2017-05-12T11:25:17-05:00 2016-09-30 PricewaterhouseCoopers LLP 600 13TH ST NW SUITE 1000 WASHINGTON DC 200053005 990 2015-10-01 541558882 CNA CORPORATION % DONALD DEBUCK CNAC 7038242000 3003 WASHINGTON BOULEVARD ARLINGTON VA 22201 DONALD DEBUCK CFO 7038242000 2017-05-11 true TRAVIS L PATTON P00369623 2024141000 2015 2021-01-29 14:40:06Z KATHERINE MCGRADY 3003 WASHINGTON BOULEVARD ARLINGTON VA 22201 128539192 false X WWW.CNA.ORG X 1942 VA RESEARCH ORGANIZATION THAT SPECIALIZES IN OBJECTIVE, EMPIRICAL RESEARCH AND ANALYSIS TO HELP DECISION MAKERS DEVELOP POLICIES, MAKE INFORMED DECISIONS, AND MANAGE PROBLEMS 11 10 664 0 0 112757736 118243179 0 0 345565 905377 0 0 113103301 119148556 0 0 0 0 79291688 83484606 0 0 0 32356730 31917230 111648418 115401836 1454883 3746720 61620001 68967304 18329677 21887253 43290324 47080051 X CNA IS A NON-PROFIT RESEARCH ORGANIZATION THAT OPERATES THE CENTER FOR NAVAL ANALYSES, A FEDERALLY FUNDED RESEARCH CENTER THAT HAS SUPPORTED THE NAVY AND MARINE CORPS FOR NEARLY SEVENTY YEARS, AND THE INSTITUTE FOR PUBLIC RESEARCH THAT PROVIDES SUPPORT TO A BROAD RANGE OF GOVERNMENT CLIENTS IN EDUCATION, HEALTH CARE AND PUBLIC HEALTH, HOMELAND SECURITY, HUMAN CAPITAL MANAGEMENT AND AIR TRAFFIC MANAGEMENT. CNA SPECIALIZES IN OBJECTIVE, EMPIRICAL RESEARCH AND ANALYSIS TO HELP DECISION MAKERS DEVELOP SOUND POLICIES, MAKE BETTER-INFORMED DECISIONS, AND MANAGE PROGRAMS MORE EFFECTIVELY. false false 24953919 0 0 SINCE 1942, THE OPERATIONS EVALUATION GROUP (OEG) HAS ASSIGNED ANALYSTS TO COMMANDERS OF NAVY AND MARINE FORCES (AND MORE RECENTLY JOINT COMMANDS) AROUND THE WORLD TO PROVIDE ON-SITE ANALYSES OF OPERATIONAL ISSUES. ITS RESEARCH IS FOCUSED ON OPERATIONAL ANALYSIS OF TACTICS, SYSTEMS EFFECTIVENESS AND READINESS AND TRAINING IN ORDER TO IMPROVE THE EFFECTIVENESS OF OUR DEPLOYED MILITARY FORCES. 19619140 0 0 ADVANCED TECHNOLOGY & SYSTEMS ANALYSIS (ATSA) RESEARCH FOCUSES ON ANALYSES OF WAYS TO IMPROVE FUTURE MATERIAL READINESS FOR THE NAVY, MARINE CORPS, AND OTHER COMPONENTS OF THE DEPARTMENT OF DEFENSE. ANALYSTS ASSESS ALTERNATIVE TECHNICAL AND SYSTEMS APPROACHES TO ADDRESS EMERGING GAPS IN THE CAPABILITIES OF U.S. FORCES, AND ANALYZE THOSE ALTERNATIVES TO ASSESS THEIR COST, PERFORMANCE, AND RISKS. 17317391 0 0 CNA'S RESOURCE ANALYSIS DIVISION (RAD) PROVIDES ANALYTICAL SERVICES TO THE NAVY, MARINES AND OTHER DEPARTMENT OF DEFENSE ACTIVITIES - UTILIZING EMPIRICAL RESEARCH AND MODELING AND SIMULATION TO HELP DEVELOP, EVALUATE, AND IMPLEMENT POLICIES, PRACTICES, AND PROGRAMS THAT IMPROVE THE EFFECTIVENESS AND EFFICIENCY OF THEIR PEOPLE. MAJOR AREAS OF RESEARCH INCLUDE ENERGY AND ENVIRONMENT; MANPOWER MANAGEMENT; ACQUISITION AND COST; INFRASTRUCTURE, AND MILITARY READINESS. 37863431 0 0 OTHER PROGRAMS (SEE SCHEDULE O) 37863431 0 0 99753881 true true false false false false false false false false true false false false true false true false false true true false false false false false false false false true false false false false false false true false false false false false false false false false false true 232 0 664 true false false false false false false false false false false X 11 10 false false false false false false false true true false false true true true true true true true true false CA X DONALD DEBUCK 7038242022 3003 WASHINGTON BOULEVARD ARLINGTON VA 22201 X FREDERICK S BENSON TRUSTEE 3.0 0.0 X 23000 0 0 WALTER D BROADNAX TRUSTEE (UNTIL 06/16) 3.0 0.0 X 23500 0 0 RICHARD N COOPER TRUSTEE (UNTIL 12/15) 3.0 0.0 X 23000 0 0 MAURA HARTY TRUSTEE 3.0 0.0 X 23500 0 0 JOSEPH P HOAR TRUSTEE (UNTIL 12/15) 3.0 0.0 X 25000 0 0 GILBERT S OMENN TRUSTEE (UNTIL 12/15) 3.0 0.0 X 20500 0 0 ROZANNE L RIDGWAY TRUSTEE 3.0 0.0 X 37500 0 0 CAROL GRAHAM TRUSTEE 3.0 0.0 X 22000 0 0 ADAM M ROBINSON TRUSTEE 3.0 0.0 X 21500 0 0 LAURIE O ROBINSON TRUSTEE 3.0 0.0 X 21500 0 0 DANIEL A DOMENECH TRUSTEE 3.0 0.0 X 20500 0 0 KATHERINE MCGRADY PRESIDENT & CEO 40.0 0.0 X X 447648 0 81050 RODERICK K VON LIPSEY TRUSTEE 3.0 0.0 X 17417 0 0 ROBERT R BLACKMAN TRUSTEE 3.0 0.0 X 7125 0 0 WILLIAM R BURKE TRUSTEE (FROM 12/15) 3.0 0.0 X 0 0 0 MARK ROSEN GENERAL COUNSEL 40.0 0.0 X 258205 0 25324 DONALD DEBUCK EXECUTIVE VP, CFO & TREASURER 40.0 0.0 X 325814 0 67982 KEITH COSTA VP RESEARCH DIVISION 40.0 0.0 X 254835 0 45844 MARK GEIS EXECUTIVE VP 40.0 0.0 X 297016 0 51463 LINDA CAVALLUZZO VP RESEARCH DIVISION 40.0 0.0 X 262721 0 27762 TIMOTHY BERES EXECUTIVE VP 40.0 0.0 X 326555 0 63934 HERBERT BROYHILL UNTIL 0516 VP CORP BUSINESS DEVELOPMENT 40.0 0.0 X 279880 0 40077 DAVID VORDICK VP & CIO 40.0 0.0 X 258337 0 56464 DAVID FINKELSTEIN VP RESEARCH DIVISION 40.0 0.0 X 258395 0 55837 DONALD CYMROT PRINCIPAL RESEARCH SCIENTIST 40.0 0.0 X 310875 0 48237 PEARL MIHARA VP HUMAN RESOURCES 40.0 0.0 X 264528 0 28100 ROBERT MURRAY PRESIDENT & CEO (UNTIL 06/15) 40.0 0.0 X 404305 0 28445 LEE GUNN UNTIL 0115 PRES - INST. 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East Asia and the Pacific 0 6 Program Services ONSITE CLIENT ANALYSIS 2730328 Europe (Including Iceland and Greenland) 0 1 Program Services ONSITE CLIENT ANALYSIS 412575 Middle East and North Africa 0 1 Program Services ONSITE CLIENT ANALYSIS 528836 0 8 0 8 3671739 3671739 false false false false false false X true true X X X X X true false false false false false false true false ROBERT MURRAY PRESIDENT & CEO (UNTIL 06/15) 287884 0 92200 0 24221 0 27798 0 647 0 432750 0 0 0 KATHERINE MCGRADY PRESIDENT & CEO 352659 0 68000 0 26989 0 47150 0 33900 0 528698 0 0 0 LEE GUNN UNTIL 0115 PRES - INST. PUB. RESEARCH 34154 0 41000 0 273102 0 2100 0 532 0 350888 0 0 0 KEITH COSTA VP RESEARCH DIVISION 203187 0 27000 0 24648 0 25950 0 19894 0 300679 0 0 0 MARK GEIS EXECUTIVE VP 240669 0 35000 0 21347 0 29150 0 22313 0 348479 0 0 0 LINDA CAVALLUZZO VP RESEARCH DIVISION 215446 0 27000 0 20275 0 25835 0 1927 0 290483 0 0 0 TIMOTHY BERES EXECUTIVE VP 255670 0 51000 0 19885 0 29850 0 34084 0 390489 0 0 0 HERBERT BROYHILL UNTIL 0516 VP CORP BUSINESS DEVELOPMENT 216553 38000 25327 24771 15306 319957 0 DAVID VORDICK VP & CIO 209274 0 32000 0 17063 0 21861 0 34603 0 314801 0 0 0 MARK ROSEN GENERAL COUNSEL 234167 0 8638 0 15400 0 22846 0 2478 0 283529 0 0 0 DONALD DEBUCK EXECUTIVE VP, CFO & TREASURER 265329 0 35000 0 25485 0 41850 0 26132 0 393796 0 0 0 DAVID FINKELSTEIN VP RESEARCH DIVISION 202897 0 30000 0 25498 0 24291 0 31546 0 314232 0 0 0 DONALD CYMROT PRINCIPAL RESEARCH SCIENTIST 187469 0 99000 0 24406 0 24195 0 24042 0 359112 0 0 0 PEARL MIHARA VP HUMAN RESOURCES 212007 0 28500 0 24021 0 21617 0 6483 0 292628 0 0 0 SCHEDULE J, PART I, LINE 1: TRAVEL FOR BUSINESS PURPOSES IS LIMITED TO ECONOMY CLASS FOR ALL MODES OF TRANSPORTATION. FIRST-CLASS TRAVEL MAY BE GRANTED TO ANY EMPLOYEE WHEN ECONOMY CLASS REQUIRES CIRCUITOUS ROUTING AND PROLONGED TRAVEL WOULD OFFSET TRANSPORTATION SAVINGS, OR IS NOT REASONABLY ADEQUATE FOR THE PHYSICAL OR MEDICAL NEEDS OF THE TRAVELER. THESE BENEFITS ARE CORPORATE-WIDE POLICIES AND NOT OFFERED EXCLUSIVELY TO EXECUTIVES. ONE OFFICER, ONE KEY EMPLOYEE, & ONE HIGHEST-PAID EMPLOYEE RECEIVED NON-TAXABLE FIRST CLASS TRAVEL BENEFITS. SCHEDULE J, PART I, LINE 4A: SEVERANCE RECEIVED: LEE GUNN - $271,000 SCHEDULE J, PART I, LINE 7: ALL BONUSES HAVE A WRITTEN JUSTIFICATION. BONUSES ARE APPROVED BY VICE PRESIDENTS FOR THEIR STAFFS AND APPROVED BY THE NEXT LEVEL EXECUTIVE (PRESIDENTS OR COO OR CFO) MAKING SURE THAT THE BONUSES ARE EQUITABLE AND REASONABLE AND WITHIN THE ALLOTTED POOL OF MONEY. EACH EXECUTIVE'S COMPLETE SET OF DATA IS THEN PRESENTED TO THE CEO FOR APPROVAL. THE CEO DESIGNATES BONUSES FOR VPS AND ABOVE. THE PEOPLE AND COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES REVIEWS THE CEO'S DIRECT REPORTS AND APPROVES THEM AS WELL AS DESIGNATING ANY BONUS FOR THE CEO. THE BONUS PAYMENTS WERE BASED ON: 1) SUPERIOR PERFORMANCE: IN RECOGNITION OF VARIOUS FORMS OF PERFORMANCE ABOVE AND BEYOND EXPECTATIONS. EXAMPLES OF SUCH ACTIONS ARE: PERFORMING WORK THAT HAS A SIGNIFICANT IMPACT ON A CLIENT'S DECISION OR GOVERNMENT PERFORMANCE; TURNING A BAD CLIENT RELATIONSHIP INTO A GOOD ONE THROUGH UNUSUAL EFFORTS; MAKING A SIGNIFICANT PERSONAL SACRIFICE TO SUPPORT CNA OBJECTIVES; MAKING CNA SIGNIFICANTLY MORE EFFICIENT THROUGH UNUSUALLY CREATIVE MANAGERIAL OR ADMINISTRATIVE ACTIONS; ACHIEVING ANALYTICAL EXCELLENCE OF AN OUT-OF-THE-ORDINARY MANNER. NORMALLY, SUSTAINED SUPERIOR PERFORMANCE IS NOT A CRITERION FOR THIS AWARD. 2) BUSINESS DEVELOPMENT: IN RECOGNITION OF UNCOMMON EFFORTS TO ATTRACT ABOVE-CEILING AND ABOVE-CORE BUSINESS. IN CERTAIN CASES, A PORTION OF A BONUS AWARD MAY BE EARNED EVEN IF THE EFFORT DOES NOT RESULT IN NEW BUSINESS. THE DEGREE OF DIFFICULTY INVOLVED IN PURSUING THE NEW BUSINESS AND THE DEGREE OF SUCCESS IN ACQUIRING NEW BUSINESS SHOULD BE CONSIDERED. DIRECTORSOFFICERS' LIABILITY INSURANCE PREMIUMS HAVE BEEN PAID BY THE ORGANIZATION. BENEFIT IS BEING REPORTED IN TOTAL AND IS NOT SHOWN IN THE ALLOCATION OF PART VII/ SCHEDULE J. THE CURRENT YEAR PREMIUM IS $14,723. EDSEL MCGRADY SPOUSE OF OFFICER 215531 EMPLOYMENT CONTRACT false SCHEDULE L, PART IV: THERE IS A SPOUSAL RELATIONSHIP BETWEEN EDSEL MCGRADY AND OFFICER KATHERINE MCGRADY. IMMEDIATE RELATIVES OF EMPLOYEES ARE CONSIDERED FOR EMPLOYMENT ON THE SAME BASIS AS OTHER CANDIDATES. RELATIVES ARE NOT HIRED BASED ON FAVORITISM; EMPLOYEES ARE NOT ADVANCED BASED ON FAMILY RELATIONSHIPS; AND HIRING AND PROMOTION DECISIONS MUST NOT LEAD TO INEQUITIES OR LAXITY IN THE APPLICATION OF POLICIES AND PROCEDURES OR STANDARDS OF PERFORMANCE AND CONDUCT. FURTHER, RELATIVES ARE NOT ALLOWED TO BE IN THE SAME MANAGEMENT CHAIN OF COMMAND. CONCERNS REGARDING THE APPLICATION OF THIS POLICY SHOULD BE DIRECTED TO THE VICE PRESIDENT, HUMAN RESOURCES. SITUATIONS THAT RESULT FROM THE MARRIAGE OF CURRENT EMPLOYEES MAY NECESSITATE REVIEW OF THE EMPLOYEES' POSITIONS AND RE-ASSIGNMENTS TO COMPLY WITH THIS POLICY. PART III, LINE 4D: THE OPERATIONS AND TACTICS ANALYSIS DIVISION (OTA) SUPPLEMENTS THE WORK OF THE INDIVIDUAL FIELD-BASED ANALYSTS OF THE OPERATIONS EVALUATION GROUP. THE DIVISION OFTEN INTEGRATES THE WORK OF THE FIELD ANALYSTS FROM MANY DIFFERENT FLEETS AND FORCES IN ORDER TO PROVIDE A BROADER VIEW OF PARTICULAR ISSUES. IT ALSO WORKS ON NEAR-TERM PROBLEMS FACING DECISION MAKERS IN WASHINGTON RELATED TO CURRENT OPERATIONAL SYSTEMS. THE CENTER FOR STRATEGIC STUDIES (CSS) CONDUCTS RESEARCH AND ANALYSES OF STRATEGIC, REGIONAL, AND POLICY ISSUES RELATED TO SECURITY AND POLITICAL-MILITARY MATTERS. MUCH OF THE CENTER'S WORK INFLUENCES U.S. STRATEGY AND FORCE ASSESSMENTS. THE CHINA STUDIES DIVISION (CHS) INCLUDES 20 ANALYSTS WHO HAVE LIVED, WORKED, OR STUDIED IN "GREATER CHINA". THE DIVISION ANALYZES CHINA'S EMERGING ROLE IN THE INTERNATIONAL ORDER, IMPORTANT ISSUES IN U.S. - CHINA RELATIONS, AND CRITICAL DEVELOPMENTS WITHIN CHINA ITSELF. ENTERPRISE SYSTEMS AND DATA ANALYSIS (ESDA) WITHIN CNA'S INSTITUTE FOR PUBLIC RESEARCH PROVIDES OUR CLIENTS WITH WIDE-RANGING TECHNICAL AND ANALYTICAL SUPPORT TO MEET THEIR GOALS. OUR WORK CONSIDERS THE WHOLE OF AN ORGANIZATION, NOT JUST A PORTION IN ISOLATION. WE ANALYZE THE ENTIRETY OF A CLIENT'S SYSTEMS THEIR PEOPLE, PROCESSES, DATA, AND TECHNOLOGY TO IDENTIFY A SOLUTION FOR IMPROVED OPERATIONS. WE ALWAYS BEGIN BY LOOKING AT OUR CLIENTS' DATA TO HELP THEM TO IDENTIFY THE ROOT CAUSE OF PROBLEMS AND TO FIND SOLUTIONS BASED ON THE DATA. CNA EDUCATION (EDU) HELPS POLICYMAKERS AND PRACTITIONERS TO IMPROVE THE QUALITY OF PUBLIC EDUCATION BY PROVIDING CRITICAL DECISION-MAKING SUPPORT. OUR APPROACH COMBINES THE SCIENTIFIC RIGOR OF A RESEARCH INSTITUTION WITH A FIRSTHAND UNDERSTANDING OF EDUCATION ISSUES AND THEIR REAL-WORLD IMPLICATIONS. WE ANALYZE AND SOLVE PROBLEMS WITH OBJECTIVE SCIENTIFIC METHODS, EVIDENCE-BASED ANALYSIS, ON-SCENE FIELD EXPERIENCE, AND ABSOLUTE DATA INTEGRITY. THROUGH THIS UNIQUE APPROACH, WE ASSIST A DIVERSE RANGE OF STAKEHOLDERS FROM STATE AND FEDERAL POLICYMAKERS TO HIGHER EDUCATION INSTITUTIONS TO SCHOOL DISTRICTS AND SCHOOLS. OUR TEAM'S EXTENSIVE EXPERIENCE WITH APPLIED ANALYSIS, RANDOMIZED TRIALS, PROGRAM EVALUATION, AND TECHNICAL ASSISTANCE ALLOWS US TO PROVIDE OUR CLIENTS WITH CLEAR, CREDIBLE ANALYSIS AND ACTIONABLE SOLUTIONS. SAFETY & SECURITY (SAS) PROVIDES ANALYSIS AND GUIDANCE TO SUPPORT EVOLVING STANDARDS AND PRACTICES AND GIVES RECOMMENDATIONS FOR IMPROVING DECISION-MAKING AT ALL LEVELS DURING CRISIS OPERATIONS. WE WORK WITH SENIOR DECISION-MAKERS IN FEDERAL, STATE, AND LOCAL AGENCIES AS WELL AS WITH MEMBERS OF THE HOMELAND SECURITY PROFESSIONAL COMMUNITY OF LAW ENFORCEMENT OFFICIALS, FIREFIGHTERS, PUBLIC HEALTH OFFICIALS, AND EMERGENCY MEDICAL PERSONNEL. WE CONSULT WITH EXPERTS AND OFFICIALS RESPONSIBLE FOR THE SECURITY ISSUES RELATED TO TRANSPORTATION AND TO NUCLEAR, CHEMICAL, AND BIOLOGICAL CONCERNS. AND WE WORK WITH SPECIALISTS IN THE AREAS OF INFRASTRUCTURE AND COMMUNICATIONS AT THE FEDERAL, REGIONAL, STATE, AND LOCAL LEVELS TO IMPROVE THE COORDINATION AND COOPERATION AMONG THESE DISPARATE DECISION-MAKERS. PART VI, LINE 11B: THE FORM 990 IS PREPARED BY CNA'S EXTERNAL TAX ADVISERS, REVIEWED BY CNA'S MANAGEMENT, AND PRESENTED TO THE AUDIT COMMITTEE. COPIES OF THE RETURN ARE PROVIDED TO ALL TRUSTEES. THE DRAFT VERSION IS THEN FINALIZED AFTER INCORPORATING FEEDBACK RECEIVED FROM THE AUDIT COMMITTEE. THE FINAL VERSION OF THE RETURN IS PROVIDED TO EACH VOTING BOARD MEMBER AND THEN FILED WITH THE IRS. PART VI, LINE 12C: THE CONFLICT OF INTEREST FORMS ARE FILED ANNUALLY BY OUR TRUSTEES AND KEY EXECUTIVES. BOARD MEMBERS AND KEY EXECUTIVES ARE PROVIDED INFORMATION ABOUT ORGANIZATIONS AND VENDORS WITH WHOM CNA IS CONDUCTING BUSINESS ON A QUARTERLY BASIS. THESE INDIVIDUALS USE THAT INFORMATION TO DETERMINE POSSIBLE CONFLICTS OF INTEREST THROUGHOUT THE YEAR. THIS INFORMATION IS REVIEWED BY OUR IN-HOUSE LEGAL COUNSEL TO DETERMINE IF ANY CONFLICTS OR RELATIONSHIPS REQUIRING DISCLOSURE OCCUR. IF A CONFLICT NEEDS TO BE DISCLOSED OR ADDRESSED, LEGAL COUNSEL DETERMINES THE APPROPRIATE COURSE OF ACTION. PART VI, LINES 15A AND 15B: CNA'S HUMAN RESOURCES DEPARTMENT USES COMPENSATION SURVEYS AND EXTERNAL DATA TO DETERMINE SALARIES OF ALL EMPLOYEES. THE CEO'S SALARY IS APPROVED BY THE CHAIRMAN OF THE COMPENSATION COMMITTEE. THE SALARIES OF OTHER OFFICERS AND KEY EMPLOYEES ARE APPROVED BY THE CEO. THE LAST COMPENSATION REVIEW BY A THIRD PARTY AND SALARY BENCHMARKING FOR EXECUTIVES WAS DONE IN AUGUST 2016. PART VI, LINE 19: CNA CORPORATION DOES NOT MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC.