Smith Richardson Foundation, Inc

SMITH RICHARDSON FOUNDATION, INC.

ANNUAL REPORT 2014

1 2 CONTENTS

1 President’s Letter

5 2014 Grant Awards: International Security and Foreign Policy Program

38 2014 Grant Awards: Domestic Public Policy Program

50 2014 Grant Awards: Direct Service Program

51 Management’s Financial Report

52 Financial Statements

59 Procedures

60 Trustees, Governors, and Officers

61 Staff and Office Locations

63 History

3 4 PRESIDENT’S LETTER

The mission of the Smith Richardson Foundation is to contribute to important public debates and to address serious public policy challenges facing the United States. The Foundation seeks to help ensure the vitality of our social, economic, and governmental institutions. It also seeks to assist with the development of effective policies to compete internationally and to advance U.S. interests and values abroad.

The Foundation advances its mission through its two principal grant making programs: the International Security and Foreign Policy Program and the Domestic Public Policy Program. The Foundation believes that conflict and change in the international environment continually create needs in the U.S. policy community for analysis and guidance on critical foreign and defense policy issues. In the domestic arena, the Foundation believes that policy makers are seeking innovative and pragmatic solutions to the long-term challenges affecting the well being of all Americans.

International Security and Foreign Policy

The objective of the International Security and Foreign Policy Program is to assist the U.S. policy community in developing effective national security strategies and foreign policies. The Foundation is committed to supporting projects that help the policy community face the fundamental challenge of ensuring the security of the United States, protecting and promoting American interests and values abroad, and enhancing international order.

For many years, the International Security and Foreign Policy Program has sought to address new security challenges facing the United States, including the threat of terrorism and the rise of cyber conflict, while still maintaining a focus on developments within and relations among great powers. While intensifying turmoil in the Middle East will continue to demand the attention of U.S. policy makers, developments in East Asia and Europe call for renewed attention among policy makers to the classic dilemmas of great power politics. At the same time, the Foundation has sought to support new thinking on how to reshape U.S. political, military, and economic instruments of power to cope with current and future challenges. The Foundation also provides funding to foster the next generation of scholars and analysts and underwrites historical research with implications or lessons for current policy.

The following grants illustrate the types of projects supported by the International Security and Foreign Policy Program:

 The Atlantic Council of the United States: A researcher at the council will undertake research and convene working groups to develop recommendations for reforming Ukraine’s economy, energy sector, and military in order to strengthen the country internally and to counter pressure from Russia more effectively.

1  Center for a New American Security: A team of researchers at the center will explore how the proliferation of drone technology might shape the actions of state and non-state actors and affect the international security environment.

 Center for Strategic and International Studies: A scholar at the center will develop a set of recommendations for how the United States should modernize and structure its nuclear forces.

 Council on Foreign Relations: A scholar at the council will examine how Japan’s security posture is evolving in response to increased tensions with China.

 Institute for State Effectiveness: A team of experts from the institute will work with officials in Afghanistan to develop and field initiatives to build state institutions capable of ensuring the country’s longer-term stability and prosperity.

 The RAND Corporation: A scholar at the corporation will assess the factors that determine the success and failure of insurgencies and the ways that state actors have used insurgents as a vehicle for proxy competition.

Domestic Public Policy

The Domestic Public Policy Program supports projects that are intended to help the public and policy makers better understand and address critical challenges facing the United States. To that end, the Foundation supports research on and evaluation of existing public policies and programs, as well as projects that inject new ideas into public debates.

The Foundation believes that policy makers face a series of challenges that need to be met if the United States is going to continue to prosper and provide opportunity to all of its citizens. One such challenge is to enhance social and economic mobility through such measures as improving the quality of the primary and secondary school sector and providing opportunities for post-secondary education and training for adults. A second challenge is to create an economic climate hospitable to entrepreneurship and growth. This will require a rethinking of how governments at all levels raise revenue and make fiscal choices among competing priorities as well as greater attention to balancing the costs and benefits of regulatory initiatives.

The following grants illustrate the types of projects supported by the Domestic Public Policy Program:

 Committee for a Responsible Federal Budget: The committee will convene a working group chaired by former members of Congress to develop reform proposals for the Social Security Disability Insurance program.

2  Harvard University: A group of scholars affiliated with the university will assess how various socio-economic factors, such family formation and school quality, can explain differences in social mobility that exist across the United States.

 Resources for the Future: A team of researchers affiliated with the organization will measure how increased domestic production of oil and gas resources is affecting the employment and output of U.S. manufacturers.

 Tulane University: A scholar at the university will assess whether reforms undertaken in New Orleans in the aftermath of Hurricane Katrina led to increases in levels of student achievement.

 University of Chicago: A team of scholars affiliated with the university will evaluate whether an intensive tutoring program coupled with an intervention designed to develop non-cognitive skills, such as self-regulation and empathy, can reduce rates of high school dropout and increase student achievement.

The Trustees of the Smith Richardson Foundation believe that the country’s well being depends on vigorous and capable domestic institutions and strong leadership around the world. They hope that through wise and strategic grant making they will enhance the capacity of the public and the policy making community to advance the interests of the nation as a whole.

Peter L. Richardson President

3 4 INTERNATIONAL SECURITY AND FOREIGN POLICY PROGRAM

America Abroad Media Washington, DC AAM Journalism Fellowship Program $149,244 Aaron Lobel will lead an effort to improve the understanding of the United States among the publics of strategically important Muslim- majority countries by engaging leading local journalists through an exchange program. The project will bring journalists to Washington, where they will attend briefings and meetings and produce programming segments for their news organizations. America and the Muslim World: A Public Diplomacy Initiative $200,000 Aaron Lobel will develop and broadcast public affairs programming in partnership with local media in Afghanistan, Pakistan, Tunisia, Egypt, and the Kurdistan Regional Government. Rethinking U.S. International Broadcasting: A Conversation on $220,550 Mission, Strategy, and Organization with Policy Implications and Recommendations S. Enders Wimbush will lead an effort to develop recommendations to reform U.S. international broadcasting. In light of changes in communications technologies, he will examine how the mission of U.S. international broadcasting should be adapted to current political challenges and how the relationship between broadcasting and U.S. foreign policy should be structured. The project’s findings will appear in a monograph.

American Enterprise Institute for Public Policy Research Washington, DC India Rebooted: How the Rise of the Right Will Change the World's $123,950 Largest Democracy Sadanand Dhume will research and write a book that will explore how India might evolve politically following the election of Prime Minister Narendra Modi. He will conduct field work and organize workshops focusing on Modi’s policies in four areas: the economy, foreign policy, pluralism, and India’s relations with the Indian diaspora.

5 Iranian Security Decision-Making since the Iran-Iraq War $100,000 IranianIranianJ. MatthewSecurity Security DecisionMcInnis Decision -willM-Makingaking research since since and the the writeIran Iran- Iraqa-Iraq monograph War War that will $100,000$100,000 examine Iran's strategic culture and the operational code underlying J.J. Matthew Matthew McInnis McInnis will will research research and and write write a amonograph monograph that that will will itsJ. Matthew foreign and McInnis security will polici researches. He and will write analyze a monographnewly available that will examineexamine Iran's Iran's strategic strategic culture culture and and the the operational operational code code underlying underlying primaryexamine sourceIran's strategicIranian documents culture and on the strategy, operational military code doctrine, underlying itsits foreign foreign and and security security polici policies.es. 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6 The Atlantic Council of the United States Washington, DC India's National Security Strategy in Space $25,000

Bharath Gopalaswamy will research and write a book that will examine India’s national security strategy for space. He will analyze Indian primary and secondary source materials, carry out structured and semi-structured interviews with experts and officials in India, and organize a workshop involving U.S. experts on Indian space and security policy. Tapping into Local Knowledge about Arab Transitions $100,000 Mirette Mabrouk will recruit a network of local analysts in key Arab states and commission papers from these analysts on five themes: new political and social forces, economic conditions, constitutional and legal developments, security threats and security sector reform, and evolving attitudes toward the United States. The findings of this project will be presented in a series of papers and a monograph. Ukraine in Europe Initiative: Galvanizing the Transatlantic Community $143,000 John Herbst will lead an effort to identify policy options to help Ukrainians stabilize their country and define their nation's future geopolitical orientation. He will convene working groups to develop an actionable agenda for reforming the economy, bolstering Ukraine’s military capabilities, securing its energy sector, enhancing national unity, countering Russian propaganda, responding to Russia's violations of international law, and anticipating President Putin's next moves. The project’s findings will appear in a monograph.

Atlas Economic Research Foundation Washington, DC Gazprom and Rosatom: Operations and Behavioral Characteristics in $95,000 Central and Eastern Europe, Foreshadowing the Post-Ukraine Crisis Energy Environment Roger Robinson will research and write a monograph that will explore how Russia uses its state-owned companies and energy resources as strategic instruments to advance its foreign policy goals. He will analyze Gazprom’s operations in Europe over the past ten years to understand Russia's strategy and tactics and assess the possibility that Rosatom will use a similar approach to enable Russia to gain geopolitical advantage in Central Europe.

7 Bipartisan Policy Center Washington, DC Turkey's Democratic Decline: Causes and Consequences $242,275

Eric Edelman and Blaize Misztal will research and write a monograph on rising social unrest and authoritarianism in Turkey. They seek support to conduct research and interviews to examine the nature of the increasingly authoritarian political system emerging under President Erdogan and to explore whether and how the United States should seek to respond to the erosion of Turkey’s democratic system.

Brookings Institution Washington, DC Arab Society and Arab Military Effectiveness $100,000

Kenneth Pollack will research and write a book that will assess whether the militaries of Arab states are capable of reestablishing or maintaining internal political order and creating a balance of power vis-à-vis Iran. He will undertake case studies that will explore the impact on Arab military performance of factors such as the politicization of officer corps, the level of socio-economic development of Arab societies, and the impact of Arab culture. The Future of Land Warfare $50,000 Michael O’Hanlon will research and write a book that will analyze how armed conflict could unfold in various regions of the world and assess how U.S. ground forces should be sized and configured to deter and respond to this range of contingencies.

Carnegie Endowment for International Peace Washington, DC Bank Shot: Tapping Japan's Foreign Policy Potential to Support U.S. $60,000 Security Strategies James Schoff will research and write a monograph that will explore opportunities for strengthened U.S.-Japanese military cooperation that could support U.S. strategy in East Asia and contribute to enhanced bilateral political and economic cooperation. India-China Relations in Asia: Revisiting India's “Look East” Policy $50,000 Frédéric Grare will research and write a book that will examine India’s strategic outlook toward East Asia and analyze how its foreign policy is formulated and executed in pursuit of its strategic goals. He will commission research papers, conduct field work in India and other Asian countries, and organize roundtables in India and the United States.

8 Understanding Nuclear Escalation Dynamics in South Asia $150,000$150,000 UnderstandingGeorge Perkovich Nuclear and Escalation Toby Dalton Dynamics will research in South and Asia write a book exploringGeorge Perkovich the strategicand dynamicsToby Dalton in South will research Asia that and could write lead a book to theexploring use of thenuclear strategic weapons dynamics by India in South or Pakistan Asia that and could the options lead to the availableuse of nuclear to the weapons United States by India to preventor Pakistan the eandscalation the options of such conflictsavailable. to They the Unitedwill analyze States primary to prevent and the secondary escalation source of such materialsconflicts. from They Pakistan, will analyze India, primary and the and United secondary States source and conduct materials interviewsfrom Pakistan, with India, current and and the former United officials States andand conduct experts frominterviews those countries.with current and former officials and experts from those countries.

Center for a New American SecSecurityurity Washington, DC A World of Proliferated Drones $100,000 $100,000 Ben FitzGerald, Paul Scharre, and Michael Horowitz will research and write a monograph that will examine the security and policy challenges posed by the proliferation of drone technology wworldwide.orldwide. They will estimate the drone capabilities that will be available to state and non-state actors, assess the range of possible uses of such systems, survey public and official views regarding the use of drones, and consider the escalation dynamics associated with conflicts involvinginvolving drone systems.

Center for European Policy Analysis Washington, DC Unquiet Frontier: Geopolitical Change and Alliance Diversification $135,102$135,102 Strategies in Frontline NATO States after Crimea Wess Mitchell anandd Jakub Grygiel will research and write a monograph assessing options to shape the security environment in Central and East Europe in the wake of Russia'sRussia’s aggressionaggression againstagainst Ukraine. They will explore questions surrounding MoscowMoscow's’s calculus in the region and what the UnitedUnited States and Central and East European states might do to alter RussiaRussia's’s calculationscalculations..

9 Center for Strategic and Budgetary Assessments Washington, DC Decline or Renewal? Adapting U.S. Defense Strategy, Capabilities, $250,000 and Posture for a New Era Andrew Krepinevich will lead an effort to think through the major defense strategy choices required to address the changing security environment amid budgetary constraints. He and his colleagues will outline a strategy based on assured access to regions critical to U.S. security; examine the metrics and spending for military readiness; and analyze the needed evolution of maritime, ground, special operations, and strategic nuclear forces. The findings of the project will be presented in a series of six monographs. Strategic Choices 2.0: Enlightening the Debate $100,000 Andrew Krepinevich and James Thomas will lead an effort to assess how best to use defense resources in light of emerging strategic challenges and budget constraints. They will make use of the “strategic choices tool,” which provides users with more than 750 pre-costed items that can be added or subtracted from the baseline defense budget and force structure. They will run strategic choices exercises with a variety of groups in the policy community.

Center for Strategic and International Studies, Inc. Washington, DC Eurasia from the Inside Out $100,000

Andrew Kuchins and Jeffrey Mankoff will identify the major political and economic developments shaping the geopolitics of Eurasia and examine how these developments might impact U.S. interests. They will undertake field research and interviews in Azerbaijan, Armenia, Georgia, Turkmenistan, Kazakhstan, Uzbekistan, Kyrgyzstan, and Tajikistan in order to identify and analyze the factors shaping how the government and political elites of each country articulate their national interests and advance strategies for achieving them. The project’s findings will appear in a series of reports.

10 Logic Within Chaos: How Transnational Organized Crime Groups $158,400 Displace the State Douglas Farah will research and write a monograph that will examine whether transnational organized crime groups in Central America have achieved sufficient influence so that they effectively govern certain regions. He will conduct field work in order to document how organized crime groups have established parallel power structures, analyze how the alternative structures contribute to the weakening power of the state, and consider the implications of his findings for other regions of the world. Project Atom $252,051 Clark Murdock will research and write a monograph that will explore the possibility of developing a new consensus on the structure and modernization of U.S. nuclear forces in the run-up to the Nuclear Posture Review scheduled for 2017. He will convene three competing teams to develop proposals for reshaping U.S. nuclear forces. Responding to Cyber Attack $48,637 James Lewis will lead an effort to develop ideas about how the principles of deterrence and retaliation could be applied to cyber weapons. He will create and undertake a war game to identify potential issues that policy makers are likely to confront in managing an international crisis in cyber space. The project’s findings will be presented in a report and articles. Smart Power and Private Sector Development in U.S. Foreign Policy $125,000 Daniel Runde and Robert Lamb will lead an effort to examine whether private-sector development efforts working in tandem with U.S. foreign policy can improve economic development outcomes and contribute to the achievement of broader policy objectives. The project’s findings will be presented in a series of papers and a report. Strategic Implications of North Korea's Cyber Warfare Capabilities $100,000 Victor Cha will explore the possibility that North Korea might execute asymmetric cyberattacks on public and private networks. He will analyze Korean- and English-language open source materials on North Korean cyber capabilities and conduct interviews with U.S. and South Korean officials and cyber security experts. The project’s findings will be presented in a report and a series of briefings.

Chicago Council on Global Affairs Chicago, IL Dominance and Resistance: State and University in Post-Revolutionary $25,000 Iran Saeid Golkar will research and write a book exploring the contest between the clerical establishment and Iranian society over control of the country’s university system. He will analyze primary and secondary sources and conduct interviews in order to examine how the relationship between the Iranian government and universities is shaping the evolution of Iran.

China Vitae Inc. Bethesda, MD China Vitae $175,000

David Gries will edit and publish China Vitae, a searchable database of the top 5,000 officials and leading figures in the Chinese political system that is designed to assist scholars and practitioners in conducting leadership analysis.

CNA Corporation Arlington, VA China as a Maritime Power: What Would This Mean for the United $266,524 States? Michael McDevitt, Thomas Bickford, Dov Zakheim, and Gary Roughead will explore the geostrategic implications of China’s efforts to become a maritime power. They will analyze Chinese political and military writings, commission research papers, and conduct interviews with Chinese, Asian, and U.S. military officials and experts. The project’s findings will be presented as a co- authored monograph and a series of briefings for the military and broader policy communities.

The College of William & Mary Williamsburg, VA Buying Influence in a Crowded Market $150,000 Bradley Parks will research and write a monograph that will explore how to improve the effectiveness of foreign aid and other “soft power” instruments of U.S. foreign policy. He will make use of an existing database of more than 35,000 members of policy elites in 126 countries to assess the relative influence of a variety of donor countries and institutions. He will field a survey to assess whether, where, and why the United States is losing or gaining influence in developing countries and identify factors that seem to shape the policy influence of donors. 12 Committee for Human Rights in North Korea Washington, DC From Cradle to the Grave: Seeking Accountability and Humanitarian $175,000 Redress in North Korea Greg Scarlatoiu will lead an effort to encourage the policy community to incorporate the issue of human rights more centrally into U.S. policy toward North Korea. He will commission research on famine mortality, sponsorship of terrorism from 1987 to 2014, the mass graves of political prisoners, and the abuse of children. The project’s findings will be published in four reports.

Council on Foreign Relations New York, NY A World Upended: The Making and the Meaning of the Marshall Plan $108,340

Benn Steil will research and write a book that will examine how the Marshall Plan contributed to institution-building and economic development in postwar Europe. Japan-China Conflict and the Future of the U.S.-Japan Alliance $75,000 Sheila Smith will research and write a book that will assess whether Japan may be in the process of adopting a more autonomous security policy as a result of new tensions in its relations with China and other neighbors. She will track and analyze changes in Japan’s investment in military power, the debate over constitutional revisions, the rise of political forces seeking strategic confrontation with China, the level of dissatisfaction with Washington’s support for Japan, and Japan’s use of economic leverage to influence Chinese behavior. The College of William & Mary Williamsburg, VA Buying Influence in a Crowded Market $150,000 Bradley Parks will research and write a monograph that will explore how to improve the effectiveness of foreign aid and other “soft power” instruments of U.S. foreign policy. He will make use of an existing database of more than 35,000 members of policy elites in 126 countries to assess the relative influence of a variety of donor countries and institutions. He will field a survey to assess whether, where, and why the United States is losing or gaining influence in developing countries and identify factors that seem to shape the policy influence of donors.

Committee for Human Rights in North Korea Washington, DC From Cradle to the Grave: Seeking Accountability and Humanitarian $175,000 Redress in North Korea Greg Scarlatoiu will lead an effort to encourage the policy community to incorporate the issue of human rights more centrally into U.S. policy toward North Korea. He will commission research on famine mortality, sponsorship of terrorism from 1987 to 2014, the mass graves of political prisoners, and the abuse of children. The project’s findings will be published in four reports.

Council on Foreign Relations New York, NY A World Upended: The Making and the Meaning of the Marshall Plan $108,340

Korea's Strategic Choices and Management of Regional Rivalries in $198,000 Northeast Asia Scott Snyder will research and write a book that will identify the principal currents of strategic thinking in South Korea that will shape its future foreign and security policy. He will organize a three-day conference involving leading South Korean and U.S. thinkers on international relations and strategy and conduct interviews with South Korean academics, political leaders, and opinion makers. Military Advice and Presidential Decision-Making: Mending the $100,000 Broken Dialogue Janine Davidson will research and write a book that will examine the deliberative process between senior civilian and military officials who are charged with developing options when the President is considering the use of force. She will conduct research and interviews and convene working groups in order to examine the cultural and institutional drivers that produce civil-military frictions in developing responses to military contingencies.13 The Politics of China's Environmental Health Crisis $104,527 Yanzhong Huang will research and write a book that will analyze whether the Chinese political system is capable of coping with China’s environmental and public health crisis and how this crisis might affect China’s politics. The U.S.-ROK Alliance: Lynchpin for Managing Stability in the Asia $100,000 Pacific Scott Snyder will direct the research and publications program of a center designed to catalyze deeper understanding of Korean affairs within the U.S. policy community and contribute to new thinking on U.S.-Korean relations. The center will undertake work on ways to encourage South Korea’s growing global ambitions, to expand the U.S.-South Korea partnership beyond the bilateral security alliance, and to coordinate policy toward North Korea. The project’s findings will appear in a series of monthly analyses and bilateral policy reports.

Korea's Strategic Choices and Management of Regional Rivalries in $198,000 Northeast Asia Scott Snyder will research and write a book that will identify the principal currents of strategic thinking in South Korea that will shape its future foreign and security policy. He will organize a three-day conference involving leading South Korean and U.S. thinkers on international relations and strategy and conduct interviews with South Korean academics, political leaders, and opinion makers. Military Advice and Presidential Decision-Making: Mending the $100,000 Broken Dialogue Janine Davidson will research and write a book that will examine the deliberative process between senior civilian and military officials who are charged with developing options when the President is considering the use of force. She will conduct research and interviews and convene working groups in order to examine the cultural and institutional drivers that produce civil-military frictions in developing responses to military contingencies. The Politics of China's Environmental Health Crisis $104,527 Yanzhong Huang will research and write a book that will analyze whether the Chinese political system is capable of coping with China’s environmental and public health crisis and how this crisis might affect China’s politics. The U.S.-ROK Alliance: Lynchpin for Managing Stability in the Asia $100,000 Pacific Scott Snyder will direct the research and publications program of a center designed to catalyze deeper understanding of Korean affairs within the U.S. policy community and contribute to new thinking on U.S.-Korean relations. The center will undertake work on ways to encourage South Korea’s growing global ambitions, to expand the U.S.-South Korea partnership beyond the bilateral security alliance, and to coordinate policy toward North Korea. The project’s findings will appear in a series of monthly analyses and bilateral policy reports.

Davidson College Davidson, NC The Salvador Option: U.S. Counterinsurgency and Nation-BNation-buildinguilding in $50,000$50,000 ElEl Salvador,Salvador, 1977-19921977-1992

Russell Crandall will research and write a book that willwill assess

approaches for the conduct of irregular warfare. He will conduct

archival research and interviews in order to analyze the history of the

U.S.the U.S. intervention intervention in El in Salvador El Salvador and andto draw to draw out outlessons lessons and and implications for future U.S. interventions.

The Dui Hua Foundation San Francisco, CA Human Rights in China under Xi Jinping $160,000 $160,000 John Kamm will lead an effort to examine the rise of political dissent and social unrest in China and to gauge the Chinese regime's reactionsregime's reactionsto growing to socialgrowing turmoil. social turmoil.He will research He will Chineseresearch law andChinese regulations law and as regulations well as the as cases well of as individual the cases ofpolitical individual detai nees, conductpolitical quarterlydetainees, tripsconduct to China quarterly to discuss trips tothese China cases to discusswith these representativescases with representatives of the Ministries of the ofMinistries Foreign14 ofAffairs Foreign and Affairs Justice, andand engageJustice, inand policy engage outreach in policy to theoutreach U.S. and to theother U.S. governments and other in additiongovernments to non in- governmentaladdition to non organizations-governmental involved organizations in human rightsinvolved advocacy in human vis -rightsà-vis China.advocacy The vis project's-à-vis China. findings The will project appear’s infindings a series will of papers,appear inreports, a series and of otherpapers, publications. reports, and other publications.

Electric Infrastructure Security Council Washington,Electric Infra DCstructure Security Council StateWashington, Initiatives DC to Achieve Preparedness against an Electromagnetic PulseState InitiativesCatastrophe to Achieve Preparedness against an Electromagnetic $148,500$148,500 PulsePeter Catastrophe Vincent Pry will lead an effort to develop ideas to protect the U.S.Peter electric Vincent grid Pry from will leadan electromagnetic an effort to develop pulse ideas(EMP) to producedprotect the by aU.S. deliberate electric nuclear grid from attack an electromagnetior by a naturalc geomagnetic pulse (EMP) solar produced storm. Theby a pdeliberateroject will nuclear undertake attack case or stud by aies naturalof state geomagnetic-level initiatives solar underwaystorm. The to p addressroject will the undertakeEMP threat. case The stud project’sies of state findings-level will be presentedinitiatives inunderway a monograph. to address the EMP threat. The project’s findings will be presented in a monograph. Davidson College Davidson, NC The Salvador Option: U.S. Counterinsurgency and Nation-building in $50,000 El Salvador, 1977-1992 Russell Crandall will research and write a book that will assess approaches for the conduct of irregular warfare. He will conduct archival research and interviews in order to analyze the history of the U.S. intervention in El Salvador and to draw out lessons and implications for future U.S. interventions.

The Dui Hua Foundation San Francisco, CA Human Rights in China under Xi Jinping $160,000

John Kamm will lead an effort to examine the rise of political dissent and social unrest in China and to gauge the Chinese regime's reactions to growing social turmoil. He will research Chinese law and regulations as well as the cases of individual political detainees, conduct quarterly trips to China to discuss these cases with representatives of the Ministries of Foreign Affairs and Justice, and engage in policy outreach to the U.S. and other governments in addition to non-governmental organizations involved in human rights advocacy vis-à-vis China. The project’s findings will appear in a series of papers, reports, and other publications.

Electric Infrastructure Security Council Washington, DC State Initiatives to Achieve Preparedness against an Electromagnetic $148,500 Pulse Catastrophe Peter Vincent Pry will lead an effort to develop ideas to protect the U.S. electric grid from an electromagnetic pulse (EMP) produced by a deliberate nuclear attack or by a natural geomagnetic solar storm. The project will undertake case studies of state-level initiatives underway to address the EMP threat. The project’s findings will be presented in a monograph.

Foreign Policy Research Institute Philadelphia, PA Indirect Approaches for Modern Competitive Environments in a $47,500 Disordered World Michael Noonan will research and write a book that will identify a range of tools that the United States can employ to influence outcomes in irregular conflicts. He will conduct research, analysis, and interviews in order to develop a typology of offensive and defensive approaches to such conflicts and identify conditions under which an indirect approach might work best to advance U.S. interests. Special Operations Forces as an Instrument of National Security Policy $50,000 Mark Moyar will research and write a book that will assess the strengths and limitations of U.S. special operations forces. He will analyze the evolution and effectiveness of special forces from World War II to the present, consider their manpower requirements, analyze their relationship with conventional forces, and study the impact of their growth on the larger U.S. Army.

15 The Foundation for Defense of Democracies Washington, DC Study of Economic Warfare with Russia $195,250

Juan Zarate and Mark Dubowitz will lead an effort to explore policy options to intensify financial pressure on the Russian government in response to its actions in Ukraine. They will identify opportunities to target various sectors of the Russian economy, to tailor sanctions to affect Russia’s governing and economic elites, and to assess possible ways that increased sanctions might lead Russia to harm U.S. or European interests. The project’s findings will appear in a monograph.

Freedom House Washington, DC Freedom in the World: The Annual Survey of Political Rights and Civil $200,000 Liberties Arch Puddington will research and edit Freedom in the World, an annual survey of political freedom and democracy around the globe. Foreign Policy Research Institute Philadelphia, PA Foreign Policy Research Institute Indirect Approaches for Modern Competitive Environments in a Philadelphia, PA Disordered World $47,500 Indirect Approaches for Modern Competitive Environments in a $47,500 DisorderedMichael World Noonan will research and write a book that will identify a range of tools that the United States can employ to influence Michael Noonan will research and write a book that will identify a outcomes in irregular conflicts. He will conduct research, analysis, range of tools that the United States can employ to influence and interviews in order to develop a typology of offensive and outcomes in irregular conflicts. He will conduct research, analysis, defensive approaches to such conflicts and identify conditions under and interviews in order to develop a typology of offensive and which an indirect approach might work best to advance U.S. defensive approaches to such conflicts and identify conditions interests. under which an indirect approach might work best to advance U.S. interests. Special Operations Forces as an Instrument of National Security Policy $50,000$50,000 Mark Moyar will research and write a book that will assess the strengths and limitations of U.S. special operations forces. He will analyze the evolution and effectiveness of special forces from World WorldWar II Warto the II present, to the present, consider consider their manpower their manpower requirements, reqanauirements,lyze their relationshipanalyze the irwithrelationship conventional with forces, conventional and study forces, the andimpact study of thetheir impactgrowth of on the their growthlarger U.S.on the Army. larger U.S. Army.

The Foundation for Defense of Democracies Washington, DC Study of Economic Warfare with Russia $195,250$195,250

Juan Zarate and Mark Dubowitz will lead an effort to explore policy policyoptions options to intensify to intensify financial financial pressure pressure on the Russianon the Russian government in governmentresponse to itsin actionsresponse in to Ukraine its actions. They in Ukrainewill identify. They opportunities will identifyto target opportunitiesvarious sectors to oftargetthe Russianvarious sectorseconomy, of theto tailor Russian sanctions economy,to affect Russia’to tailors governing sanctions andto affect economic Russia’ elites,s governing and to assess and economicpossible ways elites, that and increased to assess sanctions possible mightways thatlead increased Russia to harm sanctionsU.S. or E uropeanmight lead interests. Russia Theto harm project’ U.S.s orfindings European will interests. appear in a Themonograph. project’s findings will appear in a monograph.

Freedom House Washington, DC Freedom in the World: The Annual Survey of Political Rights and Civil $200,000 Liberties $200,000 Arch Puddington will research and edit Freedom in the World, an annual survey of political freedom and democracy around the globe. globe.

The George Washington University Washington, DC The Chinese Communist Party's Strategy for Survival $196,625

Bruce Dickson will research and write a book that will explore the prospects for discontinuous political change in China by assessing the efficacy of the measures the ruling Chinese Communist Party employs to preserve and strengthen its hold on power. He will field a nationwide public opinion survey in China and undertake a series of formal and informal interviews with focus groups, local party and government officials, and Chinese citizens from a representative spectrum of the society.

Harvard University Cambridge, MA China's Choices: Scenarios for China's Future $100,000

William Overholt will research and write a book that will assess the likelihood of a variety of scenarios for China’s political and economic evolution. He will conduct interviews with Chinese, Asian, and U.S. experts and policy makers; analyze published source materials; and explore a series of scenarios that China is likely to face during the coming decade.

The Henry L. Stimson Center Washington, DC 16 Hu Yaobang and the Struggle for Political Reform in China $125,000

Robert Suettinger will research and write a book that will examine the dynamics of power politics at the highest echelons of the Chinese Communist Party and assess the likelihood that advocates for political reform can emerge at that level of the system. He will collect and analyze Chinese and Western source materials about Hu Yaobang, who served as general secretary of the Chinese Communist Party from 1982 until his purge in 1987, and conduct interviews in China with members of Hu’s family as well as intellectuals involved in the current debate about how his career should be judged historically. The George Washington University Washington, DC The Chinese Communist Party's Strategy for Survival $196,625

Harvard University Cambridge, MA China's Choices: Scenarios for China's Future $100,000

The Henry L. Stimson Center Washington, DC Hu Yaobang and the Struggle for Political Reform in China $125,000

Hoover Institution Stanford, CA Blueprint for Pentagon Personnel Reform $50,000

Tim Kane will lead an effort to develop approaches to reform the military personnel system. He will conduct a survey of officers to assess problems with the current system, undertake a budgetary assessment of reform options, and assemble a task force of experts from the military and the private sector to critique his work and help advance its recommendations. The project’s findings will appear in a monograph. China Leadership Monitor $120,903 Alice Lyman Miller will edit and publish the China Leadership Monitor. The publication will track China’s leadership politics in six areas: foreign policy, military affairs, economic affairs, political reform, Communist party affairs, and center-provincial relations.

Hudson Institute, Inc. Washington, DC Balancing the Three Goals of U.S. International Broadcasting $136,191

Martha Bayles will convene a series of working groups to analyze how to advance the three traditional goals of U.S. public diplomacy: sharing information about the United States, presenting and advocating U.S. government policies, and reporting on news for audiences in countries with authoritarian or totalitarian governments. She will assess how the United States has balanced these goals in the past and develop recommendations about how to develop programming relevant to today’s media environment. The project’s findings will appear in a report. Current Trends in Islamist Ideology $147,323 Hillel Fradkin will edit and publish Current17 Trends in Islamist Ideology, a journal that will analyze the ideological and political debates within and among transnational Islamist movements. Hoover Institution Stanford, CA Blueprint for Pentagon Personnel Reform $50,000

Hudson Institute, Inc. Washington, DC Balancing the Three Goals of U.S. International Broadcasting $136,191

Martha Bayles will convene a series of working groups to analyze how to advance the three traditional goals of U.S. public diplomacy: sharing information about the United States, presenting and advocating U.S. government policies, and reporting on news for audiences in countries with authoritarian or totalitarian governments. She will assess how the United States has balanced these goals in the past and develop recommendations about how to develop programming relevant to today’s media environment. The project’s findings will appear in a report. Current Trends in Islamist Ideology $147,323 Hillel Fradkin will edit and publish Current Trends in Islamist Ideology, a journal that will analyze the ideological and political debates within and among transnational Islamist movements.

Cyber-Enabled Economic Warfare: An Evolving Challenge for the U.S. $142,714 Samantha Ravich will lead an effort to explore whether cyberattacks could be used to undermine the U.S. economy and weaken national security. She will analyze how economic warfare could be carried out by cyberattacks, identify actors with the capabilities and motivations to undertake such actions, assess the vulnerabilities of the U.S. economy to a purposeful campaign of cyberattacks, develop approaches to deter and defend against adversaries employing these means, and recommend policy reforms to increase preparedness and resilience against cyber-enabled economic warfare. The project’s findings will appear in a monograph and related papers. Optimizing Iran: What Role Can the Opposition Play? $50,000 Cheryl Benard will lead an effort to explore the role that Iran’s opposition groups could play in shaping the future of Iran and U.S.- Iranian relations. She will convene a conference that brings together a cross section of leading U.S. experts on Iran and national security policy to analyze the nature and potential political influence of those opposition groups. The project’s findings will appear in a report. Political Strategies for U.S. Alliance Building in the New Middle East $120,441 Eric Brown and Samuel Tadros will lead an effort to examine how political order and stability in the greater Middle East might be reconstituted. They will examine the political competitions underway in Egypt, Tunisia, Morocco, Turkey, the Kurdish Regional Government, the United Arab Emirates, and India. They will map the competing players at the subnational, national, and regional levels and assess the dynamics of the political and ideological contests for the allegiance of local communities. The project’s findings will be presented in two monographs and a series of papers.

The Initiative for Global Development Washington, DC Increasing Access to Reliable Power in Africa $149,617

Robert Mosbacher and Mima Nedelcovych will examine whether public-private agreements to build new power plants can be used to increase access to electricity in Africa. They will work with several African governments regarding the adoption of a set of standardized documents to set forth the terms for building and financing power plants and measure the18 extent to which such agreements can accelerate the planning and negotiation process. The project’s findings will appear in a paper and series of briefings Cyber-Enabled Economic Warfare: An Evolving Challenge for the U.S. $142,714 Samantha Ravich will lead an effort to explore whether cyberattacks could be used to undermine the U.S. economy and weaken national security. She will analyze how economic warfare could be carried out by cyberattacks, identify actors with the capabilities and motivations to undertake such actions, assess the vulnerabilities of the U.S. economy to a purposeful campaign of cyberattacks, develop approaches to deter and defend against adversaries employing these means, and recommend policy reforms to increase preparedness and resilience against cyber-enabled economic warfare. The project’s findings will appear in a monograph and related papers. Optimizing Iran: What Role Can the Opposition Play? $50,000 Cheryl Benard will lead an effort to explore the role that Iran’s opposition groups could play in shaping the future of Iran and U.S.- Iranian relations. She will convene a conference that brings together a cross section of leading U.S. experts on Iran and national security policy to analyze the nature and potential political influence of those opposition groups. The project’s findings will appear in a report. Political Strategies for U.S. Alliance Building in the New Middle East $120,441 Eric Brown and Samuel Tadros will lead an effort to examine how political order and stability in the greater Middle East might be reconstituted. They will examine the political competitions underway in Egypt, Tunisia, Morocco, Turkey, the Kurdish Regional Government, the United Arab Emirates, and India. They will map the competing players at the subnational, national, and regional levels and assess the dynamics of the political and ideological contests for the allegiance of local communities. The project’s findings will be presented in two monographs and a series of papers.

The Initiative for Global Development Washington, DC Increasing Access to Reliable Power in Africa $149,617

Institute for Democracy in Eastern Europe Washington, DC 25 Years After 1989: A Time for Reflection on Unfinished Business $50,000

Eric Chenoweth and Irena Lasota will lead an effort to develop ideas to support ongoing democratic transitions in the Central and East European region. They will commission papers that will analyze the 1989-91 revolutions, assess the varying outcomes of these events, and consider options to address the remaining challenges across the region. The project’s findings will appear in a monograph and edited volume.

The Institute for Foreign Policy Analysis, Inc. Cambridge, MA Coalition Management and Escalation Control in a Multinuclear World $150,000

Jacquelyn Davis and Robert Pfaltzgraff will lead an effort to catalyze new thinking about how to control escalation and manage coalitions in the second nuclear age. They will undertake analyses to examine emerging technology options for strategic deterrence, alliance and coalition management challenges in a world with multiple nuclear powers, and the degree to which potential competitors believe that the U.S. strategic position in the world is eroding. The project’s findings will appear in a monograph, articles, and briefings. Intelligence Leads the Way: Meeting the Challenge of Weak States, $50,000 Armed Groups and Irregular Conflict Richard Shultz will research and write a book that will develop ideas on how the U.S. policy community could improve its intelligence capabilities to counter armed groups that use irregular warfare methods to pursue their objectives. He will evaluate how the four elements of intelligence – collection, analysis, counterintelligence, and covert action – need to change to cope effectively with the clandestine organizational and operational characteristics of armed groups. 19 Institute for Democracy in Eastern Europe Washington, DC 25 Years After 1989: A Time for Reflection on Unfinished Business $50,000

The Institute for Foreign Policy Analysis, Inc. Cambridge, MA Coalition Management and Escalation Control in a Multinuclear World $150,000

Institute for State Effectiveness Washington, DC Consolidating Afghanistan's Transition $275,000

Clare Lockhart, Scott Guggenheim, and Homayun Qayoumi will lead an effort to assist the new leadership of Afghanistan to design and implement initiatives to enhance the country’s prospects for success as it assumes full sovereignty over political, security, and economic matters. They will create a policy planning and analytical capability that will capitalize on existing expertise and networks regarding state-building and policy reform. They will engage the new government of Afghanistan on six policy areas: security, governance, justice and rule of law, economic systems, service delivery, and peace and reconciliation. The project’s findings will appear in a series of papers, briefings, and articles.

Institute for the Analysis of Global Security Potomac, MD U.S.-China Fuel Choice Dialogue $175,000

Gal Luft and Anne Korin will lead an effort to develop a joint U.S.- China approach to diversify the sources of fuel in the transportation sector. They will engage Chinese research and academic institutions to develop a road map for the introduction of vehicles designed to operate on multiple fuels. The project’s findings will be presented in a bilingual report and related articles and briefings.

The Institute for the Study of War Washington, DC Civil War, Radicalism, and Regional Conflict in the Middle East $250,000

Kim Kagan will lead an effort to assess the scope and implications of the expanding threat of violent radicalism and sectarian conflict in the Middle East. A team of researchers will conduct field work and track developments in global, regional, and social media in order to analyze the drivers and dynamics of conflict, as well as the strategies of key players. The project’20s findings will be published in a series of monographs and articles. Institute for State Effectiveness Washington, DC Consolidating Afghanistan's Transition $275,000

Institute for the Analysis of Global Security Potomac, MD U.S.-China Fuel Choice Dialogue $175,000

The Institute for the Study of War Washington, DC Civil War, Radicalism, and Regional Conflict in the Middle East $250,000

Kim Kagan will lead an effort to assess the scope and implications of the expanding threat of violent radicalism and sectarian conflict in the Middle East. A team of researchers will conduct field work and track developments in global, regional, and social media in order to analyze the drivers and dynamics of conflict, as well as the strategies of key players. The project’s findings will be published in a series of monographs and articles.

Eastern Europe Security Project $50,000 Jessica Lewis McFate will examine military developments on the Russia-Ukraine border in order to offer insights into Russia’s intentions and identify possible points of leverage that the United States and NATO may have to shape Russian conduct. She will examine the military engagement between Russia and Ukraine, develop a detailed order of combat between Russian and Ukrainian units, and provide an analysis of the nature of the armed separatist groups operating in eastern Ukraine. The project’s findings will appear in a series of reports.

The Jamestown Foundation Washington, DC Balochistan: The Erupting Cauldron $75,000

Abubakar Siddique will research and write a book that will explore how political grievances and unrest among the Balochis is challenging the authority of the governments of Pakistan, Iran, and Afghanistan. China Brief $96,900 Russell Hsiao will edit and publish China Brief, a bi-weekly report on key political, military, economic, and geopolitical developments in China. Eurasia Daily Monitor $300,000 Vladimir Socor will edit and publish the Eurasia Daily Monitor, a daily report that will analyze key political, economic, military, and geopolitical events and trends in Eurasia. Eurasian Disunion: Russia's Vulnerable Flanks $150,000 Janusz Bugajski and Margarita Assenova will examine policy options to strengthen the security, territorial integrity, and independence of states bordering Russia. They will explore Russia’s objectives, capabilities, and tactics vis-à-vis its neighbors; assess how Moscow’s actions are affecting domestic stability and national security of states in the Baltic and Nordic region, Central Europe, South Caucasus, and Central Asia21 ; examine the responses to Moscow’s new assertiveness; and consider the impact of regional turmoil on Putin’s regime and Russia’s internal stability. The project’s findings will appear in a monograph and related articles. Eastern Europe Security Project $50,000 Jessica Lewis McFate will examine military developments on the Russia-Ukraine border in order to offer insights into Russia’s intentions and identify possible points of leverage that the United States and NATO may have to shape Russian conduct. She will examine the military engagement between Russia and Ukraine, develop a detailed order of combat between Russian and Ukrainian units, and provide an analysis of the nature of the armed separatist groups operating in eastern Ukraine. The project’s findings will appear in a series of reports.

The Jamestown Foundation Washington, DC Balochistan: The Erupting Cauldron $75,000

Abubakar Siddique will research and write a book that will explore how political grievances and unrest among the Balochis is challenging the authority of the governments of Pakistan, Iran, and Afghanistan. China Brief $96,900 Russell Hsiao will edit and publish China Brief, a bi-weekly report on key political, military, economic, and geopolitical developments in China. Eurasia Daily Monitor $300,000 Vladimir Socor will edit and publish the Eurasia Daily Monitor, a daily report that will analyze key political, economic, military, and geopolitical events and trends in Eurasia. Eurasian Disunion: Russia's Vulnerable Flanks $150,000 Janusz Bugajski and Margarita Assenova will examine policy options to strengthen the security, territorial integrity, and independence of states bordering Russia. They will explore Russia’s objectives, capabilities, and tactics vis-à-vis its neighbors; assess how Moscow’s actions are affecting domestic stability and national security of states in the Baltic and Nordic region, Central Europe, South Caucasus, and Central Asia; examine the responses to Moscow’s new assertiveness; and consider the impact of regional turmoil on Putin’s regime and Russia’s internal stability. The project’s findings will appear in a monograph and related articles. Operational Profile of the Chinese Intelligence Services $45,000 Peter Mattis and Matthew Brazil will prepare a reference guide on the Chinese intelligence system, including its services, leadership, and operations. They will collect and analyze Chinese source materials and conduct interviews with U.S. and Taiwanese experts.

Johns Hopkins University Washington, DC Central Asia-Caucasus Institute 2014-2016 $431,985

S. Frederick Starr will direct the research program of the Central Asia-Caucasus Institute. He will organize a public speakers program; publish the biweekly CACI Analyst, the Silk Road Studies papers series, and a scholarly book series; manage a visiting fellows and young scholars program; and undertake policy outreach activities in Washington and in the region’s capitals. During the next two years, the institute will build its activities around four main issue areas: Russia’s resurgent ambitions in the region, the political transformation of Turkey, political and security developments in Afghanistan after the U.S. withdrawal, and the evolving policies of the Chinese government in Xinjiang. The Big Stick: Military Power and American Foreign Policy in the 21st $44,000 Century Eliot Cohen will research and write a book exploring how to integrate America’s military and non-military instruments of power in order to craft more effective national security policies. He will analyze the shifting international landscape, examine debates in the foreign and defense policy communities about the lessons of the post-September 11 military interventions, and offer ideas to improve the integrated use of hard and soft power. The New Iron Silk Road: Geopolitical and Economic Implications for $49,500 the U.S. of Railway Building in the Caucasus and Central Asia John Daly will research and write a book that will assess the potential role of railroads and related infrastructure22 in shaping the evolution of the Caucasus and Central Asia following the U.S. departure from Afghanistan in 2016. He will analyze U.S., E.U., Russian, and Central Asian source materials pertaining to the region’s railway networks and conduct interviews with experts from those countries. Operational Profile of the Chinese Intelligence Services $45,000 Peter Mattis and Matthew Brazil will prepare a reference guide on the Chinese intelligence system, including its services, leadership, and operations. They will collect and analyze Chinese source materials and conduct interviews with U.S. and Taiwanese experts.

Johns Hopkins University Washington, DC Central Asia-Caucasus Institute 2014-2016 $431,985

S. Frederick Starr will direct the research program of the Central Asia-Caucasus Institute. He will organize a public speakers program; publish the biweekly CACI Analyst, the Silk Road Studies papers series, and a scholarly book series; manage a visiting fellows and young scholars program; and undertake policy outreach activities in Washington and in the region’s capitals. During the next two years, the institute will build its activities around four main issue areas: Russia’s resurgent ambitions in the region, the political transformation of Turkey, political and security developments in Afghanistan after the U.S. withdrawal, and the evolving policies of the Chinese government in Xinjiang. The Big Stick: Military Power and American Foreign Policy in the 21st $44,000 Century Eliot Cohen will research and write a book exploring how to integrate America’s military and non-military instruments of power in order to craft more effective national security policies. He will analyze the shifting international landscape, examine debates in the foreign and defense policy communities about the lessons of the post-September 11 military interventions, and offer ideas to improve the integrated use of hard and soft power. The New Iron Silk Road: Geopolitical and Economic Implications for $49,500 the U.S. of Railway Building in the Caucasus and Central Asia John Daly will research and write a book that will assess the potential role of railroads and related infrastructure in shaping the evolution of the Caucasus and Central Asia following the U.S. departure from Afghanistan in 2016. He will analyze U.S., E.U., Russian, and Central Asian source materials pertaining to the region’s railway networks and conduct interviews with experts from those countries.

LibForAll Foundation Winston-Salem, NC The Nature and Role of Shari'a in Public Policy $75,000

Ali Mabrook will lead an effort to explore the politics surrounding the role of sharia law in public policy in Muslim-majority countries. He will undertake legal, textual, historical, and philosophical analysis; conduct interviews with Islamist political thinkers and leaders in Egypt, India, and Indonesia; and convene workshops to discuss the themes developed through the research. The project’s findings will be published in a monograph, an Arabic-language book, and articles for the Arabic-language media.

Meridian International Center Washington, DC The Future American Public Diplomat: An Assessment of Public $50,000 Diplomacy Doctrine, Training, and Advancement at the U.S. Department of State Laurence Wohlers will research and write a monograph that will develop a set of recommendations to help diplomats engage more effectively with foreign audiences in complex environments. He will convene a series of working groups in order to analyze past and current practices.

Monterey Institute of International Studies Monterey, CA Making Sense of the Putin Administration's Puzzling Activities Related $75,000 to the Biosciences Raymond Zilinskas will research and write a book that will explore activities by the Russian government that may call into question its compliance with the terms of the Biological and Toxin Weapons Convention and assess how the U.S. government should respond in the event of treaty violations.

23 National Committee on American Foreign Policy, Inc. New York, NY Managing Tensions and Avoiding Conflict in a Troubled China-Japan $175,000 Relationship Donald Zagoria, Winston Lord, and Gerald Curtis will lead an effort to facilitate a dialogue between China and Japan on key security issues. They will convene informal policy discussions among leading experts and officials from China, Japan, and the United States. The project’s findings will appear in a series of reports, journal articles, and policy briefings.

National Endowment for Democracy Washington, DC The World Movement Against Democracy $40,000

Christopher Walker and Mark Plattner will examine the efforts of authoritarian states to defend their internal orders and to propagate anti-democratic ideologies in their regions and globally. They will commission papers that will analyze how China, Russia, Iran, Saudi Arabia, and Venezuela learn from each other’s efforts to maintain their authoritarian regimes. The project’s findings will appear in a series of articles that will be published as an edited volume.

New America Foundation Washington, DC Leveraging U.S. Power Under Austerity $31,900

Michael Mazarr will research and write a book that will assess how increasingly constrained defense and foreign policy budgets might affect U.S. national security. He will apply risk analysis techniques used in other fields to the foreign policy and defense domains.

New York University School of Law New York, NY Improving China-Taiwan Relations by Promoting Due Process of Law $200,000 Jerome Cohen will lead an effort to examine whether existing agreements between China and Taiwan can be broadened to provide assurances to residents of Taiwan that deeper cross-strait economic ties will not lead to a diminishment of the civil liberties that they currently hold. He will explore how the Cross-Strait Agreement on Joint Crime-Fighting and Judicial Mutual Assistance could be modified to include protections against arbitrary arrest, detention, and the denial of the right to a fair trial before imprisonment. The project’s findings will be published in a co- authored book on cross-strait relations and a series of articles.

24 The Nonproliferation Policy Education Center Arlington, VA Challenging Nuclear Proliferation Complacency $200,000

Henry Sokolski and Victor Gilinsky will lead an effort to assess evolving nuclear proliferation challenges. They will question the conventional wisdom that nuclear proliferation in East Asia is a low-probability risk and that nuclear power, enrichment technologies, and nuclear fuel reprocessing capabilities can be shared in the region without increasing the probability that some states will acquire nuclear weapons. The project’s findings will appear in two books and in a series of policy reports and briefings.

Pacific Forum CSIS Honolulu, HI Comparative Connections: A Triannual E-Journal on East Asian $142,265 Bilateral Relations Ralph Cossa and Brad Glosserman will edit and publish Comparative Connections, an electronic journal that tracks developments in more than a dozen bilateral relations across East Asia. New York University School of Law New York, NY Improving China-Taiwan Relations by Promoting Due Process of Law $200,000 Jerome Cohen will lead an effort to examine whether existing agreements between China and Taiwan can be broadened to provide assurances to residents of Taiwan that deeper cross-strait economic ties will not lead to a diminishment of the civil liberties that they currently hold. He will explore how the Cross-Strait Agreement on Joint Crime-Fighting and Judicial Mutual Assistance could be modified to include protections against arbitrary arrest, detention, and the denial of the right to a fair trial before imprisonment. The project’s findings will be published in a co- authored book on cross-strait relations and a series of articles.

The Nonproliferation Policy Education Center Arlington, VA Challenging Nuclear Proliferation Complacency $200,000

Peterson Institute for International Economics Washington, DC An Economic Reform Plan for Ukraine $200,000 Anders Aslund will research and write a book that will develop a road map for comprehensive economic reform in Ukraine. He will undertake field work in Ukraine; engage with officials in international financial institutions, the European Union, and the U.S. government; and organize a study group to help develop and critique the project’s findings and publications.

The Potomac Institute for Policy Studies Arlington, VA A Plan for Cyber Readiness: A Baseline and An Index $170,025

Melissa Hathaway and Chris Demchak will lead an effort to identify approaches to enhance the readiness of the United States to defend against and recover from a cyberattack on information systems and other critical infrastructure. They will develop a blueprint defining cyber readiness and create an index that rates the readiness of 100 countries. The project’s findings will appear in a report and a paper.

Princeton University Princeton, NJ Generating Turnarounds in Fragile States25 $250,000

Jennifer Widner will direct an effort to understand better how local leaders can enact successful policy and institutional reforms in developing countries. She will lead a team that will conduct field work to develop case studies of locally driven reform efforts. The project’s findings will be presented in case studies and other reports. Peterson Institute for International Economics Washington, DC An Economic Reform Plan for Ukraine $200,000 Anders Aslund will research and write a book that will develop a road map for comprehensive economic reform in Ukraine. He will undertake field work in Ukraine; engage with officials in international financial institutions, the European Union, and the U.S. government; and organize a study group to help develop and critique the project’s findings and publications.

The Potomac Institute for Policy Studies Arlington, VA A Plan for Cyber Readiness: A Baseline and An Index $170,025

Princeton University Princeton, NJ Generating Turnarounds in Fragile States $250,000

Project 2049 Institute Arlington, VA China's Sixth Generation Leaders: The Changing Landscape of Chinese $48,785 Communist Party Security Policy Mark Stokes will lead an effort to identify the next generation of leaders in China and examine their views on a range of security, political, and economic issues. He will draw on a biographical database of more than 350 emerging Chinese officials and leaders from the Chinese Communist Party and the People’s Liberation Army at the national and the provincial levels who will constitute the so-called “Sixth Generation” of PRC leaders. The project’s findings will be presented as a monograph, a database, and a series of briefings and articles aimed at the policy community.

Queens College Foundation Queens, NY China and Xinjiang, Tibet, and Inner Mongolia in the Xi Jinping Era $105,000

Morris Rossabi will research and write a book examining the Chinese government’s policies toward ethnic minorities in Xinjiang, Tibet, and Inner Mongolia. He will conduct field work in the region and analyze Chinese, Japanese, Turkic, Russian, and Western primary and secondary source materials.

The RAND Corporation Santa Monica, CA The Theory and Conduct of Insurgent Warfare $179,000

Seth Jones will research and write a book that will examine how insurgency is used as a strategy by subnational groups to pursue power and by state actors as a vehicle for proxy competition. He will analyze data from 179 insurgencies occurring since the end of World War II, prepare a series of case studies, and critically examine the writings of theoreticians and practitioners of insurgency warfare. 26 U.S.-China, Convergent and Divergent Interests: Assessing the Balance $100,000 Charles Wolf will lead an effort to explore a possible set of compromises between the United States and China in cases involving converging and diverging interests. He will rank in a hierarchy of importance U.S. and Chinese interests through discussions with members of the Chinese policy elite and with U.S. policy officials and experts and develop new ideas about potential quid pro quo arrangements or deals that involve mutual net gains. The project’s findings will be presented in a report, a series of briefings in both the United States and China, and in articles.

Spirit of America Los Angeles, CA Implementing Spirit of America's Public-Private Model in U.S. Civilian- $150,000 Led Missions Jim Hake, Matthew Valkovic, and Isaac Eagan will lead an effort to leverage public-private collaborations to improve the ability of U.S civilian agencies to respond to humanitarian and development needs at the local level in conflict and pre-conflict zones. Building on lessons learned in Afghanistan and Iraq, the team will engage in collaborative efforts with U.S. embassies to provide donated resources and materials to communities in Honduras, Colombia, Lebanon, Yemen, and Bangladesh. The project’s findings will appear in a report.

Syracuse University Syracuse, NY Putinism: How Russia is Misruled $70,544

Brian Taylor will research and write a book that will identify and analyze the origins, structure, functioning, and future trajectory of the political system established by Vladimir Putin in Russia.

27 University of California, San Diego La Jolla, CA Anti-Corruption Campaign and Political Stability in China $172,205

Victor Shih will lead an effort to explore the nature of the anti- corruption campaign waged by President Xi Jinping of China. He will collect data on proxy measures of the spoils available within the Chinese system, assess how the balance of power among political factions has shifted as a result of the anti-corruption campaign, examine whether Xi has consolidated his power more rapidly than his predecessors, and commission case studies by a variety of experts to examine the consequences for regime stability due to contracting spoils distributed to the ruling elite. The project’s findings will appear in an edited volume and a series of scholarly and policy-oriented articles.

UPMC Center for Health Security Baltimore, MD Jump Start: Planning Beyond the Crisis of a Biological Attack $200,000

Thomas Inglesby and Randall Larsen will lead an effort to develop policies designed to help the United States prepare for and recover from a biological weapons attack. They will examine ways to promote needed scientific and technological advancements, operational procedures that could be initiated to improve disease surveillance and countermeasures, and measures to mobilize the response capability of public agencies at all levels of government and to enlist the capabilities of the private sector and foreign governments. The project’s findings will appear in a report and a series of articles.

The Washington Institute for Near East Policy Washington, DC Democratic Alternatives in Arab Countries $100,000

David Pollock and Robert Satloff will lead an effort to assess the prospects for an evolution toward liberal and pluralistic politics in the Arab world. They will map liberal political forces in 17 states, assess their perspectives regarding the political evolution of their societies, identify barriers to liberal political progress, and consider how the United States should engage with the liberal sectors in these societies. The project’s findings will be presented in a monograph and related papers and briefings.

28 The Wisconsin Project on Nuclear Arms Control Washington, DC Iran Watch $165,861

Gary Milhollin and Valerie Lincy will direct a research program to track Iran’s ongoing efforts to develop nuclear, chemical, and biological weapons and ballistic missile delivery capabilities as well as to identify the entities involved in diverting nuclear-related technologies to Iran in violation of the current sanctions regime. The project’s findings will appear on the Iran Watch website and in a series of articles.

World Affairs Institute Washington, DC Transatlantic Renewal Project $150,000

Lorne Craner, James Denton, and Jeffrey Gedmin will lead an effort to develop ideas about how to shape and implement U.S. strategy toward Central and Eastern Europe. They will commission a series of papers and convene roundtable meetings bringing together U.S. and Central and East European experts to discuss ways to enhance political cooperation, internal governance problems, and the new threat from Russia. The project’s findings will appear in an edited volume and a final communique.

World Organization for Resource Development and Education Montgomery Village, MD Overcoming Barriers to Countering Violent Extremism in Pakistan $55,125

Hedieh Mirahmadi will work with local organizations in Pakistan to develop a strategic plan to mobilize a national movement against extremism. She will examine the nature of current U.S. programs for countering violent extremism in Pakistan; interview civil society leaders; and organize a conference of U.S., Pakistani, and international stakeholders in order to assess the challenges to implementing effective programs to counter extremist groups in Pakistan. The project’s findings will be presented in a report and a series of articles.

29 Yale University Press New Haven, CT Stalin's Personal Archive Research and Publication Initiative $150,000

John Donatich will direct an effort to explore key issues in Cold War history through newly available material from Joseph Stalin’s personal archive. He will commission archivists and historians to examine Stalin’s policies on a range of issues related to foreign, domestic, and Communist party policy. The project will result in a series of books.

30 SECURITY STUDIES INITIATIVE

American Academy for Strategic Education Washington, DC A School for Strategy: The American Academy for Strategic Education $150,000

Jacqueline Deal, Stephen Rosen, and Aaron Friedberg will lead an effort to develop a cadre of young analysts and policy thinkers who have the skills to undertake long-term competitive strategic planning to advance U.S. foreign policy.

Columbia University New York, NY Summer Workshop on Analysis of Military Operations and Strategy $202,063

Richard Betts will organize an annual summer study program to train young scholars to analyze military strategy, combat operations, and defense budgets and programs.

Harvard University Cambridge, MA Cold War Studies Publications Program $200,000

Mark Kramer and Timothy Colton will edit and publish The Journal of Cold War Studies.

University of Virginia Law School Charlottesville, VA National Security Law Institute $87,000

John Norton Moore and Robert Turner will organize a summer study program to teach national security law to participants from academia and the policy community.

Yale University New Haven, CT Support for Graduate Training in International Security Studies $235,000

Paul Kennedy will direct a series of lectures and seminars on topics related to international security studies and organize a program to provide support to graduate student research and field work in the discipline of history.

31 STRATEGY AND POLICY FELLOWS PROGRPROGRAMAM

Boston University Boston, MA Do All Rising Powers Know They Are Rising? Idea Entrepreneurship in $60,000 China and India $60,000 Manjari Miller will research and write a book that will examine how rising powers view their international responsibilities, regional ambitions, and strategic goals vis-à--à-vis existing powers. She will compare China and India to other historical cases in terms of the way they frame their geopolitical rise.

Georgia Tech University Atlanta, GA Leadership Targeting of TerrorTerroristist Organizations: Evaluating $60,000 Counterterrorism Policies $60,000 Jenna Jordan will research and write a book that will assess whether targeting the leadership of terrorist organizations is an effective counter-counter-terrorism strategy.strategy. She will analyze data on terrorist leadership decapitation from 1950 to 2012 and conduct case studies of such efforts in regard to al Qaeda, Hamas, Shining Path, and the Liberation Tigers of Tamil Eelam.

Harvard University Cambridge, MA U.S. Policy, NATO-Russian RelatioRelations,ns, and the Changing Security $60,000 Environment in Europe, 2000-2014 Nadia Gueorguieva Boyadjieva will research and write a book that will trace the relationship among the United States, NATO, and the Russian Federation from 2000 to 2014. She wilwilll examine key points of tension, such as Russian activity in Moldova, Georgia, and Krygystan,Kyrgyzstan, to to assessassess whether whether different different U.S. U.S. and and NATO NATO policies policies implemented in response to Russian activity could have altered Russia’s later ambitions in Ukraine and elsewherelsewhere.e.

32 Norwich University Northfield, VT Dreamers in Daylight: The Use of Unconventional Scholars in Strategy $60,000 and Warfare, from T.E. Lawrence to Sarah Chayes Jason Ridler will research and write a book that will explore how individuals with expertise in culture or social science have contributed to foreign and defense policy. He will rely on historical biographies and interviews with contemporary experts to understand better the contributions of such individuals to policy formulation.

Ohio State University Columbus, OH Information Politics: Learning, Governing, and Manipulating Facts in $60,000 China Jeremy Wallace will research and write a book that will explore how the Chinese Communist Party informs itself about conditions in China while also manipulating information presented to the Chinese public regarding measures of well-being and progress.

Princeton University Princeton, NJ The Prophet and the Party: Shari'a Islam, and Sectarian Authority in $60,000 China Matthew Erie will research and write a book that will explore the Chinese government’s religious policies toward Muslims in western Chinese provinces. He will consider how policies regarding education and social stability are implemented and how local societal leaders respond to such policies.

Regent University Virginia Beach, VA Shape or Adapt? The Planning of American Grand Strategy $60,000

Ionut Popescu will research and write a book that will examine different models of formulating grand strategy. He will assess how U.S. presidents employed either the “design model,” which emphasizes strategic planning, or the “emergence model,” which emphasizes constant learning and refinement of approaches, in formulating national security strategy.

33 University of North Florida Jacksonville, FL Cultivating Moderates: American Exchange Programs, Social $60,000 Networks, and the Negotiated Revolutions of 1989/1990 Gregory Domber will research and write a book that will assess the effectiveness of exchange policies sponsored by the United States in the countries of Central and Eastern Europe. Drawing on archival research, he will consider whether such programs facilitated successful political transitions in the region after the fall of Communist governments in the late 1980s.

WORLD POLITICS AND STATECRAFT FELLOWSHIP PROGRAM

Arizona State University Tempe, AZ An Evolutionary Approach to State Secession $7,500 Valeriy Dzutsev

Boston University Boston, MA The Sustainable War on Terror: Lessons from the Philippine Front $7,500 Gregory Winger

Brown University Providence, RI When Rebels Become Politicians: The Transformation of Rebel $7,500 Organizations into Political Parties and their Performance in Post-war Elections Pellumb Kelmendi

Where Does State Capacity Come From? Learning from Developmental $7,500 Regimes in India Poulomi Chakrabarti

Johns Hopkins University Baltimore, MD Playing the Away Game: Counterterrorism in the Sahara-Sahel $7,500 Casey McNeill

Massachusetts Institute of Technology Cambridge, MA External Military Aid, Competitive Interventions, and the Duration of $7,500 Intrastate Conflicts Noel Anderson

35 Nuclear Weapons and Foreign Policy $7,500 Mark Bell

Organization and Community: Determinants of Insurgent Military $7,500 Structure and Effectiveness Alec Worsnop

Ohio State University Columbus, OH Selecting the Right Intervention: International Organizations and $7,500 International Disputes Ezra Schricker

Texas A&M University College Station, TX Warriors Without a Battlefield: The Development of an Air Force $7,500 Missile Culture David Bath

Tufts University Medford, MA Between Mao and Gandhi: Violence and Nonviolence in Revolutionary $7,500 Movements Ches Thurber

University of Chicago Chicago, IL Why Not Nip it in the Bud? Reigning Power's Use of Economic $7,500 Restrictions against a Rising Security Challenger Dong Jung Kim

University of Florida Gainesville, FL British Colonial Legacies and Democratic Survival $7,500 Emily Hauser

University of Texas at Austin Austin, TX Global Gatekeepers: How Great Powers Respond to Rising States $7,500 Peter Harris

University of Washington Seattle, WA Between Two Fires: Civilian Resistance during Internal Armed Conflict $7,500 in Peru Steven Zech

Yale University New Haven, CT Origins of Trans-Regional Islamic Revivalism in Central and South Asia $7,500 Waleed Ziad

DOMESTIC PUBLIC POLICY PROGRAM

American Institutes for Research Washington, DC Evaluating School-Wide Efforts to Extend the Reach of Excellent $161,514 Teachers Michael Hansen and Bryan Hassel will lead an effort to explore whether schools can increase student achievement by changing how classes are staffed so that the highest-quality teachers instruct as many students as possible. They will analyze data from a sample of North Carolina schools that have adopted staffing practices such as increasing the size of classes taught by the higher-quality teachers or having the highest-quality teachers lead teams of colleagues in instruction. The project’s findings will appear in two reports.

Brookings Institution Washington, DC How Has the Financial Sector Changed Since the Crisis and the $250,000 Introduction of New Regulatory Rules? Martin Baily, Douglas Elliot, and Donald Kohn will explore how the financial sector has evolved in the aftermath of the financial crisis and implementation of the Dodd-Frank Act. They will analyze data on the assets, liabilities, and transactions of financial institutions and undertake interviews with representatives from the financial sector and regulatory agencies. The project’s findings will appear in a report and a series of policy briefs. How Much Do States Matter for Student Achievement? $125,000 Matthew Chingos and Elizabeth Akers will assess the impacts of state policies on the performance of students in primary and secondary schools. Using state-level data from the National Assessment of Educational Progress between 2003 and 2013, they will assess state performance over time, make adjustments for the changing demographics of states, and explore whether lessons can be learned about the effectiveness of statewide policy reforms. The project’s findings will appear in a series of reports and an online database that individuals can use to make cross-state comparisons of educational performance over time.

38 Labor Market Recovery in the United States $75,000 Justin Wolfers and David Romer will commission research that will examine the state of the American labor market and assess how short-term weaknesses and long-term trends are affecting both the material well being of employees and the vibrancy of the U.S. economy as a whole. The research findings will appear in the Brookings Papers on Economic Activity.

The Campaign Finance Institute Washington, DC Reassessing Campaign Finance Policy $500,000

Michael Malbin will direct the research and publications program of the Campaign Finance Institute. The institute will analyze federal campaign finance data, create a database of state campaign finance policies, and undertake analyses of state policies. The research program will address issues such as the evolving roles of independent groups in raising and spending money for elections, changes in rules governing disclosure, and the potential role of incentives to promote participation by donors making small contributions. The project’s findings will be presented in a series of reports, policy briefs, and articles.

Columbia University New York, NY Linking Information and Families Together: A Randomized Trial to $366,743 Improve Parental Engagement and Student Outcomes Peter Bergman will undertake an experimental evaluation of a program that uses technology to provide information from teacher grade books directly to parents via regular automatic phone calls in an effort to increase parental engagement in their children’s educational progress. The project’s findings will appear in a report. Liquidity Management and Monetary Policy $25,000 Saki Bigio will examine how monetary policy affects the lending by financial institutions that supports economic growth. He will develop a model that takes into account how financial institutions react to changes in monetary policy and use data on lending by major financial institutions to assess the model’s accuracy. The project’s findings will appear in a paper.

39 Committee for a Responsible Federal Budget Washington, DC The Social Security Disability Insurance Solutions Initiative $200,000

Michael Murphy will lead an effort to develop an agenda for reforming the Social Security Disability Insurance Program (SSDI). The initiative will be co-chaired by retired Representatives Jim McCrery (R-LA) and Earl Pomeroy (D-ND). They will commission a series of papers on issues regarding SSDI reform, including refining the definition of disability, revising the intake process, encouraging work participation among SSDI recipients, and altering the program’s financing. The project’s findings will appear in a series of stand-alone papers, a report, and a series of policy briefs.

Harvard University Cambridge, MA Regulatory Reform for the 21st Century City $69,875

Stephen Goldsmith will lead an effort to examine the role of regulatory reform in fostering entrepreneurship and economic growth in cities. He will draw on the expertise of a group of mayoral policy advisers to identify practices that can streamline or minimize local regulatory barriers and consider how new technologies could be used to achieve common regulatory objectives, such as food and traffic safety, at lower costs. The project’s findings will appear in a series of papers and policy briefs. The Determinants of Intergenerational Mobility in the United States $246,531 Raj Chetty, Nathan Hendren, John Friedman, Emmanuel Saez, and Daniel Yagan will assess the extent to which public policies can play a role in promoting economic mobility. Drawing on a large database of individual income tax records from 1996 to the present, they will explore why intergenerational mobility varies across the United States and then seek to isolate the effects of particular factors on economic mobility. The project’s findings will appear in a series of papers.

40 JSI Research and Training Institute Inc. Boston, MA Skill Demands, Skill Mismatch, and Job Quality in Fast-Growing $248,722 Occupations Paul Osterman and Andrew Weaver will examine whether there is a mismatch between the skills demanded by employers and those of available employees. They will field a survey of employers in three service-industry fields and analyze that data to test the skills- mismatch hypothesis and explore the roles of educational institutions, private-sector firms, and government agencies in job training and skill development. The project’s findings will appear in a report and a series of papers.

Manhattan Institute for Policy Research, Inc. New York, NY Measuring the Relationship Between Domestic Migration and $78,995 Economic Mobility Scott Winship will examine whether lower rates of geographic mobility are limiting opportunities for individuals to move up the socio-economic ladder. He will measure patterns of geographic mobility among Americans of varying ages, education levels, income levels, and racial and ethnic backgrounds and will document how those patterns have changed over time. He will also analyze longitudinal data to explore whether correlations exist between changes in residential mobility and economic mobility. The project’s findings will appear in a report.

National Bureau of Economic Research, Inc. Cambridge, MA How Do Firms Affect the Distribution of Income: The Roles of $257,565 Productivity and Luck Edward Lazear and Kathryn Shaw will lead an effort to examine whether changes in the overall distribution of income can be explained by differences in wages paid by the most productive firms in any given industry. They will commission research exploring whether there are differences in how employees with similar skills are compensated at different firms and assess what factors seem to account for firm productivity. The project’s findings will appear in a series of papers.

41 The Total Savings Impact of Automatic Enrollment $110,000 Brigitte Madrian, David Laibson, John Beshears, and James Choi will assess whether overall household savings can be increased by automatically enrolling employees in retirement savings plans. They will match data on contributions to employer-sponsored retirement plans with data from credit bureaus in order to assess whether automatically enrolling individuals in retirement plans increases overall savings or leads individuals to replace money saved in retirement accounts with increased borrowing. The project’s findings will appear in a series of papers and briefings. Youth Labor Markets $148,523 David Card will lead an effort to examine the reasons for the decline in the employment rate of young people over the past 15 years. He will commission a series of papers that will test a variety of hypotheses, including whether the decline is due to changes in economic conditions or to factors such as changes in family structure and incarceration rates. The project’s findings will be presented in a series of papers and a summary report.

New America Foundation Washington, DC Examining Changes in Higher Education Finance $103,894

Jason Delisle will lead an effort to examine how public policies have shaped the way individuals and families pay for higher education. He will lead a team of researchers that will track how sources of financing for higher education have shifted over time, including the increase in federal government support through grants, loans, and tax credits, as well as changes in appropriations by state governments for public colleges and universities. The project’s findings will appear in a number of papers and reports.

The Pew Charitable Trusts Washington, DC State Debt Affordability $300,000

Robert Zahradnik and Kil Huh will lead an effort to examine how well states disclose the debt that they issue and guarantee and assess whether and to what extent they measure the affordability of their debt loads. They will assess how all 50 states account for their debt loads, examine whether and how they publish information on the affordability of their debt, and undertake a series of case studies in selected states to explore how states account for "hidden debt," such as agency or municipality liabilities backed by state guarantees for "moral obligations." The project’s findings will appear in two reports and a series of briefings. 42 Private Capital Research Institute Boston, MA Private Capital Research Initiative $225,000

Josh Lerner and Leslie Jeng will lead an effort to examine whether the increased use of private capital in financing business activity is shaping the productivity of the U.S. economy. They will build a database of private capital investments and commission a series of research projects that will make use of the data to explore issues such as the impact of investments on innovation, employment, and other outcomes. The project’s findings will appear in a series of papers.

Research Foundation of the State University of New York Albany, NY Modeling and Disclosing Public Pension Fund Risk, and Consequences $150,000 for Pension Funding Security Donald Boyd will lead an effort to measure the risk that public employee pension plan liabilities pose to the finances of state and local governments. He will run simulations on the returns that both prototypical and actual plans could earn using various assumptions based on funding levels and asset types in order to provide a transparent way to understand how well or poorly a pension plan is funded. The project’s findings will appear in a series of reports. The Pew Charitable Trusts Washington, DC State Debt Affordability $300,000

Private Capital Research Institute Boston, MA Private Capital Research Initiative $225,000

Resources for the Future Washington, DC Impacts of Lower Natural Gas Prices on Jobs and Output in the U.S. $185,069 Manufacturing Sector Richard Morgenstern and Joshua Lin will examine how the increased availability and lower price of natural gas have affected output and employment among U.S. manufacturers. They will access Census Bureau data on employment and output at all manufacturing plants in the United States between 1963 and 2012 in order to measure the historical associations between energy prices and employment and output. Using those results, they will estimate the impact of the current boom in natural gas production on the manufacturing sector. The project’s findings will appear in a series of reports. Regulatory Performance Initiative $83,452 Richard Morgenstern, Art Fraas, Winston Harrington, and Randall Lutter will undertake a set of retrospective analyses of the costs and benefits of major environmental, health, and safety regulations. They will conduct cost and effectiveness analyses of regulations in four areas: food safety, industrial water pollution, air toxics, and municipal water pollution. They will also launch a grant competition for scholars to conduct additional43 retrospective cost- benefit analyses. The project’s findings will appear in a report and a series of policy briefs.

Stanford University Palo Alto, CA College Investment Project $134,379

Caroline Hoxby and Sarah Turner will develop and pilot test an internet-based tool designed to match students with a college that suits their needs and interests. They will construct a website that will make use of data on college characteristics, graduation rates, student loan default rates, earnings projections, and the net-cost of tuition. The website will be presented to students to see if it can help them identify more effectively a college that suits their needs. The project’s findings will appear in a report. Resources for the Future Washington, DC Impacts of Lower Natural Gas Prices on Jobs and Output in the U.S. $185,069 Manufacturing Sector Richard Morgenstern and Joshua Lin will examine how the increased availability and lower price of natural gas have affected output and employment among U.S. manufacturers. They will access Census Bureau data on employment and output at all manufacturing plants in the United States between 1963 and 2012 in order to measure the historical associations between energy prices and employment and output. Using those results, they will estimate the impact of the current boom in natural gas production on the manufacturing sector. The project’s findings will appear in a series of reports. Regulatory Performance Initiative $83,452 Richard Morgenstern, Art Fraas, Winston Harrington, and Randall Lutter will undertake a set of retrospective analyses of the costs and benefits of major environmental, health, and safety regulations. They will conduct cost and effectiveness analyses of regulations in four areas: food safety, industrial water pollution, air toxics, and municipal water pollution. They will also launch a grant competition for scholars to conduct additional retrospective cost- benefit analyses. The project’s findings will appear in a report and a series of policy briefs.

Stanford University Palo Alto, CA College Investment Project $134,379

Financial Interns Supporting California (FISCal) $25,000 Gregg Rosston will lead an effort to encourage young people to work in state and local public finance agencies by creating an internship program modeled on Teach for America. The project will recruit students from Stanford University who are interested in working in the finance offices of state agencies or local governments in California and, after they have taken a course on public finance, place them in public agencies during the summer months. On the Bus or Under the Bus: What Happens to Students after Failing $200,000 Schools Close? Margaret Raymond and Eric Hanushek will lead an effort to assess the effectiveness of closing failing schools as an educational reform strategy. They will analyze student achievement data from more than 30 states to examine how students attending both traditional public schools and charter schools fare after their schools have been closed and assess the extent to which a school-closure strategy can raise the average level of school performance across a district. The project’s findings will appear in a report and a series of papers and policy briefs.

Information Technology & Innovation Foundation Washington, DC 44 Understanding the Demography of U.S. Innovation $135,000

Robert Atkinson will examine the sources of innovation in the U.S. economy by identifying the demographic characteristics of innovators. He will assemble a database of innovators culled from commercial surveys and the U.S. Patent Office and identify their demographic characteristics, including their age, whether they are native-born or immigrants, their educational backgrounds, and whether they have worked alone or within firms or research laboratories. The project’s findings will appear in a report. Financial Interns Supporting California (FISCal) $25,000 Gregg Rosston will lead an effort to encourage young people to work in state and local public finance agencies by creating an internship program modeled on Teach for America. The project will recruit students from Stanford University who are interested in working in the finance offices of state agencies or local governments in California and, after they have taken a course on public finance, place them in public agencies during the summer months. On the Bus or Under the Bus: What Happens to Students after Failing $200,000 Schools Close? Margaret Raymond and Eric Hanushek will lead an effort to assess the effectiveness of closing failing schools as an educational reform strategy. They will analyze student achievement data from more than 30 states to examine how students attending both traditional public schools and charter schools fare after their schools have been closed and assess the extent to which a school-closure strategy can raise the average level of school performance across a district. The project’s findings will appear in a report and a series of papers and policy briefs.

Information Technology & Innovation Foundation Washington, DC Understanding the Demography of U.S. Innovation $135,000

Tulane University New Orleans, LA After the Storm: Changes in Student Outcomes and School Practices $150,000 Before and After the New Orleans School Reforms Douglas Harris will lead an effort to assess whether a district-wide school reform strategy that relies on choice and competition among schools can raise academic achievement levels among a primarily disadvantaged population of students. He will analyze student test score data to assess whether the reforms implemented in New Orleans after Hurricane Katrina have had an impact on levels of student achievement and on practices such as school staffing, organization, and curricula choices. The project’s findings will appear in a report and a series of papers.

University of Arkansas Fayetteville, AR Evaluation of the Louisiana Student Scholarships for Excellence $200,000 Program Patrick Wolf will undertake an experimental evaluation to measure the impact of Louisiana’s statewide school-voucher program on the academic achievement and non-cognitive skill development of children from low-income families. Utilizing data from the lottery that the state uses to award vouchers, Wolf will measure the causal impact of receiving a voucher on standardized test scores, grades, graduation rates, and college enrollment. He will also administer a survey designed to measure the impact of voucher receipt on noncognitive skills. The project’s findings will appear in a report and a series of papers. Jump-Starting the Campbell Collaboration Education Group $44,431 Gary Ritter will commission scholars to conduct systematic research reviews using a protocol developed by the Campbell Collaboration, a consortium of scholars focused on promoting rigorous research methods across a series of policy domains. The reviews will cover a range of education45 policy topics, such as performance pay, teacher certification, and whole school reform models. Tulane University New Orleans, LA After the Storm: Changes in Student Outcomes and School Practices $150,000 Before and After the New Orleans School Reforms Douglas Harris will lead an effort to assess whether a district-wide school reform strategy that relies on choice and competition among schools can raise academic achievement levels among a primarily disadvantaged population of students. He will analyze student test score data to assess whether the reforms implemented in New Orleans after Hurricane Katrina have had an impact on levels of student achievement and on practices such as school staffing, organization, and curricula choices. The project’s findings will appear in a report and a series of papers.

University of British Columbia Vancouver, BC Deliberating Surveillance: Privacy, Security, and the FISA Regime $45,000

Paul Kirk and William Bendix will research and write a book that will explore how the U.S. Congress balances the tradeoffs between security and privacy when deliberating and making policy in regard to surveillance.

University of Chicago Chicago, IL Can Intensive Tutoring Reduce School Dropout and Youth Violence in $95,622 Chicago? Jens Ludwig will undertake an experimental evaluation of programs designed to increase academic achievement and lower school drop-out rates of high school-aged males from low-income families in Chicago. The evaluation will test the impact of intensive tutoring as well as a program created to develop non- cognitive skills, such as self-regulation and empathy. The project’s findings will appear in a report and a series of papers.

University of Colorado at Boulder Boulder, CO School's Out: How Summertime Contributes to Student Achievement $98,321 Gaps Allison Atteberry and Andrew McEachin will measure the extent to which summer learning loss contributes to achievement gaps among students across the socio-economic spectrum. They will analyze data from eleven states that include student test scores on assessments that will allow them to isolate the impact of school- year achievement gains from any gains or losses that occur during the summer months. The project’s findings will appear in a series of papers.

46 University of Illinois at Chicago Chicago, IL A Study of the Contribution of Principals to Student Outcomes and the $77,000 Pattern of Principal Job Transitions Steven Rifkin will examine the extent to which variations in the performance of principals can affect student achievement. He will draw on data from Chicago public schools on student learning and teacher and principal personnel records in order to measure the average annual change in student achievement. He will also use survey data to test hypotheses about how principals appear to shape school-level outcomes. The project’s findings will appear in a report and a series of papers.

University of Maryland College Park, MD Reducing Gang Violence: An Evaluation of Functional Family Therapy $300,000

Denise Gottfredson and Terence Thornberry will undertake an experimental evaluation to measure the effectiveness of an intervention designed to reduce the involvement of young people in gangs and gang-related violence. They will test whether young people who have been involved with gangs will be less likely to participate in gang-related activity after undergoing a modified form of Functional Family Therapy. The project’s findings will appear in a report and an article.

University of Notre Dame Notre Dame, IN The Padua Pilot: Intensive Case Management to Permanently Move $20,445 People Out of Poverty William Evans, James Sullivan, and Marci Ybarra will undertake an experimental evaluation of an intervention designed to increase economic self-sufficiency among low-income families. The intervention entails intensive case management and targeted financial support, while also requiring families to develop short- and medium-term plans for moving toward self-sufficiency. The project’s findings will appear in a report.

47 University of Southern California Los Angeles, CA Curriculum Adoptions and Effects on Student Achievement in California $65,692

Morgan Polikoff and Cory Koedel will examine whether school districts can increase student achievement through their choice of curriculum materials. They will construct a panel of data on the curriculum materials used in math, science, and language arts instruction in all California public schools and link that information with data on student achievement and socio-economic characteristics of school populations. This will enable them to estimate the associations between various curriculum materials and student achievement. The project’s findings will appear in a series of papers.

University of Wisconsin, Madison Madison, WI Improving the Educational Performance of Children in Low-Income $185,233 Families Robert Haveman and Barbara Wolfe will lead an effort to examine the extent to which a wide array of non-school-based policies can influence student achievement. They will link data on academic performance from Wisconsin’s student-level database with data on receipt of means-tested benefits as well as earnings records in order to identify possible relationships between family participation in those programs and a child’s performance in school. The project’s findings will appear in a series of papers.

The Urban Institute Washington, DC State and Local Finance Initiative $250,000

Kim Rueben and Donald Maron will direct an initiative that will help state and local policy officials understand better the tradeoffs of competing approaches toward raising tax revenues. They will help policy makers understand how particular choices lead to more or less volatility in state and local tax revenues, how fiscal rules, such as property tax limits, can affect state and local budgets, as well as other issues. The project’s findings will be presented in a series of papers and policy briefs and on a website with state-level data on revenue and spending levels.

48 Vanderbilt University Nashville, TN Developing, Managing, and Retaining Expert Human Capital in Public $250,000 Agencies David Lewis will lead an effort to examine whether changes in the human capital strategies of federal agencies can help those agencies better recruit, develop, and retain high-quality employees. He will analyze personnel records of more than 2 million employees of the federal government over the past 24 years. The project will result in a database that will be made accessible to other researchers, and the project’s findings will appear in a series of papers and reports.

The Volcker Alliance New York, NY Structural Reform of Federal Financial Regulatory Agencies $125,000

Shelley Metzenbaum and Paul Volcker will lead an effort to explore whether U.S. financial market regulation could be improved by reorganizing the patchwork of federal and state agencies that are currently charged with overseeing those markets. They will examine the current structure of financial market regulation, assess past reform proposals, explore the experiences of other countries, and develop a framework for a more efficient and effective regulatory structure. The project’s findings will appear in a report and a series of briefings.

DIRECT SERVICE GRANT PROGRAM

The Adam J. Lewis Preschool Fairfield, CT General Support $50,000

AmeriCares Foundation, Inc. Stamford, CT Ebola Outbreak in West Africa $50,000

Bridgeport Hospital Foundation, Inc. Bridgeport, CT Neonatal Follow-up Program for High-Risk Newborns $25,000

LifeBridge Community Services Bridgeport, CT Workshop In Business Opportunities $100,000

ReadWorks, Inc. Brooklyn, NY General Support $50,000

The Westport Library Association Westport, CT Capital Campaign $50,000

Grants $20,668,144

Grants (Not Listed Individually) $819,858

Total Grants Paid 2014 $21,488,002

50 MANAGEMENT’S FINANCIAL REPORT

During 2014, the Foundation’s unrestricted net assets decreased by $5,320,448. As of December 31, 2014, the Foundation had total assets of $751,237,481. The Foundation awarded grants totaling $20,516,082 during 2014 and made cash payments on grants awarded during 2014 and unpaid grants from previous years of $21,488,002. The Foundation’s consolidated financial statements have been audited by McGladrey LLP, independent certified public accountants. The consolidated financial statements, which follow on pages 52 through 58, have been derived from the Foundation’s audited Consolidated Financial Report as of and for the year ended December 31, 2014, which included an unmodified opinion dated June 24, 2015.

Ross Hemphill Senior VP, CFO

51 Consolidated Statements of Financial Position December 31, 2014

Assets

Cash and cash equivalents $ 15,519,686 Securities and investments, at fair value: Global equities: Global strategy equities 45,073,923 Domestic large cap equities 143,623,488 International equities 179,831,651 Nonmarketable alternative investments 90,042,627 Global equities total 458,571,689 Diversifying equities: Long/short strategies 66,553,089 Absolute return strategies 68,081,718 Real estate 22,142,429 Natural resources 53,111,925 Diversifying equities total 209,889,161 Fixed income funds 60,658,486 Total investments 729,119,336 Property and equipment, net of accumulated depreciation 5,905,397 Interest and dividends receivable 78,366 Other assets 614,696 Total assets $ 751,237,481 Liabilities and Net Assets

Liabilities: Accounts payable and accrued expenses $ 294,577 Deferred compensation and post retirement liabilities 8,756,853 Unpaid monetary grants-in-aid 7,034,205 Unpaid nonmonetary grants-in-aid for use and occupancy of real estate 1,974,543 Deferred federal excise tax liability 2,712,000 Total liabilities 20,772,178 Noncontrolling interests in consolidated affiliates 231,025,895 Unrestricted net assets 499,439,408 Total liabilities and net assets $ 751,237,481

See Note to Consolidated Financial Statements.

52 Consolidated Condensed Schedule of Investments December 31, 2014

Percentage of Net Assets Value

Common stocks 13.57% Aerospace 0 . 72 % $ 1,975,577 Auto parts 0.48% 3,474,953 Banking and financial 0.57% 4,200,009 Beverages 0.22% 1,588,372 Biotech companies 0 . 71 % 1,267,526 Broadcast media 0 . 21 % 888,186 Building materials 0.05% 351,833 Business services 0 . 04 % 2,927,305 Capital goods 0 . 41 % 1,015,167 Chemicals 0 . 33 % 2,410,090 Commercial services 0.13% 925,316 Communications and technology 0.85% 6,206,631 Computer software and services 0.25% 1,860,163 Consumer goods 0 . 92 % 2,147,871 Drugs 0.19% 1,423,479 Electrical equipment 0.11% 795,870 Electronics 0.87% 6,368,410 Energy 0.42% 3,041,868 Entertainment 0.22% 1,613,821 Farm & construction equipment 0.13% 960,751 Financial services 0.92% 6,747,119 Foods 0.11% 817,313 Healthcare 0.74% 5,390,855 Hotel/Motel 0.13% 954,073 Industrials 0.57% 4,139,192 Insurance 1.45% 10,599,850 Machinery and materials 0.46% 3,330,670 Medical products and supplies 0.05% 401,263 Office equipment and supplies 0.08% 566,622 Oil and gas companies 0.60% 4,350,674 Real estate 0.21% 1,528,437 Restaurants 0.23% 1,656,465 Retail stores 0.73% 5,334,178 Services 0.17% 1,257,335

(Continued)

53 Percentage of Net Assets Value

Shoes %07.0 $ 5 595,90 Telecommunications 0.48% 3,541,676 Textiles 0.13% 974,449 Transportation and trucking 0.23% 1,615,836 Total common stocks 99,158,800

Mutual Funds 54.57% Global 26.02% Tweedy, Browne Global Value Fund 6.58% 48,048,601 Other 19.44% 141,997,458 Total global mutual funds 190,046,059 Domestic 12.95% Vanguard Total Bond Market ETF 6.61% 48,320,118 Other 6.34% 46,302,788 Total domestic mutual funds 94,622,906 Foreign 15.60% Other 15.60% 113,917,307 Total foreign mutual funds 113,917,307

Total mutual funds 398,586,272 Investments in Partnerships and Trusts 31.66% Global partnerships and trusts 15.98% Independent Franchise Partners, LP 6.17% 45,073,923 Other 9.81% 71,623,549 Total global partnerships and trusts 116,697,472

Domestic partnerships and trusts 12.26% Other 12.26% 89,538,001 Total domestic partnerships and trusts 89,538,001 Foreign partnerships and trusts 3.43% Other 3.43% 25,138,791 Total foreign partnerships and trusts 25,138,791

Total investments in partnerships and trusts 231,374,264 Total investments $ 729,119,336

See Note to Consolidated Financial Statements.

54 Consolidated Statement of Activities Year Ended December 31, 2014

Revenues Dividends $ 5,874,962 Interest 734 Donated use and occupancy of real estate 1,442,596 Grants-in-aid canceled 468,026 7,786,318

Expenses Monetary grants-in-aid 20,516,082 Nonmonetary grants-in aid for use and occupancy of real estate 311,790 Investment advisory fees 2,195,279 Custodian fees 48,324 Redemption fees 286 Management and general 7,971,639 31,043,400 Federal excise taxes Current 735,948 Deferred 34,035 769,983 Decrease in unrestricted net assets before net gains on investments and noncontrolling interest (24,027,065 ) Net realized gainsoninvestments 30,331,251 Net increase (decrease) in unrealized appreciation on investments (1,750,855) 28,580,396 Noncontrolling interest in net (income) loss of consolidated affiliates (9,873,779) Increase (decrease) in unrestricted net assets (5,320,448)

Unrestricted net assets: Beginning 504,759,856 Ending $ 499,439,408

See Note to Consolidated Financial Statements.

55 Consolidated Statement of Cash Flows Year Ended December 31, 2014

Cash Flows From Operating Activities Increase in net assets $ 4,553,331 Adjustments to reconcile increase in net assets to net cash provided by operating activities: Revenue recognized for donated use and occupancy of real estate (1,442,596) Grants-in-aid recognized for use and occupancy of real estate 311,790 Depreciation 448,363 (Gain)/loss on disposal of property and equipment (7,694) Purchase of securities and investments (242,324,819) Proceeds from disposition of securities and investments 263,400,851 Contributions to partnerships (26,864,537) Distributions from partnerships 41,839,117 Net (increase) decrease in unrealized appreciation on investments 1,750,855 Net realized gains on investments (30,331,251) Deferred federal excise taxes 34,,035 Changes in assets and liabilities: (Increase) decrease in: Interest and dividends receivable (3,485) Other assets 998,575

Increase in: Accounts payable and accrued expenses 65,509 Deferred compensation and postretirement liabilities 911,692 Unpaid monetary grants-in-aid 876,486

Net cash provided by operating activities 14,216,222

(Continued)

56 Cash Flows From Investing Activities Proceeds from sales and maturities of securities and investments $ 124,235 Purchase of securities and investments ( )21,451 Purchase of property and equipment (236,115) Proceeds from sale of property and equipment 8,780 Net cash used in investing activities (124,551)

Cash Flows From Financing Activities Noncontrolling members’ contributions to Moorings Capital LLC 7,106,117 Withdrawals of noncontrolling members of Moorings Capital LLC (3,932,874) Distributions to noncontrolling members of Moorings Capital LLC (11,396,028) Net cash used in financing activities (8,222,785) Net increase in cash and cash equivalents 5,868,886

Cash and cash equivalents Beginning 9,650,800 Ending $ 15,519,686

Supplemental Disclosures of Cash Flow Information Cash payments for: Grants-in-aid $ 19,171,570 Federal excise taxes $ 640,000

See Note to Consolidated Financial Statements.

57 NOTE TO CONSOLIDATED FINANCIAL STATEMENTS

Distribution of Income

The Internal Revenue Service requires the Foundation to distribute, within 12 months of the end of each year, approximately 5% of the average fair value of its assets not used in carrying out the charitable purpose of the Foundation. The distribution requirement for 2014 has been met.

5850 PROCEDURES

Initial grant inquiries to the Foundation should be made in the form of a concept paper. Such papers should not exceed five pages. The paper should include a description of the issue that the project will address; an explanation of how the project is relevant to public policy; and an assessment of how the project would add to the existing knowledge base. The paper should also discuss the credentials of the project’s principal investigator; an outline of the research strategy; and a description of the products that the project will produce. An estimate of the project’s costs should be included. A template for concept papers is available on the Foundation’s web site.

If the staff determines that a proposed project merits further consideration under the Foundation’s guidelines, an applicant will be asked to submit a full proposal that conforms to a proposal template that is available on the Foundation’s web site. Decisions on requests for grants greater than $50,000 and for multi-year grant support are made at one of the three board meetings that the Foundation holds each year. Proposals for grants of $50,000 or less are reviewed on an ongoing basis and are handled as promptly as possible.

Although the mission of the Foundation is to support public policy research, it makes a handful of grants to direct service organizations in North Carolina and Connecticut. Direct service organizations located outside of these two states, as well as national direct service charities, will not be considered for support. It is a regrettable but inescapable fact that the vast majority of unsolicited requests for funding must be rejected. The Foundation does not provide support for the following:

• Deficit funding of previously established operations • Building or construction projects • Arts and humanities projects • Historic restoration projects • Research projects in the physical sciences • Evaluations of direct service organizations conducted internally • Educational or other support to individuals

All grant proposals should be addressed to:

Smith Richardson Foundation 60 Jesup Road Westport, CT 06880 (203) 222-6222 www.srf.org

59 TRUSTEES

Peter L. Richardson Chairman W . Blair leahciM W. Blair trautS .S nosdrahciR III gniK enrubniW .W enrubniW gniK III Vice Chairman nosleN .R divrA .rD divrA .R nosleN relyT .B nosdrahciR yaR nosdrahciR eledA nosdrahciR yaR .E mailliW nostetS III

GOVERNORS

Honorable Paula J. Dobriansky Dr. Carmen M. Reinhart Dr. Martin Feldstein Peter L. Richardson General Jack Keane (Ret.) Tyler B. Richardson Dr. Robert E. Litan E. William Stetson III Dr. Arvid R. Nelson Dr. Ashley J. Tellis Adele Richardson Ray Dr. Grover J. Whitehurst Honorable R. James Woolsey

OFFICERS

President ...... Peter L. Richardson Senior Vice President, Director of Programs ...... Dr. Marin Strmecki General Counsel ...... W. Winburne King III Senior Vice President, CFO...... Ross F. Hemphill Secretary ...... Dr. Arvid R. Nelson Assistant Secretary ...... Karla W. Frank

Trustees, Governors, and Officers are reported as of July 15, 2015

6052 STAFF

Dr. Marin Strmecki Senior Vice President, Director of Programs

Dr. Nadia Schadlow Olga Ramous Senior Program Officer, Grants Coordinator International Security and Foreign Policy Mark Steinmeyer Allan Song Senior Program Officer, Senior Program Officer, Domestic Public Policy International Security and Foreign Policy Donna Walsh Lori Rainville Executive Assistant and Executive Assistant Administrative Services Manager

Paula Landesberg Jennifer Hollings Administrative Associate Administrative Assistant

Dale Stewart Records Coordinator

Staff members are reported as of July 15, 2015

OFFICES Program Office (Mailing Address For All Grant Proposals) Smith Richardson Foundation, Inc. 60 Jesup Road Westport, CT 06880 (203) 222-6222 www.srf.org Administrative Office Smith Richardson Foundation, Inc. 701 Green Valley Road, Suite 300 Greensboro, NC 27408 (336) 379-8600

61 6254 HISTORY

The Smith Richardson Foundation was established in 1935 by H. Smith Richardson and his wife Grace Jones Richardson. Mr. Richardson was a remarkable man with a business career successful beyond what anyone could have predicted from the simple beginnings of his firm in a North Carolina town. This firm, the Vick Chemical Company, which had been founded by his father, Lunsford Richardson, grew under his leadership to become one of the leading over-the-counter drug companies in the world. Richardson-Vicks, Inc., as it became known, was sold in 1985 to Procter & Gamble, Inc. Mr. Richardson lived by principles that are often termed old-fashioned, and he gave generously of this wealth. Few people have combined Mr. Richardson’s respect for traditional values with his willingness to innovate. He believed in giving bright young people responsibility commensurate with their abilities. Throughout his life, he maintained a direct interest in people and in the institutions conceived to improve the lives of others. In setting forth his reasons for creating the Foundation in 1935, Mr. Richardson wrote: From the beginning, America, the new world . . . has offered to humble families, native born or immigrant, the Opportunity to gain a fortune . . . if they were diligent and lucky. With this fortune went the Right to remain secure in its possession and enjoyment for themselves and their heirs after them . . . Unquestionably, for two hundred years this Opportunity has played a large part in the building of the nation. Mr. Richardson pointed out the incentive that this “Right” and “Opportunity” had given to those who pushed the American frontier westward, as well as the impetus to “invention, discovery, trade and manufacture and all the varied development of our natural resources.” It was characteristic of him to capitalize the words “Opportunity” and “Right”: these were key words in his personal creed. He believed that “Opportunity” was something to be seized with zeal and pursued with the utmost diligence. His belief in a personal bill of rights was equally strong: a person rightfully owned what his industry brought him, and the free enterprise system permit- ted the maximum scope for that industry. It was these beliefs that enabled him to transform his father’s small mortar-and-pestle drug manufacturing business into an industrial concern of international stature. By 1935, a strong social consciousness had begun to flourish in this soil of stout individualism. To this end Mr. Richardson wrote of the responsibilities required of a mature and reflective citizenship: I believe the need for the time and thought of able men is that they be applied to the increasingly weighty problems of government and the serious social questions which now confront us and will continue to press for solution in the future . . . the greater the material wealth of the citizen the greater are his obligations to the State and Nation . . . the obligations to give his time and thought to these public and social problems. The Foundation continues to support programs that are consistent with the vision of its Founder.

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