2022-08-12T09:29:18-05:00 2021-09-30 134008324 PRICEWATERHOUSECOOPERS LLP 600 13TH ST NW STE 1000 WASHINGTON DC 20005 990 2020-10-01 560686338 Research Triangle Institute RESE 9195416000 PO BOX 12194 Research Triangle Park NC 277092194 Michael H Kaelin Jr CFO Chief Financial Officer 9195416000 2022-08-12 1 Michael Kaelin Jr CFO 999009999 TRAVIS L PATTON P00369623 2024141000 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z RTI International E Wayne Holden PO BOX 12194 Research Triangle Park NC 277092194 1123064859 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 6,000 provides research and technical expertise to governments and businesses in more than 75 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 8 5290 0 12721423 2168470 0 0 912083268 1077948495 6281283 4150885 -470000 155365 917894551 1082254745 810637 770888 0 0 511716112 530288137 0 0 0 391276114 536548895 903802863 1067607920 14091688 14646825 734589682 863720584 299546876 365799068 435042806 497921516 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 6,000 provides research and technical (continued on Schedule O, Part III, Line 1) expertise to governments and businesses in more than 75 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 727901675 751001 825147782 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. 218465481 19887 252956078 INTERNATIONAL DEVELOPMENT: See Schedule O for description of program services, Part III Line 4b. 946367156 1 0 0 1 0 0 0 0 0 0 1 1 0 1 1 1 0 1 0 1 1 0 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 1 0 1 X 971 0 5290 1 1 1 1 BN CB CH CS CG EC EG ES ET FR GH GT GV HA HK IN ID JO KE LA LI MI MY MO MZ NP NU NI OC 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 8 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 President 40.00 X X 1590642 0 253115 J Gibson Vice President 40.00 X 876141 0 144495 T Magnuson Board Member 2.00 40.00 X 68250 869814 0 S Kornbluth New 12520 Board Member 2.00 40.00 X 0 867522 46176 A Mangel Vice President 40.00 X 761281 0 133072 M Kaelin Jr Vice President & CFO 40.00 X 757636 0 135092 T Gabel Vice President 40.00 X 753629 0 136680 P Weisenfeld Vice President 40.00 X 747537 0 102420 G Story Secretary 40.00 X 693090 0 120784 L May Vice President 40.00 X 629484 0 119610 L Carin Separated 1821 Board Member 2.00 40.00 X 48125 498739 67319 P Collier Divisional Director 40.00 X 503083 0 38728 C Hill Divisional Director 40.00 X 470775 0 51472 C Simmons Divisional Director 40.00 X 449415 0 57791 W Arden Board Member 2.00 40.00 X 47750 454555 0 A Roussel Divisional Director 40.00 X 430892 0 42881 S Earnshaw Divisional Director 40.00 X 424665 0 49107 H Martin Board Member 2.00 40.00 X 68250 394000 0 E Sax Treasurer 40.00 X 393365 0 43015 C Buchholtz Assistant Secretary 40.00 X 359520 0 51899 F Gilliam New 31821 Board Member 2.00 40.00 X 0 409000 0 C Cornwell Vice President 40.00 X 335442 0 42181 A Helwig Vice President 40.00 X 342787 0 19902 T Piccione Separated 9420 Former Vice President 40.00 X 265102 0 42498 P Scott III Chairman 2.00 X 105188 0 0 R Williams New 62521 Board Member 2.00 40.00 X 0 73054 25786 H Pinnix-Ragland Board Member 2.00 X 77375 0 0 J Moellering Board Member 2.00 X 67500 2750 0 C Shaffer Board Member 2.00 X 68000 0 0 C Carter Separated 92220 Former Board Member 2.00 40.00 X 64000 0 0 R Ingram Board Member 2.00 X 49000 0 0 T Darden Board Member 2.00 X 48125 0 0 P Lange Board Member 1.00 40.50 X 48125 0 0 W Mitchell Board Member 2.00 X 43500 0 0 B Winn Separated 123120 Board Member 2.00 40.00 X 25000 0 0 M Powell New 31821 Board Member 2.00 X 0 0 0 C Nye New 31821 Board Member 2.00 X 0 0 0 11612674 3569434 1724023 1491 1 1 0 HR Directions 805 Spring Forest Road Raleigh NC 27609 Contract Labor 26183945 Telligen 1776 West Lakes Parkway West Des Moines IA 502667771 Health Management 15677019 IMPAQ International LLC 10420 LITTLE PATUXENT PKWY STE 300 Columbia MD 21044 Health Management 6898176 Tetra Tech Inc 3475 E Foothill Blvd Pasadena CA 91107 Contract Labor 6225240 IMA World Health 500 Main Street New Windsor MD 21776 Construction Labor 5694478 292 Research 541700 825028870 812307447 12721423 International Development 541900 252919625 252919625 1077948495 4388716 4388716 29557556 11014727 29557556 11252558 0 -237831 -237831 -237831 Foreign Currency Gain(Loss) 900099 155365 155365 155365 1082254745 1065382437 12721423 4150885 X 751001 751001 19887 19887 14664211 14664211 355396512 310917613 44478899 25869416 20027996 5841420 108815273 84244338 24570935 25542725 19775073 5767652 1930428 102582 1827846 614624 116004 498620 268177 268177 434625555 418798298 15827257 101740 101740 14317632 11512367 2805265 22260292 20026513 2233779 628033 628033 17328945 36526883 -19197938 5958200 5872295 85905 11397706 10830624 567082 2596794 3735 2593059 16153955 1609754 14544201 2185486 734603 1450883 Miscellaneous 3849182 3454427 394755 Memberships 1382247 369429 1012818 Taxes 877108 877108 Business Meals 72791 45701 27090 1067607920 946367156 121240764 0 63379745 57959763 188966728 256676150 16764366 17748614 350326832 192290972 167690044 158035860 176752439 208683584 72405542 87686085 26251349 48630818 50679179 734589682 863720584 166557706 215689848 45851344 57337639 55996557 50111461 31141269 42660120 299546876 365799068 X 432664407 495452892 2378399 2468624 435042806 497921516 734589682 863720584 X 14646825 51976694 -3744809 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. 0 1 0 0 0 0 1 268177 0 0 268177 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 246503378 117507509 128995869 95256703 74783463 20473240 5892338 5892338 158035860 Global Endowment Fund II 87686085 C 87686085 Other Non Current Assets-Syntegrity/IRG 32596403 Investment in Affiliate 16269085 G W Hill (Perm Restricted) 1813691 50679179 Other Accrued Expenses 19467659 LT Operating Lease Liabilities 23192461 42660120 X 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 $3.4 million and a $5.2 million net deferred tax asset that has been offset with a full valuation allowance, as of the years ended September 30, 2021 and 2020, 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, 2021, and 2020, 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, 7 75 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 14473327 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, 37 419 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 38590658 Europe (Including Iceland & Greenland) - Albania, Andorra, Austria, Belgium 5 113 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 1640475 Middle East and North Africa - Algeria, Bahrain, Djibouti, Egypt, 2 41 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 7746607 Russia and Neighboring States - Armenia, Azerbijan, Belarus, 2 79 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 11534065 South America - Argentina, Bolivia, Brazil, Chile, Columbia, Ecuador, 0 2 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health,Tech 1071636 South Asia - Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, 0 171 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 23155100 Sub-Saharan Africa - Angola, Benin, Botswana, Burkina Faso, 36 700 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 105802979 North America - Canada and Mexico, but not the United States 0 4 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 399704 Sub-Saharan Africa - Angola, Benin, Botswana, Burkina Faso, Grantmaking 7437 Central America and the Caribbean - Antigua & Barbuda, Aruba, Bahamas, Grantmaking 7490 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, Grantmaking 4959 South Asia - Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, Investment 965517 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, Investment 1000 89 1600 0 4 89 1604 204014847 1386107 205400954 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 FY21 RTI contributed to the following communities: RTI contributed $1,000 to House of Hope Children's Home in Africa to provide a safe haven for orphans and other needy children in a loving, caring, family home. RTI contributed $1,000 to Treehouse Family to empower orphans and vulnerable children through provision of services such as education, shelter, food, health services and love. RTI contributed $1,500 to Morning Star Children's Home Kenya in Africa to give less fortunate children hope and joy for a brighter future. RTI contributed $1,000 to Butterfly Care Centre Africa in Africa to empower persons living with disabilities to confidently lead independent or semi-independent lives in the community through individualized education and skills training in a supportive environment. RTI contributed $1,000 to House of Mercy Children's Home in Africa to provide the basic human needs, such as food, shelter, clothing and security to destitute, orphaned, abandoned and vulnerable children within society. RTI contributed $1,000 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 the love of God. RTI contributed $1,000 to Eden House Foundation in Africa to empower all people suffering from substance use disorders, regardless of income, gender, race or religion. RTI contributed $2,500 to Yayasan Komunitas Sahabat Anak in Asia to care, love and befriend street children. RTI contributed $2,500 to Yayasan Difabel Mandiri Indonesia in Asia to empower the differently-abled peoples by providing variety of skills training and entrepreneurship to increase the economic independence of differently-abled people. RTI contributed $2,500 to Lotus Petal Foundation in India to provide exemplary education, nutritious meals, free healthcare and skill development to the children of the urban poor in India. RTI contributed $3,750 to ROMP in Latin America to provide high-quality prosthetic care and community-based rehabilitation services to people with amputations. RTI contributed $3,750 to Margarita Tejada Down Syndrome Foundation in Latin America to improve the quality of life of people with Down syndrome and their families, promoting health, education and social awareness. 1 American National Red Cross 431 18th Street NW Washington DC 20006 530196605 501(c)(3) 120585 General Support Asian and Pacific Islander American Scholars 1850 M Street NW Suite 245 Washington DC 20036 571192973 501(c)(3) 21620 General Support Asian American Legal Defense and Education 99 Hudson Street 12th Floor New York NY 10013 132855641 501(c)(3) 23660 General Support Benevolent Healthcare Foundation 10377 E Geddes Avenue Centennial CO 80112 841568566 501(c)(3) 75000 General Support Clayton Area Ministries 704 East Main Street Clayton NC 27520 352391010 501(c)(3) 6000 General Support Durham Jazz Workshop Inc 4608 Industry Lane Durham NC 27713 454956498 501(c)(3) 10000 General Support Equal Justice Initiative 122 Commerce Street Montgomery AL 36104 631135091 501(c)(3) 51799 General Support Families Moving Forward 300 N Queen Street Durham NC 27701 561633998 501(c)(3) 6000 General Support Food Bank of Central and Eastern North Carolina 1924 Capital Blvd Raleigh NC 27604 561283426 501(c)(3) 7500 General Support Friends Committee PO Box 26751 Raleigh NC 27611 473443135 501(c)(3) 6000 General Support Friends of Bostons Homeless 12 Wise Street Boston MA 02130 222866770 501(c)(3) 6000 General Support Habitat for Humanity of Durham Inc 215 North Church Street Durham NC 27701 581674794 501(c)(3) 6000 General Support Homeward Alliance Inc PO Box 873 Fort Collins CO 80522 274641606 501(c)(3) 6000 General Support Jewish Family and Childrens Service 1430 Main Street Waltham MA 02451 042104356 501(c)(3) 6000 General Support Kramden Institute 4915 Prospectus Drive Suite J Durham NC 27713 743108814 501(c)(3) 29475 FMV Computer Equipment General Support MADRE Inc 121 West 27th Street Room 301 New York NY 10001 133280194 501(c)(3) 15000 General Support Monsoon Asians and Pacific Islanders 4944 Franklin Avenue Suite B Des Moines IA 50310 352297207 501(c)(3) 23250 General Support NAACP Legal Defense and Educational Fund 40 Rector Street New York NY 10006 131655255 501(c)(3) 38173 General Support No One Left Behind Inc PO Box 3641 Merrifield VA 22116 471251659 501(c)(3) 15000 General Support Oak City Cares Inc 1430 S Wilmington Street Raleigh NC 27603 830826329 501(c)(3) 6000 General Support Porch Inc 218 Lake Manor Road Chapel Hill NC 27516 272759081 501(c)(3) 6000 General Support Rise Against Hunger Inc 3733 National Drive Raleigh NC 27612 161541024 501(c)(3) 10000 General Support Safechild 864 West Morgan Street Raleigh NC 27603 561817816 501(c)(3) 6000 General Support Sleep in Heavenly Peace 1560 Elridge Avenue Twin Falls ID 83301 464346568 501(c)(3) 6000 General Support South Durham Connections 5800 Loyal Avenue Durham NC 27713 843796595 501(c)(3) 6000 General Support TAMAM 9705 Broadrun Drive Raleigh NC 27617 812830588 501(c)(3) 6000 General Support The Womens Center Inc 210 Henderson Street Chapel Hill NC 27514 561271474 501(c)(3) 6000 General Support Thurgood Marshall College Fund 901 F Street NW Washington DC 20004 411750692 501(c)(3) 10289 General Support United Nations Foundation Inc 1750 Pennsylvania NW Suite 300 Washington DC 20006 582368165 501(c)(3) 20000 General Support United Way of the Greater Triangle 2400 Perimeter Park Drive Morrisville NC 27560 561949103 501(c)(3) 88865 General Support Upstream Works Collaborative 106 Drayton Court Chapel Hill NC 27516 825298960 501(c)(3) 6000 General Support White Plains United Methodist Church 313 SE Maynard Road Cary NC 27511 561031475 501(c)(3) 6000 General Support 32 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 RTI contributed to a Kramden Institute initiative by providing computers and equipment. X X X X 1 1 X X X X X X 0 1 0 0 0 0 0 1 1 0 E Holden President 971039 0 560781 0 58822 0 203532 0 49583 0 1843757 0 167670 0 J Gibson Vice President 540735 0 307407 0 27999 0 96811 0 47684 0 1020636 0 91074 0 T Magnuson Board Member 68250 869814 0 0 0 0 0 0 0 0 68250 869814 0 0 S Kornbluth New 12520 Board Member 0 741336 0 106686 0 19500 0 34741 0 13824 0 916087 0 0 A Mangel Vice President 487312 0 250298 0 23671 0 79225 0 53847 0 894353 0 71084 0 M Kaelin Jr Vice President & CFO 506768 0 230172 0 20696 0 82017 0 53074 0 892727 0 73085 0 T Gabel Vice President 490831 0 243170 0 19628 0 79946 0 56733 0 890308 0 72341 0 P Weisenfeld Vice President 479301 0 249703 0 18533 0 75682 0 26738 0 849957 0 67828 0 G Story Secretary 449847 0 227498 0 15745 0 75903 0 44880 0 813873 0 69285 0 L May Vice President 424793 0 190727 0 13964 0 69709 0 49901 0 749094 0 62241 0 L Carin Separated 1821 Board Member 48125 284589 0 214150 0 0 0 32825 0 37193 48125 568757 0 0 P Collier Divisional Director 202739 0 4000 0 296344 0 0 0 38728 0 541811 0 0 0 C Hill Divisional Director 330583 0 133692 0 6500 0 0 0 51472 0 522247 0 0 0 C Simmons Divisional Director 336054 0 106813 0 6548 0 0 0 57791 0 507206 0 0 0 W Arden Board Member 47750 454555 0 0 0 0 0 0 0 0 47750 454555 0 0 A Roussel Divisional Director 322284 0 103104 0 5504 0 0 0 42881 0 473773 0 0 0 S Earnshaw Divisional Director 318612 0 101924 0 4129 0 0 0 49107 0 473772 0 0 0 H Martin Board Member 68250 394000 0 0 0 0 0 0 0 0 68250 394000 0 0 E Sax Treasurer 290893 0 100420 0 2052 0 0 0 43015 0 436380 0 0 0 C Buchholtz Assistant Secretary 258757 0 100162 0 601 0 0 0 51899 0 411419 0 0 0 F Gilliam New 31821 Board Member 0 409000 0 0 0 0 0 0 0 0 0 409000 0 0 C Cornwell Vice President 254596 0 80267 0 579 0 0 0 42181 0 377623 0 0 0 A Helwig Vice President 166573 0 132000 0 44214 0 9360 0 10542 0 362689 0 0 0 T Piccione Separated 9420 Former Vice President 235656 0 28813 0 633 0 0 0 42498 0 307600 0 0 0 C Carter Separated 92220 Former Board Member 64000 0 0 0 0 0 0 0 0 0 64000 0 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 2020 are as follows: E. Holden $581,219, J. Gibson $303,935, M. Kaelin $248,076, T. Gabel $244,467, A. Mangel $240,786, G. Story $233,278, P. Weisenfeld $229,987, L. May $210,911, A. Helwig $9,360. These amounts include payments totaling $674,609 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 2020 are as follows: E. Holden $350,764, J. Gibson $140,467, M. Kaelin $132,332, T. Gabel $128,745, A. Mangel $128,268, G. Story $117,105, L. May $111,767, P. Weisenfeld $107,493, C. Simmons $91,427, S. Earnshaw $76,303, A. Roussel $75,000, C. Hill $75,000, E. Sax $59,000, C. Cornwell $55,000, C. Buchholtz $55,000, and A. Helwig $30,000. 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 2020 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 2020 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 0.00060 0.00510 0.00570 1 0 1 B 0 0 0 1 0 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 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 1,440 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 & L. Carin 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 & L. Carin Business Relationship; H. Martin & H. Ragland Business Relationship; H. Martin & F. Gilliam Business Relationship; C. Shaffer & T. Magnuson 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 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 2019, 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, T. Piccione, Executive Vice President and Chief Information Officer. 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 321,594,623. Management and general expenses 1,831,574. Fundraising expenses 0. Total expenses 323,426,197. Other Services: Program service expenses 79,418,934. Management and general expenses 13,995,683. Fundraising expenses 0. Total expenses 93,414,617. Passthroughs: Program service expenses 17,784,741. Management and general expenses 0. Fundraising expenses 0. Total expenses 17,784,741. Form 990, Part XI, line 9: Pension related changes 3,100,180. George Watts HIll Fund-Unrealized Gains (Permanently Restricted) -188,860. George Watts HIll Fund-Other Income (Temporarily Restricted) 92,635. Other Income/Expense Corporate Adjustments -6,774,730. Foreign Currency Translation 25,966. 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 6968 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 RTI International (Hong Kong) Limited 15 Queens Road Central Central HK Investment Company HK Research Triangle Institute C 949264 1.00000 1 Triangle Beijing Consulting Co Ltd Beijing Prosper Centre No 5 Guang Beijing CH 100020 Scientific research and development CH Research Triangle Institute C 6419 1.00000 1 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 2601835 2351576 0.99990 1 RTI Syntegrity Inc 3040 Cornwallis Road Research Triangle Park NC 27709 812649493 Business Services NC Research Triangle Institute C 270917 1922 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 17068436 7710342 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 Health Research FR Research Triangle Institute C 560060 228612 1.00000 1 0 1 0 0 0 0 0 0 0 0 0 1 1 0 1 0 1 0 1 Research Triangle Institute Global India Private Limited B 965517 Cash Value Team Syntegrity Americas Inc B 1500000 Cash Value Research Triangle Institute Global India Private Limited L 167637 Cash Value International Resources Group Ltd L 314033 Cash Value Team Syntegrity Americas Inc L 78427 Cash Value RTI Health Solutions France SAS S 560057 Cash Value