor the IndianaDropout Prevention LeadershipSummit. (Three months)

Jobs for America's GraduatesAlexandria, Va.$10,000 − To support the JAGNational Thought Leader Event todiscuss how to close the academicand career achievement gap for at-risk minority students. (One year)

Learn More IndianaIndianapolis, Ind.$115,500 − To plan for the nextphase of KnowHow2GO in Indiana.(Five months)

Marion County Commission on YouthIndianapolis, Ind.$60,000 − To create collegeaccess networks within MarionCounty’s public high schools toprovide wrap-around servicestouching on all four steps ofKnowHow2GO for students. (16 months)

Martin UniversityIndianapolis, Ind.$75,000 − To provide flood relieffunds to Martin University. (Four months)

National College Access NetworkWashington, D.C.$72,200 − To host an NCAN post-conference day on policy issuesand process for the KnowHow2GOlearning community. (Three months)

2001* $6,271,730 39 $160,814

2002 $21,469,884 90 238,554

2003 $30,664,745 132 232,309

2004 $39,937,265 165 242,044

2005** $81,537,486 203 401,662

2006 $44,000,420 186 236,561

2007 $27,267,472 104 281,107

2008 $52,991,772 173 253,000

2009 $58,306,526 163 357,708

Total $362,477,300 1,255 $288,827

Year Total dollar Number of Average amount approved grants approved amount

* Although Lumina Foundation grant making officially began in August 2000, grant making under Lumina Foundation guidelines began in 2001. In 2001, Lumina Foundation approved two important but exceptional grants – one to Scholarship America to establish the Families of Freedom Scholarship Fund, and one to the Community Foundation for the National Capital Region to support community-based giving programs in Indianapolis and Washington, D.C. Including these grants means that the Foundation approved 41 grants totaling $51,275,066 in 2001, and 1,257 grants totaling $413,752,366 in the past nine years. These two exceptional grants skew averages and are therefore excluded from the table.

** In 2005, Lumina made several large, multiyear grants to support Achieving the Dream: Community Colleges Count. These grants represented half of the year’s total.

Year-by-year record of grant approvals

Note: This comprehensive table includes program-related administrative grants, which tend to be small and are omitted from the grant totals typically reported. Totals and dollar figures in this table differ slightly from those used elsewhere in this report and in previous annual reports.


Grants in 2009


New America FoundationWashington, D.C.$325,000 − To promote policyoptions that make investing instate-administered 529 collegesavings plans more appealing forlow- and moderate-income families.(14 months)

New England EducationalOpportunity AssociationOrono, Maine$140,000 − To develop a sustain-able college access network inConnecticut that will support advo-cacy and policy. (29 months)

Northwest Education Loan AssociationSeattle, Wash.$58,400 − To plan for the nextphase of KnowHow2GO inWashington. (Five months)

Ohio College Access NetworkColumbus, Ohio$80,500 − To provide bridge fund-ing for the Ohio College AccessNetwork to continue as thecoordinator for KnowHow2GO. (Six months)

Ohio College Access NetworkColumbus, Ohio$163,500 − To plan for the nextphase of KnowHow2GO in Ohio.(Five months)

OMG Center for Collaborative LearningPhiladelphia, Pa.$9,100 − To design a white paperand an evaluation report on Lumina’sMcCabe Fund. (Two months)

Prichard Committee for Academic ExcellenceLexington, Ky.$117,700 − To plan for the nextphase of KnowHow2GO in Kentucky.(Five months)

Purdue UniversityWest Lafayette, Ind.$750,000 − To establish inIndiana the Benefit Bank that con-nects low- and moderate-incomeHoosiers with benefits and worksupports, including financial aid.(14 months)

Scholarship AmericaSt. Peter, Minn.$140,000 − To develop a sustain-able statewide college access net-work in Iowa that will support advo-cacy and policy efforts. (29 months)

Southern California College Access NetworkLos Angeles, Calif.$95,300 − To plan for the nextphase of KnowHow2GO in thesouthern California region. (Five months)

Student Assistance Foundation of MontanaHelena, Mont.$140,000 − To develop a sustain-able statewide college access net-work in Montana that will supportadvocacy and policy efforts. (Three years)

Tennessee Higher EducationCommissionNashville, Tenn.$140,000 − To develop a sustain-able college access network inTennessee that will support advo-cacy and policy. (29 months)

United Way of Central IndianaIndianapolis, Ind.$150,000 − To support theCommunity Economic Relief Fund.(Nine months)

University of North Carolina-Chapel HillChapel Hill, N.C.$25,000 − To continue the part-nership with the National CollegeAdvising Corps and theKnowHow2GO campaign. (11 months)

University of South FloridaTampa, Fla.$73,900 − To plan for the nextphase and expansion ofKnowHow2GO in Florida. (Eight months)

University of Southern CaliforniaCenter for Enrollment Research,Policy and PracticeLos Angeles, Calif.$10,000 − To support the January

2010 conference, “What MattersNow: College Access and Successin the Age of Obama.” (Two months)

University of Wisconsin SystemMadison, Wis.$140,000 − To develop a sustain-able statewide college access net-work in Wisconsin that will supportadvocacy and policy. (29 months)

Washington University in St. LouisSt. Louis, Mo.$75,000 − To help KnowHow2GOstate networks develop and imple-ment policy strategies in supportof savings account vehicles for low-and moderate-income students andtheir families. (Two years)

What Kids Can DoProvidence, R.I.$99,900 − To bring student-pro-duced research and media to theattention of local and national policy-makers and stakeholders. (14 months)

What Kids Can DoProvidence, R.I.$870,000 − To manage Lumina'sthree-year initiative to link nationalyouth-serving organizations to theKnowHow2GO campaign. (Three years)

YMCA of the USAChicago, Ill.$5,127,600 − To manage, expandand integrate the College GoalSunday program into the nationalYMCA movement. (Three years)

Youth Transition Funders GroupWashington, D.C.$10,000 − To support the work ofthe Youth Transition FundersGroup. (One year)

Number of Preparation grants: 51

Total: $18,634,300

Grants in 2009

SuccessAmerican Association of Community CollegesWashington, D.C.$500,000 − To develop and test anational framework for communitycolleges to improve student out-comes. (Two years)

American Indian Higher Education ConsortiumAlexandria, Va.$500,000 − To help TribalColleges and Universities becomemore effectively engaged in highereducation policy at the local, stateand national levels. (Three years)

Association of Public and Land-grant UniversitiesWashington, D.C.$408,700 − To help higher educa-tion institutions implement thestudent learning outcomes sectionof the Voluntary System ofAccountability. (Two years)

California State University,Monterey BaySeaside, Calif.$500,000 − To improve the effec-tiveness of developmental educa-tion courses at three Hispanic-Serving Institutions. (Three years)

CatalyticaSeattle, Wash.$116,000 − To explain and com-municate the lessons arising froma three-state exploration of “tuning”at U.S. higher education institu-tions. (One year)

CatalyticaSeattle, Wash.$9,888 − To supplement the origi-nal grant and cover higher-than-anticipated costs related to thetuning project. (One year)

Council for Adult and Experiential LearningChicago, Ill.$175,000 − To design an accessi-ble “virtual” Prior LearningAssessment Center to be devel-oped and administered by CAEL.(Seven months)

Education Writers AssociationWashington, D.C.$10,000 − To support a panel dis-cussion regarding degree qualitywith reporters at the EducationWriters Association’s annual meet-ing in Washington, D.C., on April30, 2009. (Two months)

Excelencia in EducationWashington, D.C.$10,000 − To support 2009Examples of Excelencia and itsCelebration de Excelencia. (Twomonths)

Florida International UniversityMiami, Fla.$495,800 − To evaluate studentsuccess initiatives and developprogram improvements to raiseundergraduate persistence ratesusing a data-driven inquiryprocess. (Three years)

Georgetown UniversityWashington, D.C.$2,577,700 − To conduct and dis-seminate research on the relation-ship between higher education andthe economy, including projectingthe supply and demand for college-educated workers. (Three years)

Indiana Community Action AssociationIndianapolis, Ind.$10,000 − To provide a compre-hensive report about the financialaid system in Indiana and policyrecommendations to increaseaccess to financial aid programsfor working adult students. (Four months)

Institute for Higher Education PolicyWashington, D.C.$1,110,600 − To strengthenaccess and success throughresearch, policy and improvedpractice. (Three years)

Institute for Higher Education PolicyWashington, D.C.$604,600 − To support the MSI-Models of Success Program.(Three years)

Ivy Tech Community CollegeIndianapolis, Ind.$2,340,000 − To increase attain-ment rates of at-risk youth throughan accelerated associate degreeprogram. (Four years)

Jackson State CollegeDevelopment FoundationJackson, Miss.$487,000 − To create a multi-state, peer-learning network toensure postsecondary success forminority students. (Three years)

Learn More IndianaIndianapolis, Ind.$150,000 − To test the applicabilityof the tuning process at highereducation institutions within theUnited States. (One year)

Martin UniversityIndianapolis, Ind.$100,000 − To design and imple-ment a Center for Student Successthat aims to increase educationalaccess and opportunity for incom-ing first- and second-year, disad-vantaged and underrepresentedstudents. (One year)


“Education's purposeis to replace anempty mind with an open one.”

Malcolm Forbes

“Ideas are a capitalthat bears interestonly in the hands

of talent.”

Antoine Rivarol

Grants in 2009


MDCChapel Hill, N.C.$2,947,400 − To support the tran-sition of the Achieving the Dreaminitiative to a sustainable inde-pendent enterprise. (16 months)

MDCChapel Hill, N.C.$300,000 − To magnify the impactof the Developmental EducationInitiative through communicationsactivities. (41 months)

MDCChapel Hill, N.C.$3,000 − To cover the costs of areception at the Grantmakers forEducation Conference in Chicagoon Oct. 6, 2009. (One month)

MDRCNew York, N.Y.$1,200,000 − To evaluate theimplementation of theDevelopmental Education Initiative.(Three years)

MDRCNew York, N.Y.$4,000,500 − To evaluate theimplementation and effectivenessof Achieving the Dream:Community Colleges Count. (45 months)

Miller Center of Public AffairsCharlottesville, Va.$750,000 − To conduct and dis-seminate two national debates andsupplemental outreach activities toincrease public interest and ener-gize public policymakers toaddress issues of importance tohigher education. (One year)

Minnesota Office of Higher EducationSt. Paul, Minn.$150,000 − To test the applicabilityof the tuning process at highereducation institutions in the UnitedStates. (One year)

National Consortium for College CompletionWashington, D.C.$1,000,000 − To support the cre-ation and mission of the NationalConsortium on CollegeCompletion. (26 months)

National Institute for NativeLeadership in Higher EducationAlbuquerque, N.M.$10,000 − To provide sponsorshipfor the 16th Annual NationalInstitute. (10 months)

New England Board of Higher EducationBoston, Mass.$65,000 − To assist policymakersin the New England states todevelop strategies to increasepostsecondary attainment. (One year)

Organisation for Economic Co-operation and DevelopmentParis, France$750,000 − To assess the feasi-bility of cross-national comparisonsof higher education learning out-comes. (28 months)

Portland State UniversityCenter for Academic ExcellencePortland, Ore.$7,500 − To support communitypartner attendance at thePartnership Institute, which seeksto enhance understanding of highereducation-community partnershipsthrough research disseminationand shared learning. (Six months)

Purdue UniversityWest Lafayette, Ind.$25,000 − To increase sharingand application of college studentaccess and success research andpractices through two statewideconferences. (13 months)

Salish Kootenai CollegePablo, Mont.$402,200 − To identify factorsthat improve the postsecondaryretention and success of AmericanIndian students enrolled in develop-mental studies courses. (Three years)

Scholarship AmericaMinneapolis, Minn.$600,000 − To build the capacityof Scholarship America to operatethe Dreamkeepers program. (Three years)

Social Science Research CouncilBrooklyn, N.Y.$407,100 − To examine the fac-tors that influence the CollegiateLearning Assessment’s measuresof cognitive growth and post-gradu-ation outcomes of disadvantagedstudents. (Four years)

Southern Education FoundationAtlanta, Ga.$500,000 − To enhance studentlearning outcomes assessment,documentation and use atHistorically Black Colleges andUniversities and Hispanic-ServingInstitutions. (Three years)

UNC Office of the PresidentChapel Hill, N.C.$500,000 − To increase retentionand graduation rates for studentsof color at all six minority-servinginstitutions in the University ofNorth Carolina system. (Three years)

“Nothing should beoverlooked in fightingfor better education.

Be persistent and ornery.”

Roy Wilkins

“Education is a pre-condition to survivalin America today.”

Marian Wright Edelman

Grants in 2009


United States Department of EducationWashington, D.C.$5,000 − To support the activitiesand conference costs of the 2009National HBCU Conference, heldAug. 30-Sept. 3, 2009. (Four months)

United Way of Central IndianaIndianapolis, Ind.$5,000 − To sponsor a Connectedby 25 team to attend the 2009Creating a Blueprint Conference inan effort to help foster youthachieve their educational goals.(Two months)

University of Arizona Office of Community RelationsTucson, Ariz.$280,250 − To support participa-tion of higher education institu-tions in southern Arizona in anOECD-organized initiative. (One year)

University of IllinoisChampaign, Ill.$140,000 − To examine appliedbaccalaureate degree programs inthe U.S. to assess their effective-ness in increasing the number ofadult learners with the bachelor’sdegree. (One year)

University of PennsylvaniaPhiladelphia, Pa.$40,000 − To provide operatingsupport for Change magazine.(One year)

University of Texas at El PasoEl Paso, Texas$500,000 − To identify the institu-tional structures at minority-serv-ing institutions that foster studentsuccess and increase the effec-tiveness of transfer programsacross the state. (Three years)

University of Texas SystemAustin, Texas$500,000 − To implement astatewide Bachelor’s AcceleratedCompletion (BAC) Program to meetthe needs of Texans who havestarted college but never finished.(Three years)

Utah Board of RegentsSalt Lake City, Utah$150,000 − To test the applicabilityof the tuning process at highereducation institutions within theUnited States. (One year)

Women In GovernmentWashington, D.C.$200,000 − To promote adultlearning through state policy workamong state legislators. (One year)

Number of Success grants: 45

Total: $25,543,238

ProductivityAssociation of Governing Boardsof Universities and CollegesWashington, D.C.$600,000 − To inform boards andpresidents of America’s collegesand universities to improve studentsuccess rates. (Two years)

Bipartisan Policy CenterWashington, D.C.$994,700 − To help create a nextmarket for higher education innova-tion through convenings, researchand further development ofDGREE. (11 months)

Business Innovation FactoryProvidence, R.I.$280,000 − To map the studentexperience in higher education inorder to personify Lumina’s BigGoal and identify opportunities forincreasing the number of collegegraduates. (Nine months)

Capitol BeatRaleigh, N.C.$10,000 − To educate journalistsabout state finance and otherissues regarding higher educationproductivity that affect collegeaccess and success. (Three months)

Carnegie Mellon UniversityPittsburgh, Pa.$750,000 − To establish a consor-tium of community colleges, in col-laboration with state agencies andnational groups, to enact a large-scale process that increases effi-ciency in the way instruction isdeveloped, delivered and continu-ously improved. (Three years)

CEOs for CitiesChicago, Ill.$240,000 − To uncover new ideasfor reducing the cost of gettingstudents into and through collegewhile maintaining the quality of thedegrees they earn. (Nine months)

CommunicationWorksWashington, D.C.$300,000 − To develop and imple-ment communication and mediastrategies across states thatenhance the productivity of U.S.higher education. (Six months)

CommunicationWorksWashington, D.C.$99,500 − To produce storytellingvideos to help states make thecase among key stakeholders forimproving productivity in highereducation. (Seven months)

“Education is not a preparation for life; education is

life itself.”

John Dewey

Grants in 2009


Cornell Higher EducationResearch InstituteIthaca, N.Y.$80,500 − To analyze the extentto which non-instructional expendi-tures affect the persistence andgraduation rates of students fromdifferent socioeconomic back-grounds and with different aca-demic qualifications. (Two years)

Corporation for a Skilled WorkforceAnn Arbor, Mich.$5,000 − To present CSW'sresearch findings at the AmericanAssociation of CommunityColleges’ annual convention inApril 2009. (Four months)

Delta Projecton Postsecondary Costs,Productivity and AccountabilityWashington, D.C.$500,000 − To support continueddevelopment of data and spendingmetrics for institutional and state-level cost accountability. (18 months)

Education SectorWashington, D.C.$750,000 − To provide research,analysis, strategic communicationsand policy promotion aimed atrefocusing the public conversationabout higher education on thequality of teaching and learning,student attainment and reducedcost to students. (Two years)

Education Writers AssociationWashington, D.C.$350,000 − To provide trainingand support for journalists cover-ing higher education to develop astrategic response to a changingmedia environment. (Two years)

Hechinger Instituteon Education and the MediaNew York, N.Y.$600,000 − To increase thecapacity of the Hechinger Instituteto produce and broker placementof high-quality, solutions-orientednews coverage of higher educationfor influential audiences andengaged citizens. (Two years)

Institute for EducationalLeadershipWashington, D.C.$40,000 − To communicate thefindings of an evaluative researchstudy of the Educational PolicyFellowship Program. (One year)

Institute for the Study of Knowledge Management in EducationHalf Moon Bay, Calif.$600,000 − To extend the poten-tial for the online KnowledgeCollaborative as the intermediaryto encourage and facilitate produc-tivity in higher education. (18 months)

Investigative Reporters and EditorsColumbia, Mo.$500,000 − To increase campuscoverage of college completion andproductivity issues by training stu-dent journalists to report on thesetopics. (Three years)

Investigative Reporters and EditorsColumbia, Mo.$10,000 − To support higher edu-cation training for journalists at thefour-day 2009 IRE conference inBaltimore, Md. (Six months)

Midwestern Higher Education CompactMinneapolis, Minn.$100,000 − To develop a pilotmodel for Midwestern cities thatprojects how manipulation of differ-ent input and throughput variablescontributes to closing the creden-tials gap. (One year)

National Center for HigherEducation Management SystemsBoulder, Colo.$91,100 − To prepare an updatedversion of Good Policy, GoodPractice. Improving Outcomes andProductivity in Higher Education: An Implementation Handbook. (Nine months)

National Conference of State LegislaturesDenver, Colo.$500,000 − To provide state legislators and their aides withinformation, advice, support andprofessional development aimed at increasing the percentage ofAmericans with high-quality collegedegrees and credentials. (Two years)

National Governors AssociationCenter for Best PracticesWashington, D.C.$600,000 − To develop theNational Governors Association’scapacity to help governors shapepolicies that increase transparencyand accountability in higher educa-tion and help increase the numberof residents educated to meetworkforce needs. (Two years)

Presidents' ForumAlbany, N.Y.$58,500 − To convene thePresidents Forum to develop rec-ommendations for demonstrationprojects that can boost efficiencyand encourage better alignment ofindividual state regulatory require-ments, and to support agreementsthat facilitate the provision ofinstruction across state bound-aries. (Eight months)

“The secret in education lies inrespecting the

student.”

Ralph Waldo Emerson

“Education is a bettersafeguard of liberty

than a standing army.”

Edward Everett

Grants in 2009


Public Agenda FoundationNew York, N.Y.$796,800 − To support the pro-ductivity agenda by developing amodel for faculty and institutionalengagement, and supporting policyand public will building to increaseproductivity in higher education.(Two years)

Public Agenda FoundationNew York, N.Y.$103,100 − To work with CEOs forCities to design and promote dialoguesessions in eight cities to encourageintegration of the Talent Dividendframework and concepts into localplanning efforts as a means of advanc-ing Lumina’s Big Goal. (One year)

SPEC AssociatesDetroit, Mich.$816,000 − To evaluate theMaking Opportunity Affordable initiative. (13 months)

SPEC AssociatesDetroit, Mich.$800,000 − To evaluate theMaking Opportunity Affordable initiative. (14 months)

Tides CenterSan Francisco, Calif.$1,450,000 − To support expan-sion of Lumina’s productivity agen-da by managing state contractsand coordinating technical sup-port. (Four years)

Trustees of Indiana UniversityBloomington, Ind.$750,000 − To allow the IndianaBusiness Research Center to applypowerful analytic modeling to helpanswer critical questions aboutfactors influencing student suc-cess in higher education and theworkforce in Indiana. (26 months)

Washington MonthlyChevy Chase, Md.$10,000 − To upgrade WashingtonMonthly's Web server to accommo-date greater-than-anticipated read-ership of the Annual College Guideand home page. (27 months)

Western Governors UniversitySalt Lake City, Utah$800,000 − To draw and sharelessons arising from a newer, tech-nology-enabled approach thatunbundles elements of higher edu-cation and offers individualized,self-paced instruction that helpsstudents meet defined learningoutcomes. (Two years)

Number of Productivity grants: 31

Total: $13,585,200

PhilanthropyCommunity Investment NetworkRaleigh, N.C.$10,000 − To support the 2009Community Investment NetworkConference. (Five months)

Emerging Practitioners in PhilanthropyNew York, N.Y.$10,000 − To provide professionaldevelopment opportunities toyoung grant makers. (Three months)

Foundation CenterNew York, N.Y.$10,000 − To support theFoundation Center's Funding forEducation Month programming inJune 2009. (Two months)

Greenwich RoundtableCos Cob, Conn.$49,000 − To develop and dissem-inate an alternative investment cur-riculum guide for foundation chiefinvestment officers. (44 months)

GuidestarWilliamsburg, Va.$10,000 − To support a project toprovide the new 990 tax forms tononprofit organizations and toimplement the Guidestar ExchangeProgram. (One year)

Indiana Grantmakers AllianceIndianapolis, Ind.$3,000 − To provide resources tofacilitate and encourage statewideparticipation of foundation staffand trustees in the Indiana chapterof Emerging Practitioners inPhilanthropy, Indiana Blacks inPhilanthropy, a corporate grantmakers group, an Indianapolis pro-gram officers group, and other IGA-sponsored affinity groups aroundthe state. (16 months)

Keep Indianapolis BeautifulIndianapolis, Ind.$10,000 − To provide general oper-ating support to the organization.(Three months)

Morgan State UniversityFoundationBaltimore, Md.$12,000 − To support the NationalAssociation for Equal Opportunityin Higher Education (NAFEO)Kellogg Leadership Fellows’reunion as part of the annualWhite House Conference onHistorically Black Colleges andUniversities. (Three months)

OMG Center for Collaborative LearningPhiladelphia, Pa.$192,800 − To contribute to thefield of philanthropy an improvedunderstanding of what constitutesfoundation effectiveness and howfoundations can add value, beyonddollars, to the strategies they sup-port. (20 months)

Number of Philanthropy grants: 9

Total: $306,800

Grand totalsNumber of grantsapproved: 136

Dollar value: $58,069,538

Board of directorsChairman John M. Mutz, retired vice chairman of PSI Energy, former president ofLilly Endowment and former lieutenant governor of Indiana. (Was succeeded as chairmanby Marie McDemmond in March 2010.)

Frank D. Alvarez, president and CEO of the Hispanic Scholarship Fund, San Francisco, Calif.

Gerald L. Bepko, chancellor emeritus and trustees professor at Indiana UniversitySchool of Law, Indianapolis, and former chancellor of Indiana University-PurdueUniversity at Indianapolis.

Norris Darrell Jr., senior counsel and retired partner of Sullivan & Cromwell, New York, N.Y.

James C. Lintzenich, former vice chairman and chief executive officer of USAGroup; former president and chief operating officer of Sallie Mae.

F. Joseph Loughrey, former vice chairman, president and chief operating officer atCummins Inc., Columbus, Ind.

Marie V. McDemmond, president emerita of Norfolk State University, Norfolk,Va. (Succeeded John Mutz as chairman in March 2010.)

Jamie P. Merisotis, president and chief executive officer of the Foundation,Indianapolis, Ind.

J. Bonnie Newman, former interim president of the University of New Hampshire,Durham, N.H.

Laura Palmer Noone, CEO at Piccolo International University, Scottsdale, Ariz.

Michael L. Smith, former chief financial officer of Anthem Inc., Indianapolis, Ind.

Randolph H. Waterfield Jr., certified public accountant and accounting consultant,High Bar Harbor, N.J.

Belle S. Wheelan, president of the Commission on Colleges of the SouthernAssociation of Colleges and Schools, Decatur, Ga.

Mark G. Yudof, president of the University of California, Oakland, Calif.

Senior managementJamie P. Merisotis, president and chief executive officer of the Foundation.

James Applegate, senior vice president for program development.

Samuel Cargile, vice president for grantmaking.

J. David Maas, senior vice president, chief financial officer and treasurer.

Dewayne Matthews, vice president for policy and strategy.

Holiday Hart McKiernan, senior vice president, general counsel and secretary.

Juan (Kiko) Suarez, senior vice president for external affairs.

Credits and acknowledgmentsWriting: Patricia L. Brennan and David S. PowellEditing: David S. PowellEditorial assistance: Gloria Ackerson and Lucia AndersonPhotography: Shawn Spence PhotographyDesign: IronGate CreativePrinting: Mossberg & Company Inc.

For more information about Lumina Foundation,please visit our Web site

(www.luminafoundation.org) or write:

Lumina Foundation for Education30 South Meridian Street, Suite 700

Indianapolis, IN 46204

June 2010 © Lumina Foundation for Education, Inc.

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Lumina Foundation 2009 Annual Report...permanent. Jaros got married, and he and his wife, Joy, ev entu-ally had three chil dren. “Life catches up with you,” h e says. “I becam