2012-08-09T13:04:01-05:00 2011-09-30 MCGLADREY LLP 8000 TOWERS CRESCENT DR STE 500 VIENNA VA 221826205 990 2010-10-01 521501082 CENTER FOR STRATEGIC AND INTERNATIONAL STUDIES CENT 2028870200 1800 K STREET NW NO 400 WASHINGTON DC 20006 LISA POOLE 2028870200 2012-08-09 1 YONG ZHANG CPA 7033366400 2010 2016-02-24 21:20:13Z CSIS JOHN J HAMRE 1800 K STREET NW NO 400 WASHINGTON DC 20006 88822028 0 X WWW.CSIS.ORG X 1987 DE A PUBLIC POLICY RESEARCH INSTITUTION DEDICATED TO ANALYSIS AND POLICY IMPACT. 39 37 300 300 30202 -637742 30920185 48135945 6351233 8535075 1451585 1708375 415156 -41771 39138159 58337624 0 0 0 0 16955039 18494451 0 0 1423914 13159661 14448014 30114700 32942465 9023459 25395159 96612056 125563606 41298794 52039279 55313262 73524327 X THE CENTER FOR STRATEGIC AND INTERNATIONAL STUDIES IS A PUBLIC POLICY RESEARCH INSTITUTION DEDICATED TO ANALYSIS AND POLICY IMPACT. THE GOAL OF THE CENTER IS TO INFORM AND SHAPE SELECTED POLICY DECISIONS IN GOVERNMENT AND THE PRIVATE SECTOR TO MEET THE INCREASINGLY COMPLEX & DIFFICULT CHALLENGES THAT LEADERS WILL CONFRONT IN THE NEXT CENTURY. 0 0 2330619 2364993 THE DEFENSE INDUSTRIAL INITIATIVES GROUP AT CSIS HOSTED A SERIES OF EVENTS IN 2011 WITH THE DEFENSE INDUSTRY AND DEFENSE DEPARTMENT OFFICIALS TO IMPROVE ACQUISITION POLICIES AND GOVERNANCE MECHANISMS. DIIG ALSO COMPLETED A SERIES OF REPORTS, INCLUDING A REVIEW OF TRENDS IN GOVERNMENT CONTRACTING. THE REPORTS PROVIDED A FRAMEWORK FOR ANALYZING AND EVALUATING OPTIONS TO IMPROVE GOVERNMENT BUDGETING, CONTRACTING AND PROGRAMMING. 2238862 THE GLOBAL HEALTH POLICY CENTER AT CSIS PUBLISHED 22 REPORTS IN 2011, INCLUDING GETTING THE POLITICS RIGHT FOR THE SEPTEMBER 2011 UN HIGH LEVEL MEETING ON NONCOMMUNICABLE DISEASES, WHICH WAS DOWNLOADED OVER 2,000 TIMES THAT YEAR, AND ON THE GROUND WITH THE GLOBAL HEALTH INITIATIVE IN KENYA. IN 2011 THE CENTER ALSO MAINTAINED A HIGHLY INFLUENTIAL BLOG AND CONTINUES ITS WORK TO DATE ON NON-COMMUNICABLE DISEASES. 2459517 2462403 PAC FORUM: 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. 17884106 3581764 OTHER PROGRAMS. 17884106 3581764 24913104 1 1 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 1 0 0 0 0 0 0 0 0 0 1 196 0 1 300 1 1 1 0 0 0 0 0 0 0 0 0 X 39 37 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 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 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 BRZEZINSKI 1.00 X 0 0 0 CARLOS A BULGHERONI 1.00 X 0 0 0 WILLIAM S COHEN 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 LINDA W HART 1.00 X 0 0 0 BEN 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 E NEVILLE ISDELL 1.00 X 0 0 0 JAMES L JONES JR 1.00 X 0 0 0 MUHTAR KENT 1.00 X 0 0 0 HENRY A KISSINGER 1.00 X 32778 0 4709 KENNETH G LANGONE 1.00 X 0 0 0 DONALD B MARRON 1.00 X 0 0 0 JOSEPH NYE JR 1.00 X 0 0 0 THOMAS 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 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 377072 0 24049 JOHN HEYL 40.00 X 249142 0 34998 GREG BROADDUS 40.00 X 196082 0 19805 JOHN MORRISON 40.00 X 191695 0 18886 DAVID BERTEAU 40.00 X 147857 0 27030 FRANK VERRASTRO 40.00 X 172831 0 22505 H ANDREW SCHWARTZ 40.00 X 140478 0 26681 STEPHEN MORRISON 40.00 X 186427 0 18562 ERIK PETERSON 40.00 X 30769 0 3079 RALPH COSSA 40.00 X 153995 0 12118 CRAIG COHEN 40.00 X 117792 0 21671 ALICE BLEVINS 40.00 X 100456 0 15200 JOHANNA N TUTTLE 40.00 X 123547 0 27000 KAREN WONG 40.00 X 112483 0 15399 ANNE COSTELLO 40.00 X 122994 0 18725 WILLIAM BELLAMY 40.00 X 171392 0 13962 CHARLES FREEMAN 40.00 X 170656 0 28131 LISA CARTY 40.00 X 162474 0 19292 MAREN HOLMES 40.00 X 157912 0 16592 VICTOR CHA 40.00 X 154029 0 0 3272861 0 388394 51 0 1 0 HICKOK COLE & ASSOC 1023 31ST STREET NW WASHINGTON DC 20007 ARCHITECTURAL CONSULTING 283643 KILEY & ASSOCIATES 343 4TH ST NE WASHINGTON DC 20002 CONSULTING 260260 KATHRYN HAUSER 2053 VAN TUYL PLACE FALLS CHURCH VA 22043 CONSULTING 222116 GLOVER PARK GROUP 1025 F STREET NW 9TH FLOOR WASHINGTON DC 20004 CONSULTING 140127 GA POWELL LLC 1058 CARRIAGE HILL PARKWAY ANNAPOLIS MD 21401 CONSULTING 124000 6 801593 47334352 50000 48135945 CONTRACTS-GOV'T AGENCY 900099 6460786 6460786 OTHER CONTRACT INCOME 900099 2074289 2074289 8535075 1314807 1314807 290614 286670 3944 3944 3944 30448719 30055151 393568 393568 393568 16668 142583 -125915 -125915 OTHER REVENUE 812930 80200 30202 49998 80200 58337624 8409160 30202 1762317 2558744 1901551 515065 142128 13096103 9695986 2674315 725802 667284 510510 119054 37720 1123658 859662 200478 63518 1048662 802287 187097 59278 63619 55900 7321 398 115150 101179 13251 720 95228 95228 3292862 2893343 378939 20580 34546 12949 20852 745 817158 244345 555362 17451 524330 419440 91279 13611 3669887 2748724 785661 135502 3028858 2890284 24560 114014 1408184 1343759 11418 53007 154555 86 154276 193 417088 417088 125976 47219 76040 2717 PRINTING 260896 161946 66463 32487 BAD DEBT EXPENSE 222107 125000 97107 OTHER EXPENSES 140073 52504 84550 3019 BOOKS & PUBLICATIONS 77497 46430 30043 1024 32942465 24913104 6605447 1423914 3657805 26468412 487815 2025304 16293604 23482564 3236142 4304217 229654 105034 623019 285427 50997050 6192572 40929657 44804478 30817429 21486071 0 325000 2590168 11931 11931 96612056 125563606 2533655 3635556 1800000 2870457 33650000 44002610 3315139 1530656 41298794 52039279 X 12161697 22821585 35168360 42969537 7983205 7733205 55313262 73524327 96612056 125563606 X 25395159 -7184094 X X 0 1 1 X 1 1 X 19967706 29314341 24721387 30920185 48135945 153059564 19967706 29314341 24721387 30920185 48135945 153059564 7510314 145549250 1630344 1513511 990822 830457 1605421 6570555 48471 83012 73846 55766 49998 311093 159941212 33570566 0.91000 0.91840 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 7983205 250000 500000 7733205 7733205 250000 7983205 7733205 7733205 1.00000 0 0 33117228 33117228 10987943 10987943 3666737 3527319 139418 3002474 2487982 514492 222668 177271 45397 44804478 DEFERRED RENT LIABILITY 989593 FMV BOND INTEREST SWAP 541063 1530656 58337624 32942465 25395159 -2397586 -4786508 -7184094 18211065 56274063 -2397586 429253 -1968333 58242396 95228 95228 58337624 33276490 429253 429253 32847237 95228 95228 32942465 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 500,000 ABSHIRE LECTURE 182,000 -------- TOTAL: $7,733,205 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: CSIS HAS ADOPTED 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 2008. PART XI, LINE 8 - OTHER ADJUSTMENTS: LOSS ON INTEREST RATE SWAP -171,400. BAD DEBT ON PROMISES TO GIVE -4,615,108. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSE REPORTED ON PART VIII LINE 6B 286,670. COST GOODS SOLD REPORTED ON PART VIII LINE 8B 142,583. PART XIII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSE REPORTED ON PART VIII LINE 6B 286,670. COST GOODS SOLD REPORTED ON PART VIII LINE 8B 142,583. X 1 1 X X X 0 0 0 0 0 0 0 0 0 JOHN J HAMRE 377072 0 0 0 0 0 24049 0 0 0 401121 0 0 0 JOHN HEYL 249142 0 0 0 0 0 23054 0 11944 0 284140 0 0 0 GREG BROADDUS 196082 0 0 0 0 0 19805 0 0 0 215887 0 0 0 JOHN MORRISON 191695 0 0 0 0 0 18886 0 0 0 210581 0 0 0 DAVID BERTEAU 147857 0 0 0 0 0 15086 0 11944 0 174887 0 0 0 FRANK VERRASTRO 172831 0 0 0 0 0 17731 0 4774 0 195336 0 0 0 H ANDREW SCHWARTZ 140478 0 0 0 0 0 14737 0 11944 0 167159 0 0 0 STEPHEN MORRISON 186427 0 0 0 0 0 18562 0 0 0 204989 0 0 0 RALPH COSSA 153995 0 0 0 0 0 12118 0 0 0 166113 0 0 0 JOHANNA N TUTTLE 122047 0 0 0 1500 0 12945 0 14055 0 150547 0 0 0 WILLIAM BELLAMY 171392 0 0 0 0 0 13962 0 0 0 185354 0 0 0 CHARLES FREEMAN 170656 0 0 0 0 0 16187 0 11944 0 198787 0 0 0 LISA CARTY 162474 0 0 0 0 0 16614 0 2678 0 181766 0 0 0 MAREN HOLMES 157912 0 0 0 0 0 15914 0 678 0 174504 0 0 0 VICTOR CHA 154029 0 0 0 0 0 0 0 0 0 154029 0 0 0 PART I, LINE 1A THE FOLLOWING EMPLOYEES HAVE RECEIVED NONTAXABLE CLUB DUES: JOHN J. HAMRE: $17,113 JOHN HEYL: $3,851 DISTRICT OF COLUMBIA 536001131 25483VEF7 2011-06-16 44815000 REFINANCE LAND PURCHASE 0 0 0 33650000 44815000 3646875 1380422 6137703 2013 0 0 1 1 0 1 1 0 1 1.00000 0.00000 1.00000 1 0 0 0 0 0 1 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. DURING FY2011, WHILE WAITING FOR CONSTRUCTION TO START, CSIS THE LAND WAS USED AS A ARKING LOT TO ACCOMMODATE NEIGHBORING BUILDINGS,. GROSS REVENUE WAS APPROXIMATELY $30,000 COMPARED TO INTEREST FO $1,577,695 AND REAL ESTATE TAXES FO $478,994. THE LOT WAS CLOSED IN SEPTEMBER 2011 IN ANTICIPATION OF STARTING CONSTRUCTION ON THE NEW HEADQUARTERS. X PLANE TICKETS 1 50000 FMV 0 0 0 FORM 990, PART VI, SECTION B, LINE 11 FORM 990 IS REVIEWED BY CHAIRMAN OF THE F&A COMMITTEE BEFORE THE RETURN IS FILED. FORM 990, PART VI, SECTION B, LINE 12C NEW EMPLOYEES SIGN THE COI AND IT'S REVIEWED ANNUALLY; ANNUAL REVIEW WITH BOARD OF TRUSTEES AND IS PUBLISHED IN SOP ON COMPANY INTRANET. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR CORPORATE OFFICERS ARE REVIEWED AND APPROVED BY THE EXECUTIVE COMMITTEE. FORM 990, PART VI, SECTION C, LINE 19 UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -2,397,586. LOSS ON INTEREST RATE SWAP -171,400. BAD DEBT ON PROMISES TO GIVE -4,615,108. TOTAL TO FORM 990, PART XI, LINE 5: -7,184,094. 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.