Lilly Family School of Philanthropy Theses and Dissertations

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American Indian foundations: philanthropic change and adaptation
(2009-03-18T15:25:57Z) Seely, Dagmar; Burlingame, Dwight F.; Huehls, Frances A.; Brescia, William
The thesis, American Indian Foundations: Philanthropic Change and Adaptation, explores definition of the issues which impelled the development of grantmaking foundations as vehicles for American Indian community development. American Indian foundations are grantmaking foundations by and for American Indians. They frequently incorporate technical support, fiscal sponsorship and management of their own programs in ways which are unique to American Indians. The thesis is based on a case study and analysis of the formation and development of the Seventh Generation Fund for American Indian Development (and its predecessor the Tribal Sovereignty Program of the Youth Project), the first American Indian national public grantmaking foundation. The research design is based on primary source research and a literature review, augmented by a case study, and amplified by in-depth experience in the field of American Indian philanthropy. The literature review encompasses the relevant primary issues of the thesis and also covers an historical philanthropic review of influences on the development and inception of American Indian philanthropy. Original documents relative to these subjects were located in the manuscript and microfilm collection of the Wisconsin Historical Society, Madison; the Field Foundation Archives of the Center for American History at the University of Texas, Austin; and the Ruth Lilly Special Collections and Archives, and the Joseph and Matthew Payton Philanthropic Studies Library, both located at Indiana University in Indianapolis. The thesis is based on a primary research question and framed by six subsidiary questions. The thesis concluded that perhaps American Indian foundations were formulated to better serve their peoples in the absence of philanthropic attention. In addition they were formed to address underserved philanthropic needs in ways unique to American Indians. As well with regard to the case study, the primary reason for the founding of the first American Indian national grantmaking foundation was to apply the theoretical concepts of sovereignty and self-sufficiency into practicality in Indian country.
Board and Staff Representation and Grantmaking in Community Foundations: The Effect of Racial Representation, Intersectionality, and Donor Control
(2024-07) Ming, Yue; Paarlberg, Laurie E.; Badertscher, Katherine; Gazley, Beth; Rooney, Patrick
As the United States continues its significant demographic shift, concerns persist about philanthropic responsiveness to the needs of diverse communities. While foundations aim to address societal challenges, historical leadership structures can pose barriers to equitable outcomes. This raises questions about the representativeness of philanthropy to the broader public. The theory of representative bureaucracy establishes a framework for understanding the connection between representation and outcomes, positing that passive representation, which is bureaucrats share the same demographic origins as the general population, will result in active representation, which is producing policy outputs that benefit the interests of individuals who are passively represented. This study applies the theory of representative bureaucracy to nonprofits, specifically examining the case of community foundations in the United States. It investigates the influence of racial representation, the intersectionality across race and gender among representatives, and the impact of donor control on grant allocations to underserved groups. Key questions examined include: Does a positive relationship exist between racial representation in board and staff in community foundations and grant allocations to grantee organizations serving people of color? Does intersectional representation yield stronger results than solely racial representation? Does increased donor control weaken the positive relationship between board and staff members’ representation and grant allocations to grantee organizations serving people of color? This study utilizes longitudinal data spanning from 2012 to 2016, collected from a national sample of community foundations. The findings contribute both theoretically and practically to the understanding of the relationships among representation, discretion, and grant-making outcomes within the nonprofit sector.
Building Civic Infrastructure Organizations: The Lilly Endowment's Experiment to Grow Community Foundations
(2019-05) Wang, Xiaoyun; Benjamin, Lehn; Burlingame, Dwight; Guo, Chao; Ottoni-Wilhelm, Mark; Steensland, Brian
In the past 50 years, we have seen significant public and philanthropic investment in building civil society in countries around the globe. This includes initiating community foundations to support the development of vibrant communities and civic life. Yet we have little knowledge about why some initiatives bear fruit and others fail to do so. More specifically, why some community foundations initiated by institutional funders are able to garner local giving necessary to sustain themselves and others are not. This dissertation contributes to our knowledge about such initiatives by researching the Lilly Endowment’s GIFT Initiative (Giving Indiana Funds for Tomorrow), a project providing incentives to start nearly 60 new community foundations and revive 17 existing community foundations in Indiana since 1990. I employed mixed methods and three sources of data: historical archives, statistics of community foundations’ financial information and community demographics, and case studies of four community foundations. First, I found two existing explanations offered in the literature did not account for the lack of local support for the community foundations I studied. More specifically, I found that high level of income and wealth does not necessarily lead to high level of giving to community foundations and the lack of community identity is not the primary reason explaining community foundations’ struggles in attracting local donations. Rather the study shows that social capital is crucial for garnering local giving through the mechanism of facilitating information sharing. Second, I examined the long-term effects of matching grants, a key strategy used by Lilly Endowment to leverage local giving. I found that long-term provision of matching grants might reduce organizations’ incentives to seek funding sources on their own. My dissertation lends further insight into the sustainability of civic infrastructure organizations, a popular institutional model for building local civil society even today.
Can too much similarity to self backfire? The effects of different levels of similarity on charitable donations
(2018-02-22) Tian, Yuan; Konrath, Sara; Tempel, Gene; Ottoni-Wilhelm, Mark; Mesch, Debra
How is charitable giving influenced by other donors’ charitable giving? Do people give more in the presence of other donors who are similar to themselves? Most research suggests that individuals are positively influenced by others who are similar across a variety of behaviors. In the charitable giving contexts, people are more likely to donate (or donate more) to the same cause if others who are similar donate. Yet, prior research has paid little attention to potential non-linear effects of similarity on charitable giving. Is there a certain amount of similarity that is too much? My dissertation investigates this research question through two different methodological approaches, a systematic literature review and an experimental study. The findings suggest the curvilinear effects of similarity on charitable giving (i.e. self-other oversimilarity hypothesis); that is, individuals are more likely to donate (and donate more) in the presence of other generous donors who are moderately similar to themselves. Yet, individuals are less likely to donate (and donate) less in the presence of other generous donors who are in high similarity to themselves. In other words, too much similarity between donors may actually backfire in charitable giving contexts when others give generously. This dissertation consists of a brief overview of similarity (Chapter 1), a systematic literature review (Chapter 2), an experimental study (Chapter 3) and a research proposal (Chapter 4). Chapter 1 in this dissertation identifies the importance of similarity in social relationships. Chapter 2 investigates the effects of similarity on charitable giving and identifies the literature gap. Chapter 3 attempts to fill the gap via developing and testing self-other oversimilarity hypothesis. It further offers practical implications for nonprofit fundraising practices on how to apply similarity between donors to motivate more funding. In order to provide additional empirical evidence that may contribute to theory and practice, and to address certain limitations of the current experimental study, Chapter 4 proposes a new research project to further test self-other oversimilarity hypothesis in the presence of a stingy donor.
"Charity Never Faileth": Philanthropy in the Short Fiction of Herman Melville
(2014) Goldfarb, Nancy D.; Schultz, Jane E.; Eller, Jonathan R., 1952-; Robertson, Nancy Marie, 1956-; Tilley, John J.
This dissertation analyzes the critique of charity and philanthropy implicit in Melville’s short fiction written for periodicals between 1853 and 1856. Melville utilized narrative and tone to conceal his opposition to prevailing ideologies and manipulated narrative structures to make the reader complicit in the problematic assumptions of a market economy. Integrating close readings with critical theory, I establish that Melville was challenging the new rhetoric of philanthropy that created a moral identity for wealthy men in industrial capitalist society. Through his short fiction, Melville exposed self-serving conduct and rationalizations when they masqueraded as civic-minded responses to the needs of the community. Melville was joining a public conversation about philanthropy and civic leadership in an American society that, in its pursuit of private wealth, he believed was losing touch with the democratic and civic ideals on which the nation had been founded. Melville’s objection was not with charitable giving; rather, he objected to its use as a diversion from honest reflection on one’s responsibilities to others.
The civil society of Colombia
(2016-05-16) Evans, Van C.; Burlingame, Dwight F.; Bies, Angela; Schneider, William H.; Latz, Gil
The Republic of Colombia, with approximately 48 million inhabitants, is the fourth largest country by population in the Americas, after the U.S., Brasil, and México. It is divided politically into 32 departments and 10 districts with 1101 municipalities. Colombia has a rich history of philanthropy and solidarity since colonial times. Together, with the political strife of the past, these shed light on present day philanthropic practices and trends toward thriving civil society formation in the country. In order to strategically address human challenges and strengthen civil society in Colombia, a vision of what the civil society landscape looked like was needed. No such system existed in Colombia, and the extent and breadth of the sector was not known. The federal government has no single database that tracks the sector. Therefore, the primary research question for this case study is—What is the size and scope of civil society in Colombia? This dissertation, in good measure, provides the answer. It provides a geographical and taxonomical map of civil society organizations (CSOs) in Colombia. This dissertation also examines how Colombia came to have a thriving civil society sector yet lack a federal registry. Findings show there are 24 federal and capital district registries of different types of civil society. Moreover, each of the 32 departments have registries for health and education and some also register CSOs related to environment, culture, sports, and recreation. Findings from 21 of the 24 federal or district registries and three of the 32 departments reveal a total of 296,467 CSOs. This constitutes an estimate of 98.60 percent of all possible records. There is approximately one CSO for every 163 inhabitants or 61.5 CSOs for every 10,000 inhabitants, giving Colombia the highest number of registered CSOs per capita in the Americas, save the United States. The National Taxonomy of Exempt Entity (NTEE) codes were applied to CSOs, where possible. Findings reveal Colombia has a balanced civil society, with no subsector greater than 33 percent of total CSOs.
Comparative Study of Indiana University Foundation and Peking University Education Foundation: Why they are different and what to learn?
(2010-07-19T20:29:06Z) Xu, Zheng; Burlingame, Dwight F.; Plater, William Marmaduke, 1945-; Lenkowsky, Leslie, 1946-
The thesis made a comparative study of two university foundations, namely Indiana University Foundation, the United States, and Peking University Education Foundation, China, from a historical approach. Many theories influenced the author’s thinking about the issues, such as nonprofit organizations, elite philanthropy, and civil society. The paper seeks to: (1) make an overview of the development of the two foundations; (2) analyze and compare their differences in nature, structure, and fundraising practices, etc.; (3) examine the underlying reasons which may involve social, political, economic and legal factors; and (4) explore the future development of university foundations in China. In an era of accelerated globalization, the boom of diaspora giving and growth of nonprofits set the stage for the development of philanthropy in China. While continuing to draw from the extensive experiences of its American counterparts, the Peking University Education Foundation needs to reflect on its own actual situation and explore a road tailored to Chinese-style university foundations.
Creating fundraising professionals: the development of the certified fund raising executive credential
(2017-11-09) Aldrich, Eva E.; Witkowski, Gregory
Credentialing has become an established albeit voluntary—and often debated— part of the fundraising profession. Despite this, scholarly attention to the phenomenon of credentialing for fundraising professionals has been woefully lacking. While the literature has discussed what the benefits of credentialing are to fundraisers and the general public, it has failed to research how particular credentials came to be and why they were created at a particular place and time. This study analyzes the origins of the first fundraising credential, the Certified Fund Raising Executive (CFRE) credential, which was first awarded in 1981. While touching briefly on the phenomenon of mass philanthropy that paved the way for the birth of fundraising as a profession in the early twentieth century, the study concentrates on the way in which early practitioner associations such as the American Association of Fundraising Counsel and the National Association of Fund Raising Executives worked to establish fundraising as a legitimate profession. They fended off external threats from government regulation and capitalized on opportunities to give shape to the profession through the development of criteria for determining professional standing, codes and standards of practice and, eventually, the self-regulatory mechanism of voluntary credentialing. The principal results and conclusions of this study are: 1) while the fundraising profession has been witness to major events impacting American philanthropy in the twentieth century, including the reification of philanthropy as an economic “third sector” through the impact of the Tax Reform Act of 1969, the fundraising profession as a whole has been largely disengaged from these events except when they have directly threatened the economic welfare of the profession; and 2) the creation of the CFRE credential was largely spurred by increased calls for self-regulation of fundraising in the late 1970s.
Cross-cultural Mutuality: Exploring Philanthropic, Faith-based Partnerships Between Cuba and the United States
(2021-11) Goodwin, Jamie L.; King, David; Herzog, Patricia Snell; Wiepking, Pamala; Kahn, Hilary; Konrath, Sara
In the global age, grass-roots religious organizations seek to better collaborate across national and cultural borders. Through the theoretical lens of mutuality, this dissertation explores the nature and quality of interpersonal relationships inherent in faith-based, philanthropic partnerships between the United States and Cuba. Mutuality is a framework for understanding human relationships; it describes when people regard one another as whole persons and a relationship as something of inherent value. This study explores the value of relationships, the processes by which they form, how they relate to institutional structures, and the role of a common faith in bridging other cultural differences. Religious communities are considered the primary civil society institutions with national reach in Cuba. The research site for this study is a Protestant civil society organization on the outskirts of Havana, Cuba called Campo Amor. Campo Amor operates both nonprofit and for-profit activities and receives substantial American donations through a foundation in Spain. Over the past 20 years, Campo Amor has multiplied from two to more than 120 house churches. Before COVID-19 it welcomed more than 500 American partners each year. Using a co-created, phenomenological qualitative design, this study will provide knowledge into the role of relationships in philanthropic, faith-based partnerships, particularly between regions of geopolitical hostilities. It advances understanding of the role of religion and relationships in philanthropy across a variety of cultural differences. Among other findings, interviewees described mutuality as 1. the commitment to sharing; 2. Intersubjective relationships which enter into and care about the thoughts and feelings of another; and 3. the habitual approach that emphasized living one’s way into patterns of thought, versus thinking one’s way into patterns of life.
Cultural Implications of Fair Trade: Aligning Intent with Impact
(2019-12) Baugh, Courtney Lynn; Badertscher, Katherine; Andersson, Fredrik; McIntosh, Ian
The modern fair trade movement and resulting network emerged during the twentieth century as a strategy to alleviate extreme poverty through creating equitable trading initiatives and markets. Since its emergence, fair trade has grown tremendously to include initiatives across the globe, particularly within the Global South. Although the intent to do good is present amongst fair traders, the impact of these initiatives remains rather ambiguous, especially in regards to culture. Using a case study approach, this thesis aims to identify the cultural implications of fair trade activities and initiatives on Ghanaian basket weavers and their local communities, and then determine the effectiveness of the fair trade movement in aligning intent with impact within this context given these findings. From there, specific policy recommendations are provided for future initiatives.

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