2018-08-14T12:37:32-05:00 2017-09-30 521855942 Tate and Tryon 2021 L Street NW Suite 400 Washington DC 20036 990 2016-10-01 530196547 National Defense Industrial Association NATI 7035221820 2101 Wilson Blvd No 700 Arlington VA 22201 Therese Swetnam Chief Operating Officer 7035221820 2018-08-14 1 R Michael Sorrells P00001737 2022932200 2016 2022-09-23 18:48:47Z Herbert Carlisle 2101 Wilson Blvd No 700 Arlington VA 22201 30429093 0 X www.ndia.org X 1919 DC TO PROMOTE THE SAFETY AND SECURITY OF THE NATION 28 28 81 1700 1327402 -2186 182899 89010 24607103 24173259 2761300 1310518 512819 692991 28064121 26265778 81815 81750 0 0 8302934 9308352 0 0 0 17259113 15529396 25643862 24919498 2420259 1346280 55811475 63501110 10521257 12314181 45290218 51186929 X As the world's trusted leader in professional National Security and Defense Associations, NDIA convenes the most thoughtful and innovative leaders to advance and advocate for best practices, initiatives, and products in defense, to ensure the safety and security of our nation, its allies and partners. NDIA provides trusted leadership through the convening and collaboration of global leaders to solve the most complex challenges in Defense and National Security. 0 0 10668792 81750 20202730 The NDIA promotes activities and forums for the interchange between industry and government on technology and acquisition developments. In addition, it provides state of the art defense technology updates and promotes better management techniques through symposia. NDIA's divisions cover a wide spectrum of interest areas that are important to the national defense preparedness effort. The divisions are organized to promote the exchange of technical information related to the research, development, production, logistics, and management of weapons systems, policy, associated support, and training among the department of defense, other federal government and state agencies, industry, academia, and scientific agencies. 2706932 2991224 Chapters and Divisions: The NDIA and WID chapters are part of the NDIA entity and are organized geographically for the purpose of encouraging activities that support the association's vision, mission, and goals. Many are located near major military commands, research centers, and defense agencies and conduct programs to inform their members and communities about national security and the industrial base. 3317674 1472174 Marketing & Outreach: Costs associated with marketing, communication, public relations and the association's magazine. THE NATIONAL DEFENSE MAGAZINE IS A MONTHLY MAGAZINE THAT IS PUBLISHED TO HELP EDUCATE GOVERNMENT, INDUSTRY, AND THE PUBLIC REGARDING DEFENSE ISSUES AND RELATED TECHNOLOGY DEVELOPMENTS. 16693398 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 0 0 1 0 0 1 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 45 0 1 81 1 1 1 0 0 0 0 0 0 0 0 0 X 28 28 0 0 0 0 1 0 0 1 1 0 1 1 0 1 1 1 1 1 1 1 0 VA X X THE ORGANIZATION 7035221820 2101 Wilson Blvd No 700 Arlington VA 22201 Sid Ashworth Chair 1.00 X X 0 0 0 Richard D McConn Vice Chair 1.00 X X 0 0 0 Maj Gen arnold l punaro USMC RET Immed Past Chair 1.00 X 0 0 0 GEN Richard A Cody USA Ret Director 1.00 X 0 0 0 Maj Gen Amy Courter CAP USAFX Director 1.00 X 0 0 0 Bradley H Feldmann Director 1.00 X 0 0 0 William C Hoover Director 1.00 X 0 0 0 Raanan I Horowitz Director 1.00 X 0 0 0 R Andrew Hove Director 1.00 X 0 0 0 Stephen E Kelly Director 1.00 X 0 0 0 George Lamphere Director 1.00 X 0 0 0 James Lasswell Director 1.00 X 0 0 0 Joanna T Lau Director 1.00 X 0 0 0 Ellen M Lord Director 1.00 X 0 0 0 Maj Gen Eugene A Lupia USAF Ret Director 1.00 X 0 0 0 Hon William J Lynn III Director 1.00 X 0 0 0 peter b marion Director 1.00 X 0 0 0 Ken Masson Director 1.00 X 0 0 0 James McAleese Director 1.00 X 0 0 0 Terrance J McKearney Director 1.00 X 0 0 0 Peter d prowitt Director 1.00 X 0 0 0 MG David Ralston USA Ret Director 1.00 X 0 0 0 Bede Ramcharan Director 1.00 X 0 0 0 Hon Robert A Sturgell Director 1.00 X 0 0 0 Francis M Walton Director 1.00 X 0 0 0 Gregory Wenzel Director 1.00 X 0 0 0 Harold L Yoh III Director 1.00 X 0 0 0 Gen Herbert Hawk CarlisleUSAF Re CEO (as of 6/17) 40.00 X 0 0 0 Craig R McKinley CEO (thru 6/17) 40.00 X 420151 0 105235 Therese Swetnam COO 40.00 X 387283 0 11169 Barry Bates VP (thru 1/31/17) 40.00 X 265109 0 33625 Rene Bardorf VP/WID/Communication (Thru 2/10/17) 40.00 X 248685 0 17209 James A Robb President NTSA 40.00 X 211953 0 65791 Scott Rekdal VP 40.00 X 180592 0 23232 Maurice McFann Jr VP Membership (thru 12/31/16) 40.00 X 171610 0 0 Dino Pignotti VP (thru 5/30/17) 40.00 X 150852 0 21398 Bruce Roulstone Director 40.00 X 150522 0 1113 James Thomas Jr Asst VP (thru 6/23/17) 40.00 X 157914 0 6495 Sasan Oghildos Director (thru 5/5/17) 40.00 X 137068 0 3760 Latosha Hill Controller 40.00 X 138921 0 9585 David Chesebrough Asst VP 40.00 X 144436 0 17944 2765096 0 316556 25 0 1 0 MORGAN LEWIS & BOCKIUS LLP 1111 PENNSYLANIA AVE NW Washington DC 20004 Legal 594916 James Barros 6480 KATHERINE RD 72 SIMI VALLEY CA 93063 Sales 130210 Maricap Group 1350 Beverly Road Suit 115 McLean VA VA 22102 Consultant 130000 3 89010 89010 Meetings 900099 10251951 10251951 Exhibits 900099 7903380 7903380 Membership Dues 900099 2867194 2867194 Sponsorships 900099 1678560 1678560 Publications 541800 1472174 144772 1327402 24173259 1126838 1126838 4346995 4163315 183680 183680 183680 CHAPTER REVENUE 900099 492869 492869 Miscellaneous Revenue 900099 200122 200122 692991 26265778 23338726 1327402 1510640 81750 81750 2328642 1201299 1127343 5720954 2893827 2827127 5999 5999 723666 723666 529091 529091 156654 16185 140469 154590 154590 1045857 738927 306930 127403 127403 1087447 693486 393961 718844 62836 656008 8920 1019 7901 814450 814450 632712 516707 116005 6224074 5849007 375067 240854 240854 101901 500 101401 Chapter Expense 2739334 2707516 31818 Publications 511767 497495 14272 service contract 373805 373805 Other Expenses 145316 9384 135932 445468 198586 246882 24919498 16693398 8226100 0 5330526 5050977 1756962 684770 230843 507122 943863 988536 3691139 408887 694406 3282252 42069836 47299771 4785039 5687682 55811475 63501110 1920310 1921559 7567664 7679624 1033283 2712998 10521257 12314181 X 43747295 49519183 898423 1020246 644500 647500 45290218 51186929 55811475 63501110 1346280 4550431 0 X X 0 1 X 1 0 X 135431 106360 181519 182899 89010 695219 21335664 22152501 20781756 23319426 23338726 110928073 21471095 22258861 20963275 23502325 23427736 111623292 0 35356 147806 183162 35356 147806 183162 111440130 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26265778 24764908 0 24764908 154590 154590 24919498 Part V, Line 4: The active endowment funds are primarily used for scholarship awards. The CHOU and Zernow funds are primarily for recognizing professional competence in terms of best paper and best author at the normally annual ballistics conference. Central America and the Caribbean - Antigua & Barbuda, Aruba, Bahamas, 0 0 investment in region 4558100 0 0 0 0 0 0 4558100 0 4558100 0 0 0 0 1 0 1 Solic Essay Winners 2 1500 Harris Scholarship Award 8 8000 Zernow Award 1 750 USWD Fellowship Award 7 21000 Golobin Award 1 10000 I/ITSEC Scholarship 3 25000 Horizon Scholarship Award 6 15500 Part I, Line 2: I/ITSEC Training Systems: A scholarship award funded by the annual meeting. Scholarships are offered at the masters level in the amount of $5,000 and at a doctoral level in the amount of $10,000. Applicants must be enrolled or accepted for a full-time masters or doctoral program in certain disciplines, be a US citizen, and have a stated interest and career goal in the modeling, simulation & training system and/or education industry. The award will be based on student merit and needs as determined from the submitted application documents. If the awardee terminates his/her graduate studies and there are remaining funds, the institution will retain such funds for award to another student of its choice following the eligibility guidelines. A panel consisting of current and past I/ITSEC leaders and members of the education community determine the selection. Undersea Warfare Fund: The NDIA Undersea Systems Warfare Division (USWD) University Fellowship Fund is to fund scholarships for doctoral candidates in science and engineering related to undersea warfare at the University of Texas Austin, the Pennsylvania State University at State College, and the University of Washington Seattle. Specific eligibility rules for the fellowship are established at the participating universities, which forward candidates to the Research Engineer at the Pennsylvania State University for review & approval by the Undersea Warfare Executive Board. The fellowship is normally for one year not to exceed in-state tuition costs & fees, extendible to a second year based on student performance. Horizons Scholarship: The scholarship is intended to provide financial assistance to further educational objectives of women who are US citizens either employed or planning careers in defense or national security areas (this is not law enforcement or criminal justice). The amount of the awards varies each year. The applicant must be currently enrolled either part- or full-time at an accredited university or college with a minimum grade point average of 3.25. Awards are based on academic achievement, participation in defense and national security activities, field of study, work experience, statements of objectives, recommendations, and financial need. A panel of judges, composed of WID (NDIA affiliate) members, considers applications and makes awards once each year. Hubert D. Harris Memorial Scholarship Fund: These scholarships are open to specific candidates pursuing an undergraduate degree who have an interest in a scientific, engineering, or mathematical (STEM) career. The scholarship is open to candidates who are sponsored by NDIA targets, UAV and Ranges Division members of High Schools within the Gulf Coast Chapter's immediate area. Awards are based on educational interest, leadership, academic achievement, and other indications of character and noteworthy achievement. In the event the student drops out of school or does not use the fund by October 1st of the year they are granted, the funds will be withdrawn. X X X X X 0 0 0 0 0 0 0 0 0 Craig R McKinley CEO (thru 6/17) 379888 0 18453 0 21810 0 105235 0 1680 0 527066 0 18453 0 Therese Swetnam COO 292331 0 93662 0 1290 0 9474 0 3375 0 400132 0 0 0 Barry Bates VP (thru 1/31/17) 226267 0 18632 0 20210 0 33625 0 1680 0 300414 0 0 0 Rene Bardorf VP/WID/Communication (Thru 2/10/17) 198035 0 50200 0 450 0 0 0 18889 0 267574 0 0 0 James A Robb President NTSA 173126 0 18632 0 20195 0 65791 0 1680 0 279424 0 18632 0 Scott Rekdal VP 159238 0 21134 0 220 0 4650 0 20262 0 205504 0 0 0 Maurice McFann Jr VP Membership (thru 12/31/16) 170238 0 0 0 1372 0 0 0 1680 0 173290 0 0 0 Dino Pignotti VP (thru 5/30/17) 131884 0 18694 0 274 0 4035 0 20353 0 175240 0 0 0 Bruce Roulstone Director 149318 0 0 0 1204 0 1113 0 1680 0 153315 0 0 0 James Thomas Jr Asst VP (thru 6/23/17) 141037 0 16739 0 138 0 1300 0 6875 0 166089 0 0 0 Latosha Hill Controller 123109 0 15667 0 145 0 0 0 11265 0 150186 0 0 0 David Chesebrough Asst VP 120702 0 22500 0 1234 0 1560 0 18064 0 164060 0 0 0 Form 990, Part VI, Section A, line 1 The executive committee shall consist of the chairman and vice chairman of the board of directors, the immediate past chairman, and four additional members elected by the board of directors for a term of office of one year. The executive committee shall have and exercise the authority of the board of directors in the management of the association except the authority to adopt amendments to the by-laws. In addition, it shall review individual, corporate, and government membership standings at each of its regular meetings. Form 990, Part VI, Section A, line 6 The Association has three classes of membership: Individual, Corporate, and Allied. Membership shall be either regular, life, student, or honorary, as described below. Individual members must be United States citizens. Individual members shall be entitled to vote as a member of one of the association's chapters only on matters affecting the chapter. (A) Regular Membership is open to those individuals who do not qualify for any other type of individual membership. (B) Life Membership is open to individual members upon payment of life-time membership dues (C) Student Membership is open to students in colleges and technical schools (D) Honorary Membership is conferred in the discretion of the board of directors or the executive committee on those who have rendered meritorious service in the cause of defense preparedness and national security. Honorary members will pay no dues. Corporate members shall be termed regular corporate members. Regular Corporate Membership is open to all businesses, including partnerships, sole proprietorships, corporations, firms, educational institutions, foundations, association, and components thereof (hereinafter referred to as "Corporations") organized or otherwise chartered within the United States. A key representative, empowered to speak (vote) for his or her corporation on matters affecting the association as a whole (hereinafter referred to as "key representative") will be designated by each regular corporate member. Regular corporate members shall have the right to nominate employees to regular membership in the association. the total number of such membership to be related to the annual membership dues of the regular corporate member, as may be prescribed by the board of directors or the executive committee. Such members shall not be required to pay individual membership dues. Allied membership shall be either individual or corporate as described below: (A) Allied individual membership may be conferred by the president of the association on individuals who are citizens of (1) Nations belonging to the NATO alliance, (2) Japan, Australia, or New Zealand, (3) Nations with which the united states maintains a reciprocal procurement agreement, (4) nations with which the united states department of defense has specifically requested the association to conduct meetings and enhance communications on an industry-to-industry basis. Allied individual members may participate as individual, non-voting members in the activities of the chapters, subject to any restrictions that may be placed on such participation by the United States Government. In the case of chapters located outside the fifty states, allied members may participate as individual voting members in the activities of those chapters. (B) Allied corporate membership may be conferred by the President of the Association on corporations which are chartered and controlled under the laws of (1) Nations belonging to the NATO Alliance, (2) Japan, Australia, or New Zealand, (3) nations with which the united states maintains a reciprocal procurement agreement, (4) nations with which the united states department of defense has specifically requested the association to conduct meetings and enhance communications on an industry-to-industry basis. Allied corporate members shall have the right to nominate a designated number of employees as their representatives to receive all benefits of allied individual members. Such members shall not be required to pay individual membership dues. Form 990, Part VI, Section B, line 11b The Form 990 is prepared by an independent accounting firm and is provided prior to filing to the NDIA EXECUTIVE COMMITTEE, WHICH HAS BOARD AUTHORITY DESIGNATED TO IT, FOR ITS INFORMATION AND REVIEW. At the same time, a detailed review is conducted by the the NDIA chief operating officer, and the NDIA Controller. All parties are able to ask questions and request changes to the Form 990 prior to filing with the IRS. Form 990, Part VI, Section B, line 12c Each board meeting begins with a review of a chart outlining the conflict of interest policy and the board chairman calling for any disclosures. The policy is also outlined in the director's handbook, which each board member receives. Board members, officers, and individuals holding staff executive positions are required to complete disclosure forms annually at the beginning of each fiscal year, listing all interests which either do, or potentially could, represent a conflict of interest. Officers and those individuals holding executive positions are required to update their disclosure forms throughout the year should circumstances change. The disclosure form is a three part form. The first section asks if there are any relevant relationships to disclose (relevant being those relationships related to the interests and activities of NDIA and its affiliates). The second section requests disclosure of relevant financial, commercial, or other organizational relationships, and the final section requests a category listing of relationships to be disclosed as appropriate. Any issues raised would be presented to the president and CEO of NDIA, subsequently to the NDIA finance committee chairman and the NDIA board executive committee for appropriate action. Form 990, Part VI, Section B, line 15 The compensation for the President & CEO of NDIA is set by contract signed by the President and the Chairman, NDIA, AFTER CONSULTATION WITH AN EXTERNAL COMPENSATION EXPERT USING DATA FROM SURVEY COMPENSATION DATA. The President's base compensation is reviewed on an annual basis by the NDIA Compensation Committee, normally as part of its review of the incentive awards justifications, with subsequent review and approval by the NDIA Executive Committee. The most recent review was in February 2015. The justification package presented to both committees includes survey compensation data OF LIKE ENTITIES IN THE NON PROFIT INDUSTRY. The compensation of the other executives is reviewed on an annual basis by the NDIA President and the NDIA Compensation Committee as part of its review of the incentive awards justifications presented to it and subsequently to the NDIA Executive Committee. All employees' compensation is reviewed on an annual basis by the NDIA COO using the appropriate comparability data and information from individual performance incentive reviews. Employee compensation is indirectly reviewed by NDIA's Finance Committee as part of the annual budgeting process. Form 990, Part VI, Section C, line 19 The Association makes its governing documents, conflict of interest policy, and financial statements available to the public upon request. Form 990, Part XII, Line 2c The oversight process remains unchanged from the prior year.