2021-11-02T14:06:43-07:00 2020-12-31 990 2020-01-01 522289435 NUCLEAR THREAT INITIATIVE INC NUCL 2022964810 1776 I Street NW Suite 600 Washington DC 20006 Amy Hargrett Chief Financial Officer 2022964810 2021-10-27 1 11 1 AAL2 2020 2022-09-23 18:48:47Z Ernest Moniz 1776 I Street NW 6th Floor Washington DC 20006 31883865 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 87 23 0 0 40894166 14138748 0 0 881245 751166 2888 0 41778299 14889914 2676513 3122109 0 0 10382472 11118785 79960 152961 1759428 11420423 8751768 24559368 23145623 17218931 -8255709 83647094 99105311 4941852 4490207 78705242 94615104 NTI's mission is to transform global security by driving systemic solutions to nuclear and biological threats imperiling humanity. 0 0 5838558 1080952 0 Biological Policy and Programs (BIO). 2020 was another year of major investment by NTI toward enhancing biosecurity and reducing catastrophic biological risks amid an ongoing, global pandemic. To mitigate the imminent threat posed by COVID-19, BIO - in collaboration with the Georgetown University Center for Health Science and Security and the Center for Global Development -- developed a frontline guide for decision-makers to respond to COVID-19 at www.COVID-Local.org, an online tool featuring a self-assessment and checklists of decision points as well as a database of more than 30,000 plans and policies related to COVID-19 response at the local and national level across more than 60 countries. BIO also worked with partners to address acute vulnerabilities in the pandemic supply chain that COVID-19 exposed across the African continent, developing actionable recommendations to improve future preparedness efforts. In 2020, BIO expanded its efforts to reduce the risks posed by potential high-consequence biological events that threaten global economic and political stability. BIO convened experts to prioritize action to counter global catastrophic biological risks (GCBRs) via a tabletop exercise during the 2020 Munich Security Conference which exposed important preparedness gaps and revealed priorities for future international collaboration. NTI | bio hosted virtual GCBR-focused dialogues addressing three topics: the prospect for establishing a new international investigative mechanism for identifying the source of a biological event of unknown origin; opportunities to establish new enhanced transparency measures to reduce the risk of misperceptions about bioscience research and development; and related lessons learned from the international response to COVID-19. The program advanced the work of its Biosecurity Innovation and Risk Reduction Initiative, a multiyear effort that seeks to identify, develop, publicize, and promote actions to reduce global catastrophic biological risks associated with advances in technology. BIO built consensus to launch an international common mechanism for safe and secure DNA synthesis screening, publishing a report in partnership with the World Economic Forum that was featured during the January 2020 Davos meetings. BIO also made significant progress toward the establishment of the first international entity aimed at identifying and reducing biotechnology risks. In 2020, in partnership with the Johns Hopkins Center for Health Security, BIO re-engaged on the research for the second edition of the Global Health Security Index (GHS Index), a comprehensive assessment and benchmarking of health security and related capabilities across 195 countries. Findings and recommendations from the first report-along with a downloadable Excel data model, maps and other visualizations, a score simulator, and much more-are available at www.ghsindex.org. BIO also expanded its Global Biosecurity Dialogue, which brings together senior government officials to identify measurable actions to improve biosecurity and biosafety capacities, as measured by the GHS Index. In 2020 BIO partnered with the Africa Centers for Disease Control and Prevention (Africa CDC) to support their initiative to accelerate collective, centralized action to reduce accidental and deliberate biological risks across the continent. BIO continues to partner with experts from across Latin America, the Caribbean, Southeast Asia, the Middle East, Europe, and Africa to expand regional biosecurity activities and promote systemic biosecurity change in countries across the globe. 3130726 487000 0 Communications and Public Education. In 2019, NTI launched a Safer World campaign to generate visibility for nuclear policy issues during the 2020 U.S. campaign season. In Iowa, New Hampshire, and California, key presidential primary states, NTI held events to encourage voters to demand plans from leaders and candidates on how they would address nuclear threats. Events included meetings with local groups, campaign outreach, and media-all within the rules of NTI's 501(c)3 status. Events in Iowa with senior NTI leaders and a representative of the Bulletin of the Atomic Scientists generated commentary in The Des Moines Register, Bleeding Heartland (dubbed "the essential Iowa political blog") and Starting Line. Local organizations prepared questionnaires for candidates and wrote letters to the editor. NTI's CEO garnered state-wide media in New Hampshire, speaking to students and the state's World Affairs Council. In California, senior NTI leaders participated in a standing-room only event with a former California governor who is an NTI Board member; a survivor of Hiroshima was in the audience and gave moving testimony. Politico's Morning Defense featured NTI-commissioned polling by Hart Research that found that 8 in 10 voters in key states said it is "essential" or "very important" for a presidential candidate to have clear plans to address the threat of nuclear weapons. In the summer, NTI released a new mobile game called "Hair Trigger," a 2021 Webby award honoree. Players take the role of U.S. President who must take nuclear weapons off hair-trigger status, in cooperation with Russia. With real events "ripped from the headlines," the game offers a fun challenge to generate curiosity, conversation, and action. The game was launched at the annual Games for Change Festival to an audience of 1,000. Politico challenged readers to play the game, and it has generated strong social media engagement. As of April 2021: 6,105 game downloads; 9,010- page views by 4,860 visitors to the website. Prominent organizations including Parliamentarians for Nuclear Non-Proliferation and Disarmament and a United Nations civil society group have promoted the game. It is available at www.hairtriggergame.org. NTI marked the 75th anniversary of Hiroshima and Nagasaki by remembering victims and survivors, while highlighting current nuclear dangers: Senior NTI leaders and staff published op-eds for several publications, including NBCNews.com, USAToday.com, and Foreign Affairs. * Senior NTI leaders recorded a video message for the United Religions Initiative conference and participated in an all-day online event featuring Hiroshima survivors and events around the world to an audience of 12,000. COVID-19 response: Communications supported NTI | Bio, particularly on a new website, COVID-Local.org, with resources for local decisionmakers. We focused on 11 target states, engaging hundreds of political and public health leaders. The site was visited more than 72,000 times in its first months. COVID-Local has been featured in major U.S. and international news outlets, including The Guardian, Dateline NBC, NPR, and CNBC. The year also saw a huge demand for NTI | bio experts, with interviews on CNN and MSNBC, appearances on Dateline NBC and CBS Sunday Morning; features on a Politico LIVE event, and opinion pieces in The New York Times, The Hill, The Guardian (UK) and The Daily Beast, among others. 2723689 93225 0 Materials Risk Minimization Program (MRM). In 2020, MRM continued its efforts to strengthen 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 2020, NTI launched the fifth edition of the Nuclear Security Index (NTI Index), a unique assessment of nuclear security around the world, at a virtual event featuring NTI's CEO. 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. For the first time, the 2020 NTI Index was accompanied by a separate 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. NTI has used the 2020 NTI Index and the Radioactive Source Security Assessment to conduct outreach with governments and has been asked to brief the Index at numerous meetings and conferences, including the Global Partnership Nuclear and Radiological Working Group and the U.S. National Nuclear Security Administration Department of Radiological Security Program Review, among others. 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 2020, NTI hosted two meetings of the Global Dialogue on Nuclear Security Priorities in Vienna in February and virtually in November. The Global Dialogue brings together government officials, international organizations, nuclear industry, and the non-government expert community to develop new and creative approaches to nuclear security and encourage action to strengthen the global nuclear security architecture. 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 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 (C/CPPNM), 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 published important analysis and presented at the February 2020 International Atomic Energy Agency (IAEA) International Conference on Nuclear Security, hosted two virtual webinars on the topic in October, and maintained regular contact with key officials involved in the preparations for the review conference. These efforts have helped to influence official deliberations. In October 2020, MRM co-sponsored a virtual meeting of the dialogue between NTI and the Moscow-based Center for Energy and Security Studies on the future of US-Russian cooperation on peaceful nuclear uses. The 2020 dialogue focused on identifying lessons learned from US and Russian experiences with (a) radiation emergency preparedness and response for major public events and (b) nuclear facility decommissioning and legacy site clean-up. The NTI-CENESS dialogue serves as a platform for communication between US and Russian nuclear experts at a time when most official channels of communication are frozen. In 2020, MRM continued to catalyze change and advance gender equity in the nuclear policy community in order to break down gender barriers and make gender equity a working reality through the Gender Champions in Nuclear Policy (GCNP). GCNP's leadership network comprises executives who become Gender Champions by pledging to advance gender equity within their spheres of influence; this network expanded to encompass 64 organizations in 2020. Significant headway was made in engaging with the nuclear energy industry and its workforce, as leaders of the Nuclear Energy Institute, Lightbridge Corporation, University of Michigan's Nuclear Engineering and Radiological Sciences program, and North American Young Generation in Nuclear became Gender Champions. Other key areas of network growth included expansion of membership in the United Kingdom (through new members BASIC and RUSI), inclusion of media outlets for the first time (Bulletin of the Atomic Scientists and Inkstick Media), and addition of a second national laboratory (Idaho National Laboratory). 2687519 750400 0 Global Nuclear Policy Program (GNPP) 1779386 25000 0 International Fuel Cycle Strategies 1749519 685532 0 Scientific and Technical Affairs (STA) 534128 0 0 Strategic Initiatives 152407 0 0 The William J. Perry Project 6902959 1460932 0 18595932 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 1 0 0 0 0 0 0 0 0 1 83 0 1 87 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 DC DE FL GA IL KS KY LA MA MD ME MI MN MO MS NC ND NH 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 390392 0 88384 Ernest J Moniz Co-Chairman, Board of Directors and CEO 25 0 X X 410826 0 55783 Deborah Rosenblum Executive Vice President 45 0 X 317676 0 66218 Sam Nunn Co-Chairman, Board of Directors 10 0 X X 318116 0 38051 Carmen MacDougall VP Communications 40 0 X 244675 0 62893 Page Stoutland VP Scientific & Technical Affairs 40 0 X 249563 0 55069 Laura Holgate VP Materials Risk Management 40 0 X 261675 0 42301 Corey A Hinderstein VP International Fuel Cycle Strategies 40 0 X 244604 0 47534 Amy Hargrett Chief Financial Officer & Treasurer 40 0 X 228807 0 57871 Margaret Knudson Chief Development Officer 40 0 X 197223 0 70652 Lynn Rusten VP Global Nuclear Policy Program 40 0 X 242421 0 24733 Elizabeth Cameron VP Global Biological Policy & Programs 40 0 X 211274 0 34356 Catherine O Gwin Senior Director, Communications 40 0 X 179925 0 56230 Jaime Yassif Senior Fellow, Global Biological Policy and Programs 40 0 X 178804 0 54726 Samantha Neakrase Sr Director Materials Risk Management Program 40 0 X 184997 0 33558 Isabelle Williams Senior Advisor, Global Nuclear Policy Program 40 0 X 175927 0 29034 Jill Hruby Member of the Board of Directors 4 0 X 160867 0 0 Desmond Browne Vice Chairman, Board of Directors 4 0 X X 80039 0 0 RE Turner III Co-Chairman, 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 Charles A Bowsher 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 Elizabeth Sherwood Randall 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 Laura Turner Seydel Member of the Board of Directors 4 0 X 0 0 0 Liru Cui 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 Margaret A Hamburg 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 4277811 0 817393 31 0 1 0 Economist Intelligence Unit N A Inc 750 Third Avenue 5th Flr New York NY 10017 Consulting 1313680 Talus Analytics LLC 1855 57th Ct Sout Unit 200 Boulder CO 80301 Consulting 736665 Keno Kozie Associates One North Franklin Street Chicago IL 60606 IT Consultant 363816 M R Strategic Services Inc 1901 L Street NW Suite 800 Washington DC 20036 Consulting 321805 Forum One Communications Corporation 2200 Mount Vernon Avenue Alexandria VA 22301 Consulting 263854 10 0 0 0 0 985371 13153377 2049163 14138748 0 524227 0 0 524227 0 0 0 0 0 0 0 0 0 0 17220890 0 16993951 0 226939 0 226939 0 0 226939 0 0 0 0 0 0 14889914 0 0 751166 X 2300407 2300407 0 0 821702 821702 5095206 2954104 1144692 996410 0 0 0 0 4413163 3829202 430200 153761 391911 286095 31353 74463 637958 465709 51037 121212 580547 365334 180713 34500 0 0 0 0 80357 5824 74533 0 76582 0 76582 0 0 0 0 0 152961 152961 15449 0 15449 5032134 4818955 211977 1202 0 0 0 0 240188 162966 58598 18624 631745 493864 100285 37596 0 0 0 0 1484060 1084890 279318 119852 275625 257803 7011 10811 0 0 0 0 393327 369913 22253 1161 0 0 0 0 0 0 0 0 235834 171822 44760 19252 104280 75463 20362 8455 182187 131879 41140 9168 23145623 18595932 2790263 1759428 6516840 3378987 3745290 8091807 39759676 21665863 98699 24237875 0 0 0 0 0 0 0 0 484097 534351 2039013 1338524 835527 700489 32206965 40495939 83647094 99105311 756429 343622 397883 48560 556645 607104 0 0 0 0 0 0 0 0 0 0 3230895 3490921 4941852 4490207 X 32176271 65190064 46528971 29425040 78705242 94615104 83647094 99105311 X -8255709 -22076 0 0 0 24187647 X 0 1 X 1 0 X 14651030 38994489 30164307 40894166 14138748 138842740 0 0 0 0 0 0 14651030 38994489 30164307 40894166 14138748 138842740 97791218 41051522 90030 265982 663357 895194 524228 2438791 0 0 0 0 0 0 73983 0 3671 2888 0 80542 141362073 0 0.29040 0.22726 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 percent as has historically been the case. ATTRACTION OF PUBLIC SUPPORT: NTI receives support from a number of individual donors, foundations and public charities. NTI maintains a fundraising database of approximately 100,000 supporters who follow NTI's activities and support NTI financially. NTI intends to continue soliciting support through its website, by distributing information useful to the public, and through various forms of solicitations. PERCENTAGE OF FINANCIAL SUPPORT: As noted above, NTI expects that its public support will continue to exceed ten percent, as has historically been the case. Public support percentages over the last several years were: 29.18% in 2009, 25.42% in 2010, 21.86% in 2011, 19.05% in 2012, 15.45% in 2013, 15.89% in 2014, 20.73% in 2015, 20.3% in 2016, 21.2% in 2017, 19.92% in 2018, 22.73% in 2019, and 24.80% in 2020. These amounts exceed the 10 percent 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 representative of the broad interests of the public, including various public officials, community leaders and security and policy experts (see a listing in Form 990 Part VII). 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 content rich websites and materials to support public education. The primary website is www.nti.org. The website serves as an information clearing house with unique resources available to all visitors, including a research library with the world's most comprehensive, open-source nonproliferation data collections, profiles of the nuclear, biological and chemical weapons programs of over 40 countries, and issue briefs that offer in-depth analysis on a wide range of international security issues. The website is available free of charge to all interested persons. NTI also conducts regular public outreach and education related to global threats, and provides expert testimony to the US and other governments, as 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 1 617 0 0 1 2318 0 0 2935 0 Schedule C, Part II-B, Line 1 During the year, NTI engaged in the following activities: met with members of Congress to discuss about the National Nuclear Security Administration ( NNSA)'s reporting requirement and recommendations. Discussed with U.S. Congressional staff about matters related to nuclear security. In the area of biosecurity, NTI employees corresponded, spoke, or met with U.S. Congressional staff to discuss global health security matters especially the global health preparedness and pandemic response. 0 0 0 0 0 0 0 0 838456 488801 349655 0 1200557 849723 350834 0 0 0 0 700489 0 Deferred Rent 3199487 Retirement plan liabilities 291434 3490921 X 39004309 -22076 0 0 24187647 24165571 14838738 51176 0 51176 14889914 23094447 0 0 0 0 0 23094447 51176 0 51176 23145623 Schedule D, Part X, Line 2 Following is the text of the note to NTI's financial statements regarding NTI's liability for uncertain tax positions under FIN 48: 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 2013) 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 - Other revenue consists primarily of an expected refund of $24,179,072. During 2020, NTI requested the refund, which represents unspent funds related to a $50 million grant initially provided to a third party in 2011. Another refund of $8,600 which represents unspent funds related to a $550,000 grant initially provided to a third party in 2019. The funds were not spent during the grant period. 1 Europe (including Iceland and Greenland) 0 2 Program Services Program Services 622058 Europe (including Iceland and Greenland) 0 0 Grantmaking Grantmaking 366000 East Asia and the Pacific 0 0 Grantmaking Grantmaking 250000 Middle East and North Africa 0 0 Grantmaking Grantmaking 130960 Sub-Saharan Africa 0 0 Program Services Program Services 78775 Russia and the newly independent States 0 0 Grantmaking Grantmaking 74742 Russia and the newly independent States 0 0 Program Services Program Services 17460 East Asia and the Pacific 0 0 Program Services Program Services 700 0 2 1540695 Europe (including Iceland and Greenland) Grant to support the European Leadership Network 250000 Wire Transfer 0 0 FMV East Asia and the Pacific Grant to support the Asia Pacific Leadership Network 250000 Wire Transfer 0 0 FMV Middle East and North Africa Grant to convene the 2020 Annual Nuclear Forum Conference 82400 Wire Transfer 0 0 FMV Europe (including Iceland and Greenland) Grant to support the United Nations In Geneva 50000 Wire Transfer 0 0 FMV Russia and the newly independent States Grant to support the Center for Energy and Security Studies 49742 Wire Transfer 0 0 FMV Europe (including Iceland and Greenland) Grant to support the Younger Generations Leadership Network 35000 Wire Transfer 0 0 FMV Russia and the newly independent States Cost extension to Grant to support the Center for Energy and Security Studies 25000 Wire Transfer 0 0 FMV Europe (including Iceland and Greenland) Grant to support the Riga Dialogue on nuclear security and nonproliferation 23000 Wire Transfer 0 0 FMV Middle East and North Africa Grant to support COVID training in Jordan 19560 Wire Transfer 0 0 FMV Middle East and North Africa Grant to support COVID training in Israel 14500 Wire Transfer 0 0 FMV Middle East and North Africa Grant to support COVID training in the Palestinian Authority 14500 Wire Transfer 0 0 FMV Europe (including Iceland and Greenland) Grant to the World Institute of Nuclear Security to support the promotion of a report on the security of advanced nuclear reactors 8000 Wire Transfer 0 0 FMV 10 0 0 0 0 0 0 0 Schedule F, Part I, Line 2 Once a grant proposal is approved, a grant agreement is drawn up between NTI and the grantee. This sets out the purpose of the grant, the budget and details the legal commitments, including compliance with US export control laws and regulations, and limitations on use of funds. All grant agreements are given a number for tracking purposes and are signed by both parties. All grant agreements require that grantees keep accurate and complete books and records of receipts and expenditures made in connection with the grant, maintaining such books and records in a manner that the receipts and expenditures of grant funds are shown separately. The grant agreements require that periodic, at least annual, narrative and financial reports are submitted to NTI detailing work accomplished and expenditure of grant funds against budget. Reports are reviewed by both NTI's program and financial personnel. NTI program personnel are in regular contact with grantee personnel and visit certain key projects to assess progress against grant goals. No grant funds are disbursed until a signed grant agreement has been received, export control checks have been reviewed and approved, and any other appropriate documentation received. For grants that are managed in tranches, or through invoicing, it is generally necessary that all reporting is up to date, and the appropriate stage of the grant project completed prior to subsequent funds being disbursed. 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 83961 -83961 0 83961 -83961 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 Center for Advanced Defense Studies 1201 Eye St NW Suite 200 Washington DC 20005 731681366 501(c)3 685532 0 0 Grant to C4ADS to support an initiative on Machine Learning for Detection of Illicit Nuclear Trade. Middlebury Institute of International Studies at Monterey 460 Pierce Street Monterey CA 93940 030179298 501(c)3 450000 0 0 Grant to continue NTI's partnership with the James Martin Center for Nonproliferation Studies at the Middlebury Institute of International Studies, to continue developing online and digital resources for the NTI website and associated social media channels in 2020. Stanford University 691 Pampas Lane Standford CA 94305 941156365 501(c)3 300000 0 0 Grant to The Board of Trustees of the Leland Stanford Junior University to develop a unified process among life science publishers, funders, and institutions for reducing biological risks. Georgetown University 37th and O St NW Washington DC 20057 530196603 501(c)3 217254 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 200138 0 0 Grant to Panorama Global for Covid-19 global strategy efforts of the Pandemic Action Network to advocate for and develop strategies and solutions to address future pandemic responses. Center for US Global Leadership 1129 20th St NW Suite 600 Washington DC 20036 743093659 501 (c )4 200000 0 0 To support the U.S. Global Leadership Coalition to build bipartisan support for American global leadership in pandemic preparedness, global health, and countering global catastrophic biological risks . Center for Global Development 2055 L Street NW 5th Floor Washington DC 20036 522351337 509 (a)(1) 65000 0 0 Grant to the Center for Global Development (CGD) to expand ongoing work on Operational Response Preparedness for High-Consequence Biological Events. Middlebury Institute of International Studies at Monterey 460 Pierce Street Monterey CA 93940 030179298 501(c)3 50000 0 0 Grant to provide scholarships to Russian students for a dual degree program in nonproliferation in partnership with the Moscow State Institute of International Relations (MGIMO) and the PIR Center in Moscow. Middlebury Institute of International Studies at Monterey 460 Pierce Street Monterey CA 93940 030179298 501(c)3 27171 0 0 Grant to conduct a research effort to remove radiological sources from Transnistria, as a case study for future activities to remove radiological sources from dangerous or contested areas of the world. FCNL Education Fund 245 Second Street NE Washington DC 20002 530178883 501(c)3 25000 0 0 Grant to the Friends Committee of National Legislation (FCNL) Education Fund for the 2021 Nuclear Calendar. Games for Change Inc 16 East 34th St 18th Floor New York NY 10016 262623362 501(c)3 12000 0 0 Respresentational Expenditure to sponsor the 2020 Games for Change Festival. Institute of Nuclear Materials Management 1120 Route 73 Suite 200 Mount Laurel NJ 08054 310740753 501 (c)6) 10000 0 0 Grant to the Institute of Nuclear Materials Management (INMM) to support participation costs of diverse candidates in INMM activities over the next year. Middlebury Institute of International Studies at Monterey 460 Pierce Street Monterey CA 93940 030179298 501(c)3 8312 0 0 Grant to the Middlebury Institute of International Studies at Monterey, James Martin Center for Nonproliferation Studies (CNS) to conduct an open-source study of the regulatory environment in the non-government-controlled areas of eastern Ukraine. 10 3 Schedule I, Part I, Line 2 Once a grant proposal is approved, a grant agreement is drawn up between NTI and the grantee. This sets out the purpose of the grant, the budget and details the legal commitments, including compliance with US export control laws and regulations, and limitations on use of funds. All grant agreements are given a number for tracking purposes and are signed by both parties. All grant agreements require that grantees keep accurate and complete books and records of receipts and expenditures made in connection with the grant, maintaining such books and records in a manner that the receipts and expenditures of grant funds are shown separately. The grant agreements require that periodic, at least annual, narrative and financial reports are submitted to NTI detailing work accomplished and expenditure of grant funds against budget. Reports are reviewed by both NTI's program and financial personnel. NTI program personnel are in regular contact with grantee personnel and visit certain key projects to assess progress against grant goals. No grant funds are disbursed until a signed grant agreement has been received, export control checks have been reviewed and approved, and any other appropriate documentation received. For grants that are managed in tranches, or through invoicing, it is generally necessary that all reporting is up to date, and the appropriate stage of the grant project completed prior to subsequent funds being disbursed. X X X 0 0 0 0 0 0 0 0 0 Joan Rohlfing President and COO, Board of Directors 390392 0 0 0 0 0 49193 0 39192 0 478777 0 0 0 Ernest J Moniz Co-Chairman, Board of Directors and CEO 410826 0 0 0 0 0 49519 0 6264 0 466609 0 0 0 Deborah Rosenblum Executive Vice President 312747 0 4929 0 0 0 40736 0 25483 0 383895 0 0 0 Sam Nunn Co-Chairman, Board of Directors 318116 0 0 0 0 0 38051 0 0 0 356167 0 0 0 Carmen MacDougall VP Communications 240248 0 4427 0 0 0 23568 0 39325 0 307568 0 0 0 Page Stoutland VP Scientific & Technical Affairs 248886 0 677 0 0 0 23736 0 31334 0 304633 0 0 0 Laura Holgate VP Materials Risk Management 260998 0 677 0 0 0 24363 0 17938 0 303976 0 0 0 Corey A Hinderstein VP International Fuel Cycle Strategies 243927 0 677 0 0 0 24994 0 22541 0 292139 0 0 0 Amy Hargrett Chief Financial Officer & Treasurer 228130 0 677 0 0 0 23655 0 34217 0 286679 0 0 0 Elizabeth Cameron VP Global Biological Policy & Programs 196546 0 677 0 0 0 19302 0 51351 0 267876 0 0 0 Lynn Rusten VP Global Nuclear Policy Program 241744 0 677 0 0 0 22638 0 2095 0 267154 0 0 0 Margaret Knudson Chief Development Officer 210597 0 677 0 0 0 20164 0 14192 0 245630 0 0 0 Catherine O Gwin Senior Director, Communications 176674 0 3251 0 0 0 18703 0 37527 0 236155 0 0 0 Isabelle Williams Senior Advisor, Global Nuclear Policy Program 178127 0 677 0 0 0 23611 0 31115 0 233530 0 0 0 Samantha Neakrase Sr Director Materials Risk Management Program 184320 0 677 0 0 0 21661 0 11897 0 218555 0 0 0 Jaime Yassif Senior Fellow, Global Biological Policy and Programs 175250 0 677 0 0 0 17578 0 11456 0 204961 0 0 0 Jill Hruby Member of the Board of Directors 160867 0 0 0 0 0 0 0 0 0 160867 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. X 1 2049163 FMV X Coca Cola donated Items 3 1546 FMV X The Democracy Fund-Translation Services Covid Local 1 40000 FMV 0 0 0 0 Schedule M, Part I, Line 9 Column b represents the number of contributions. 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 Chief Financial Officer, President, NTI's external auditors, BDO, and by NTI's external legal counsel, Davis Pickren Seydel and Sneed. The Form 990 is submitted to NTI's Audit Committee, which reviews the form on behalf of the entire Board. The entire Board is briefed on the contents of the form and the date of the 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 ($11,098), Honoraria ($34,000), Temporary help ($10,557, Photography ($113,192), Employee processing costs for Payroll, 401K, and flexible spending ($39,595)and Professional services other than Legal fees, Accounting fees, and Fundraising fees ($4,823,692). Form 990, Part XI, Line 9 Other revenue consists primarily of an expected refund of $24,179,072. During 2020, NTI requested the refund, which represents unspent funds related to a $50 million grant initially provided to a third party in 2011. The funds were not spent during the grant period