2020-10-20T12:28:59-05:00 2019-12-31 221478099 COHNREZNICK LLP 7501 WISCONSIN AVENUE SUITE 400E BETHESDA MD 20814 990 2019-01-01 521640938 THE HENRY L STIMSON CENTER HENR 2022235956 1211 CONNECTICUT AVE NW 8TH FLOOR WASHINGTON DC 20036 BRIAN FINLAY PRESIDENT & CEO 2022235956 2020-09-18 1 GLENN M SHELTON P00228007 3016529100 2020-09-17 209.59.242.22 2020-09-18 08:02:48 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 6C9B1A35775087DBDB8A6D25ECA509C7F6C27838 2019 2021-01-29 14:40:06Z BRIAN FINLAY 1211 CONNECTICUT AVE NW 8TH FLOOR WASHINGTON DC 20036 7291434 0 X WWW.STIMSON.ORG X 1989 DC SEE SCHEDULE O 24 24 74 49 0 0 10298657 7157097 47262 30039 3272 14800 216061 88962 10565252 7290898 0 0 0 0 4011547 5526694 0 0 220418 3150956 3884344 7162503 9411038 3402749 -2120140 7853418 6044584 1528661 1733313 6324757 4311271 X SEE SCHEDULE O 0 0 3778496 SEE SCHEDULE O 2347369 30039 SEE SCHEDULE O 1407165 SEE SCHEDULE O 543647 PRESERVING THE PLANET - FOCUSED ON PRAGMATIC STEPS TOWARD PRESERVING THE PLANET, THE CENTER PLACES A HIGH PRIORITY ON UNDERSTANDING AND STRENGTHENING THE CAPACITY OF THE INSTITUTIONS AND NETWORKS RESPONSIBLE FOR CARRYING OUT SECURITY POLICIES. THE CURRENT PROGRAMS SEEK THE INTERSECTION BETWEEN SECURITY, HOW HUMANS USE NATURAL RESOURCES, AND THE IMPACT OF THE CLIMATE CRISIS ON INTERNATIONAL SECURITY. 175051 SPECIAL PROJECTS 718698 8251728 1 1 0 0 0 0 0 1 0 0 1 0 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 79 0 1 74 1 0 0 0 0 0 0 0 0 0 0 0 0 X 24 24 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 0 0 0 0 X X OKSANA BELLAS 2024783428 1211 CONNECTICUT AVE NW 8TH FL WASHINGTON DC 20036 KRIS BALDERSON BOARD MEMBER 0.50 X 0 0 0 JOHN BELLINGER BOARD MEMBER 0.50 X 0 0 0 BARRY BLECHMAN BOARD MEMBER 0.50 X 0 0 0 KENNETH BRILL BOARD MEMBER 1.00 X 0 0 0 SUSAN CHODAKEWITZ BOARD MEMBER 0.50 X 0 0 0 LANSING CRANE BOARD MEMBER 0.50 X 0 0 0 BOWMAN CUTTER BOARD MEMBER 0.50 X 0 0 0 LORI FISLER DAMROSCH BOARD MEMBER 0.50 X 0 0 0 CARLOS DEL TORO BOARD MEMBER 0.50 X 0 0 0 BOB GALLUCCI BOARD MEMBER 0.50 X 0 0 0 GARY R GREGG BOARD MEMBER 0.50 X 0 0 0 FRANCIS HOANG BOARD MEMBER 0.50 X 0 0 0 ADMIRAL MICHELLE HOWARD BOARD MEMBER 0.50 X 0 0 0 LESLIE IRELAND BOARD MEMBER 0.50 X 0 0 0 ANDREA KOPPEL BOARD MEMBER 0.50 X 0 0 0 BRETT B LAMBERT BOARD MEMBER 0.50 X 0 0 0 DAVID LANE BOARD CHAIR 1.00 X X 0 0 0 ALICE MARONI BOARD MEMBER 0.50 X 0 0 0 RICHARD MORRISSEY BOARD MEMBER 0.50 X 0 0 0 JOHN PARACHINI BOARD MEMBER 0.50 X 0 0 0 NICOLE PIASECKI BOARD MEMBER 0.50 X 0 0 0 ZACK PORTER BOARD MEMBER 0.50 X 0 0 0 MARY SPIESER BOARD MEMBER 1.00 X 0 0 0 FRED WHITRIDGE BOARD MEMBER 0.50 X 0 0 0 BRIAN FINLAY PRESIDENT & CEO 40.00 X 199582 0 12846 OKSANA BELLAS DIRECTOR OF FINANCE & ADMINISTRATION 40.00 X 97438 0 15937 RACHEL STOHL VICE PRESIDENT & SENIOR FELLOW 40.00 X 118064 0 22629 VICTORIA HOLT VICE PRESIDENT & SENIOR FELLOW 30.00 X 62547 0 3311 JOEL WIT SENIOR FELLOW 40.00 X 133001 0 13443 SALLY YOZELL SENIOR FELLOW 40.00 X 122915 0 8486 SAMEER LALWANI SENIOR FELLOW 40.00 X 116175 0 8266 CINDY VESTERGAARD SENIOR FELLOW 40.00 X 113582 0 12207 RICHARD PONZIO SENIOR FELLOW 40.00 X 111773 0 17938 1075077 0 115063 10 0 1 0 FP 1211 CONNECTICUT AVENUE LLC PO BOX 824338 PHILADELPHIA PA 19182 RENT FOR OFFICE 997737 NTELX 1775 TYSONS BLVD 5TH FLOOR TYSONS VA 22102 TECHNICAL EXPERTISE FOR STEP PROJECT 141012 COMMUNITY IT INNOVATORS INC PO BOX 220278 CHANTILLY VA 20153 NETWORK MANAGEMENT 121926 3 3862536 3294561 7157097 ADMINISTRATIVE SERVICE 531110 30039 30039 30039 15336 15336 81797 0 81797 81797 81797 536 -536 -536 -536 OTHER OPERATING REVENU 900099 7165 7165 7165 7290898 30039 0 103762 X 532354 474362 43391 14601 3866479 3433533 323760 109186 162358 143940 13845 4573 604842 536226 51578 17038 360661 319747 30755 10159 3490 1739 1694 57 10845 10136 709 84677 954 83695 28 988793 978029 10748 16 518819 438496 74017 6306 114592 83947 28058 2587 873306 627333 220050 25923 737986 727453 2628 7905 217449 194319 15243 7887 145976 106755 35926 3295 51710 25199 25714 797 INTERNS/VISITING FELLOW 71092 67072 3270 750 EQUIPMENT/SOFTWARE 61058 36388 15360 9310 MISC. EXPENSES 4551 4551 ALLOCATION OF SHARED PR 0 46100 -46100 9411038 8251728 938892 220418 1187289 1294555 4894673 2582462 211414 579886 143076 157086 1747708 1032425 815535 715283 559904 681894 16894 8785 24633 24633 7853418 6044584 384803 429687 25000 269010 1118858 1034616 1528661 1733313 X -178904 120430 6503661 4190841 6324757 4311271 7853418 6044584 -2120140 106654 0 X 0 1 X 1 0 X 4415261 5802939 5576322 10298657 7157097 33250276 4415261 5802939 5576322 10298657 7157097 33250276 10355283 22894993 171909 248713 231066 193442 97133 942263 22461 10779 21415 35410 7165 97230 34289769 261292 0.66770 0.64580 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER OPERATING REVENUE - 2015 AMOUNT: $ 22,461. 2016 AMOUNT: $ 10,779. 2017 AMOUNT: $ 21,415. 2018 AMOUNT: $ 35,410. 2019 AMOUNT: $ 7,165. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 24633 X 0 1238874 566617 672257 508834 465808 43026 715283 DEPOSITS HELD IN ESCROW 6250 DEFERRED RENT 1028366 1034616 X 7633514 106654 235426 342080 7291434 -536 -536 7290898 9647000 235426 235426 9411574 -536 -536 9411038 PART III, LINE 4: THE CENTER HAS A COLLECTION OF ARTWORK PRINCIPALLY COMPRISED OF PAINTINGS. THE ARTWORK IS UTILIZED BY THE CENTER FOR OFFICE DECORATION, SERVING TO ENHANCE ITS FACILITIES FOR ITS PERSONNEL AND VISITORS. PART X, LINE 2: THE CENTER IS EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND HAS BEEN CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION. HOWEVER, INCOME FROM CERTAIN ACTIVITIES NOT DIRECTLY RELATED TO THE CENTER'S TAX-EXEMPT PURPOSE IS SUBJECT TO TAXATION AS UNRELATED BUSINESS INCOME. THE CENTER HAS A POLICY IN PLACE THAT CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES RECOGNIZED IN AN ENTITY'S FINANCIAL STATEMENTS. THE POLICY PRESCRIBES A RECOGNITION THRESHOLD AND MEASUREMENT PRINCIPLES FOR THE FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT OF TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN ON A TAX RETURN THAT ARE NOT CERTAIN TO BE REALIZED. THE IMPLEMENTATION OF THIS POLICY HAD NO IMPACT ON THE CENTER'S FINANCIAL STATEMENTS. THE CENTER'S TAX RETURNS ARE SUBJECT TO REVIEW AND EXAMINATION BY FEDERAL, STATE AND LOCAL AUTHORITIES. THE TAX RETURNS FOR THE YEARS 2018 - 2016 ARE OPEN TO EXAMINATION BY FEDERAL, LOCAL AND STATE AUTHORITIES. PART XI, LINE 4B - OTHER ADJUSTMENTS: FOREIGN CURRENCY LOSS -536. PART XII, LINE 4B - OTHER ADJUSTMENTS: FOREIGN CURRENCY LOSS -536. EAST ASIA AND PACIFIC PROGRAM SERVICES CONFERENCES/EVENTS 172590 EUROPE PROGRAM SERVICES CONFERENCES/EVENTS 74082 SOUTH ASIA PROGRAM SERVICES CONFERENCES/EVENTS 59915 NORTH AMERICA PROGRAM SERVICES CONFERENCES/EVENTS 14210 SOUTH AMERICA PROGRAM SERVICES CONFERENCES/EVENTS 23004 SUB-SAHARAN AFRICA PROGRAM SERVICES CONFERENCES/EVENTS 13854 0 0 0 0 0 0 357655 0 357655 0 0 0 0 0 0 PART III ACCOUNTING METHOD: X 1 1 X X X 0 0 0 0 0 0 0 1 0 BRIAN FINLAY PRESIDENT & CEO 192982 0 6600 0 0 0 11899 0 947 0 212428 0 0 0 PART I, LINE 1A ALL STAFF ARE ELIGIBLE FOR REIMBURSEMENT OF UP TO 70% OF THE FIRST $80 OF MONTHLY WELLNESS RELATED ACTIVITIES. PART I, LINE 7 BRIAN FINLAY WAS AWARDED A BONUS IN 2019 FOR EXCELLENCE IN HIS ROLE AS PRESIDENT OF THE ORGANIZATION, AND FOR FURTHER EXPANDING THE ORGANIZATION'S PROGRAM ACTIVITIES AND MISSION. THE BONUS WAS CALCULATED TO BE REASONABLE AND COMMENSURATE WITH HIS BASE COMPENSATION. FORM 990, PART I, LINE 1, DESCRIPTION OF ORGANIZATION MISSION: THE STIMSON CENTER PROMOTES INTERNATIONAL SECURITY, SHARED PROSPERITY & JUSTICE THROUGH APPLIED RESEARCH AND INDEPENDENT ANALYSIS, DEEP ENGAGEMENT, AND POLICY INNOVATION. FORM 990, PART III, LINE 1, DESCRIPTION OF ORGANIZATION MISSION: FOR THREE DECADES, STIMSON HAS BEEN A LEADING VOICE ON URGENT GLOBAL ISSUES. FOUNDED IN THE TWILIGHT YEARS OF THE COLD WAR, THE STIMSON CENTER PIONEERED PRACTICAL NEW STEPS TOWARD STABILITY AND SECURITY IN AN UNCERTAIN WORLD. TODAY, AS CHANGES IN POWER AND TECHNOLOGY USHER IN A CHALLENGING NEW ERA, STIMSON IS AT THE FOREFRONT: ENGAGING NEW VOICES, GENERATING INNOVATIVE IDEAS AND ANALYSIS, AND BUILDING SOLUTIONS TO PROMOTE INTERNATIONAL SECURITY, PROSPERITY, AND JUSTICE. CONNECT WITH THE PROBLEM. STIMSON MATCHES ACADEMIC RIGOR WITH PRACTICAL EXPERIENCE, ON-THE-GROUND FIELD RESEARCH, AND ENGAGEMENT WITH NEW PERSPECTIVES AND UNCOMMON CONSTITUENCIES. TECHNOLOGY HAS EMPOWERED COUNTLESS NEW ACTORS WHO ARE ESSENTIAL TO TACKLING TODAY'S TRANSNATIONAL THREATS. FROM MOZAMBIQUE TO MYANMAR, SAIGON TO STOCKHOLM, AND COUNTLESS PLACES IN BETWEEN, STIMSON RESEARCHERS ARE DEEPLY ENGAGED WITH PEOPLE AND PROBLEMS AROUND THE WORLD. GENERATE NEW IDEAS. STIMSON RESEARCH PROGRAMS ARE AT THE FOREFRONT OF POLICY INNOVATION AND ARE STRONGLY COMMITTED TO EXCELLENCE AND INDEPENDENCE. OUR POLICY PROPOSALS AND ANALYSES ARE GROUNDED IN THE REAL WORLD, INFORMED BY EXPERIENCE, USED BY POLICYMAKERS, AND REFLECT OUR VALUES. STIMSON'S GLOBAL REACH AND LOCAL NETWORKS KEEP US IN TOUCH WITH THE RAPIDLY CHANGING INTERNATIONAL ENVIRONMENT. BUILD SOLUTIONS. OFTEN, UNDERSTANDING A PROBLEM AND MAKING RECOMMENDATIONS IS NOT ENOUGH. THAT IS WHY STIMSON TURNS GOOD IDEAS INTO REALITY BY FIELD-TESTING PROPOSALS AND SUPPORTING IMPLEMENTATIONS IN THE REAL WORLD. WE APPLY OUR RESEARCH IN NUMEROUS WAYS, FROM BUILDING TOOLS, PROTOTYPING NEW TECHNOLOGIES, AND CREATING DATASETS, TO WORKING WITH LOCAL LEADERS AND TRAINING GOVERNMENT OFFICIALS. FORM 990, PART III, LINE 4A, PROGRAM SERVICE ACCOMPLISHMENTS: GRAND STRATEGY IN PIVOTAL PLACES - THE CENTER'S GRAND STRATEGY IN PIVOTAL PLACES PROGRAMS FOCUS ON THE SECURITY CHALLENGES CONFRONTING ASIA. COMBINING THE EXPERTISE OF REGIONAL SPECIALISTS AND FUNCTIONAL EXPERTS, THE RESEARCH AGENDA SPANS THE COUNTRIES OF THE INDO-PACIFIC. EXAMINING SECURITY IN ALL ITS DIMENSIONS, FROM STRATEGIC ISSUES TO MANAGING SECURITY AT THE NATIONAL LEVEL, THE PROGRAMS ALSO CONSIDER HUMAN SECURITY ISSUES THAT HAVE IMPORTANT IMPLICATIONS FOR POLITICAL STABILITY. THE CENTER ANALYSIS ALSO EXAMINES U.S. POLICIES IN THE REGION, THE POLICIES OF THE STATES IN THE AREA, AS WELL AS NONGOVERNMENTAL ORGANIZATION ("NGO") PERSPECTIVES AND THE VIEWS OF OTHER OUTSIDE ACTORS. PROJECT ACTIVITIES INCLUDE WORKSHOPS, FIELD RESEARCH, ANALYSIS, CONFERENCES, AND PUBLICATIONS. FORM 990, PART III, LINE 4B, PROGRAM SERVICE ACCOMPLISHMENTS: PROMOTING SECURITY AND PROSPERITY - FROM THE PROLIFERATION OF WEAPONS OF MASS DESTRUCTION AND ILLICIT TRAFFICKING, TO TERRORISM, COUNTERFEIT INTELLECTUAL PROPERTY, AND ENVIRONMENTAL CRIME - PROMOTING SECURITY AND PROSPERITY AIMS TO MITIGATE THE ACTIONS THAT THREATEN GEOSTRATEGIC STABILITY, PEOPLE, AND SOCIO-ECONOMIC DEVELOPMENT WORLDWIDE. THE CENTER DEVELOPS INNOVATIVE GOVERNMENT RESPONSES AT THE NATIONAL, REGIONAL, AND INTERNATIONAL LEVELS, AND ACCELERATES PUBLIC-PRIVATE PARTNERSHIPS TO MITIGATE THESE THREATS. THE CENTER'S WORK IN THIS AREA EXPLORES THE SECURITY, SAFEGUARDS, LAWS, REGULATORY FRAMEWORKS, AND INTERNATIONAL LAWS AND PRACTICES DESIGNED TO REDUCE THE RISK OF WEAPONIZED USE OF CHEMICAL, BIOLOGICAL, RADIOLOGICAL, AND NUCLEAR ("CBRN") MATERIALS; AND THE RULES AND TOOLS THAT REGULATE THE USE, CONTROL, AND TRADE OF TECHNOLOGIES AS WELL AS THE USE OF TECHNOLOGY TO INCREASE SECURITY, PROSPERITY, AND JUSTICE. THROUGH ITS ENGAGEMENT WITH VARIOUS STAKEHOLDERS, THE CENTER WORKS TO IDENTIFY THE ROOTS OF THREATS TO PEACE AND SECURITY AND PUT FORWARD INNOVATIVE AND NETWORKED SOLUTIONS. FORM 990, PART III, LINE 4C, PROGRAM SERVICE ACCOMPLISHMENTS: PROTECTING PEOPLE - FOCUSED ON PRAGMATIC STEPS TOWARD PROTECTING PEOPLE, THE CENTER PLACES A HIGH PRIORITY ON UNDERSTANDING AND STRENGTHENING THE CAPACITY OF THE INSTITUTIONS AND NETWORKS RESPONSIBLE FOR CARRYING OUT SECURITY POLICIES. CURRENT PROGRAMS EVALUATE AND SEEK TO ENHANCE THE NORMS, LAWS, AND INSTITUTIONS THAT SHAPE HOW STATES TREAT EACH OTHER, NON-STATE ACTORS, AND HUMAN BEINGS IN PEACE AND CONFLICT. FORM 990, PART VI, SECTION A, LINE 1 THE EXECUTIVE COMMITTEE OF THE BOARD IS AUTHORIZED TO EXERCISE POWERS OF THE BOARD OF DIRECTORS THAT ARISE BETWEEN REGULARLY SCHEDULED BOARD MEETINGS OR WHEN IT IS NOT PRACTICAL OR FEASIBLE FOR THE BOARD TO MEET. THE EXECUTIVE COMMITTEE PRESENTS ALL OF ITS ACTIVITIES TO THE BOARD OF DIRECTORS FOR RATIFICATION AT THE NEXT MEETING OF THE BOARD. THE EXECUTIVE COMMITTEE CONSISTS ENTIRELY OF VOTING MEMBERS OF THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 11B THE DIRECTOR OF FINANCE & ADMINISTRATION REVIEWS THE 990 IN DETAIL FOR ACCURACY AND COMPLETENESS. THE DRAFT RETURN IS REVIEWED WITH AND APPROVED BY THE FULL BOARD. THE FINAL RETURN IS DISTRIBUTED TO THE FULL BOARD PRIOR TO SUBMISSION TO THE IRS. FORM 990, PART VI, SECTION B, LINE 12C THE ORGANIZATION'S POLICY AND PRACTICES FOR MONITORING PROPOSED AND/OR PERCEIVED CONFLICTS OF INTEREST ARE DETAILED IN THE ORGANIZATION'S CONFLICT OF INTEREST POLICY WHICH IS DISTRIBUTED TO ALL STAFF MEMBERS UPON HIRE AND NEW BOARD MEMBERS UPON APPOINTMENT. ALL STAFF AND THE BOARD ARE COVERED UNDER THIS POLICY AND POTENTIAL CONFLICTS OF INTEREST ARE REVIEWED BY THE CEO, OR, IF IT IS IN RELATION TO THE CEO, REVIEWED BY AN APPROPRIATE MEMBER OF THE BOARD EXECUTIVE COMMITTEE. FORM 990, PART VI, SECTION B, LINE 15 THE PERFORMANCE OF KEY EMPLOYEES IS REVIEWED BY THEIR IMMEDIATE SUPERVISOR. PAY ADJUSTMENTS TYPICALLY INCLUDE A COLA WHICH FOLLOWS THE US GOVERNMENT COLA RATE FOR THE YEAR AND A VARIABLE MERIT AWARD. THE PERCENTAGE INCREASE FOR MERIT AWARD IS DETERMINED BY THE FINANCIAL POSITION OF THE ORGANIZATION AND TRENDS IN THE INDUSTRY. THE DIRECTOR OF FINANCE & ADMINISTRATION MAKES COMPENSATION RATE RECOMMENDATIONS TO THE PRESIDENT & CEO BASED ON THE FACTORS ABOVE, EQUITY AND MARKET COMPETITIVENESS. THE PRESIDENT & CEO APPROVES ALL SALARY ADJUSTMENTS. THE CEO'S COMPENSATION IS SET BY THE BOARD OF DIRECTORS, BASED ON THE FINANCIAL POSITION OF THE ORGANIZATION AND BY COMPARING THE CENTER'S COMPENSATION RATE TO THE COMPETITOR CHIEF EXECUTIVE RATES AS AGGREGATED IN THIRD PARTY SALARY SURVEY STUDIES. FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS AND FINANCIAL STATEMENTS ARE NOT MADE AVAILABLE TO THE PUBLIC. THE CONFLICT OF INTEREST POLICY IS AVAILABLE ON THE ORGANIZATION'S WEBSITE. FORM 990, PART IX, LINE 11G CONSULTING: PROGRAM SERVICE EXPENSES 978,029. MANAGEMENT AND GENERAL EXPENSES 10,748. FUNDRAISING EXPENSES 16. TOTAL EXPENSES 988,793.