2017-11-13T20:37:35-07:00 2016-12-31 990 2016-01-01 522289435 Nuclear Threat Initiative Inc NUCL 2022964810 1747 Pennsylvania Avenue NW Ste 700 Washington DC 20006 Amy Hargrett Chief Financial Officer 2022964810 2017-11-01 38.104.30.66 2016 2018-03-14 21:41:22Z Nuclear Threat Initiative Sam Nunn 1747 Pennsylvania Avenue NW Suite 700 Washington DC 20006 24910863 0 X www.nti.org X 2001 GA Assist and support activities which strengthen global security by reducing the risk of use, and preventing the spread of, nuclear and other weapons of mass destruction. Assist and support activities which build the trust, transparency and security which are preconditions to the ultimate fulfillment of the Treaty on the Non-Proliferation of Nuclear Weapon's goals and ambitions; and engage in operations and activities and make grants and distributions in support of activities which have educational, scientific, literary or otherwise exclusively charitable purposes to organizations that quality as (or, if not organized in the United States, would qualify as) exempt organizations under Section 501(c)(3) of the Internal Revenue Code or, if organized outside of the United States, qualify as exempt charitable organizations under the laws of their domicile. 24 21 46 21 6163 0 14256231 14651030 0 0 21667 43694 650 73983 14278548 14768707 829188 1893941 0 0 5949402 6371172 42178 39313 1508545 5393827 4853290 12214595 13157716 2063953 1610991 24576960 26049009 781386 634717 23795574 25414292 X Nuclear Threat Initiative is a nonpartisan, nonprofit organization working to protect our lives and livelihoods, our environment and quality of life for this and future generations from the growing risk of catastrophic attacks with nuclear, biological, radiological or chemical weapons-what we call weapons of mass destruction and disruption (WMDD)-as well as devastating cyberattacks. We design and implement innovative projects with partners around the world to directly reduce threats, to show governments the way on threat reduction, and to build momentum and support for action on a larger scale. 0 0 2656451 868521 0 See Statement 2 for accomplishments of the Global Nuclear Policy Program. 3217171 720000 0 See Statement 2 for accomplishments of the Communications and Public Education program. 4114239 252500 0 See Statement 2 for accomplishments of the Nuclear Security and Minimization Program. 85855 52920 0 NTI aims to create projects that catalyze further governmental and international action on nuclear, biological and chemical threats, through multi-year projects, all of which were active in this tax year. NTI's biological security program works around the world to prevent, detect and respond to biological threats. The threats arising from natural or deliberately induced disease outbreaks are both a health and a security issue. To find solutions to the extraordinarily complex biological threat, NTI is pioneering new approaches toward health and security. 85855 52920 0 10073716 1 1 0 0 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 1 1 1 0 0 0 0 0 0 0 0 1 63 0 1 46 1 0 0 0 0 0 0 0 0 0 0 X 24 21 1 0 1 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 HI IL KS KY LA MA MD ME MI MO MS NC ND NH NJ NM NY OH OK OR PA RI SC TN UT VA WA WI WV X Deborah Rosenblum 2022964810 1747 Pennsylvania Avenue NW Ste 700 Washington DC 20006 RE Turner III Co-Chairman 4 0 X X 0 0 0 Sam Nunn Co-Chairman and CEO 35 0 X X 367710 0 25396 Desmond Browne Vice Chair 40 0 X X 372245 0 55905 Hamad Alkaabi 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 Liru Cui 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 Rolf Ekeus 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 Eugene E Habiger 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 Riaz Mohammad Khan Member of the Board of Directors 4 0 X 0 0 0 Jeong Kim Member of the Board of Directors 4 0 X 0 0 0 Pierre Lellouche Member of the Board of Directors 4 0 X 0 0 0 Richard G Lugar 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 Paul Ottelini Member of the Board of Directors 4 0 X 0 0 0 Hisashi Owada 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 Ellen O Tauscher Member of the Board of Directors 4 0 X 0 0 0 Fujia Yang 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 Joan Rohlfing President and COO 45 0 X X 350063 0 64542 J Rutherford Seydel II Corporate Secretary 4 0 X 0 0 0 Carmen MacDougall Vice President 40 0 X 239615 0 54121 Page Stoutland Vice President 40 0 X 237902 0 62389 Andrew Bieniawski Vice President 40 0 X 241852 0 25640 Christopher Carr CFO and Treasurer 40 0 X 158164 0 35518 Deborah Rosenblum Vice President 40 0 X 298508 0 52253 Valeria MacPhail Director, Office of the Hon Sam Nunn 40 0 X 149032 0 47807 Robert F Berls Senior Advisor on Russia and Eurasia 40 0 X 204373 0 50098 Diane Hauslein Director of Administration 40 0 X 175583 0 46732 Catherine Gwin Senior Director of Communications 40 0 X 166659 0 43997 Corey A Hinderstein Vice President 40 0 X 200906 0 35463 3162612 0 599861 19 0 1 0 Steven Andreasen 535 19th Street Apt 34 Rochester MN 55901 National security consultant to the Nuclear Threat Initiative and the Nuclear Security Project. 230421 Keno Kozie Associates Keno Kozie Associates One North Franklin Street Chicago IL 60606 IT Consultant 265768 Robin Lee Perry 738 Grand View Avenue San Francisco CA 94114 Consulting 193733 Icon Management Strategic Solutions LLC 1109 Washington Street Cape May NJ 08204 Consulting 169372 The Hyalite Group The Hyalite Group 128 Hitching Post Road Bozeman MT 59715 Consultant 140451 6 0 0 0 0 89496 14561534 10132045 14651030 0 0 0 0 0 90030 0 0 90030 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 10095820 0 10142156 0 -46336 0 -46336 0 0 -46336 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Refund of grant recorded in prior years 813410 67820 0 0 67820 Royalty payment Perry Books 813410 6158 0 6158 0 5 0 5 0 73983 14768707 0 6163 111514 X 868521 868521 0 0 1025420 1025420 0 0 3762473 2179743 825704 757026 0 0 0 0 1913116 1389136 220946 303034 192380 147223 22050 23107 199689 152816 22888 23985 303514 201082 54337 48095 0 0 0 0 66169 0 66169 0 85797 0 85797 0 0 0 0 0 39313 39313 0 0 0 0 1728995 1641694 71394 15907 18435 18373 0 62 336624 250612 20943 65069 297611 214978 54539 28094 0 0 0 0 670960 513467 80590 76903 614625 516717 19926 77982 0 0 0 0 887343 845642 10346 31355 0 0 0 0 0 0 0 0 42464 32497 5100 4867 64270 50290 7154 6826 39997 25505 7572 6920 13157716 10073716 1575455 1508545 1811627 16726637 15897668 4628154 4951238 34905 73636 0 0 0 0 0 0 89869 122480 1168232 1048106 46268 120126 3051127 3072234 24576960 26049009 603291 368544 129539 174564 48556 91609 781386 634717 X 19285657 22004103 4509917 3410189 0 0 23795574 25414292 24576960 26049009 1610991 7728 0 0 -1 0 X 0 1 X 1 0 X 3970774 17387801 15968460 14256231 14651030 66234296 0 0 0 0 0 0 0 0 0 0 0 0 3970774 17387801 15968460 14256231 14651030 66234296 52740843 13493453 30869 17041 13970 28942 90030 180852 0 0 0 0 0 3810 0 66320 650 73983 144763 66559911 0 0.20273 0.2073 X Public Charity "Facts and Circumstances" NTI normally receives a substantial part of its support from direct or indirect contributions from the general public. NTI also meets certain other requirements; the pertinent factors set forth in the Regulations Section 1.170A-9(f)(3) are discussed below: Ten percent support limitation: Based on support over previous years, NTI anticipates that its public support will continue to exceed 10 percent. 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 (through the NTI website, in response to email and direct mail distributions including year-end solicitations, and upon receipt of NTI's annual report, as well as at other times). NTI intends to continue soliciting support and to further build support from the general public through its donor database, and other means. 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, and 20.3% in 2016. The ranges are comfortably within the 10 percent facts-and-circumstances test as prescribed in section 170(b)(1)(A)(v1) and should therefore be favorably regarded. 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 a governing body representative of the broad interests of the public, including various public officials, community leaders and security and policy experts. The board includes: R.E Turner, Chairman of Turner Enterprises, Founder of CNN * Sam Nunn, Former U.S Senator * Ambassador Hamad Alkaabi, Permanent Representative, UAE to the IAEA and UAE Special Representative for International Nuclear Cooperation * Dr. Alexei Arbatov, Russian Institute of World Economy and International Relations * Desmond Browne, Member, House of Lords, United Kingdom * Liru Cui, Senior Advisor of China Institutes of Contemporary International Relations * Ambassador Rolf Ekeus, Stockholm International Peace Research Institute * Gideon Frank, Former Director General, Israel Atomic Energy Commission * General Eugene E. Habiger, USAF (Ret.) Former Commander in Chief of the US Strategic Command * Igor S. Ivanov, Former Minister of Foreign Affairs of Russia * Jeong H. Kim, Former President, Bell Labs * Riaz Mohammad Khan, Former Foreign Secretary of Pakistan and former Ambassador to China, the European Union, Belgium and Luxembourg and to Kazakhstan and Kyrgyzstan * Pierre Lellouche, Deputy of Paris, Former Minister of State for Foreign Trade, France * Former U.S. Senator Richard G. Lugar (R- lndiana) * Ronald L. Olson, Partner, Munger, Tolles & Olson, LLP * Paul S. Otellini, Former President & CEO, Intel Corporation * Ambassador Hisahsi Owada, Former Vice Minister for Foreign Affairs, Japan and Judge with the International Court of Justice * Malcolm Rifkind, Member of Parliament for Kensington in the United Kingdom * Ellen 0. Tauscher, Former Under Secretary of State for Arms Control and International Security and former seven term Member of Congress * Professor Fujla Yang, Academician, Chinese Academy of Sciences. 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 the threats from weapons of mass destruction, 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 any visitor, which include: A research library with the world's most comprehensive, open-source nonproliferation data collections, as well as profiles of the nuclear, biological and chemical weapons programs of over 40 countries, and issue briefs that offer short introduction and in-depth analysis on a wide range of international security issues. * Publications and source documents published by U.S. and foreign governments, * Reports, articles and analysis on nuclear, biological and chemical weapons policy for audiences ranging from high school students to experts, * Films that address the nuclear threat, available on the web or by mail-order. The website is available free of charge to all interested persons. NTI also conducts regular public outreach and education related to nuclear issues, and provides expert testimony to the US and other governments, as requested. NTI continues its public outreach program in support of the Nuclear Security Project, a project aimed at reducing reliance on nuclear weapons, preventing their proliferation and ultimately ending them as a threat to the world. NTI produced a documentary film, Nuclear Tipping Point featuring the four project principals, Henry Kissinger, Sam Nunn, William Perry, and George Shultz and screened the film to groups all over the United States and around the world. The film is available online and on DVD, free of charge to interested parties through NTI's website. The film also has a teacher's guide that provides lesson plans and exercises aligned with U.S. public school national standards. This is the second such project that NTI has undertaken. NTI is not a membership organization. Schedule A, Part II, Line 10 Other income is due to returns of unspent grant monies for grants made in prior years. and also $6,158.14 from Royalties received from the Perry book Project. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 294752 291393 3359 0 873480 756713 116767 0 0 0 0 120126 0 Pension Liabilities 68261 Deferred Rent 23348 91609 X 14782082 7728 5648 0 -1 13375 14768707 0 0 0 14768707 13163364 5648 0 0 0 5648 13157716 0 0 0 13157716 Schedule D, Part X, Line 2 Schedule D, Part X, Line 2 - Schedule D,Part X, Line 1- FIN 48 footnote: NTI follows the provisions of ASC Topic 740-10, Income Taxes, which addresses the determination of whether tax benefits claimed or expected to be claimed on a tax return should be recorded in the financial statements. Under this guidance, NTI may recognize the tax benefit from an uncertain tax position only if it is more likely than not that the tax position will be sustained on examination by taxing authorities, based on the technical merits of the position. The tax benefits recognized in the financial statements from such a position are measured based on the largest benefit that has a greater than 50% likelihood of being realized upon ultimate settlement. The guidance on accounting for uncertainty in income taxes also addresses de-recognition, classification, interest and penalties on income taxes, and accounting in interim periods. Management evaluated NTI's tax positions and concluded that NTI has taken no uncertain tax positions nor are there any related penalties and interest that require adjustment to the accompanying financial statements to comply with the provisions of this guidance. Generally, NTI is no longer subject to income tax examinations by U.S. federal, state, or local tax authorities for years before 2013. Schedule D, Part XI, Line 2d Rounding 1 East Asia and the Pacific 0 0 Grantmaking Grant making for NTI Nuclear Index release and outreach 2500 East Asia and the Pacific 0 0 Grantmaking Grant to support the Asia Pacific Leadership Network growth and activities 250000 East Asia and the Pacific 0 0 Grantmaking Grant to the host and implement 15th International Security Seminar (PIIC) 200000 Europe (including Iceland and Greenland) 0 0 Grantmaking Grant to support the European Leadership Network capacity building activities 250000 Europe (including Iceland and Greenland) 0 0 Grantmaking Grant to support the 2016 Seminar in Riga, Latvia to engage the Euro Atlantic region on the role of nuclear deterrence in Europe and minimizing risks of regional conflict. 20000 Europe (including Iceland and Greenland) 0 0 Grantmaking Grant to support the launch the Initiatives pour le Désarmement Nucléaire (IDN), to establish and maintain a communications website, to support office and personnel costs, and to organize an international conference. 100000 Europe (including Iceland and Greenland) 0 0 Grantmaking Grant to facilitate a pilot project to encourage the use of the Consolidated National Nuclear Security Report (Consolidated Report) 50000 Middle East and North Africa 0 0 Grantmaking Grant to support additional training activities 52920 Middle East and North Africa 0 0 Grantmaking Grant to develop the "Nuclear Forum". 100000 0 0 1025420 East Asia and the Pacific Support to IAPCM for 15th International security seminar (PIIC) October 2016 in Suzhou, China. Costs cover venue and speakers. 200000 Wire Transfer 0 0 East Asia and the Pacific one year of capacity building activities 250000 Wire Transfer 0 0 Europe (including Iceland and Greenland) Support to strengthen the reach and political influence of the ELN in its mission to reduce threats in Europe. 250000 Wire Transfer 0 0 Europe (including Iceland and Greenland) support to maintain a new website, produce and disseminate policy papers on issues of relevance to the region and publish statements on issues of importance as they arise or in response to events. 20000 Wire Transfer 0 0 Europe (including Iceland and Greenland) The award covers the launch the Initiatives pour le Désarmement Nucléaire (IDN), to establish and maintain a communications website, to support office and personnel costs, and to organize an international conference. 100000 Wire Transfer 0 0 Europe (including Iceland and Greenland) NTI approved a small grant to the Verification Research, Training and Information Centre (VERTIC) to facilitate a pilot project to encourage the use of the Consolidated National Nuclear Security Report (Consolidated Report) 50000 Wire Transfer 0 0 Middle East and North Africa To support the Middle East Epidemiology training (MEPIET) training hosted by the Israeli CDC and will train health professionals. 52920 Wire Transfer 0 0 Middle East and North Africa Support to develop the "Nuclear Forum". With this award, NTI would be able to continue to help build the capacity of ACSIS - and other scholars in the Arab-speaking region - to work and focus on a range of nuclear issues and position itself as a lead platform in the region on nuclear policy. The nuclear forum has proved to be a valuable tool for the region and has a potential for further growth. 100000 Wire Transfer 0 0 8 0 0 0 0 0 0 0 Schedule F, Part I, Line 2 Schedule F, Part I, Line 2 - Schedule F, Part I, Line 2- Grants are recorded on the accrual basis of accounting and monitored through the following activities. 1. Pre-grant Inquiry: NTI program personnel confirm the suitability of the grantee by reviewing prior history and experience, considering references and complying with export control regulations. Results are documented in a decision memo which is presented to either the Board of Directors or the President for approval, depending on the size of the grant. 2. Written Grant Agreement: 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. 3. Accounting for Grant Funds: The grant agreement specifies 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. 4. Regular Reporting: The grant agreement requires 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. 5. Project Oversight: NTI program personnel are in regular contact with grantee personnel and visit certain key projects to assess progress against grant goals. 6. Disbursement of Funds: NTI's grants are disbursed either up front, in tranches, or on an invoicing basis, dependent on the grant agreement. No 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. All accounting records are maintained on accrual basis and in accordance with generally accepted accounting principles. All unconditional grants are booked in full to the income statement at the point the grant agreement has been signed by both parties. In the year ended December 31, 2016, NTI did not make any conditional grants. X X X X X 1 Fresh Address Inc 36 Crafts Street Newton MA 02458 Consult on Direct Mail Program 0 0 6744 -6744 Impact Communications 906 Pennsylvania ave SE Washington DC 20003 Feasibility study and Case Statement 0 0 9500 -9500 Leapfrog Group 5302 41st NW Washington DC 20015 Fundraising Strategy 0 0 6667 -6667 Laurie Rosenthal seiler 2503 Campbell Place Kensington MD 20895 Feasibility study and Case Statement 0 0 6850 -6850 0 29761 -29761 All States 1 Middlebury Institute of the Intl Studies at Monterey Middlebury Institute of the Intl Studies at Monterey 460 Pierce Street Monterey CA 93940 030179298 501(c)3 499996 0 0 Support NTI website University of Maryland University of Maryland office of Sponsored Programs 4101 Chesapeake Bldg College Park MD 207423141 526002033 501(c)3 48817 0 0 To support research on the following topics: 1/ The current nuclear governance system. 2/ Other governance systems and features that could be helpful for the nuclear system. This work will review alternative approaches to multi-stakeholder governance of security challenges, such as global climate change and protecting information technologies from misuse. Kroc Institute of Notre Dame Catholic Engagement Kroc Institute of Notre Dame Catholic Engagement University of Notre Dame Notre Dame IN 46556 351546655 501(c)3 6000 0 0 To support project goals to revitalize and strengthen the voice of the U.S. Catholic community in the debate on nuclear nonproliferation and disarmament. Pulitzer Center on Crisis Reporitng Pulitzer Center on Crisis Reporitng 1779 Massachusetts Ave NW Suite 615 Washington DC 20036 270458242 501(c)3 150000 0 0 To support reporting on nuclear issues. 18 month grant beginning 6/1/16 Middlebury Institute of the Intl Studies at Monterey Middlebury Institute of the Intl Studies at Monterey 460 Pierce Street Monterey CA 93940 030179298 501(c)3 50000 0 0 To support scholarship awards to students accepted into the nonproliferation dual degree program. CRDF Fellowship Grant CRDF Fellowship Grant 1776 Wilson Boulevard 3rd Floor Arlington VA 22209 541773406 501(c)3 50000 0 0 To support for the 2017 Robin Copeland memorial fellowship fund. Middlebury Institute of the Intl Studies at Monterey Middlebury Institute of the Intl Studies at Monterey 460 Pierce Street Monterey CA 93940 030179298 501(c)3 45000 0 0 To support research services FCNL Education Fund Nuclear Calendar FCNL Education Fund Nuclear Calendar 245 Second Street NE Washington DC 20002 521254489 501(c)3 20000 0 0 General support grant to the Friends Comittee on National Legislation (FCNL) Education Fund and the 2017 Nuclear Calendar. 8 0 Schedule I, Part I, Line 2 Schedule I, Part I, Line 2 - Schedule 1, Part I, Line 2- Grants are monitored through the following activities. 1. Pre grant Inquiry: NTI program personnel confirm the suitability of the grantee by reviewing prior history and experience, considering references and complying with export control regulations. Results are documented in a decision memo which is presented to either the Board of Directors or the President for approval, depending on the size of the grant. 2. Written Grant Agreement: 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 being entered Into by NTI and the grantee all grant agreements are given a number for tracking purposes, and are signed by both parties. 3. Accounting for Grant Funds: The grant agreement specifies 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. 4. Regular Reporting: The grant agreement requires 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. 5. Project Oversight: NTI program personnel are in regular contact with grantee personnel and visit certain key projects to assess progress against grant goals. 6. Disbursement of Funds: NTI's grants are disbursed either up front, in tranches, or on an invoicing basis, dependent on the grant agreement. No 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 1 1 X X X X 0 0 0 0 0 0 0 0 0 Sam Nunn Co-Chairman and CEO 367710 0 0 0 0 0 25396 0 0 0 393106 0 0 0 Desmond Browne Vice Chair 372245 0 0 0 0 0 25669 0 30236 0 428150 0 0 0 Joan Rohlfing President and COO 350063 0 0 0 0 0 36594 0 27947 0 414604 0 0 0 Deborah Rosenblum Vice President 298508 0 0 0 0 0 30397 0 21856 0 350761 0 0 0 Carmen MacDougall Vice President 234615 0 5000 0 0 0 24525 0 29596 0 293736 0 0 0 Page Stoutland Vice President 237902 0 0 0 0 0 23340 0 39049 0 300291 0 0 0 Andrew Bieniawski Vice President 236852 0 5000 0 0 0 23771 0 1869 0 267492 0 0 0 Christopher Carr CFO and Treasurer 158164 0 0 0 0 0 3145 0 32373 0 193682 0 0 0 Robert F Berls Senior Advisor on Russia and Eurasia 204373 0 0 0 0 0 20187 0 29911 0 254471 0 0 0 Diane Hauslein Director of Administration 175583 0 0 0 0 0 17518 0 29214 0 222315 0 0 0 Catherine Gwin Senior Director of Communications 166659 0 0 0 0 0 16784 0 27213 0 210656 0 0 0 Valeria MacPhail Director, Officer of the Hon Sam Nunn 149032 0 0 0 0 0 15044 0 32763 0 196839 0 0 0 Corey A Hinderstein Vice President 200906 0 0 0 0 0 19417 0 16046 0 236369 0 0 0 Schedule J, Part I, Line 1a Schedule J, Part I, Line 1a - Schedule J, Part I, Line 1a. First class travel: NTI's Board travel policy states that, "It is the general policy of NTI to provide reimbursement for business class (or the domestic equivalent) airfare [for its Board members], unless exception is made with the approval of either Co-Chairmen or the President to allow first class airfare for International travel in appropriate circumstances." Travel for Companions: NTI's policy states that, "Spouses and accompanying assistants of Directors of NTI are specifically invited to and expected to attend meetings of the Board and to participate In Board dinner discussions to gain insight to the substantive programs of NTI to facilitate their ability to knowledgeably represent the work of the Initiative to government officials and leaders In their communities." Schedule J, Part I, Line 3 " Schedule J, Part I, Line 3 - * Annually the CEO presents a memorandum to NTI's Compensation Committee, in which he recommends compensation levels for NTI's CEO and Officers. The organization consulted studies based on calendar 2016 data. NTI used the study results to set compensation levels during 2016. In addition, the CEO has historically taken into account the importance of retaining a uniquely qualified team at NTI, and in certain circumstances has made a case for small merit Increases. In 2016, the Compensation Committee was made up of three independent members of the Board of Directors. Per NTI's bylaws, the members of the Compensation Committee may not include current or former Directors who are also salaried senior executives of NTI. The Compensation Committee presents its recommendations to the Board of Directors in executive session. The recommendations include specific salary levels for the CEO, the President and all Officers. Officer salaries are approved by majority vote of NTI's Board of Directors, as directed by NTI's bylaws. Minutes of the Compensation Committee are maintained with NTI's corporate files at the office of NTI's Corporate Secretary. Davis Pickren Seydel Sneed LLP One of the firm's partners is NTI's Corporate Secretary and the son-in-law of one of NTI's Co-Chairs 53958 Legal fees 0 X 4 10132045 FMV 0 0 0 0 Schedule M, Part I, Line 9 Schedule M, Part I, Line 9- Column b represents the number of contributions received. Form 990, Part III, Line 4a Global Nuclear Policy Program * Held meetings with the NTI Cyber-Nuclear Weapons Study Group on implications of cyber threats to nuclear weapons and related systems, with the goal of developing a set of options for US nuclear policy that would reduce risks. * Commentary and analysis on the 2016 NATO Summit, the UK vote on Trident submarines. * NATO's Nuclear Future: Deter, Reassure, Engage?, Steve Andreasen, Simon Lunn, Isabelle Williams. * Continued support of partner networks (founded by NTI) which include hundreds of high-profile officials, former officials, experts and next-generation leaders on five continents to build political awareness and action on nuclear policy debates in their regions. In addition to numerous events and publications, the Latin America Leadership Network released a major study, Terror Unleashed, on the impacts of a nuclear terrorist attack. * The Case for a Pause in Reprocessing in East Asia: Economic Aspects, John Carlson (NTI Paper). Russia and the West * Rising Nuclear Dangers: Steps to Reduce Risks in the Euro-Atlantic by Robert E. Berls, Jr., PhD and Leon Ratz, with an introduction by Des Browne, Wolfgang Ischinger, Igor S. Ivanov and Sam Nunn (Also created a Russian translation). * To promote fresh ideas in the deteriorating relationship between Russia and the West, continued supporting the Younger Generation Leaders Network on Euro-Atlantic Security; the group includes 49 young professionals in their 20s and 30s from 17 countries. Form 990, Part III, Line 4b Public Education * Highlighted moral and ethical perspectives on nuclear weapons policy through events at the Non-Proliferation Treaty Review Conference, organized by the Kroc Institute for International Peace, in partnership with Georgetown University's Berkley Center and Boston College and including NTI Vice Chairman Des Browne. * Co-hosted the "Disruptive Futures: Santa Fe Nuclear Weapons Summit," a first-of-its-kind summit with Creative Santa Fe, NSquare Collaborative and Pop Tech; it brought together over 40 next-generation leaders with backgrounds in the military, the sciences, technology, policy, business, and the arts to foster collaboration, build awareness of nuclear dangers, and reframe narratives on nuclear weapons through new ideas and innovative thinking. * Co-hosted screenings and discussions in London at Parliament and in Washington, DC during the Nuclear Security Summit for the film "Command and Control," a documentary that focuses on the long-hidden story of a deadly accident at a Titan II missile complex in Damascus, Arkansas in 1980. * Sponsored a national screening day for a gripping documentary film, "The Man Who Saved the World," which tells the story of Stanislov Petrov, a Soviet lieutenant colonel who defied his chain of command and prevented nuclear war in 1983. Twenty-five campuses participated, generating discussions among hundreds of students as well as articles and commentary in college and local newspapers, in Buzzfeed, Reddit and social media. * Supported the William J. Perry Project and the release of the memoir by founding NTI Board Member William J. Perry through events, marketing and outreach; supported the Project's free online course devoted to educating the public about the history and dangers of nuclear weapons, through Stanford University. * Updated and expanded on the most comprehensive and timely web resources on WMD threats, in partnership with the James Martin Center for Non-Proliferation Studies. Widely used in university and policy contexts, the contents range from country profiles to interactive timelines to infographics that are published by media worldwide. Innovative new products included a virtual-reality tour of North Korea's nuclear test site. Form 990, Part III, Line 4c Material Security and Minimization NTI Publications: Developing new thinking and new approaches * Radiological Security Progress Report: Preventing Dirty Bombs-Fighting Weapons of Mass Disruption, which tracked commitments from previous Nuclear Security Summits. * Outpacing Cyber Threats: Priorities for Cybersecurity at Nuclear Facilities, identifying key priorities and actions needed to better secure nuclear facilities. * Global Dialogue on Nuclear Security Priorities: Building an Effective Global Nuclear Security System by Andrew Bieniawski, Samantha Pitts-Kiefer, Joan Rohlfing (NTI Paper). * Replacing Highly Enriched Uranium in Naval Reactors by George M. Moore, Cervando A. Baneuelos, and Thomas T. Gray (NTI Paper). * Pathways to Cooperation, highlighting key projects in the nuclear sphere that the United States and Russia can take to innovate and build trust in the nuclear sphere (released in early 2017). NTI Nuclear Security Index and the Nuclear Security Summit: Advancing transparency, shaping agendas * 2016 NTI Nuclear Security Index, the premier public resource for assessing nuclear security across 176 countries, included new categories to address the potential risk to nuclear facilities posed by cyberattack and sabotage. * NTI's Global Dialogue on Nuclear Priorities developed consensus recommendations on how to build an effective global nuclear security system that informed the Nuclear Security Summit. * NTI President Joan Rohlfing served on organizing committee for the Industry Summit, held in conjunction with the Nuclear Security Summit; NTI was the only non-industry actor to play this role. * Helped develop "gift baskets," or joint action projects, that more than 40 countries signed during the Nuclear Security Summit. * Conducted extensive outreach at the Nuclear Security Summit and related meetings; over the course of one month, this included two keynotes at Summit events for NGOs and the nuclear industry, six briefing events to Congress and policy influencers; four presentations at the NGO Summit; more than 50 media interviews; a "Call to Action" that garnered nearly 1,000 signatures and appeared in the New York Times, Wall Street Journal and Washington Post [fact check]; a widely read Summit blog and resources to help reporters and others get up to speed on the issues, as well as instant analysis during the Summit. * NTI Index recommendations were cited by the editorial boards of both The New York Times and the Washington Post. * Recognized with the "Innovative Leadership" award from the industry summit, and two partners, Kazakhstan and Emory University Hospital, won awards for NTI-related projects. Preventing nuclear and radiological terrorism * NTI staff served on the organizing committee for the IAEA International Conference on Nuclear Security (one of two NGOs asked to do so) and helped shape the agenda for this meeting with more than 2,000 participants from more than 130 countries. * Developed and produced a scenario-based table-top simulation focused on how China and the United States can strengthen cooperation to prevent or respond to nuclear smuggling and related incidents; the event in Beijing included participation of former and current government officials and experts from the United States and China. * One of two NGOs invited to present recommendations to an international workshop set up to inform and educate government officials, as they identified state-level actions to enhance security for radiological materials. Building global capacity and advancing thinking on future monitoring and verification challenges * Organized working group and plenary meetings to define a verifiable process for nuclear warhead dismantlement in our ongoing role as co-leader, with the U.S. Department of State, of the International Partnership for Nuclear Disarmament Verification, a public-private partnership that convenes officials and experts in 25 countries to develop new verification solutions. Securing the nuclear fuel cycle * Supported the IAEA and Government of Kazakhstan in finalizing an agreement to site the IAEA Low Enriched Uranium Bank in Kazakhstan, part of a decade-long nonproliferation project. * NTI Senior Program Officer in NTI's Material Security & Minimization Program Andrew Newman, PhD. co-authored a book, Decision-making and Radioactive Waste Disposal (Routledge). Form 990, Part VI, Section A, Line 2 NTI's Corporate Secretary is the son-in-law of one of NTI's Co-Chairs. Form 990, Part VI, Section A, Line 4 the number of allowable Directors increased to 28 per our updated restated By Laws Form 990, Part VI, Section B, Line 11b NTI's Form 990 is prepared by its Finance department. It is initially reviewed by the CFO/Treasurer and then independent reviews are conducted by NTI's external auditor, BDO, and its lawyers, Davis, Pickren, Seydel and Sneed LLP. The Form 990 is then reviewed by NTI's Executive Vice President and President. During the fall Board meetings, the Form 990 is discussed with the full Board. Form 990, Part VI, Section B, Line 12c NTI's bylaws require that a copy of NTI's Conflict of Interest Policy, as adopted by the Board, be furnished to each Director, Officer, and staff member. NTI prohibits officers and staff from participating or engaging in any activity for which a conflict of interest exists. Board members are recused from decisions of the Board in which a conflict of interest might arise. Board members, officers, and staff members are required to disclose to NTI any related party and any reportable affiliates which are likely to apply for, or otherwise be considered by NTI for a grant award or financial transaction. The information provided is updated annually, or more frequently as considered appropriate. NTI requests annual updates from its Board members and staff through reissuance of the policy together with a standard form for them to complete. Form 990, Part VI, Section B, Line 15 Annually, NTI's CEO presents a memorandum to NTI's Compensation Committee, in which he recommends compensation levels for NTI's CEO and Officers. For 2016 compensation adjustments, NTI consulted studies based on calendar 2016 data. NTI used the study results to set compensation levels during 2015. The Compensation Committee presents its recommendations to the Board of Directors in executive session. The recommendations include specific salary levels for the CEO, President, and all Officers. Officer salaries are approved by majority vote of NTI's Board of Directors, in accordance with NTI's bylaws. In 2016, the Compensation Committee was comprised of three independent Board members. Per NTI's bylaws, the Compensation Committee may not include curent or former Directors who are paid a salary by NTI. Form 990, Part VI, Section C, Line 19 NTI's website includes a statement that its governing documents, conflict of interest policy, and financial statements are available to the public upon request, and provides a link to contact information. (http://www.nti.org/about/faqs) Form 990, Part IX, Line 11g Consultants and subject matter experts