2023-08-11T14:34:05-05:00 2022-09-30 920460586 PWC US TAX LLP 600 13TH ST NW STE 1000 WASHINGTON DC 20005 990 2021-10-01 560686338 Research Triangle Institute RESE 9195416000 PO BOX 12194 Research Triangle Park NC 277092194 Michael H Kaelin Jr CFO Chief Financial Officer 9195416000 2023-08-11 1 Michael Kaelin Jr CFO 999009999 TRAVIS L PATTON P00369623 2024141000 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z RTI International Tim J Gabel PO BOX 12194 Research Triangle Park NC 277092194 1290406467 0 X www.rti.org X 1958 NC Research Triangle Institute is one of the world's leading research institutes, dedicated(see Sch O) to improving the human condition by turning knowledge into practice. Our staff of more than 5,900 provides research and technical expertise to governments and businesses in more than 100 countries in the areas of health and pharmaceuticals, education and training, surveys and statistics, advanced technology, international development, economic and social policy, energy and the environment and laboratory and chemistry services. 17 9 5409 0 18923091 2440261 0 14808143 1077948495 1179594256 4150885 43669743 155365 -7358 1082254745 1238064784 770888 508289 0 0 530288137 575489853 0 0 0 536548895 606459789 1067607920 1182457931 14646825 55606853 863720584 795978443 365799068 319825304 497921516 476153139 X Research Triangle Institute is one of the world's leading research institutes, dedicated to improving the human condition by turning knowledge into practice. Our staff of more than 5,400 provides research and technical (continued on Schedule O, Part III, Line 1) expertise to governments and businesses in more than 100 countries in the areas of health and pharmaceuticals, education and training, surveys and statistics, advanced technology, international development, economic and social policy, energy and the environment and laboratory and chemistry services. 0 0 801884737 486378 888953292 RESEARCH: Multidisciplinary research & development and the application of science & technology in the areas of Health Research; Drug Discovery & Development; Education & Training Research; Survey Research Services; Statistics Research; Economic & Social Research; Advanced Technology Research & Development; Energy Research; Environmental Research Services; and Laboratory & Chemistry Services; See Schedule O for expanded description of these program services. 263682728 21911 290633606 INTERNATIONAL DEVELOPMENT: See Schedule O for description of program services, Part III Line 4b. 1065567465 1 1 0 1 0 0 0 0 0 0 1 1 0 0 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 1 1 0 1 X 924 0 5409 1 1 1 1 BN CB CH CS CG EC EG ES ET FR GH GT GV HA HO HK IN ID JO KE LA LI MI MY MO MZ NP NU NI OC PP PE RP RW SG SO SF SP SW TZ TH UG UP AE UK ZA ZI 0 0 0 0 0 0 0 0 1 0 X 17 9 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 CA GA MA X Michael H Kaelin Jr Chief Financial Officer 9195416000 PO BOX 12194 Research Triangle Park NC 277092194 X E Holden Separated 212022 President 40.00 X 1728173 0 239759 J Gibson Separated 212022 Vice President 40.00 X 972413 0 137596 S Kornbluth Separated 11292022 Board Member 2.00 40.00 X 54375 965031 47263 M Kaelin Jr Vice President & CFO 40.00 X 842961 0 145362 T Gabel Vice President 40.00 X X 829037 0 148579 T Magnuson Separated 3112022 Board Member 2.00 40.00 X 82500 869814 0 A Mangel Vice President 40.00 X 772638 0 134529 P Weisenfeld Vice President 40.00 X 783265 0 111944 G Story Secretary 40.00 X 757354 0 127541 L May Separated 312022 Former Vice President 40.00 X 709408 0 117642 A Helwig Vice President 40.00 X 683073 0 91014 B Piper Separated 11182021 Divisional Director 40.00 X 450353 0 75164 W Arden Board Member 2.00 40.00 X 46500 475000 0 F Gilliam Board Member 2.00 40.00 X 31000 489000 0 C Hill Divisional Director 40.00 X 461207 0 50084 P Collier Divisional Director 40.00 X 466410 0 43679 C Simmons Divisional Director 40.00 X 442255 0 58499 A Roussel New 6152022 Vice President 40.00 X 448518 0 44319 R Williams Seperated 6302022 Board Member 2.00 40.00 X 10875 414441 59888 H Martin Board Member 2.00 40.00 X 82500 394000 0 S Earnshaw Divisional Director 40.00 X 408368 0 56706 C Buchholtz Assistant Secretary 40.00 X 380506 0 54776 W Fairfax New 322022 Vice President 40.00 X 375512 0 57616 C Cornwell Vice President 40.00 X 322670 0 50258 E Sax Treasurer 40.00 X 368765 0 44068 P Scott III Chairman 2.00 X 115875 0 0 H Pinnix-Ragland Board Member 2.00 X 77750 0 0 J Moellering Board Member 2.00 X 67500 3100 0 C Shaffer Board Member 2.00 X 67500 0 0 T Darden Board Member 2.00 X 62000 0 0 P Lange Board Member 1.00 40.50 X 62000 0 0 L Carin Separated 182021 Board Member 2.00 40.00 X 15500 40739 1070 W Mitchell Board Member 2.00 X 53750 0 0 R Ingram Separated 1272022 Board Member 2.00 X 49000 0 0 M Powell Board Member 2.00 X 21750 0 0 C Nye Board Member 2.00 X 21750 0 0 J Elguera New 1242022 Vice President 40.00 X 0 0 0 J Lodge New 712022 Board Member 2.00 40.00 X 0 0 0 P Gordon-Larsen New 5172022 Board Member 2.00 40.00 X 0 0 0 13125011 3651125 1897356 1564 1 1 0 HR Directions 805 Spring Forest Road Raleigh NC 27609 Contract Labor 22719510 Telligen 1776 West Lakes Parkway West Des Moines IA 502667771 Health Management 16122109 NPC Inc 13710 Dunnings Hwy Claysburg PA 16625 Contract Labor 8685830 IMPAQ International LLC 10420 Little Patuxent Pkwy Ste 300 Columbia MD 21044 Health Management 6864231 IMA World Health 500 Main Street New Windsor MD 21776 Health Management 5789795 318 14808143 14808143 14808143 Research 541700 888958814 870035723 18923091 International Development 541900 290635442 290635442 1179594256 43669743 43669743 49557593 2784090 49557593 2784090 0 0 Foreign Currency Gain(Loss) 901101 -7358 -7358 -7358 1238064784 1160663807 18923091 43669743 X 486378 486378 21911 21911 15776045 15776045 374185274 333156313 41028961 26800013 20925449 5874564 130821404 102145345 28676059 27907117 21789876 6117241 2526979 156264 2370715 611638 101744 509894 318762 318762 480070789 470875862 9194927 30275 30275 14158263 11643741 2514522 29961537 27832599 2128938 676315 676315 15612016 35442705 -19830689 16145106 15699912 445194 19339180 18737042 602138 2478887 2478887 15171363 1712098 13459265 2439308 851374 1587934 Memberships 1489875 473948 1015927 Business Meals 688014 170529 517485 Taxes 634206 634206 Bad Debt 253732 253732 0 3853544 2414328 1439216 1182457931 1065567465 116890466 0 57959763 70092996 256676150 244048956 17748614 20860195 361754579 204627622 158035860 157126957 208683584 168529605 87686085 84603205 26251349 20832821 50679179 29883708 863720584 795978443 215689848 190794233 57337639 56270023 50111461 44168857 42660120 28592191 365799068 319825304 X 495452892 475426606 2468624 726533 497921516 476153139 863720584 795978443 X 55606853 -70040846 -7334384 X 0 1 X 1 1 1 X X 2 Duke University 560532129 2 1 0 0 The University of North Carolina(UNC System) 566001393 2 1 0 0 2 0 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 0 Schedule A, Part I, Line 12g(i) General Explanation: Three North Carolina Universities; Duke University in Durham, The University of North Carolina in Chapel Hill and North Carolina State University in Raleigh, incorporated RTI in 1958. We are a separately operated affiliate of these schools and maintain our own staff and offices. We work with their scientists on research programs and projects and maintain such universities and businesses in the Microelectronics Center of North Carolina and North Carolina Biotechnology Center. Schedule A, Part IV, Line 6 RTI grants money to organizations based on its community-oriented mission. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 318762 0 0 318762 0 Schedule C, Part II-B, Line 1 - Research Triangle Institute communicates the results of its independent objective research with government officials; protects its reputation for independence, objectivity and quality and seeks sufficient federal budgets for certain fields of research and development. 2674413 2674413 251393978 124887020 126506958 100696745 79740602 20956143 6989443 6989443 157126957 Global Endowment Fund II 84603205 C 84603205 Other Accrued Expenses 11782119 LT Operating Lease Liabilities 16810072 28592191 Schedule D, Part X, Line 2 - As provided by Section 501(c)(3) of the IRC and the Internal Revenue Service's determination, the Institute's charitable, scientific, and educational operations are exempt from corporate income taxes and no provision for corporate income taxes is generally required. However, this tax exemption does not pertain to activities unrelated to the Institute's exempt purposes. The Institute's presence in certain foreign countries results in income taxation in these countries. Additionally, the Institute has several for-profit entities subject to corporate income taxation. These for-profit entities' operating losses and goodwill impairments have primarily contributed to a $2.8 million and a $3.4 million net deferred tax asset that has been offset with a full valuation allowance, as of the years ended September 30, 2022 and 2021, respectively. Income taxes associated with foreign operations, unrelated business income, and income generated by the Institute's for-profit entities are not material for the Institute. All not-for-profit (NFP) organizations, including the Institute, are subject to the provisions of Financial Accounting Standards Board (FASB) Accounting Standards Codification (ASC) Topic 740, Income Taxes, related to the accounting for uncertainty in tax positions, including the financial statement recognition and measurement of a tax position taken or expected to be taken in a tax return. The tax benefit from an uncertain tax position is only recognized in the consolidated balance sheets if the tax position is more likely than not to be sustained upon examination, based on the technical merits of the position. Interest and penalties, if any, are included in tax expense in the consolidated statements of revenue, costs, and changes in Institute net assets. As of September 30, 2022, and 2021, the Institute had no uncertain tax positions that qualify for recognition or disclosure in the consolidated financial statements. Central America and the Caribbean - Antigua & Barbuda, Aruba, Bahamas, 10 62 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 12474282 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, 34 413 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 61810077 Europe (Including Iceland & Greenland) - Albania, Andorra, Austria, Belgium 0 118 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 37140897 Middle East and North Africa - Algeria, Bahrain, Djibouti, Egypt, 1 13 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 6533877 Russia and Neighboring States - Armenia, Azerbijan, Belarus, 0 83 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 18699304 South America - Argentina, Bolivia, Brazil, Chile, Columbia, Ecuador, 0 3 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health,Tech 1114259 South Asia - Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, 0 114 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 17539234 Sub-Saharan Africa - Angola, Benin, Botswana, Burkina Faso, 38 606 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 140286895 North America - Canada and Mexico, but not the United States 0 5 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 522502 Sub-Saharan Africa - Angola, Benin, Botswana, Burkina Faso, Grantmaking 6875 Central America and the Caribbean - Antigua & Barbuda, Aruba, Bahamas, Grantmaking 7536 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, Grantmaking 7500 83 1412 0 5 83 1417 295598825 544413 296143238 East Asia and the Pacific General Support 7500 0 Sub-Saharan Africa General Support 6875 0 Central America and the Caribbean General Support 7536 0 3 0 1 0 1 0 0 1 Part III Accounting Method: Schedule F, Part I, Line 1 RTI's International development program services are not in the nature of grantmaking. See Part III, line 4(b) of the Form 990. Schedule F, Part I, Line 2 RTI is committed to improving the human condition and helping people by giving back to the communities where we are located. As described in Schedule I, RTI seeks recommendations for worthy charitable causes. During FY22 RTI contributed to the following communities: RTI contributed $2,500 to Yayasan Doctor Peduli in Southeast Asia to improve Indonesia's health outcomes, particularly in the eastern parts through holistic healthcare services and innovative sustainable programs. RTI contributed $2,500 to Indonesian Cancer Information and Support Center Association in Southeast Asia to hold free cancer social activities such as cancer support groups, cancer education and shelter homes for poor cancer patients. RTI contributed $2,500 to Lotus Petal Charitable Foundation in India to provide education, nutritious meals, free healthcare and skill development to the children of the urban poor in India. RTI contributed $312 to Elgon East Friends Church in Africa to minister to the needy and engage in community development. RTI contributed $937 to Kibagare Academy Centre in Africa to offer local people opportunities for empowerment aimed at alleviating poverty, illiteracy, disease and social injustice. RTI contributed $937 to Kwea Centre in Africa for the provision of holistic human development towards a better society through, sensitization on matters concerning education, environmental conservation and public healthcare to the youth, women and less privileged in the community. RTI contributed $937 to Little Angels Centre for Orphans and Destitute Children in Africa to ensure children have a suitable home place with a favorable and supportive environment. RTI contributed $937 to Lukenya Pillars of Transformation in Africa to build the people's capacity with self-reliant skills through active participation in training and mentorship. RTI contributed $937 Malaika Initiative for People with Disabilities in Africa to empower, build capacity and improve the spiritual, health and socio-economic status of the Children with disabilities and their caregivers. RTI contributed $937 to Morning Star Children's Home Kenya in Africa to give less fortunate children hope and joy for a brighter future. RTI contributed $941 to Tuuru Children's Home in Africa to empower children with physical and mental challenges to reach their optimum level of self-reliance and to share with them the love of God. RTI contributed $1,884 to Fundacion Margarita Tejada for Children with Down Syndrome in Latin America to improve the quality of life of people with down syndrome and their families, promoting health, education and social awareness. RTI contributed $1,884 to Guatemala Institution: Asociacin Civil Proyecto de Rangos de Movimientos in Latin America to ensure access to high-quality prosthetic care for the underserved. RTI contributed $1,884 to Fundacin Asturias Maldonado in Latin America to advance a model PreK-13 school in which students graduate with employable skills, are self-reliant and contribute to the economic growth of their communities. RTI contributed $1,884 to AYUVI in Latin America for the treatment of pediatric cancer in Latin America. 1 ALLIANCE MEDICAL MINISTRY 101 Donald Ross Dr Washington DC 20006 562168673 501(c)(3) 6000 0 General Support AMERICAN NATIONAL RED CRO 431 18th Street NW Raleigh NC 27603 530196605 501(c)(3) 61320 0 General Support BENEVOLENT HEALTHCARE FOUNDATION 10377 E Geddes Avenue Twin Falls ID 83301 841568566 501(c)(3) 25000 0 General Support CLAYTON AREA MINISTRIES 704 East Main Street Washington DC 20036 352391010 501(c)(3) 6000 0 General Support DURHAM JAZZ WORKSHOP INC 4608 Industry Lane New York NY 10013 454956498 501(c)(3) 10000 0 General Support FAMILIES MOVING FORWARD 300 N Queen Street Centennial CO 80112 561633998 501(c)(3) 7000 0 General Support FOOD BANK OF CENTRAL 1924 Capital Blvd Clayton NC 27520 561283426 501(c)(3) 7000 0 General Support FRIENDS COMMITTEE PO Box 26751 Durham NC 27713 473443135 501(c)(3) 7000 0 General Support FRIENDS OF BOSTONS HOMELESS 12 Wise Street Durham NC 27713 222866770 501(c)(3) 6000 0 General Support GO GLOBAL NC COUNCIL INC 68 TW Alexander Dr Montgomery AL 36104 561751280 501(c)(3) 10000 0 General Support HABITAT FOR HUMANITY OF DURHAM INC 215 North Church Street Durham NC 27701 581674794 501(c)(3) 6000 0 General Support INTER-FAITH FOOD SHUTTLE PO Box 14638 Raleigh NC 27604 561753180 501(c)(3) 7000 0 General Support JEWISH FAMILY AND CHILDRENS SERVICE 1430 Main Street Raleigh NC 27617 042104356 501(c)(3) 6000 0 General Support LUNG CANCER INITIATIVE OF 400 Blue Ridge Rd Ste 170 Raleigh NC 27611 262300885 501(c)(3) 6000 0 General Support MARIAM CLINIC 4441-106 Six Forks Rd Suite 388 Boston MA 02130 203011248 501(c)(3) 6000 0 General Support NOTE IN THE POCKET INC 9650 Strickland Rd Ste 103-168 Durham NC 27701 462574332 501(c)(3) 6000 0 General Support OAK CITY CARES INC 1430 S Wilmington Street Fort Collins CO 80522 830826329 501(c)(3) 6000 0 General Support PORCH INC 218 Lake Manor Road Waltham MA 02451 272759081 501(c)(3) 6000 0 General Support SOUTH DURHAM CONNECTIONS 5800 Loyal Avenue Durham NC 27713 843796595 501(c)(3) 6000 0 General Support TAMAM 9705 Broadrun Drive New York NY 10001 812830588 501(c)(3) 6000 0 General Support TEAM TELOMERE 1562 1st Ave No 205-4093 Chapel Hill NC 27514 263776187 501(c)(3) 6000 0 General Support THE TRIANGLE NONPROFIT & VOLUNTEER PO Box 3374 Des Moines IA 50310 237128378 501(c)(3) 6000 0 General Support THE WOMENS CENTER INC 210 Henderson Street New York NY 10006 561271474 501(c)(3) 6000 0 General Support UNITED STATES ASSOCIATION OF UNHCR 1310 L St NW Ste 450 Washington DC 20004 521662800 501(c)(3) 50000 0 General Support UNITED WAY 2400 Perimeter Park Dr Ste 150 Merrifield VA 22116 561949103 501(c)(3) 87167 0 General Support WHITE PLAINS UNITED METHODIST CHURCH 313 SE Maynard Road Raleigh NC 27603 561031475 501(c)(3) 6000 0 General Support WOMENS BIRTH AND WELNESS CENTER 930 MLK Jr Blvd Chapel Hill NC 27516 200181203 501(c)(3) 7000 0 General Support WOMEN'S CENTER OF WAKE COUNTY INC 112 Cox Avenue Raleigh NC 27612 581316004 501(c)(3) 6000 0 General Support 28 0 Schedule I, Part I, Line 2 Consistent with our mission, RTI is committed to helping people by giving back to the communities where we are located, when possible. RTI has a process for making annual contributions at the corporate level to charitable causes. The process, governed by annual budget and consistent giving criteria, seeks staff recommendations for worthy recipient organizations. The Community Partnerships Board reviews the contributions proposed by the staff and makes a recommendation to the CEO and CFO who make the final decisions. The decisions are reported to the staff, thereby setting the program for the fiscal year. In the fourth quarter of the fiscal year, the CEO and CFO, in consultation with the Corporate Affairs, review the programs, lessons learned and prospects for its evolution. RTI also supports the United Way's mission to improve people's lives by mobilizing the caring power of communities. As part of this effort, RTI holds an annual United Way campaign in the fall, grants an annual corporate contribution to Triangle United Way, as well as, regional United Way offices, provides year round donor education and comunication and participates in local United Way efforts when possible. In addition, RTI supports educational initiatives related to our exempt purpose through the corporate sponsorship program. Schedule I, Part II, Line I X X X X 1 1 X X X X X X 0 1 0 0 0 0 0 1 1 0 E Holden Separated 212022 President 1015202 0 647695 0 65276 0 189050 0 50709 0 1967932 0 196291 0 J Gibson Separated 212022 Vice President 597245 0 343016 0 32152 0 88868 0 48728 0 1110009 0 94290 0 S Kornbluth Separated 11292022 Board Member 54375 800531 0 145000 0 19500 0 35296 0 14553 54375 1014880 0 0 M Kaelin Jr Vice President & CFO 529507 0 291306 0 22148 0 91111 0 54250 0 988322 0 76631 0 T Gabel Vice President 519903 0 286308 0 22826 0 90742 0 57837 0 977616 0 74896 0 T Magnuson Separated 3112022 Board Member 82500 869814 0 0 0 0 0 0 0 0 82500 869814 0 0 A Mangel Vice President 509636 0 238059 0 24943 0 87790 0 46739 0 907167 0 74219 0 P Weisenfeld Vice President 496511 0 267881 0 18873 0 84775 0 27169 0 895209 0 69925 0 G Story Secretary 472180 0 267906 0 17268 0 81716 0 45826 0 884896 0 72949 0 L May Separated 312022 Former Vice President 444338 0 249847 0 15223 0 67123 0 50519 0 827050 0 66623 0 A Helwig Vice President 447545 0 219266 0 16262 0 46917 0 44097 0 774087 0 0 0 B Piper Separated 11182021 Divisional Director 140156 0 20036 0 290161 0 0 0 75164 0 525517 0 0 0 W Arden Board Member 46500 475000 0 0 0 0 0 0 0 0 46500 475000 0 0 F Gilliam Board Member 31000 489000 0 0 0 0 0 0 0 0 31000 489000 0 0 C Hill Divisional Director 342989 0 110110 0 8108 0 0 0 50084 0 511291 0 0 0 P Collier Divisional Director 211023 0 8562 0 246825 0 0 0 43679 0 510089 0 0 0 C Simmons Divisional Director 349299 0 86547 0 6409 0 0 0 58499 0 500754 0 0 0 A Roussel New 6152022 Vice President 332340 0 110127 0 6051 0 0 0 44319 0 492837 0 0 0 R Williams Seperated 6302022 Board Member 10875 396566 0 0 0 17875 0 35296 0 25836 10875 475573 0 0 H Martin Board Member 82500 394000 0 0 0 0 0 0 0 0 82500 394000 0 0 S Earnshaw Divisional Director 332738 0 71294 0 4336 0 0 0 56706 0 465074 0 0 0 C Buchholtz Assistant Secretary 293769 0 85000 0 1737 0 0 0 54776 0 435282 0 0 0 W Fairfax New 322022 Vice President 285683 0 88939 0 890 0 0 0 57616 0 433128 0 0 0 C Cornwell Vice President 262068 0 60000 0 602 0 0 0 50258 0 372928 0 0 0 E Sax Treasurer 298235 0 67500 0 3030 0 0 0 44068 0 412833 0 0 0 L Carin Separated 182021 Board Member 15500 22935 0 17804 0 0 0 0 0 1140 15500 41879 0 0 Part I, Line 1a One highly compensated employee received tax gross up payments related to their international assignment in addition to payment for housing which was included in taxable income. Personal services for tax preparation was provided to one highly compensated employee and it was included in taxable income. Exclusively for its business purposes, RTI maintains memberships to two business clubs, where leaders in industry and business gather. No taxable income has been imputed to the senior executives who use these RTI club memberships exclusively for RTI business purposes. Part I, Line 4b The Institute implemented a long term incentive plan designed to reward executives to ensure the organization's finances are strong and to retain executives. This plan recognizes that the executives' total compensation is below market. Rather than increasing salaries, annual incentives or supplemental retirement benefits, the Board implemented a cash based retention plan which is dependent on the Institute's continued strong performance. Amounts paid and accrued during the calendar year 2021 are as follows: E. Holden $747,824, J. Gibson $357,281, M. Kaelin $309,253, T. Gabel $303,946, A. Mangel $299,069, G. Story $289,378, P. Weisenfeld $283,827, L. May $256,776, A. Helwig $46,917. These amounts include payments totaling $725,823 which were accrued and reported in prior years as deferred compensation. Part I, Line 7 RTI maintains variable compensation plans which are reviewed and approved annually by the Compensation Committee of the Board, as well as the full Board, to establish appropriate measurable targets and objectives along with incentive amounts. Actual performance under the plans is reviewed after the performance period and approved by the Compensation Committee and full Board as well. Amounts paid under these plans during the calendar year 2021 are as follows: E. Holden $285,212, J. Gibson $168,893 M. Kaelin $149,794, T. Gabel $148,000, P. Weisenfeld $138,451, G. Story $133,192, A. Helwig $127,266, L. May $126,515, A. Mangel $101,000, A. Roussel $80,127, C. Hill $80,110, C. Buchholtz $70,000, C. Simmons $69,874, E. Sax $67,500, W. Fairfax $65,951, S. Earnshaw $61,294, C. Cornwell $60,000. Part I, Line 8 RTI recruits its executive leadership from the national labor market, and this practice can introduce variability into each executive's initial compensation package. Accordingly, amounts were paid and accrued during the 2021 calendar year that emanated from RTI's offer of employment to certain executives and these items were included in the executive's employment agreement with RTI. Amounts paid were reported as taxable income and are included in the 2021 bonus or other compensation columns for each executive that received such payment. Any unpaid accruals are included in the deferred compensation column. A Durham County Industrial Facilities & Pollution Control Financing Authority 561379535 266711AA8 2007-11-29 40560000 Finance construction of office buildings and parking deck 0 0 0 B Durham County Industrial Facilities & Pollution Control Financing Authority 561379535 266711AC4 2010-02-18 24999384 Finance construction of office buildings and parking deck 0 0 0 A 41187495 333770 40853725 2008 0 0 1 1 B 25000732 340956 24659776 2011 0 0 1 1 A 0 1 0 1 0 0.00000 0.00800 0.00800 1 0 1 B 0 0 0 1 0 0.00000 0.00190 0.00190 1 0 1 A 0 0 1 0 1 0 0 0 1 B 0 0 1 0 0 0 0 0 1 A 1 B 1 Schedule K Part II Line3 (a) Investment Earnings: $627,495 (b) Investment Earnings: $1,348 X Costshare 4 7707190 Cost X Costshare 0 7100953 Cost 0 1 0 Form 990, Part III, Line 4a HEALTH RESEARCH is our largest single field of study, encompassing research that ranges from studies of the human genome and the development of new drug compounds to national surveys of health behaviors and the implementation of global health programs. Our activities in DRUG DISCOVERY AND DEVELOPMENT include working with pharmaceutical companies and government agencies to bring new medicines to market, and to ensure the safety and efficacy of those in the marketplace. As part of a comprehensive EDUCATION AND TRAINING RESEARCH program, our experts conduct rigorous studies used to assess and improve the quality of early development, education, and employment programs in the United States and many other countries. We also provide training solutions for forensic scientists and law enforcement. RTI is a leader in SURVEY RESEARCH and SURVEY STATISTICS. With a staff of highly skilled researchers using advanced data collection systems and techniques, we offer broad-based survey services for public and private sector studies. Our SURVEY RESEARCH SERVICES include study design, instrument development and evaluation, pretests and pilot studies, mail surveys, telephone surveys, face-to-face field surveys, Web surveys, records abstraction, collection of biological specimens, mixed-mode surveys, subject tracing, focus groups, and health registries. Our STATISTICS RESEARCH experts conduct complex statistical analyses to support wide ranging research programs in both laboratory and social sciences as well as ensure the quality, validity, and reliability of our research products and results by applying quality control and assurance procedures from sampling design through data collection and analysis. Our multidisciplinary ECONOMIC & SOCIAL RESEARCH team includes experts in economics, demography, health, education, urban planning, and public financing. We provide independent, objective information and analyses that help to inform and improve public policy discourse and advance economic and social development decision making in technology, economics and policy, crime and justice, and food and nutrition policy. We provide ADVANCED TECHNOLOGY RESEARCH & DEVELOPMENT services through the identification, development, application, and transfer of leading-edge technologies in areas including Materials Science; Electronics; Microfabrication; Information Technology; Innovation Advising; and Technology Economics & Policy. Our ENERGY RESEARCHERS develop advanced energy technologies to address today's significant energy challenges, such as climate change, energy security, energy efficiency, sustainability, and water conservation. Our research supports national and worldwide goals of reliable, sustainable, economically viable, and secure energy supplies. We are a leading provider of ENVIRONMENTAL RESEARCH SERVICES for the U.S. Environmental Protection Agency and other government agencies. We conduct large-scale environmental management projects for both government and industry, helping them make critical policy and regulatory decisions. Our LABORATORY & CHEMISTRY SERVICES support RTI research with state-of-the-art instrumentation, technologies, and processes. Our lab specifications and procedures emphasize quality control and excellence at every level of activity to meet the expectations and needs of our clients. Form 990, Part III, Line 4b INTERNATIONAL DEVELOPMENT Our experts in international development are dedicated to improving the human condition in developing countries. With more than 1,400 international development staff members based around the world, we deliver advisory and training services at the national, sub-national, and local government levels, providing institutional development through the transfer of analytical tools and methods. We often work in multidisciplinary teams that cut across traditional sector boundaries. Our clients include the United States Agency for International Development, Asian Development Bank, World Bank, Inter-American Development Bank, and several agencies of the United Nations, as well as foundations and other regional and international organizations. Our INTERNATIONAL DEVELOPMENT service areas include Governance & Stabilization; International Education; International Environmental Services; Global Health; Information & Communication Technology; and Monitoring & Evaluation. Form 990, Part VI, Section A, line 2 T. Darden & R. Ingram Business Relationship; T. Darden & C. Shaffer Business Relationship; R. Ingram & C. Shaffer Business Relationship; S. Kornbluth & R. Williams Business Relationship; P. Lange & F. Gilliam Business Relationship; H. Martin & T. Magnuson Business Relationship; H. Martin & W. Arden Business Relationship; H. Martin & H. Ragland Business Relationship; H. Martin & F. Gilliam Business Relationship; C. Shaffer & T. Magnuson Business Relationship; C. Shaffer & R. Ingram Business Relationship; M. Powell & H. Martin Business Relationship; J. Lodge & R. Williams Business Relationship; J. Lodge & S. Kornbluth Business Relationship Form 990, Part VI, Section A, line 6 Research Triangle Institute is a non-profit corporation incorporated under the laws of the State of North Carolina. The Members of the corporation include the persons who at the time occupy the following positions: President, The University of North Carolina, Duke University: one member of the Board of Trustees of Duke University, appointed by the Chair of the Board of Trustees of Duke University, for one or more terms of three years; and one member of the Board of Governors of the University of North Carolina, appointed by the Chair of the Board of Governors of the University of North Carolina, for one or more terms of three years. The members shall elect the Governors, review and act on fundamental corporate transactions approved by the Governors, and take such other actions as may be required by law. No part of the earnings of the corporation shall insure to the benefit of any member or individual. Form 990, Part VI, Section A, line 7a The members shall elect the Governors as described in the Bylaws of the Corporation. Form 990, Part VI, Section A, line 7b The members shall review and act on fundamental corporate transactions approved by the Governors and take such other actions as may be required by law. Fundamental corporate transactions are described in the Articles of Incorporation. Form 990, Part VI, Section B, line 11b The Form 990 with required schedules was provided to the full Board of Governors prior to filing via posting on RTI's hosted board communication solution, Director's Desk. In addition, RTI management reviewed the process and steps undertaken in completing the form with the Audit and Compensation Committees of the Board, including a review of the full Form 990 with the Audit committee prior to dissemination to the full Board. Form 990, Part VI, Section B, line 12c Members of the Board of Governors, Officers and Key Employees are required to complete an annual conflict of interest disclosure in accordance with the organization's policies and procedures. Each disclosure is reviewed by the Audit Committee Chair, Chair of the Board of Governors, or the Chief Ethics Officer to determine whether a conflict of interest exists and if so, whether it appears to be significant and may warrant further review or recusal according to the standards and guidelines of the policy. Form 990, Part VI, Section B, line 15 Each year, Research Triangle Institute (the Institute) management seeks the review and approval of the Institute's Compensation Committee and Board of Governors (Board) to ensure that the total compensation packages for its Chief Executive Officer (CEO) and other senior executives listed below are reasonable. The CEO and other senior executives are not involved in the Compensation Committee and Board's decision regarding reasonableness of the executive compensation packages. The Compensation Committee and the Board use independent compensation surveys conducted by nationally recognized independent firms. The independent survey includes compensation paid by comparable institutions (taxable as well as non-taxable) for functionally comparable positions and in comparable positions and in comparable geographic labor markets. The Compensation Committee and Board also uses an independent executive compensation consulting firm to review the survey data and provide comments opining on the reasonableness of the compensation for the Institute's senior executives. In 2020 and 2021, the study covered the following executive positions: E. Holden, President and CEO, J. Gibson, Chief Operating Officer, T. Gabel, Executive Vice President, Social Statistical and Environmental Services, A. Mangel, Executive Vice President, Health Solutions, G. Story, Chief Legal Counsel and Government Affairs, L. May, Executive Vice President & Chief Human Resource Officer, M. Kaelin, Chief Financial Officer, P. Weisenfeld, Executive Vice President, International Development Group. Also included in the independent review were the following positions: C. Cornwell, Vice President and Corporate Controller and E. Sax, Senior Vice President and Treasurer. Form 990, Part VI, Section C, line 19 The organization makes its governing documents, conflict of interest policy and financial statements available to the public upon request. Form 990, Part VI, Section B, Line 16b RTI and its staff belong to and participate in consortiums and associations that are consistent with RTI's mission to improve the human condition. These affiliations are neither in form nor substance a joint venture for federal income taxation. While RTI has not entered into a joint venture with a taxable entity, RTI has adopted a joint venture policy in order to evaluate its participation for federal income tax purposes. Additionally, certain federal contracts are awarded on a cost share basis whereby a cost share subcontractor reimburses RTI for a percentage of the total contract costs. Cost share arrangements exist primarily with unrelated taxable entities. Form 990, Part VII, Section A, Line 1b RTI was established in 1958 by Duke University and the University of North Carolina System as the founding tenant of Research Triangle Park in North Carolina. It has grown into one of the world's leading independent nonprofit research organizations and is dedicated to conducting research and development that improves the human condition by turning knowledge into practice. Based on RTI's corporate governance structure, compensation of those Board Members employed by supported organizations (i.e. Duke and UNC System) is reported in column (E) and was obtained from the 990 information request questionnaire that was distributed to these listed persons and Duke University. These amounts were paid by either Duke Universiy or The University of North Carolina (UNC System). Given the supporting relationship with these universities, RTI is requested to report these amounts; however, RTI has no influence over this compensation. Form 990, Part IX, line 11g Subcontractors & Consultants: Program service expenses 344,536,541. Management and general expenses 999,118. Fundraising expenses 0. Total expenses 345,535,659. Other Services: Program service expenses 103,458,872. Management and general expenses 8,195,809. Fundraising expenses 0. Total expenses 111,654,681. Passthroughs: Program service expenses 22,880,449. Management and general expenses 0. Fundraising expenses 0. Total expenses 22,880,449. Form 990, Part XI, line 9: Pension related changes -1,861,746. George Watts HIll Fund-Unrealized Gains (Permanently Restricted) -1,789,103. George Watts HIll Fund-Other Income (Temporarily Restricted) 53,011. Other Income/Expense Corporate Adjustments -11,392,393. Foreign Currency Translation -5,406. Interest Income 7,661,253. Market Certitude LLC PO Box 12194 Research Triangle Park NC 27709 364262479 Health Economics and Outcome Research NJ 0 0 Research Triangle Institute Research Triangle Institute International LLC PO Box 12194 Research Triangle Park NC 27709 861462156 Scientific Research and Development NC 0 340069 Research Triangle Institute Duke University 2138 Campus Drive Durham NC 27708 560532129 University NC 501(c)(3) Line 2 0 The University of North Carolina University of North Carolina Chapel Hill NC 27599 566001393 University NC 501(c)(3) Line 2 0 Research Triangle Institute Global Inc 3040 Cornwallis Road Research Triangle Park NC 27709 472500213 Scientific research and development NC Research Triangle Institute C 478 1.00000 1 Research Triangle Institute Global India Private Limited F22 667 IIND Floor Ganesh Nagar II New Delhi IN 110092 Scientific research and development IN Research Triangle Institute C 5344506 3409105 0.99990 1 RTI Syntegrity Inc 3040 Cornwallis Road Research Triangle Park NC 27709 812649493 Business Services NC Research Triangle Institute C 269141 257499 1.00000 1 Team Syntegrity Americas Inc 181 Bay Street Suite 2425 Toronto Ontario CA M5J 2T3 981017378 Consulting CA RTI Syntegrity Inc C 1.00000 1 International Resources Group Ltd 3040 Cornwallis Road Research Triangle Park NC 27709 112777542 Consulting NC Research Triangle Institute C 179180 41482265 1.00000 1 Grupo Internacional de Recursos del Sur I R G Socidedad Anonima De La Emhajada Americana Un Kilomet San Jose Rohrmose CS Services CS International Resources Group Ltd C 1.00000 1 RTI Health Solutions France SAS 2 Bis Rue Tete DOr Lyon FR 69006 Health Research FR Research Triangle Institute C 583237 235096 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 1 1 0 1 0 0 0 0 Research Triangle Institute Global India Private Limited L 241934 Cash Value