2017-07-12T17:12:37-05:00 2016-09-30 521511275 RAFFA PC 1899 L STREET NW SUITE 850 WASHINGTON DC 20036 990 2015-10-01 521351785 COMPETITIVE ENTERPRISE INSTITUTE COMP 2023311010 1310 L STREET NW 7TH FLOOR WASHINGTON DC 20005 KENT LASSMAN PRESIDENT 2023311010 2017-07-12 1 FRANK H SMITH P00639053 2028825000 2017-07-12 2015 2021-01-29 14:40:06Z X KENT LASSMAN 1310 L STREET NW 7TH FLOOR WASHINGTON DC 20005 8159183 0 X WWW.CEI.ORG X 1984 DC PUBLIC POLICY RESEARCH/EDUCATION DEDICATED TO PRINCIPLES OF FREE ENTERPRISE & LIMITED GOVERNMENT. 10 8 39 9 0 0 7605353 6903266 10400 945550 8864 8149 -179800 -153202 7444817 7703763 0 0 0 0 3273515 4037002 408190 40672 862528 3675205 3733459 7356910 7811133 87907 -107370 2854282 4136116 504171 1893531 2350111 2242585 X COMPETITIVE ENTERPRISE INSTITUTE (CEI) IS A NON-PROFIT PUBLIC POLICY ORGANIZATION DEDICATED TO THE PRINCIPLES OF FREE ENTERPRISE AND LIMITED GOVERNMENT. WE BELIEVE THAT CONSUMERS ARE BEST HELPED NOT BY GOVERNMENT REGULATION BUT BY BEING ALLOWED TO MAKE THEIR OWN CHOICES IN A FREE MARKETPLACE. 1 0 2073561 945550 CENTER FOR LAW AND LITIGATIONCEI'S CENTER FOR LAW AND LITIGATION FOCUSES ON DEVELOPING NEW APPROACHES TO FIGHT OVERREGULATION THROUGH LITIGATION. IN AREAS RANGING FROM OUR SUCCESSFUL CONSTITUTIONAL CHALLENGE TO THE SARBANES OXLEY FINANCIAL REGULATION LAW, TO EXPOSING THE LETHAL IMPACT OF FEDERAL FUEL ECONOMY STANDARDS, THE CENTER FOR LITIGATION HAS ESTABLISHED MAJOR NEW PRECEDENTS FOR COMBATING REGULATIONS THAT RESTRICT CONSUMER CHOICE, STIFLE INNOVATION, AND LIMIT COMPETITION. OVERREGULATION CAN ALSO RESULT FROM CLASS ACTIONS. SUCH LAWSUITS SUFFER FROM AN INHERENT PROBLEM: PLAINTIFFS' LAWYERS HAVE AN INTEREST IN THEIR FEES, WHILE CORPORATE DEFENDANTS HAVE AN INTEREST IN CHEAPLY DISPOSING OF THE CASE. AS A RESULT, WHEN THESE CASES ARE SETTLED THE INTERESTS OF CLASS MEMBERS OFTEN TAKE A BACK SEAT. CEI'S CENTER FOR CLASS ACTION FAIRNESS REPRESENTS CLASS MEMBERS IN OPPOSING UNFAIR SETTLEMENTS. IT HAS WON MILLIONS OF DOLLARS FOR CONSUMERS AND SHAREHOLDERS, AND ESTABLISHED LANDMARK PRECEDENTS THAT DISCOURAGE THE FILING OF FRIVOLOUS CASES THAT BENEFIT ONLY THE LAWYERS WHO BRING THEM. 865225 CENTER FOR ECONOMIC FREEDOMCEI'S CENTER FOR ECONOMIC FREEDOM WORKS TO ENSURE THAT VOLUNTARY ECONOMIC TRANSACTIONS REMAIN FREE FROM GOVERNMENT COERCION AND CONTROL. THE CENTER FOR ECONOMIC FREEDOM DEFENDS AGAINST ATTACKS ON THESE FREEDOMS FROM BUREAUCRATS AND NANNY-STATE BUSYBODIES, WORKING TO EXPAND THE ORBIT OF VOLUNTARY ARRANGEMENTS IN THE ECONOMY - INCLUDING BANKING AND FINANCE, LABOR AND EMPLOYMENT, INSURANCE, THE FREEDOM TO TAKE RISKS AS AN ENTREPRENEUR OR CONSUMER, INTERNATIONAL TRADE AND DEVELOPMENT, AND MANY OTHERS. THE CENTER FOR ECONOMIC FREEDOM AIMS FOR A WORLD WHERE THE RIGHTS AND BENEFITS OF FREE TRANSACTIONS ARE RECOGNIZED, RESPECTED, AND PROTECTED. 862769 COMMUNICATIONS AND OUTREACHCEI'S COMMUNICATIONS AND OUTREACH DEPARTMENT ASSISTS THE CEI POLICY CENTERS WITH THEIR EFFORTS TO DISSEMINATE RESEARCH FINDINGS AND ANALYSIS TO VARIOUS AUDIENCES INCLUDING POLICYMAKERS, NEWS MEDIA, ALLIED ORGANIZATIONS, AND THE GENERAL PUBLIC. IT ALSO HELPS THE POLICY CENTERS BUILD COALITIONS OF LIKE MINDED SCHOLARS, ACTIVISTS, AND OTHER STAKEHOLDERS TO ADVANCE THE ORGANIZATION'S MISSION OF PROMOTING THE INSTITUTIONS OF LIBERTY AND REMOVING GOVERNMENT-CREATED BARRIERS TO ECONOMIC FREEDOM, INNOVATION, AND PROSPERITY. 852663 CENTER FOR ENERGY AND ENVIRONMENT 562162 CENTER FOR TECHNOLOGY AND INNOVATION 436203 OFFICE OF THE PRESIDENT 309944 CENTER FOR ADVANCING CAPITALISM 285761 CENTER FOR RISK AND CONSUMER FREEDOM 212569 REALCLEAR RADIO HOUR 2659302 6460857 1 1 0 1 0 0 0 0 0 0 1 0 0 1 1 1 1 0 0 0 1 0 0 1 1 0 0 0 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 41 0 1 39 1 0 0 0 0 0 1 1 0 0 0 0 X 10 8 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AR CA CO CT FL GA HI IL KS KY ME MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT WA WV WI X X MEGAN MCLAUGHLIN 2023311010 1310 L STREET NW 7TH FLOOR WASHINGTON DC 20005 W THOMAS HAYNES CHAIRMAN 1.00 X 0 0 0 TODD J ZYWICKI CHAIRMAN- UNTIL 04/2016 1.00 X 0 0 0 FRED L SMITH JR - FOUNDER DIRECTOR, DIR. FOR CTR. FOR ADV. CAP. 40.00 X 170202 0 13244 JAMES R CURLEY DIRECTOR 1.00 X 0 0 0 MICHAEL W GLEBA DIRECTOR 1.00 X 0 0 0 MICHAEL S GREVE DIRECTOR 1.00 X 0 0 0 JEAN-CLAUDE GRUFFAT DIRECTOR 1.00 X 0 0 0 KERRY HALFERTY HARDY DIRECTOR 1.00 X 0 0 0 W THOMAS HAYNES DIRECTOR 1.00 X 0 0 0 JAMES R VON EHR DIRECTOR 1.00 X 0 0 0 KENT LASSMAN PRESIDENT - AS OF 04/2016 40.00 X X 0 0 0 LAWSON BADER PRESIDENT - UNTIL 12/2015 40.00 X X 219559 0 15927 MEGAN MCLAUGHLIN TREASURER, SEN. DIR. FIN. 40.00 X 93931 0 6171 AMANDA FRANCE SECRETARY, EXECUTIVE ASSISTANT 40.00 X 63187 0 5643 GREGORY CONKO INT. PRES.(01/2016-04/2016), ED, VP 40.00 X 122668 0 6294 WAYNE CREWS VP FOR POLICY 40.00 X 146063 0 17179 COLEY JACKSON VP OF EXTERNAL AFFAIRS 40.00 X 123800 0 705 SAM KAZMAN GENERAL COUNSEL 40.00 X 116961 0 12646 MYRON EBELL DIRECTOR FOR CTR. FOR ENERGY 40.00 X 114689 0 1360 IAIN MURRAY DIRECTOR, CTR. FOR ECON. FREEDOM 40.00 X 110790 0 15879 1281850 0 95048 10 0 1 0 BOYDEN GRAY & ASSOCIATES PLLC 1627 I STREET NW 950 WASHINGTON DC 20006 LEGAL SERVICES 310623 MORGAN MEREDITH & ASSOCIATES 22780 INDIAN CREEK DRIVE SUITE 100 DULLES VA 20166 DIRECT MAIL PROCESSING 294715 SPECTRUM INC 8460 G TYCO ROAD VIENNA VA 22182 GENERAL CONTRACTING 270596 INDOFF INC 11816 LACKLAND ROAD ST LOUIS MO 63146 FURNITURE DELIVERY & ASSEMBLY 204638 O'MELVENY & MYERS LLP 1625 I STREET NW WASHINGTON DC 20006 LEGAL SERVICES 200000 6 1125752 5777514 142071 6903266 COURT AWARDED FEES 900099 945550 945550 945550 10648 10648 105435 107934 -2499 -2499 -2499 187939 1125752 347486 -159547 -159547 MISCELLANEOUS 900099 5168 5168 REIMBURSEMENTS/REFUNDS 900099 1177 1177 6345 7703763 945550 0 -145053 744611 631217 113394 2802974 2149834 198536 454604 233870 191041 18355 24474 255547 198183 22765 34599 798513 771339 13790 13384 101898 9512 92386 40672 40672 512950 485811 23359 3780 8158 8158 283720 116833 123798 43089 65882 19079 43655 3148 669319 669319 162833 108985 3888 49960 525058 474306 17814 32938 4274 4274 55766 55766 43909 157 43744 8 DIRECT MAIL 374690 319848 54842 BOOKS & SUBSCRIPTIONS 71665 61792 7416 2457 LOSS ON DISPOSALS 31023 31023 PLEDGE WRITE-OFFS 15000 15000 8801 914762 -1065376 159415 7811133 6460857 487748 862528 X 415363 319849 54842 40672 371271 827890 489810 195330 1182073 447862 142020 314057 1428132 145644 99557 1282488 555716 583681 13835 484808 2854282 4136116 302036 331585 0 32161 202135 1529785 504171 1893531 X 2325739 2188064 24372 54521 2350111 2242585 2854282 4136116 -107370 -156 0 X 0 1 X 1 0 X 6291729 6470211 7105791 7605353 6903266 34376350 6291729 6470211 7105791 7605353 6903266 34376350 3786970 30589380 21841 10824 10120 9779 10648 63212 0 109 0 0 0 109 19624 7543 8282 5168 40617 34480288 1670691 0.88720 0.91520 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS - 2011 AMOUNT: $ 19,624. 2012 AMOUNT: $ 7,285. 2013 AMOUNT: $ 8,282. 2014 AMOUNT: $ 0. 2015 AMOUNT: $ 5,168. PUBLICATIONS - 2011 AMOUNT: $ 0. 2012 AMOUNT: $ 258. 2013 AMOUNT: $ 0. 2014 AMOUNT: $ 0. 2015 AMOUNT: $ 0. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 265 31245 31510 7568184 7599694 529985 132496 0 0 536685 467891 497436 529985 2031997 3047996 20333 23145 27340 31510 102328 134171 116973 124359 132496 507999 761999 1138 84 139 265 1626 993578 10959 982619 209153 126614 82539 225401 8071 217330 1282488 OTHER RECEIVABLES 422572 DEPOSITS 62236 484808 DEFERRED RENT 1511170 CAPITAL LEASE OBLIGATION 18615 1529785 X 8353856 -156 302763 347486 650093 7703763 0 7703763 8461382 302763 347486 650249 7811133 0 7811133 PART X, LINE 2: CEI PERFORMED AN EVALUATION OF UNCERTAIN TAX POSITIONS FOR THE YEARS ENDED SEPTEMBER 30, 2016 AND 2015, RESPECTIVELY, AND DETERMINED THAT THERE WERE NO MATTERS THAT WOULD REQUIRE RECOGNITION IN THE FINANCIAL STATEMENTS OR THAT MAY HAVE ANY EFFECT ON ITS TAX-EXEMPT STATUS. PART XI, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 347,486. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 347,486. EUROPE 0 0 PROGRAM SERVICES CONFERENCE 20000 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EDUCATIONAL EVENT 377656 0 0 0 0 0 0 397656 0 397656 0 0 0 0 0 0 PART I, LINE 3: IN ACCORDANCE WITH IRS INSTRUCTIONS, ALL AMOUNTS REPORTED IN PART I OF SCHEDULE F ARE REPORTED USING THE ACCRUAL BASIS OF ACCOUNTING, THE SAME METHOD OF ACCOUNTING USED IN THE FINANCIAL STATEMENTS. X X X X 1 CLEARWORD COMMUNICATIONS GROUP 12841 BRAEMAR VILLAGE PLAZA 51 BRISTOW VA 20136 FUNDRAISING CONSULTING 0 544582 48200 496382 544582 48200 496382 AL AK AR CA CO CT DC FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI ANNUAL DINNER 1313691 1125752 187939 154688 1795 191003 1313691 1125752 187939 154688 1795 191003 347486 -159547 X X X 0 0 0 0 0 0 0 1 0 FRED L SMITH JR - FOUNDER DIRECTOR, DIR. FOR CTR. FOR ADV. CAP 170202 0 0 0 0 0 0 0 13244 0 183446 0 0 0 LAWSON BADER PRESIDENT - UNTIL 12/2015 219559 0 0 0 0 0 0 0 15927 0 235486 0 0 0 WAYNE CREWS VP FOR POLICY 146063 0 0 0 0 0 0 0 17179 0 163242 0 0 0 PART I, LINE 7 THE BOARD OF DIRECTORS DETERMINES THE BONUS FOR THE PRESIDENT. THE PRESIDENT AND EXECUTIVE DIRECTOR DETERMINE THE BONUSES FOR ALL OTHER STAFF. X 12 125879 FMV X BATTERIES 1 11100 FMV X CIGARS 1 5092 FMV 0 0 0 PART I, COLUMN (B): THE NUMBER IN THIS COLUMN REPRESENTS THE NUMBER OF CONTRIBUTIONS. FORM 990, PART III, LINE 2 DURING THE YEAR ENDED SEPTEMBER 30, 2016, CEI INTRODUCED THE CLASS ACTION FAIRNESS WHICH IS PART OF THE CENTER FOR LAW AND LITIGATION PROGRAM. FORM 990, PART VI, SECTION B, LINE 11 THE DRAFT VERSION OF THE FEDERAL FORM 990 IS REVIEWED BY THE PRESIDENT, EXECUTIVE DIRECTOR, TREASURER/SENIOR DIRECTOR OF FINANCE AND OPERATIONS, AS WELL AS THE FULL BOARD OF DIRECTORS. AFTER THE REVIEW, ANY CHANGES NEEDED ARE MADE BY THE PREPARER. THE FINAL FEDERAL FORM 990 IS THEN ELECTRONICALLY FILED WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C EMPLOYEES CONSULT WITH THEIR DIRECT SUPERVISOR OVER ANY AREAS THAT COULD BE CONFLICTS OF INTEREST. IF THE SUPERVISOR BELIEVES THE ISSUE NEEDS TO BE ADDRESSED AT A HIGHER LEVEL THE SUPERVISOR CAN THEN MOVE THE DISCUSSION UP THE CHAIN OF COMMAND WITHIN CEI. UNDER CEI'S CONFLICT OF INTEREST POLICY, BOARD MEMBERS ARE REQUIRED TO SIGN A CONFLICT OF INTEREST DISCLOSURE STATEMENT. FORM 990, PART VI, SECTION B, LINE 15 THE PRESIDENT'S COMPENSATION IS DETERMINED BY THE BOARD OF DIRECTORS BASED ON COMPARABILITY DATA. THE LAST COMPENSATION STUDY FOR THE PRESIDENT WAS CONDUCTED IN 2012. AS THE PRESIDENT'S COMPENSATION WAS AT THE LOW-END WHEN THE STUDY WAS CONDUCTED THE BOARD OF DIRECTORS ARE COMFORTABLE WITH THE CURRENT COMPENSATION. COMPENSATION OF OFFICERS AND KEY EMPLOYEES IS HANDLED BY THE PRESIDENT AND GROUP OF INDEPENDENT SENIOR STAFF. THE COMPENSATION IS EVALUATED BASED ON PERFORMANCE AND COMPARABILITY DATA WITH OTHER SIMILAR ORGANIZATIONS IN THE WASHINGTON, DC AREA. FORM 990, PART VI, SECTION C, LINE 19 CEI DOES NOT MAKE ITS GOVERNING DOCUMENTS OR CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC. THE MOST RECENT AUDITED FINANCIAL STATEMENTS AND FEDERAL FORM 990 ARE AVAILABLE ON THE WEBSITE.