2022-08-05T16:22:20-07:00 2021-12-31 990 2021-01-01 522289435 NUCLEAR THREAT INITIATIVE INC NUCL 2022964810 1776 I Street NW Suite 600 Washington DC 20006 Amy Hargrett Chief Financial Officer 2022964810 2022-08-01 1 11 0 AAL2 2021 2022-09-23 18:48:47Z Ernest Moniz 1776 I Street NW 6th Floor Washington DC 20006 19341955 0 X www.nti.org X 2001 GA NTI is a nonpartisan nonprofit global security organization focused on reducing nuclear and biological threats imperiling humanity. 26 21 91 22 0 0 14138748 12245831 0 0 751166 125640 0 7884 14889914 12379355 3122109 2604805 0 0 11118785 10725864 152961 81228 1384906 8751768 8253840 23145623 21665737 -8255709 -9286382 99105311 89948355 4490207 4746342 94615104 85202013 NTI's mission is to transform global security by driving systemic solutions to nuclear and biological threats imperiling humanity. 0 0 5987483 1097670 0 Biological Policy and Programs (BIO). In 2021, NTI | bio continued to seize the opportunity that COVID-19 presented to make lasting, systemic change in our collective ability to reduce biological risks, with the understanding that the next pandemic may be the result of human action with potentially catastrophic effects. NTI | bio continued to champion transparency and accountability as key factors of global reform efforts in the wake of COVID-19. In late 2021 the NTI | bio team, in partnership with the Johns Hopkins Center for Health Security and Economist Impact, released the second iteration of the Global Health Security (GHS) Index during a virtual event that attracted nearly 1,000 participants from across the globe, including website visitors from 114 countries. The GHS Index revealed that despite significant investments to battle the ongoing pandemic, all countries-across all income levels-remain dangerously unprepared to meet future pandemic and epidemic threats. Media coverage of the Index included articles in The New York Times and the Washington Post, in addition to coverage across dozens of countries from Kenya to India to Russia. As the Washington Post editorial board wrote, the findings of the 2021 GHS Index should serve as "a warning not to fall back on the cycles of panic and neglect that left the world so vulnerable last time." NTI | bio advanced actionable recommendations to reduce global catastrophic biological risks (GCBRs), which are biological risks with the potential for large-scale, potentially population-wide or existential, outcomes. In March 2021, NTI | bio partnered with the Munich Security Conference to host a virtual high-level facilitated tabletop exercise on reducing high-consequence biological threats. Exercise discussions focused on opportunities to improve global capabilities to conduct coordinated, timely responses to emerging pandemics and to strengthen international oversight of emerging biological risks associated with rapid biotechnology advances. As an outcome, NTI | bio, in collaboration with Sam Nunn Distinguished Fellow Angela Kane, convened a series of workshops to engage global experts in the establishment a new Joint Assessment Mechanism to assess high-consequence biological events of unknown origin. NTI | bio made significant progress in efforts to reduce the risk of biotechnology catastrophe by safeguarding advances in bioscience research and biotechnology development. The top priority for our work in this area is to establish a dedicated international entity to reduce biotechnology risks and promote biosecurity norms - the International Biosecurity and Biosafety Initiative for Science (IBBIS). In 2021, NTI | bio successfully recruited a diverse steering group composed of more than 15 experts from international organizations, the scientific research community, philanthropy, and biotechnology industry. Leveraging feedback from this steering group, NTI | bio developed a scoping study for IBBIS to define key attributes of the organization. Additionally, NTI | bio, in partnership with the World Economic Forum, convened an international Technical Consortium-which includes extensive industry representation-to advise on the development and testing of a prototype for the international Common Mechanism for DNA synthesis screening. NTI | bio is on track to launch both IBBIS and the international Common Mechanism for DNA synthesis screening in 2022. Initially, IBBIS will have a narrow scope of activities, focusing on DNA synthesis screening, with the understanding that the entity can expand its activities over time to address key vulnerabilities throughout the bioscience and biotechnology research, development, and commercialization lifecycles. In 2021, NTI | bio continued to catalyze concrete actions by governments and regional organizations to create measurable improvements in their capabilities to prevent deliberate and accidental biological events. In February 2021, NTI hosted a virtual Global Biosecurity Dialogue as a series of multi-stakeholder discussions for sustaining attention and accelerating action to advance international biosecurity. More than 170 experts from 38 countries participated in the discussions. By the end of the meeting, participants from across Africa, South America, the Caribbean, Europe, the UK, and the Middle East pledged to take 13 new actions to advance international biosecurity capabilities. Building on the new strategic focus on biosafety and biosecurity championed by the Africa Centres for Disease Control and Prevention and catalyzed by NTI | bio through the Global Biosecurity Dialogue, the G7 Global Partnership launched its Signature Initiative to Mitigate Biological Threats in Africa. This initiative will increase investment in Africa CDC's biosecurity and biosafety initiatives, a significant step toward institutionalizing this regional biosecurity model. NTI is seeking to use this model as a case study that may be exportable to other geographic regions to address their biosafety and biosecurity vulnerabilities. Through NTI | bio and our partners' advocacy efforts in 2021, the global health security fund concept, which NTI initially catalyzed in March 2020, made important progress. The proposed fund, known as the Financial Intermediary Fund, would draw together resources from a wide variety of sources to catalyze domestic investment in health security, driving resources and attention to the countries that need it most and sustaining the investments by building them into national budgets. The Biden Administration identified the fund as a national security priority in National Security Memorandum-1. The fund also enjoys significant civil society support and growing international support as part of ongoing discussions on post-COVID-19 reconstruction efforts. In 2021, NTI | bio launched its fifth annual iteration of the Next Generation for Biosecurity Competition which seeks to foster emerging leaders in biosecurity. The competition called for innovative and creative papers to answer the following prompt: "What life science research should not be conducted, if any? Should red lines in life science research be drawn? If so, by whom?". In total, eight submissions were submitted by entrants from 13 countries including Belgium, Brazil, Canada, Czechia, Denmark, France, Hong Kong, India, Mexico, Nigeria, Pakistan, Uganda, and the United States. Our panel of international judges selected a paper-"Towards Responsible Genomic Surveillance: A Review of Biosecurity and Dual-Use Regulation"-as the winning submission. Members from the winning team come from Belgium, Uganda, and the United States. Their paper was published online, and the team presented during a side-event at the 2021 Biological Weapons Convention Meeting of States Parties. 3112734 482492 0 Communications and Public Education: In 2021, NTI worked across multiple fronts to educate and engage the public and demand leaders take action to address today's evolving and escalating nuclear and biological threats. Building on foundational research that confirmed a majority of people want to live in a world without nuclear weapons and need to understand it's possible to make progress toward that goal, NTI launch multiple campaigns to build political will and public engagement. In August, as the summer Olympics closed in Japan and on the anniversaries of the atomic bombings of Hiroshima and Nagasaki, we launched #CranesForOurFuture to honor the victims and share a message of peace and hope. Partnering with the Hiroshima Prefecture, Nagasaki Prefecture, and the Hiroshima Organization for Global Peace on a global weekend of action, we asked organizations, communities, families, and individuals to make a wish for our common future by folding an origami crane and sharing a photo of it on social media using the hashtag #CranesForOurFuture. Thousands participated to collectively reach millions around the world. Among them: More than 30 organizations, embassies in Japan, and a host of prominent individuals. In addition, hundreds of content creators on the social media platform TikTok used the hashtag and our custom crane sticker in videos that were viewed more than six million times. Preventing the use of nuclear weapons: To build on NTI's advocacy to secure the reaffirmation by nuclear-weapon states of the Reagan-Gorbachev declaration that "a nuclear war cannot be won and must never be fought," NTI and partners activated allies on social media around the anniversary of the '85 Geneva Summit where the declaration was first made. The #ReaffirmOurFuture social media campaign was joined by scores of security experts from around the world who shared graphics, videos, and tweets we provided, including the United Nations Office of Disarmament Affairs. Targeted officials saw the content, and many engaged. Ultimately, 2022 began with the first ever joint statement by China, France, Russia, the United Kingdom, and the United States that "a nuclear war cannot be won and must never be fought." Enhancing global biosecurity: Communications supported NTI | bio in its ongoing response to the COVID-19 pandemic and in releasing the second edition of the Global Health Security (GHS) Index. In addition to producing the report with its 195 country profiles and recommendations for preventing future pandemics, Communications produced a new promotional video, updated the GHS Index website, and was instrumental in the 90-minute virtual launch that drew more than 1,000 participants from around the world. The event resulted in 3,566 first-day visitors to the GHS Index website from 144 countries. Media coverage included stories in The New York Times and The Washington Post, in addition to articles and TV news coverage across dozens of countries from Kenya to India to Russia. As The Washington Post editorial board wrote, the 2021 findings should serve as "a warning not to fall back on the cycles of panic and neglect that left the world so vulnerable last time." Communications also supported NTI | bio's third annual tabletop exercise to address global biological risks, held virtually during the Munich Security Conference, developing "news" videos for the fictional scenario addressed by senior leasers and producing a report on the outcomes of the event. NTI.org: 2021 also brought the development and launch of an updated NTI website with a new look-and-feel, improved functionality, and important security upgrades. Events: In addition to dozens of other events by NTI experts, Communications in 2021 supported a Ted-Talk-style presentation to the Effective Altruism Global London conference by NTI President and COO Joan Rohlfing on reducing nuclear threats and building a safer world. "This is about whether or not we take seriously our generational stewardship and can create a security system that is not premised on the mass elimination of humanity, but one that embraces providing for a long-term future," Rohlfing told the conference. "We're at a moment in time where we can continue with a business-as-usual approach and watch the risk increase or we can choose to build a world that extends the long-term potential for humanity and enables us to flourish. I invite you to join me on that journey." 2523210 128865 0 Materials Risk Minimization Program (MRM).In 2021, MRM focused its efforts on strengthening the global nuclear security system by tracking nuclear security progress; convening government officials, international organizations, industry representatives, and experts in unofficial forums; and promoting actions to strengthen key nuclear security mechanisms. In early 2021, NTI began work on the sixth edition of the Nuclear Security Index (NTI Index), a one-of-a-kind assessment of nuclear security conditions around the world, with plans for a launch in mid-2023. The NTI Index uses public information to track country-level progress on nuclear security and recommends actions for governments to protect nuclear materials and facilities and to strengthen the global nuclear security architecture. It assesses actions in 22 countries to protect nuclear materials against theft, actions in 46 countries and Taiwan to protect nuclear materials against sabotage, and actions in 153 countries and Taiwan to support global nuclear security efforts. The 2023 NTI Index will again contain a Radioactive Source Security Assessment, which is the only public assessment of global radiological security. The Radioactive Source Security Assessment assesses the national policies, commitments, and actions to secure radioactive sources and prevent a dirty bomb in 175 countries and Taiwan. The NTI Index continues to be an important tool for governments to review their own performance and identify areas of improvement, as well as to identify and validate the use of available assistance resources. In 2021, NTI hosted two meetings of the Global Dialogue on Nuclear Security Priorities. The first was a virtual discussion in March and the second was a hybrid meeting in December, with select participants meeting in France. The Global Dialogue brings together government officials, international organizations, nuclear industry, and non-government experts to develop unique and creative approaches to the most pressing nuclear security challenges. Participants, including senior government officials, have consistently said that the Global Dialogue is one of the most valuable platforms for nuclear security dialogue, and ideas generated at Global Dialogue meetings have directly influenced official government policy. An example of real-world results has been NTI's multi-year effort to promote a robust, substantive review conference for the Amended Convention on the Physical Protection of Nuclear Material (CPPNM/A), the only international treaty that requires countries to protect nuclear materials and facilities. As a continuation of NTI's effort to build support for a strong, effective, and sustainable treaty regime through regular review conferences, NTI hosted six virtual regional workshops in 2021, engaging with more than 50 countries in Africa, Asia, and Latin America. These discussions focused on the main issues to consider when preparing for the first-ever review conference in March 2022. These efforts have helped to influence official deliberations and spurred countries to complete specific steps required by the treaty. In November 2021, MRM co-sponsored a virtual meeting of the dialogue between NTI and the Moscow-based Center for Energy and Security Studies on prospective U.S.-Russian cooperation on peaceful nuclear uses. The 2021 dialogue focused on highlighting the unfinished business in the area of nonproliferation and nuclear security as well as a discussion on the prospects and challenges for civilian nuclear cooperation. The NTI-CENESS dialogue serves as a platform for communication between U.S. and Russian nuclear experts at a time when most official channels of communication are frozen on these topics. Throughout 2021, MRM continued to support efforts to make gender equity a working reality through the Gender Champions in Nuclear Policy (GCNP). GCNP is a leadership network of heads of organizations who become Gender Champions by pledging to advance gender equity within their spheres of influence. This network grew to a membership of over 70 organizations by the end of 2021. Members include Los Alamos, Idaho, and Sandia National Laboratories, the Carnegie Corporation of New York, and MacArthur Foundation, as well as dozens of non-governmental organizations and private sector companies. The initiative conducts annual public reporting on its members' progress in implementing commitments to advance gender equity. In 2021 more than 60% of commitments were successful for a second year running. 2510254 715778 0 Global Nuclear Policy Program (GNPP) 1061060 75000 0 International Fuel Cycle Strategies 787030 0 0 Scientific and Technical Affairs (STA) 940770 105000 0 Other program services (Strategic Initiatives, William Perry Book Projects and the Fellows programs) 5299114 895778 0 16922541 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 1 1 1 0 1 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 76 0 1 91 1 0 0 0 0 0 0 0 0 0 0 0 0 X 26 21 1 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 AK AL AR AZ CA CO CT DE FL GA IL KS KY LA MA MD ME MI MN MO MS NC ND NH NJ NM NY OH OK OR PA RI SC TN TX UT VA WA WI WV X Amy Hargrett 2022964810 1776 Eye Street NW 6th Floor Washington DC 20006 Joan Rohlfing President and COO, Board of Directors 45 0 X X 389866 0 75391 Ernest J Moniz Co-Chair, Board of Directors and CEO 25 0 X X 410826 0 45162 Sam Nunn Co-Chair, Board of Directors, Strategic Advisor 10 0 X X 318116 0 31945 Carmen MacDougall Senior Vice President 40 0 X 263137 0 64812 Laura Holgate VP Materials Risk Management 40 0 X 268918 0 44771 Amy Hargrett Chief Financial Officer, Treasurer, and VP 40 0 X 249090 0 59018 Margaret Knudson Chief Development Officer 40 0 X 212295 0 71305 Lynn Rusten VP Global Nuclear Policy Program 40 0 X 250898 0 27346 Corey A Hinderstein VP International Fuel Cycle Strategies 40 0 X 231905 0 45845 Page Stoutland VP Scientific & Technical Affairs 40 0 X 213574 0 48087 Catherine O Gwin Senior Director, Communications 40 0 X 196868 0 56467 Margaret W Hall VP Communications 40 0 X 179080 0 59016 Deborah Rosenblum Executive Vice President 45 0 X 192098 0 36970 Samantha Neakrase Sr Director Materials Risk Management 40 0 X 195216 0 31415 Isabelle Williams Senior Advisor, Global Nuclear Policy Program 40 0 X 171626 0 46728 Jaime Yassif Senior Fellow, Global Biological Policy and Programs 40 0 X 186262 0 29774 Scott Roecker Deputy VP, Nuclear Materials Security 40 0 X 177985 0 36532 Margaret A Hamburg Interim Vice President, Global Biological Policy and Programs 25 0 X X 118767 0 12211 Desmond Browne Vice Chairman, Board of Directors 4 0 X X 50000 0 0 Jill Hruby Member of the Board of Directors 4 0 X 37032 0 0 Elizabeth Cameron VP Global Biological Policy & Programs 40 0 X 30708 0 3252 RE Turner III Co-Chair, Board of Directors 4 0 X X 0 0 0 Alexa Wesner Member of the Board of Directors 4 0 X 0 0 0 Alexey Arbatov Member of the Board of Directors 4 0 X 0 0 0 Brooke D Anderson Member of the Board of Directors 4 0 X 0 0 0 Edmund G Brown Member of the Board of Directors 4 0 X 0 0 0 Jon Huntsman Member of the Board of Directors 4 0 X 0 0 0 Gideon Frank Member of the Board of Directors 4 0 X 0 0 0 Hamad Alkaabi Member of the Board of Directors 4 0 X 0 0 0 Igor S Ivanov Member of the Board of Directors 4 0 X 0 0 0 Jeong H Kim Member of the Board of Directors 4 0 X 0 0 0 Louis Salkind Member of the Board of Directors 4 0 X 0 0 0 Laura Turner Seydel Member of the Board of Directors 4 0 X 0 0 0 Peng Yuan Member of the Board of Directors 4 0 X 0 0 0 Malcolm Rifkind Member of the Board of Directors 4 0 X 0 0 0 Michael A Peterson Member of the Board of Directors 4 0 X 0 0 0 Michael G Mullen Member of the Board of Directors 4 0 X 0 0 0 Nathalie Tocci Member of the Board of Directors 4 0 X 0 0 0 Ray Rothrock Member of the Board of Directors 4 0 X 0 0 0 Riaz Mohammad Khan Member of the Board of Directors 4 0 X 0 0 0 Rolf Ekeus Member of the Board of Directors 4 0 X 0 0 0 Ronald L Olson Member of the Board of Directors 4 0 X 0 0 0 J Rutherford Seydel II Corporate Secretary 4 0 X 0 0 0 4344267 0 826047 33 0 1 0 Economist Impact 750 Third Avenue 5th Flr New York NY 10017 Consulting 2014800 Keno Kozie Associates One North Franklin Street Chicago IL 60606 IT Consultant 277751 Teal Media 306 S Washington Ave Suite 218 Royal Oak MI 48067 Consulting 268500 Steven P Andreasen 721 N 1st Street Apt 704 Minneapolis MN 55401 Consulting 233100 RSG Strategies Inc 7801 Folsom BLVD Ste 202 Sacramento CA 95826 Consulting 204996 13 0 0 0 0 856601 11389230 0 12245831 0 109492 0 0 109492 0 0 0 0 0 0 0 0 0 0 6978748 0 6962600 0 16148 0 16148 0 0 16148 0 Refund from vendors 900099 7884 0 0 7884 0 0 0 0 7884 12379355 0 0 133524 X 847675 847675 0 0 1757130 1757130 0 0 4041442 2204182 994630 842630 0 0 0 0 5153555 4093593 997691 62271 360479 246328 79820 34331 581257 397192 128707 55358 589131 416792 118482 53857 0 0 0 0 75549 3114 72435 0 61881 61881 0 0 0 0 0 81228 81228 22971 0 22971 5068547 4845233 219984 3330 0 0 0 0 121615 36771 70380 14464 632417 482820 109771 39826 0 0 0 0 1410779 968804 309050 132925 53084 31389 13900 7795 0 0 0 0 176274 176274 0 0 0 0 0 0 0 0 0 278170 190083 61594 26493 96917 66227 21460 9230 255636 158934 75534 21168 21665737 16922541 3358290 1384906 2300854 1818617 9169940 12506920 21665863 12349818 24237875 178487 0 0 0 0 0 0 0 0 534351 531514 2342775 1615794 700489 726981 40495939 61836018 0 0 0 0 0 0 0 0 99105311 89948355 343622 662774 48560 53768 607104 711227 0 0 0 0 0 0 0 0 0 0 3490921 3318573 4490207 4746342 X 65190064 64133415 29425040 21068598 94615104 85202013 99105311 89948355 X -9286382 -148179 0 0 0 21470 X 0 1 X 1 0 X 38994489 30164307 40894166 14138748 12245831 136437541 0 0 0 0 38994489 30164307 40894166 14138748 12245831 136437541 98092680 38344861 265982 663357 895194 524228 109492 2458253 0 0 0 0 0 0 3671 2888 0 7884 14443 138910237 0 0.27604 0.29040 X NTI normally receives a substantial part of its support from the general public. NTI also meets the pertinent factors set forth in Regulations Section 1.170A-9(f)(3) as follows: TEN PERCENT SUPPORT LIMITATION: NTI anticipates that its public support will continue to exceed 10% as has historically been the case. ATTRACTION OF PUBLIC SUPPORT: NTI receives support from a number of individual donors, foundations and public charities. NTI intends to continue soliciting support through its website, by distributing information useful to the public, and through various other forms of solicitation. PERCENTAGE OF FINANCIAL SUPPORT: As noted above, NTI expects that its public support will continue to exceed 10%, as has historically been the case. Public support percentages over the last several years were: 21.2% in 2017, 19.92% in 2018, 22.73% in 2019, 29.04% in 2020, and 27.60% in 2021. These amounts exceed the 10% facts-and-circumstances test as prescribed in Regulations Section 170(b)(1)(A)(v1). SOURCES OF SUPPORT: NTI anticipates that it will continue to receive support from individual, but unrelated donors, foundations and public charities. REPRESENTATIVE GOVERNING BODY: NTI has an international governing body that is representative of the broad interests of the public. The governing body includes various public officials, security and policy experts, scientists, and business leaders. AVAILABILITY OF PUBLIC FACILITIES OR SERVICES; PUBLIC PARTICIPATION IN PROGRAMS OR POLICIES. To support the public's access to a range of views and information about global threats, NTI offers a number of websites and materials to support public education. The primary website is www.nti.org. It provides unique resources that are free to the public, including a content-rich research library, profiles of the nuclear, biological, and chemical weapons programs of over 40 countries, and in-depth issue briefs related to a wide range of international security issues. NTI also conducts regular public outreach, sponsors seminars on global security matters, and provides expert research and testimony to the U.S. government when requested. Lastly, NTI-produced documentaries are available online and on DVD, free of charge to interested parties through NTI's website. NTI is not a membership organization. Schedule A, Part II, Line 10 Other income represents refunds and other miscellaneous income RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 898 0 0 898 0 Schedule C, Part II-B, Line 1 During the year, NTI engaged in the following activities: (1) met with the U.S. House Armed Services Committee to discuss legislation related to nuclear modernization and increasing U.S. financial support for nuclear security and nuclear material removal projects abroad; and (2) met with U.S. Congressional staffers to discuss legislation related to biosecurity and funding for global health security. 0 0 0 0 0 0 0 0 838457 597712 240745 0 1504318 1018082 486236 0 0 0 0 726981 0 Deferred Rent 2953392 Retirement Plan Liabilities 365181 3318573 X 12210197 -148179 0 0 21470 -126709 12336906 42449 0 42449 12379355 21623288 0 0 0 0 0 21623288 42449 0 42449 21665737 Schedule D, Part X, Line 2 NTI is a tax-exempt organization under Section 501(c)(3) of the Internal Revenue Code, as amended. Management evaluated NTI's tax positions for open tax years (tax years subsequent to 2017) and concluded that a provision for uncertain tax positions is not required. NTI has taken no uncertain tax positions nor are there any related penalties or interest that require adjustment to the accompanying financial statements. Schedule D, Part XI, Line 2d Other revenue consists of return of unspent grants paid out in 2020 1 Europe (including Iceland and Greenland) 0 0 Grantmaking Grantmaking 347200 Europe (including Iceland and Greenland) 0 1 Program Services Program Services 315110 East Asia and the Pacific 0 0 Grantmaking Grantmaking 250000 Russia and the newly independent States 0 0 Grantmaking Grantmaking 138865 Middle East and North Africa 0 0 Grantmaking Grantmaking 94810 Sub-Saharan Africa 0 0 Grantmaking Grantmaking 16800 Russia and the newly independent States 0 0 Program Services Program Services 12843 Sub-Saharan Africa 0 0 Program Services Program Services 9357 0 1 1184985 Europe (including Iceland and Greenland) Grant to support the general operations of the European Leadership Network 250000 Wire Transfer 0 0 FMV East Asia and the Pacific Grant to support the general operations Asia Pacific Leadership Network 250000 Wire Transfer 0 0 FMV Russia and the newly independent States Grant to support the Center for Energy and Security Studies 75000 Wire Transfer 0 0 FMV Middle East and North Africa Grant to convene the 2021 Annual Nuclear Forum Conference 64810 Wire Transfer 0 0 FMV Europe (including Iceland and Greenland) Grant to support the promotion of a report on the security of advanced nuclear reactors 50000 Wire Transfer 0 0 FMV Russia and the newly independent States Cost extension grant to support the Center for Energy and Security Studies 49690 Wire Transfer 0 0 FMV Europe (including Iceland and Greenland) Grant to support the European Leadership Network for Younger Generation Leaders activities 25000 Wire Transfer 0 0 FMV Europe (including Iceland and Greenland) Grant to support the 2021 Riga Dialogue on nuclear security and nonproliferation 22200 Wire Transfer 0 0 FMV Sub-Saharan Africa Grant to support a SynBio Africa Biosecurity conference in October 2021 16800 Wire Transfer 0 0 FMV Russia and the newly independent States Cost extension grant to support the Center for Energy and Security Studies 14175 Wire Transfer 0 0 FMV Middle East and North Africa Grant to support COVID training in Jordan 10000 Wire Transfer 0 0 FMV Middle East and North Africa Grant to support COVID training in Israel 10000 Wire Transfer 0 0 FMV Middle East and North Africa Grant to support COVID training in the Palestinian Authority 10000 Wire Transfer 0 0 FMV 13 0 0 0 0 0 0 0 Schedule F, Part I, Line 2 The following describes NTI's procedures for monitoring the use of grants outside the U.S. It also describes, more broadly, NTI's procedures for grantmaking. Once a proposal for a grant has been approved, a grant agreement is drawn up between NTI and the grantee. The grant agreement sets forth the terms and conditions of the grant, including the amount and purpose of the grant and reporting requirements. All grant agreements require grantees to maintain accurate and complete books and records and to provide reports to NTI, at least annually, that detail how the funds were used and what the grantee accomplished with the funds. These reports are reviewed by programmatic personnel and discussed with grantees. Additionally, NTI programmatic personnel maintain frequent contact with grantees throughout the grant period and sometimes visit the grantee or participate in their events. Schedule F, Part I, Line 3 NTI uses the accrual method of accounting of expenses and grants Schedule F, Part II, Line 3 NTI uses the accrual method of accounting of expenses and grants X X X X 1 Andrea Eisler 2426 19th Street NW Apt 402 Washington DC 20009 General consulting and research for potential donors 0 0 81153 -81153 0 81153 -81153 AK AL AR AZ CA CO CT DE FL GA IL KS KY LA MA MD ME MI MN MO MS NC ND NH NJ NM NY OH OK OR PA RI SC TN TX UT VA WA WI WV 1 Johns Hopkins University 3910 Keswick Road N 4327B Baltimore MD 21211 520595110 501(c) (3) 613762 0 0 Grant to Johns Hopkins University (JHU) to support the Global Health Security Index 2021. Middlebury Institute of International Studies at Monterey 460 Pierce Street Monterey CA 93940 030179298 501(c) (3) 469992 0 0 Grant to Middlebury Institute of International Studies at Monterey for the maintenance of NTI's website for the period from January 2021 to December 2021. Georgetown University 37th and O St NW Washington DC 20057 530196603 501(c) (3) 237108 0 0 Grant to Georgetown University Center for Global Health Science and Security (GHSS) to support the build out of the COVID-Local.org website, content, data collection, and analysis. Panorama Global 2101 Fourth Avenue Suite 2100 Seattle WA 98121 814204119 501(c) (3) 200000 0 0 Grant to Panorama Global to support the Pandemic Action Network project to secure and sustain increased funding for pandemic preparedness and strengthen the global health security architecture. Georgia Tech Research Corporation 926 Dalney St NW Atlanta GA 30318 580603146 501(c) (3) 105000 0 0 Grant to Georgia Tech Research Corporation (GTRC) to provide financial support for Georgia Tech to conduct a Spring 2021 graduate seminar on re-envisioning nuclear security. Herbert Scoville Jr Peace Fellowship 322 4th Street NE Washington DC 20002 521755133 501(c) (3) 53768 0 0 Grant to Herbert Scoville Jr. Peace Fellowship to support Herbert Scoville Jr. Fellowship general operations 2021-2022. Middlebury Institute of International Studies at Monterey 460 Pierce Street Monterey CA 93940 030179298 501(c) (3) 50000 0 0 Grant to Middlebury Institute of International Studies at Monterey funds to provide scholarships to Russian students for a dual degree program in nonproliferation. Institute of Nuclear Materials Management 1120 Route 73 Suite 200 Mount Laurel NJ 08054 310740753 501(c) (6) 15000 0 0 Grant to Institute of Nuclear Materials Management (INMM) to support diversity engagement and underwriting the ability for black and other people of color to participate in INMM activities. FCNL Education Fund 245 Second Street NE Washington DC 20002 521254489 501(c) (3) 12500 0 0 Grant to FCNL Education Fund to support the Nuclear Calendar in 2021. 8 1 Schedule I, Part I, Line 2 The following describes NTI's procedures for monitoring the use of grants outside the U.S. It also describes, more broadly, NTI's procedures for grantmaking. Once a proposal for a grant has been approved, a grant agreement is drawn up between NTI and the grantee. The grant agreement sets forth the terms and conditions of the grant, including the amount and purpose of the grant and reporting requirements. All grant agreements require grantees to maintain accurate and complete books and records and to provide reports to NTI, at least annually, that detail how the funds were used and what the grantee accomplished with the funds. These reports are reviewed by programmatic personnel and discussed with grantees. Additionally, NTI programmatic personnel maintain frequent contact with grantees throughout the grant period and sometimes visit the grantee or participate in their events. X X X 0 0 0 0 0 0 0 0 0 Joan Rohlfing President and COO, Board of Directors 389866 0 0 0 0 0 37048 0 38343 0 465257 0 0 0 Ernest J Moniz Co-Chairman, Board of Directors and CEO 410826 0 0 0 0 0 37645 0 7518 0 455989 0 0 0 Sam Nunn Co-Chair, Board of Directors, Strategic Advisor 318116 0 0 0 0 0 30691 0 1254 0 350061 0 0 0 Carmen MacDougall Senior Vice President 259387 0 3750 0 0 0 26844 0 37968 0 327949 0 0 0 Laura Holgate VP Material Risk Management 268918 0 0 0 0 0 27053 0 17718 0 313689 0 0 0 Amy Hargrett Chief Financial Officer, Treasurer, and VP 249090 0 0 0 0 0 25630 0 33388 0 308108 0 0 0 Margaret Knudson Chief Development Officer 207295 0 5000 0 0 0 22000 0 49305 0 283600 0 0 0 Lynn Rusten VP Global Nuclear Policy Program 250898 0 0 0 0 0 25132 0 2214 0 278244 0 0 0 Corey A Hinderstein VP International Fuel Cycle Strategies 231905 0 0 0 0 0 23632 0 22214 0 277751 0 0 0 Page Stoutland VP Scientific & Technical Affairs 213574 0 0 0 0 0 21962 0 26124 0 261660 0 0 0 Catherine O Gwin Senior Director, Communications 192868 0 4000 0 0 0 19946 0 36521 0 253335 0 0 0 Margaret W Hall VP Communications 179080 0 0 0 0 0 18590 0 40426 0 238096 0 0 0 Deborah Rosenblum Executive Vice President 192098 0 0 0 0 0 22105 0 14865 0 229068 0 0 0 Samantha Neakrase Sr Director Material Risk Management 191216 0 4000 0 0 0 19634 0 11781 0 226631 0 0 0 Isabelle Williams Senior Advisor, Global Nuclear Policy Program 171626 0 0 0 0 0 16446 0 30282 0 218354 0 0 0 Jaime Yassif Senior Fellow, Global Biological Policy and Programs 184262 0 2000 0 0 0 18410 0 11363 0 216035 0 0 0 Scott Roecker Deputy VP, Nuclear Materials Security 177308 0 677 0 0 0 16667 0 19865 0 214517 0 0 0 Schedule J, Part I, Line 3 NTI's Board of Directors has a compensation committee that annually reviews the compensation of the CEO, President, and other NTI Officers. Recommendations for the top four (4) officers of NTI are presented to the full Board of Directors for approval. The compensation committee is comprised of a minimum of three independent Board members, and per NTI's bylaws, may not include current Board members to whom NTI pays a salary, or Board members to whom NTI formerly paid a salary. NTI annually engages a consultant to perform a compensation study and to benchmark NTI's compensation levels. The results of the compensation study are used to inform compensation decisions. Form 990, Part VI, Section A, Line 2 One of NTI's board members is the daughter of one of the Co-Chairs and NTI's Corporate Secretary is the son-in-law of one of the Co-Chairs. Form 990, Part VI, Section B, Line 11b NTI's Form 990 is prepared by its Finance Department. It is reviewed by NTI's CFO, President, CEO, external auditors, and external legal counsel before being submitted to NTI's Audit Committee. The Audit Committee reviews the form on behalf of the entire Board. The entire Board is briefed on the contents of the form and the date of filing. Form 990, Part VI, Section B, Line 12c NTI's bylaws require that a copy of the organization's Conflict of Interest Policy, as adopted by the Board, be furnished to each Board member, officer, and staff member. NTI prohibits officers and staff from participating or engaging in any activity for which a conflict of interest exists. Officers and staff also give consideration to perceived conflicts of interest. Board members are recused from decisions of the Board in which a conflict of interest exists. Board members also give consideration to perceived conflicts of interest. Board members, officers, and staff are required to disclose to NTI any related party and any reportable affiliates that may apply for, or otherwise be considered by NTI, for a grant or other financial transaction. Form 990, Part VI, Section B, Line 15 NTI's Board of Directors has a compensation committee that annually reviews the compensation of the CEO, President, and other NTI Officers. Recommendations for the top four (4) officers of NTI are presented to the full Board of Directors for approval. The compensation committee is comprised of a minimum of three independent Board members, and per NTI's bylaws, may not include current Board members to whom NTI pays a salary, or Board members to whom NTI formerly paid a salary. NTI annually engages a consultant to perform a compensation study and to benchmark NTI's compensation levels. The results of the compensation study are used to inform compensation decisions. Form 990, Part VI, Section C, Line 19 NTI's website includes links to downloadable copies of its annual reports, which include financial data. Other information is available upon request. Form 990, Part IX, Line 11g Expenses included in this line relate to employment recruiting fees ($13,036), Honoraria ($32,200), Temporary help ($826), Photography ($2151), Employee processing costs for Payroll, 401K, and flexible spending ($54,890)and Professional services other than Legal fees, Accounting fees, and Fundraising fees ($4,965,444). Form 990, Part XI, Line 9 Other revenue consists refunds of unspent grant monies related to grants NTI made in 2020 to the Latvian Institute of International Affairs and the University of Maryland. Extension granted by IRS.