2017-08-03T15:01:22-05:00 2016-09-30 134008324 PRICEWATERHOUSECOOPERS LLP 600 13TH ST NW STE 1000 WASHINGTON DC 20005 990 2015-10-01 560686338 Research Triangle Institute RTI International RESE 9195416000 PO BOX 12194 Research Triangle Park NC 277092194 Michael H Kaelin Jr CFO Chief Financial Officer 9195416000 2017-08-02 1 TRAVIS L PATTON P00369623 2024141000 2015 2021-01-29 14:40:06Z RTI International E Wayne Holden PO BOX 12194 Research Triangle Park NC 277092194 955670870 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 4,900 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. 16 7 3270 0 10445630 1445978 0 0 831532276 884678966 21082822 -693451 157516 1039004 852772614 885024519 383923 499883 0 0 376030371 415653147 0 0 0 434631848 454440873 811046142 870593903 41726472 14430616 588448204 607944402 211060163 214567824 377388041 393376578 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 4,900 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 509282107 475776 605921578 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. 274827381 24107 279710209 INTERNATIONAL DEVELOPMENT: See Schedule O for description of program services, Part III Line 4b. 784109488 1 0 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 0 0 0 0 0 1 1 1 1 0 1 X 1995 0 3270 1 1 1 1 BN CH CG EC EG ES ET GH GT GV HA HK IN ID IZ JO KE LI MI MO MZ NP NU NI RP SG SP SW TZ TH UG AE UK ZA ZI 0 0 0 0 0 0 0 0 X 16 7 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 W Moore Jr Chairman 2.00 X 39000 0 0 W Mitchell Board Member 2.00 X 24000 0 0 T Darden Board Member 2.00 X 24000 0 0 R Ingram Board Member 2.00 X 24000 0 0 P Wynn Jr Board Member 2.00 30.00 X 32000 209468 31330 P Scott III Board Member 2.00 X 31000 0 0 P Lange Board Member 1.00 40.00 X 26253 623209 39919 M Vouk Board Member 2.00 40.00 X 18279 249349 0 L Carin Board Member 2.00 40.00 X 24000 383201 44573 J Moellering Board Member 2.00 X 30000 6100 0 H Pinnix-Ragland Board Member 2.00 X 30000 0 0 H Martin Board Member 2.00 40.00 X 22000 341192 0 E Holden President 40.00 X X 888247 0 94059 C Brown Board Member 2.00 40.00 X 24254 241346 0 B Entwisle Board Member 2.00 40.00 X 28000 338464 0 A Rebar Board Member 2.00 40.00 X 0 123750 0 T Lomax Vice President 40.00 X 454325 0 21593 T Gabel Vice President 40.00 X 480478 0 65676 P Weisenfeld Vice President 40.00 X 401974 0 28146 M Kaelin Jr Vice President & CFO 40.00 X 477330 0 75620 L May Vice President 40.00 X 231824 0 11115 J Gibson Vice President 40.00 X 603802 0 82816 E Story Secretary 40.00 X 452802 0 70618 E Sax Treasurer 40.00 X 293828 0 45353 D O'Brien Vice President 40.00 X 265084 0 45103 C Buchholtz Assistant Secretary 40.00 X 243103 0 40429 A Williams Vice President 40.00 X 487610 0 22698 A Mangel Vice President 40.00 X 487077 0 72158 S Earnshaw Divisional Director 40.00 X 392986 0 29968 R Zerbonia Divisional Director 40.00 X 387550 0 32605 L Gilliland Divisional Director 40.00 X 351766 0 39428 J Mitchell Divisional Director 40.00 X 364132 0 45376 C Hill Divisional Director 40.00 X 356098 0 36886 T Nagle Former Board Member 0.00 40.00 X 0 153744 0 M Roberts Former Vice President 40.00 X 198453 0 14519 J Siedow Former Board Member 0.00 40.00 X 0 149083 22703 8195255 2818906 1012691 19 1 1 0 Headway Corp Resources 421 Fayetteville St Raleigh NC 27601 Contract Labor 28898108 HR Directions 805 Spring Forest Road Raleigh NC 27609 Contract Labor 21138221 AMEC 1979 Lakeside Parkway Suite 400 Tucker GA 30084 Engineering Construction Services 20870668 Interchurch Medical Assistance Inc 500 Main Street New Windsor MD 21776 International Health Care Services 11657657 Desa Inc 400 Percival Road Columbia SC 29206 Consulting & Training Services 7770490 385 Research 541700 605269688 594871630 10398058 0 International Development 541900 279409278 279409278 0 0 884678966 4985891 4985891 300289 214106 86183 86183 47572 38611 53829801 10923102 53829801 16602444 0 -5679342 -5679342 -5679342 Foreign Currency Gain(Loss) 900099 952821 952821 0 0 952821 885024519 875233729 10445630 -654840 X 475776 475776 24107 24107 7483921 7483921 284449976 247481502 36968474 20852445 17175494 3676951 82340371 67821140 14519231 20526434 16906969 3619465 1578352 610706 967646 383304 91073 292231 309669 309669 310847270 300752473 10094797 11073 602 10471 14734887 12992519 1742368 28227835 26652399 1575436 492633 492633 15158197 27414330 -12256133 23857906 20569022 3288884 35177677 34540040 637637 1826214 1826214 14600069 3620254 10979815 1870881 917450 953431 Taxes 1904913 1035315 869598 0 Miscellaneous 1627634 3451720 -1824086 0 Memberships 1048348 549968 498380 0 Business Meals 784011 533996 250015 0 870593903 784109488 86484415 0 72665253 38572042 164974441 176716788 31768959 20371561 273478526 151500835 129019402 121977691 175942133 176532386 1615593 52906731 2638426 3275759 9823997 17591444 588448204 607944402 91526079 100939279 49803314 40901166 51765701 49216135 17965069 23511244 211060163 214567824 X 375334963 391221506 437485 491762 1615593 1663310 377388041 393376578 588448204 607944402 X 14430616 2047590 -489669 X 0 1 X 0 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 11g(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 needy organizations based on its community-oriented mission. 0 1 0 0 0 0 1 309669 0 0 309669 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 194155425 100853647 93301778 0 72058843 50647188 21411655 4589845 4589845 121977691 Global Endowment Fund II, LP 52906731 C 52906731 Other Accrued Expenses 23511244 23511244 0 0 0 0 0 0 23511244 23511244 -23511244 0 -23511244 Schedule D, Part X, Line 2 - As provided by Section 501(c)(3) of the IRC and the Internal Revenue Service's determination that 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 purpose. The Institute's presence in certain foreign countries results in income taxation in these countries. Foreign taxes and unrelated business income taxes are not material for the Institute. All non-profit organizations, inlcuding 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 an examination, based on the technical merits of the position. Interest and penalites, if any, are included in tax expense in the consolidated statement of revenue, costs and changes in Institute net assets. As of September 30, 2016 and 2015, the Institute had no uncertain tax positions that qualify for recognition or disclosure in the consolidated financial statements. 1 Central America and the Caribbean - Antigua & Barbuda, Aruba, Bahamas, 5 97 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 86236903 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, 33 548 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 68255598 Europe (Including Iceland & Greenland) - Albania, Andorra, Austria, Belgium 4 74 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 14289525 Middle East and North Africa - Algeria, Bahrain, Djibouti, Egypt, 8 54 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 24167765 Russia and Neighboring States - Armenia, Azerbijan, Belarus, 0 0 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 128936 South America - Argentina, Bolivia, Brazil, Chile, Columbia, Ecuador, 0 1 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health,Tech 1551710 South Asia - Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, 1 192 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 24890721 Sub-Saharan Africa - Angola, Benin, Botswana, Burkina Faso, 34 714 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health 112193541 North America - Canada and Mexico, but not the United States 0 1 Program Services Research of Economic&Social,Education,Energy,Governance&Economics,Health,Stat 573523 Sub-Saharan Africa Grantmaking 9107 Central America and the Caribbean Grantmaking 7500 East Asia and the Pacific Grantmaking 7500 South Asia - Afghanistan, Bangladesh, Bhutan, India, Maldives, Nepal, Investments 744356 East Asia and the Pacific - Australia, Brunei, Burma, Cambodia, Investments 200000 85 1680 0 1 85 1681 331714699 1541986 333256685 Sub-Saharan Africa See supplemental information 5102 1 1 0 1 0 0 1 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 communities where we are located. As described in Schedule I, RTI seeks staff recommendations for worthy charitable causes. During FY16, RTI contributed $1,500 to Sri Vidhyas Centre for the Special Children. The funds will be used to create a building, infrastructure and additional classroom equipment to serve physically and mentally challenged children. RTI contributed $800 to AfyaElimu CBO in Nairobi. Their mission is to empower community members to embrace people driven development initiatives in Education, Health and Agriculture. The funds will be used to develop ECD Class and Baby care unit and train youths in sanitary towels stitching. RTI contributed $3,750 to Association for Comunal Development of Guayabalese Women in San Salvador. Their mission is the common good of the women. The funds will be used to strengthening projects and programs directed at women in San Jose Guayabal, of those which are organized or not mainly for the improvement of vocational workshops and the integral development of women. Equipment will be bought to strengethen the areas of breadmaking, tailoring, computer classes, cosmetology, arts and crafts in Foamy, among others. RTI contributed $3,750 to Fundacion Margarita Tejada in San Salvador. Their mission is the improve the quality of life of people with Down Syndrome and their families, promoting health, education and social awareness. The funds will be used as financial aide for children and youth that benefit, to build a module for a gym and library, for social inclusion programs and to purchase learning and teaching materials for people with Down Syndrome with different learning abilities. RTI contributed $900 to Pastoralists Girls Initiative(PGI) in Nairobi. Their mission is to promote sustainable development by enhancing pastoralist capacities through integrated development approaches. This will help staff sit in a committee on education to provide technical assistance on organizational strategic approaches in order to be focused on education issues that are vital to address education gaps in the community. RTI contributed $5,102 to Samburu Girls Foundation in Nairobi. Their mission is to build the capacities of community at large towards the eradication of the inhibiting cultural practices among the Samburu people and the surrounding communities and give the girl child a safe neighborhood to grow in. RTI contributed $805 to Teule Kenya in Nairobi. Their mission is to demonstrate the love of Christ through rescue, support and reintegration of vulnerable children into communities and stable families. The funds will be used for welfare and basic services for approximately 80 children including food, shelter and clothing. RTI contributed $2,500 to Yayasan Komunitas Sahabat Anak Jakarta in Jakarta. Their mission is to involve as many people as possible to care for the street children and be their friends who show love at all times. The funds will be used to provide education services to drop out children and special education for street children. RTI contributed $5,000 to Yayasan Ruman Rachel in Jakarta. Their mission is to provide palliative care for children with life-threatening conditions, allowing them to live with joy and dignity in a non discriminatory, safe and loving environment. The funds will be used towards medical service care for children from marginalized communities living with life-limiting/life threatening conditions such as cancer or HIV and Training and education for medical professionals working in public healthcare institutions throughout the health system & community health volunteers. 1 American Red Cross 2025 E Street NW Washington DC 20006 530196605 501(c)(3) 112000 General Support The Childrens Inn at NIH 7 West Drive Bethesda MD 20814 521638207 501(c)(3) 12000 General Support Triangle United Way 2400 Perimeter Park Drive Morrisville NC 27560 561949103 501(c)(3) 91203 25650 FMV Computer Equipment General Support Emily Krzyewski Family Life Center Inc 904 W Chapel Hill Street Durham NC 27701 562230469 501(c)(3) 10000 General Support UNC Center for Public Television 10 TW Alexander Drive Research Triangle Park NC 27709 566172047 501(c)(3) 10000 General Support Food Bank of Central and Eastern North Carolina 3808 Tarheel Drive Raleigh NC 27609 561283426 501(c)(3) 9500 General Support Peace Corps 1111 20TH Street NW Washington DC 20526 521240194 501(c)(3) 50000 General Support Travis Manion Foundation PO Box 1485 Doylestown PA 18901 412237951 501(c)(3) 10000 General Support Equality Florida Institute Inc PO Box 13184 ST Petersberg FL 337333184 593435235 501(c)(3) 10000 General Support United Way of the National Capital Area 1577 Spring Hill Road Suite 420 Vienna VA 22182 530234290 501(c)(3) 5361 General Support United Way of Alamance CO 803 Hermitage Road Burlington NC 22715 560599239 501(c)(3) 15000 General Support 11 Schedule I, Part I, Line 2 Consistent with our mission, RTI's 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 1 RTI contributed to the United Way's "Teaming 4 Technology" initiative, providing computers and equipment for donation to students, schools and partner agencies that could not otherwise afford to purchase computer equipment. Additionally, RTI contributed water boxes to DRAW(Flint Michigan), miscellaneous items to Bethesda Athletic Organization, volunteer Fire Departments and Local Churches. The items donated through "Teaming 4 Technology and other initiatives had been used and discarded by staff with no remaining fair market value. X X X X 1 1 X X X X X X 0 1 0 0 0 0 0 1 1 0 P Wynn Jr Board Member 32000 209468 0 0 0 0 0 25361 0 6505 32000 241334 0 0 P Lange Board Member 26253 605209 0 0 0 18000 0 32443 0 9072 26253 664724 0 0 M Vouk Board Member 18279 249349 0 0 0 0 0 0 0 0 18279 249349 0 0 L Carin Board Member 24000 256639 0 126562 0 0 0 32443 0 17361 24000 433005 0 0 H Martin Board Member 22000 341192 0 0 0 0 0 0 0 0 22000 341192 0 0 E Holden President 615286 0 242174 0 30787 0 48607 0 45452 0 982306 0 37525 0 C Brown Board Member 24254 241346 0 0 0 0 0 0 0 0 24254 241346 0 0 B Entwisle Board Member 28000 338464 0 0 0 0 0 0 0 0 28000 338464 0 0 T Lomax Vice President 329696 0 122402 0 2227 0 13000 0 8593 0 475918 0 0 0 T Gabel Vice President 340186 0 132930 0 7362 0 27219 0 38458 0 546155 0 23947 0 P Weisenfeld Vice President 308828 0 90241 0 2905 0 4334 0 23812 0 430120 0 0 0 M Kaelin Jr Vice President & CFO 342751 0 126845 0 7734 0 27237 0 48383 0 552950 0 22471 0 L May Vice President 174419 0 57000 0 405 0 3882 0 7233 0 242939 0 0 0 J Gibson Vice President 433950 0 152538 0 17314 0 34602 0 48214 0 686618 0 30491 0 E Story Secretary 333473 0 112611 0 6718 0 25894 0 44724 0 523420 0 22150 0 E Sax Treasurer 249153 0 44100 0 575 0 0 0 45353 0 339181 0 0 0 D O'Brien Vice President 219762 0 45000 0 322 0 0 0 45103 0 310187 0 0 0 C Buchholtz Assistant Secretary 205812 0 37000 0 291 0 0 0 40429 0 283532 0 0 0 A Williams Vice President 361908 0 112243 0 13459 0 0 0 22698 0 510308 0 0 0 A Mangel Vice President 341382 0 136787 0 8908 0 27036 0 45123 0 559236 0 23840 0 S Earnshaw Divisional Director 280096 0 111097 0 1793 0 0 0 29968 0 422954 0 0 0 R Zerbonia Divisional Director 218814 0 25867 0 142869 0 0 0 32605 0 420155 0 0 0 L Gilliland Divisional Director 296750 0 52800 0 2216 0 0 0 39428 0 391194 0 0 0 J Mitchell Divisional Director 285477 0 74811 0 3844 0 0 0 45376 0 409508 0 0 0 C Hill Divisional Director 277988 0 75402 0 2708 0 0 0 36886 0 392984 0 0 0 T Nagle Former Board Member 0 153744 0 0 0 0 0 0 0 0 0 153744 0 0 M Roberts Former Vice President 118351 0 0 0 80102 0 0 0 14519 0 212972 0 0 0 J Siedow Former Board Member 0 141083 0 8000 0 0 0 17435 0 5601 0 172119 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 executive 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 Intitute's continued strong performance. Amounts paid and accrued during the calendar year 2015 are as follows: E. Holden $98,641, J. Gibson $75,256, A. Mangel $58,823, T. Gabel $59,148, M. Kaelin $57,199, T. Lomax $13,000, G. Story $55,423, P. Weisenfeld $4,334, L. May $3,882. These amounts include payments totaling $160,425 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 2015 are as follows: E. Holden $192,140, J Gibson $111,883, A. Williams $87,243, A. Mangel $105,000, T. Gabel $101,000, M. Kaelin $96,883, T. Lomax $72,402, G. Story $83,078, P. Weisenfeld $90,241, E. Sax $44,000, D. O'Brien $45,000, C. Buchholtz $37,000, L. May $22,000, S. Earnshaw $111,097, R. Zerbonia $25,767, J. Mitchell $74,811, C. Hill $75,402 and L. Gilliland $52,800. 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 2015 calendar year that emanated from RTI's offer of employement 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 2015 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 0.00040 0.03770 0.03810 1 0 1 B 0 0 0 1 0 0.00320 0.00210 0.00530 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, Line 3 The difference in the issue price and total proceeds is investment earnings. 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 200 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 & W. Mitchell - Business Relationship; T. Darden & W. Moore - Business Relationship; W. Moore & P. Scott - Business Relationship; W. Moore & W. Mitchell - 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 11 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 Insititute (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 2014, 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, M. Roberts, Senior Vice President, Human Resources, Facilities, Safety and Security, M. Kaelin, Chief Financial Officer, A. Williams, Executive Vice President, International Development Group, T. Lomax, Executive Vice President, Discovery Sciences Technology. Also included in the independent review were the following positions: D. O'Brien, Vice President and Corporate Controller and E. Sax, 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 217,338,265. Management and general expenses 1,226,809. Fundraising expenses 0. Total expenses 218,565,074. Other Services: Program service expenses 83,414,208. Management and general expenses 8,867,988. Fundraising expenses 0. Total expenses 92,282,196. Form 990, Part XI, line 9: Pension related changes -489,669. 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 Post Retirement Health Benefits Trust RTI VEBA PO Box 12194 Research Triangle Park NC 27709 561855400 Retiree Health Benefits NC 501(c)(9) Research Triangle Institute 1 Research Triangle Institute International (Hong Kong) Limited 15 Queens Road Central Central HK Investment Company HK Research Triangle Institute C 151930 1.00000 1 Triangle Beijing Consulting Co Ltd Beijing Prosper Centre No 5 Guang Beijing CH 100020 Scientific research and development CH RTI Int'l (Hong Kong) Limited C 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 1016 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 811603 1104677 0.99990 1 RTI Syntegrity Inc 3040 Cornwallis Road Research Triangle Park NC 27709 812649493 Business Services NC Research Triangle Institute C 7851957 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 0 1 1 0 0 0 0 0 0 0 0 1 1 1 1 1 1 1 0 Research Triangle Institute Global India Private Limited B 744356 Cash Value Research Triangle Institute International (Hong Kong) Limited B 200000 Cash Value RTI Syntegrity Inc B 7974268 Cash Value RTI Post Retirement Health Benefits Trust RTI VEBA P 616724 Cash Value RTI Post Retirement Health Benefits Trust RTI VEBA Q 1664546 Cash Value Team Syntegrity Americas Inc M 233379 Cash Value Research Triangle Institute Global India Private Limited L 74346 Cash Value