2013-08-14T15:21:24-05:00 2012-09-30 420714325 MCGLADREY LLP 8000 TOWERS CRESCENT DR STE 500 VIENNA VA 221826205 990 2011-10-01 521501082 CENTER FOR STRATEGIC AND INTERNATIONAL STUDIES CENT 2028870200 1800 K STREET NW NO 400 WASHINGTON DC 20006 LISA POOLE 2028870200 2013-08-14 1 YONG ZHANG CPA P01249785 7033366400 2011 2016-02-24 21:20:13Z CSIS JOHN J HAMRE 1800 K STREET NW NO 400 WASHINGTON DC 20006 56172579 0 X WWW.CSIS.ORG X 1987 DE A PUBLIC POLICY RESEARCH INSTITUTION DEDICATED TO ANALYSIS AND POLICY IMPACT. 46 44 319 407 0 0 48135945 33677029 8535075 8033531 1708375 1356283 -41771 -86488 58337624 42980355 0 0 0 0 18494451 18535435 0 0 1784444 14448014 14476838 32942465 33012273 25395159 9968082 125563606 135964976 52039279 56179730 73524327 79785246 X A BIPARTISAN FOREIGN POLICY THINK TANK. CSIS PROVIDES STRATEGIC INSIGHTS AND POLICY SOLUTIONS TO DECISION MAKERS IN GOVERNMENT, INTERNATIONAL INSTITUTIONS, THE PRIVATE SECTOR, AND CIVIL SOCIETY. CSIS CONDUCTS POLICY STUDIES AND STRATEGIC ANALYSES ON POLITICAL, ECONOMIC AND SECURITY ISSUES, FOCUSING ON TECHNOLOGY, PUBLIC POLICY, INTERNATIONAL TRADE AND FINANCE, AND ENERGY. 0 0 2703945 1469873 PACIFIC FORUM CSIS: THROUGH ITS EXTENDED DETERRENCE DIALOGUES WITH US ALLIES, THE PACIFIC FORUM HELPED INFORM US POLICY MAKERS OF ALLIED GOVERNMENT CONCERNS ABOUT THE CREDIBILITY OF THE US DETERRENT AND CHANGES IN US NUCLEAR POSTURE; THOSE DISCUSSIONS ALSO HELPED EXPLAIN TO OTHER GOVERNMENTS THINKING BEHIND US POLICY AND AMERICAN EXPECTATIONS OF THEM. THROUGH THE MULTILATERAL COUNCIL ON SECURITY COOPERATION IN THE ASIA PACIFIC (CSCAP), PACIFIC FORUM PROMOTED THE STRENGTHENING OF THE GLOBAL NONPROLIFERATION REGIME, INCREASING AWARENESS AMONG MEMBER NATIONS OF WMD THREATS AND THEIR ROLES IN MINIMIZING THOSE DANGERS. 2641429 GLOBAL HEALTH POLICY CENTER: GHPC PARTNERED WITH SENIOR OFFICIALS INSIDE AND OUTSIDE OF THE GOVERNMENT, THE WORLD AFFAIRS COUNCIL OF ATLANTA, AND CSIS TRUSTEE HELENE GAYLE, PRESIDENT AND CEO OF CARE, TO HOST A MAJOR SUMMIT ON U.S. LEADERSHIP IN GLOBAL HEALTH AND WATER IN ATLANTA, GEORGIA. ALONG WITH ITS PARTNERS, CSIS ISSUED AN "ATLANTA DECLARATION," A VISION OF FUTURE GLOBAL HEALTH AND WATER PRIORITIES FOR THE NEXT ADMINISTRATION AND CONGRESS. J. STEPHEN MORRISON, CSIS SENIOR VICE PRESIDENT AND DIRECTOR OF GHPC, CHAIRED A YEAR-LONG SENIOR LEVEL ADVISORY GROUP TO ASSIST THE ORGANIZERS OF THE INTERNATIONAL AIDS CONFERENCE, AIDS 2012, WHICH CAME TO WASHINGTON IN JULY 2012. IN FEBRUARY 2013, GHPC ISSUED A TIMELY VOLUME TITLED U.S. GLOBAL HEALTH POLICY IN THE SECOND OBAMA TERM, WHICH PROVIDES SUCCINCT ANALYSIS IN KEY AREAS OF GLOBAL HEALTH AND LAYS OUT POLICY RECOMMENDATIONS FOR STRATEGIC PRIORITIES MOVING FORWARD. 1928824 1314274 DEFENSE INDUSTRIES ISSUES GROUP (DIIG): AT CSIS HOSTED A SERIES OF EVENTS IN 2012 WITH THE DEFENSE INDUSTRY AND DEFENSE DEPARTMENT OFFICIALS TO IMPROVE ACQUISITION POLICIES AND GOVERNANCE MECHANISMS. DIIG ALSO COMPLETED A SERIES OF REPORTS, INCLUDING THE DOD CONTRACT TRENDS REPORT. THE REPORT ANALYZES MULTI-YEAR TRENDS IN OBLIGATIONS BY DOD OVERALL AND BY KEY DOD COMPONENTS, THE TYPES OF CONTRACTS USED, AND THE EXTENT OF COMPETITION. IT ALSO EXAMINES THE INDUSTRIAL BASE SUPPORTING DOD, INCLUDING THE TOP CONTRACTORS AND A BREAKDOWN OF THE INDUSTRIAL BASE BY CONTRACTOR SIZE. 17922024 5265813 OTHER PROGRAMS 17922024 5265813 25196222 1 1 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 212 0 1 319 1 0 0 0 0 0 0 0 0 0 0 X 46 44 0 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 HI IL LA MA MD ME MI MS NJ NY OH PA SC VA WI WV WY X LISA POOLE 2028870200 1800 K STREET NW 400 WASHINGTON DC 20006 SAM NUNN 1.00 X X 0 0 0 DAVID M ABSHIRE 1.00 X X 0 0 0 LINDA W HART 1.00 X 0 0 0 KENNETH G LANGONE 1.00 X 0 0 0 GEORGE L ARGYROS 1.00 X 0 0 0 RICHARD ARMITAGE 1.00 X 0 0 0 JAMES A BELL 1.00 X 0 0 0 OTHMAN BENJELLOUN 1.00 X 0 0 0 REGINALD K BRACK 1.00 X 0 0 0 WILLIAM E BROCK 1.00 X 0 0 0 HAROLD BROWN 1.00 X 0 0 0 ZBIGNIEW K BRZEZINSKI 1.00 X 0 0 0 CARLOS A BULGHERONI 1.00 X 0 0 0 SUE M COBB 1.00 X 0 0 0 WILLIAM S COHEN 1.00 X 0 0 0 LESTER CROWN 1.00 X 0 0 0 ANDREAS C DRACOPOULOS 1.00 X 0 0 0 RICHARD FAIRBANKS 1.00 X 0 0 0 HENRIETTA H FORE 1.00 X 0 0 0 WILLIAM H FRIST 1.00 X 0 0 0 MICHAEL P GALVIN 1.00 X 0 0 0 HELENE D GAYLE 1.00 X 0 0 0 MAURICE R GREENBERG 1.00 X 0 0 0 BENJAMIN W HEINEMAN JR 1.00 X 0 0 0 JOHN B HESS 1.00 X 0 0 0 CARLA A HILLS 1.00 X 0 0 0 RAY L HUNT 1.00 X 0 0 0 KAZUO INAMORI 1.00 X 0 0 0 E NEVILLE ISDELL 1.00 X 0 0 0 JAMES L JONES JR 1.00 X 0 0 0 WILLIAM T KEEVAN 1.00 X 0 0 0 MUHTAR KENT 1.00 X 0 0 0 FRED KHOSRAVI 1.00 X 0 0 0 HENRY A KISSINGER 1.00 X 31347 0 0 DONALD B MARRON 1.00 X 0 0 0 W JAMES MCNERNEY JR 1.00 X 0 0 0 JOSEPH S NYE JR 1.00 X 0 0 0 THOMAS J PRITZKER 1.00 X 0 0 0 FELIX G ROHATYN 1.00 X 0 0 0 CHARLES A SANDERS 1.00 X 0 0 0 JAMES R SCHLESINGER 1.00 X 0 0 0 BRENT SCOWCROFT 1.00 X 0 0 0 REX W TILLERSON 1.00 X 0 0 0 ROMESH WADHWANI 1.00 X 0 0 0 FREDERICK B WHITTEMORE 1.00 X 0 0 0 JOHN J HAMRE 40.00 X X 368819 0 26500 JOHN HEYL 40.00 X 246733 0 30479 GREG BROADDUS 40.00 X 188787 0 21834 JOHN MORRISON 40.00 X 186474 0 18570 DAVID BERTEAU 40.00 X 155518 0 25393 FRANK VERRASTRO 40.00 X 170445 0 23243 H ANDREW SCHWARTZ 40.00 X 143016 0 19894 STEPHEN MORRISON 40.00 X 71168 0 7067 RALPH COSSA 40.00 X 151863 0 16165 MICHAEL J GREEN 40.00 X 142203 0 15705 CRAIG COHEN 40.00 X 134854 0 20154 ALICE BLEVINS 40.00 X 111965 0 15785 JOHANNA N TUTTLE 40.00 X 117439 0 25041 KAREN WONG 40.00 X 116803 0 14661 ANNE COSTELLO 40.00 X 120871 0 19429 LISA V POOLE 40.00 X 79165 0 12633 MEREDITH BROADBENT 40.00 X 171155 0 1425 WILLIAM BELLAMY 40.00 X 165000 0 16500 KARL INDERFURTH 40.00 X 152045 0 1425 MAREN HOLMES 40.00 X 151379 0 11740 ANTHONY CORDESMAN 40.00 X 150583 0 16255 3327632 0 359898 49 0 1 0 KILEY & ASSOCIATES 343 4TH ST NE WASHINGTON DC 20002 CONSULTING 260000 KATHRYN HAUSER 3808 KLINGLE PLACE NW WASHINGTON DC 20016 CONSULTING 220000 GA POWELL LLC 1058 CARRIAGE HILL PARKWAY ANNAPOLIS MD 21401 CONSULTING 106000 3 2181077 31495952 20003 33677029 CONTRACTS-GOV'T AGENCY 900099 4849401 4849401 OTHER CONTRACT INCOME 900099 3184130 3184130 8033531 673675 673675 176336 287701 -111365 -111365 -111365 13569243 12886635 682608 682608 682608 34317 17888 16429 16429 OTHER REVENUE 900099 8448 8448 8448 42980355 8049960 0 1253366 2284754 995286 925296 364172 13084064 10534599 1861126 688339 1080758 812032 195050 73676 1033224 776016 186690 70518 1052635 791587 189477 71571 128617 115750 12867 211851 196718 15133 92896 92896 3395475 2796456 576533 22486 11769 8688 2918 163 701991 268816 418727 14448 434532 417492 17040 3683091 2583294 765251 334546 3329435 3247381 56983 25071 1360749 1233826 72647 54276 87180 57 87123 409372 409372 117970 372 117598 PRINTING 274012 240982 33030 BOOKS & PUBLICATIONS 111159 79656 28939 2564 OTHER EXPENSES 89437 60022 16871 12544 BAD DEBT EXPENSE 37302 37192 110 33012273 25196222 6031607 1784444 26468412 24309947 2025304 866170 23482564 16338713 4304217 3525461 105034 94640 285427 348742 69990765 6601943 44804478 63388822 21486071 24583970 2590168 2503105 11931 5406 125563606 135964976 3635556 7820441 2870457 2998081 44002610 44029918 1530656 1331290 52039279 56179730 X 22821585 32748047 42969537 38803994 7733205 8233205 73524327 79785246 125563606 135964976 X 9968082 -3707163 X X 0 1 1 X 1 1 X 29314341 24721387 30920185 48135945 33677029 166768887 29314341 24721387 30920185 48135945 33677029 166768887 11520372 155248515 1513511 990822 830457 1605421 850011 5790222 83012 73846 55766 49998 8448 271070 172830179 34284782 0.89830 0.91000 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 7733205 500000 8233205 7983205 250000 500000 7733205 7733205 250000 7983205 7733205 7733205 1.00000 0 0 33117228 33117228 29829098 29829098 3666735 3641371 25364 3155037 2777326 377711 222667 183246 39421 63388822 DEFERRED RENT LIABILITY 509824 FMV BOND INTEREST SWAP 821466 1331290 42980355 33012273 9968082 1573240 -5280403 -3707163 6260919 44766288 1573240 305589 1878829 42887459 92896 92896 42980355 33224966 305589 305589 32919377 92896 92896 33012273 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: CSIS INVESTS ALL ENDOWMENT FUNDS IN A POOLED FUND MANAGED BY AN INVESTMENT MANAGER ACCORDING TO THE OBJECTIVES AND GUIDELINES OF THE CSIS'S STATEMENT OF INVESTMENT POLICY. THE FINANCE AND AUDIT COMMITTEE IS SPECIFICALLY CHARGED WITH CONDUCTING SEMI-ANNUAL REVIEWS OF THE PERFORMANCE AND MIX OF THE INVESTMENTS THAT MAKE UP THE CSIS ENDOWMENT FUND PORTFOLIO. ANNUALLY, CSIS SPENDS APPROXIMATELY 4.5% OF THE THREE YEAR ROLLING AVERAGE OF THE ENDOWMENT FUND BALANCE. ENDOWED CHAIRS: FREEMAN $ 3,840,000 SCHOLL 1,800,000 ANDERSON 960,500 BRZEZINSKI 450,000 DRACROPOLIS 1,000,000 ABSHIRE LECTURE 182,705 -------- TOTAL: $8,233,205 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: CSIS FOLLOWS THE ACCOUNTING STANDARD ON ACCOUNTING FOR UNCERTAINTY IN 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, CSIS 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 CSIS'S TAX POSITIONS AND CONCLUDED THAT CSIS HAD TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRED ADJUSTMENT TO THE FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THIS GUIDANCE. GENERALLY, CSIS IS NO LONGER SUBJECT TO INCOME TAX EXAMINATIONS BY TAX AUTHORITIES FOR YEARS BEFORE 2009. PART XI, LINE 8 - OTHER ADJUSTMENTS: BAD DEBT ON PROMISES TO GIVE -5,000,000. LOSS ON INTEREST RATE SWAP -280,403. TOTAL TO SCHEDULE D, PART XI, LINE 8: -5,280,403. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSE REPORTED ON PART VIII LINE 6B 287,701. COST GOODS SOLD REPORTED ON PART VIII LINE 8B 17,888. PART XIII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSE REPORTED ON PART VIII LINE 6B 287,701. COST GOODS SOLD REPORTED ON PART VIII LINE 8B 17,888. X 1 1 X X X 0 0 0 0 0 0 0 0 0 JOHN J HAMRE 367631 0 0 0 1188 0 24500 0 2000 0 395319 0 0 0 JOHN HEYL 244359 0 0 0 2374 0 24500 0 5979 0 277212 0 0 0 GREG BROADDUS 187576 0 0 0 1211 0 18356 0 3478 0 210621 0 0 0 JOHN MORRISON 185700 0 0 0 774 0 18570 0 0 0 205044 0 0 0 DAVID BERTEAU 154330 0 0 0 1188 0 16339 0 9054 0 180911 0 0 0 FRANK VERRASTRO 169257 0 0 0 1188 0 17500 0 5743 0 193688 0 0 0 H ANDREW SCHWARTZ 142836 0 0 0 180 0 12730 0 7164 0 162910 0 0 0 RALPH COSSA 149577 0 0 0 2286 0 15067 0 1098 0 168028 0 0 0 MICHAEL J GREEN 141789 0 0 0 414 0 14280 0 1425 0 157908 0 0 0 CRAIG COHEN 134692 0 0 0 162 0 14077 0 6077 0 155008 0 0 0 MEREDITH BROADBENT 170725 0 0 0 430 0 0 0 1425 0 172580 0 0 0 WILLIAM BELLAMY 165000 0 0 0 0 0 16500 0 0 0 181500 0 0 0 KARL INDERFURTH 149759 0 0 0 2286 0 0 0 1425 0 153470 0 0 0 MAREN HOLMES 151199 0 0 0 180 0 10392 0 1348 0 163119 0 0 0 ANTHONY CORDESMAN 146875 0 0 0 3708 0 14830 0 1425 0 166838 0 0 0 PART I, LINE 1A THE FOLLOWING EMPLOYEE RECEIVED NONTAXABLE CLUB DUES: JOHN HEYL: $4,483 DISTRICT OF COLUMBIA 536001131 25483VEF7 2011-06-16 44815000 REFINANCE LAND PURCHASE 0 0 0 44815000 3646875 1380422 39787703 2013 0 0 1 1 0 0 0 0 0.00000 0.00000 0.00000 1 0 0 0 0 0 1 X ON JUNE 16, 2011, CSIS ISSUED DISTRICT OF COLUMBIA REVENUE BONDS, CENTER FOR STRATEGIC AND INTERNATIONAL STUDIES, INC. SERIES 2011 DATED JUNE 1, 2011 (THE BONDS), IN THE AMOUNT OF $44,815,000. THE PROCEEDS WERE USED TO PAY OFF THE DISTRICT OF COLUMBIA REVENUE SERIES 2008 BONDS OF $33,650,000 WITH THE REMAINING PROCEEDS FOR CONSTRUCTION OF A FUTURE HEADQUARTERS BUILDING AND DEBT SERVICE RESERVES. THE INTEREST RATE ON THE BONDS VARIES BASED ON MATURITIES AS FOLLOWS: ANNUAL PRINCIPAL PAYMENTS ON THE BONDS BEGIN IN 2015. THE BONDS ARE COLLATERALIZED BY AN INDENTURE OF TRUST COVERING SUBSTANTIALLY ALL OF CSIS'S ASSETS, AND HAVE A FINAL MATURITY DATE OF MARCH 1, 2041. AS PROVIDED IN THE BOND INDENTURE, THE BONDS ARE CALLABLE BY THE BONDHOLDER. FORM 990, PART VI, SECTION B, LINE 11 FORM 990 IS REVIEWED IN DETAIL BY THE VP OF FINANCE AND TREASURER AND THE EXECUTIVE VICE PRESIDENT. THE COMPLETED FORM 990 IS REVIEWED BY THE PRESIDENT, THE CHAIRMAN OF THE FINANCE AND ACCOUNTING COMMITTEE AND MADE AVAILABLE FOR REVIEW AND COMMENTS. FORM 990, PART VI, SECTION B, LINE 12C ALL OFFICERS, DIRECTORS/TRUSTEES AND KEY EMPLOYEES ARE REQUIRED TO SIGN A COI OR AN OUTSIDE BUSINESS DISCLOSURE (OMD) STATEMENT UPON HIRE, WHENEVER SIGNIFICANT CHANGES OCCUR AND ANNUALLY, AT A TIME DESIGNATED BY CSIS MANAGEMENT. A THREE-PERSON CONFLICT OF INTEREST REVIEW PANEL DESIGNATED BY CSIS PRESIDENT & CEO REVIEWS ALL OBD STATEMENTS AT LEAST ANNUALLY OR WHENEVER UPDATES ARE SUBMITTED. THE COI REVIEW PANEL CONVENES WHENEVER NECESSARY TO DISCUSS POTENTIAL VIOLATIONS OF THIS POLICY OR TO HELP ADVISE STAFF ON COMPLIANCE. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION FOR THE PRESIDENT AND CEO IS REVIEWED ANNUALLY USING COMPENSATION SURVEY DATA AND APPROVED BY THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. THE COMPENSATION OF OTHER SENIOR MANAGEMENT AND CORPORATE OFFICERS ARE REVIEWED ANNUALLY BY THE COMPENSATION COMMITTEE USING COMPARABLE THINK TANK SURVEY DATA AND IS APPROVED BY THE PRESIDENT AND CEO AND THE FINANCE & AUDIT AND EXECUTIVE COMMITTEES OF THE BOARD OF TRUSTEES FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 1,573,240. BAD DEBT ON PROMISES TO GIVE -5,000,000. LOSS ON INTEREST RATE SWAP -280,403. TOTAL TO FORM 990, PART XI, LINE 5: -3,707,163. FORM 990, PART XII, LINE 2C THE PROCESS FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND SELECTION OF AN INDEPENDENT ACCOUNTANT THAT AUDITED THE FINANCIAL STATEMENTS HAS BEEN CONSISTENT WITH PRIOR YEARS.