2016-07-15T14:41:00-07:00 2015-09-30 990 2014-10-01 560686338 RESEARCH TRIANGLE INSTITUTE RESE 9195416000 PO Box 12194 Research Triangle Park NC 277092194 Michael H Kaelin Jr Chief Financial Officer 9195416000 2016-08-01 2014 2016-12-15 16:53:06Z RTI International E Wayne Holden PO Box 12194 Research Triangle Park NC 277092194 889629491 0 X www.rti.org X 1958 NC 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 4,100 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 and the environment and laboratory and chemistry services. 16 7 3208 0 16563578 1748811 0 0 788162936 831532276 18454099 21082822 736907 157516 807353942 852772614 420984 383923 0 0 351293003 376030371 0 0 0 418378904 434631848 770092891 811046142 37261051 41726472 543388003 588448204 206549567 211060163 336838436 377388041 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 4,100 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. 0 0 513193940 368923 590496992 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. 218505514 15000 241078939 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. 0 0 0 731699454 1 0 0 1 0 0 0 0 0 0 1 0 0 0 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 0 1 1 1 1 0 1 1932 0 3208 1 1 1 1 AE BC BN CG CH EC EG ES ET GG GH GT GV HA HK ID IN IZ JO KE LI MI MO MZ NI NP NU RP SG SP SW TZ UG 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 M Kaelin - Chief Financial Officer 9195416000 3040 Cornwallis Road PO Box 12194 Research Triangle Park NC 27709 X W Moore Jr Chairman 2 0 X 39000 0 0 B Entwisle Board Member 2 40 X 28000 328834 0 R Ingram Board Member 2 0 X 24000 0 0 P Lange Board Member 1 40 X 26000 623372 39218 C Brown Board Member 2 40 X 24279 235908 0 H Martin Board Member 2 40 X 18299 307588 0 W Mitchell Board Member 2 0 X 24000 0 0 J Moellering Board Member 2 0 X 30000 6000 0 T Darden Board Member 2 0 X 24000 0 0 H Pinnix-Ragland Board Member 2 0 X 24244 0 0 P Scott III Board Member 2 0 X 31000 0 0 J Siedow Board Member 2 40 X 28000 252459 36291 P Wynn Jr Board Member 2 40 X 32000 203834 30498 L Carin Board Member 2 40 X 0 368015 46957 M Vouk Board Member 2 40 X 0 233539 0 E Holden President 40 0 X X 847822 0 86348 T Lomax Vice President 40 0 X X 95781 232477 2177 J Gibson Vice President 40 0 X 577762 0 79026 E Story Secretary 40 0 X 410994 0 68145 E Sax Treasurer 40 0 X 287988 0 43604 M Kaelin Jr Vice President & CFO 40 0 X 428990 0 71707 T Gabel Vice President 40 0 X 431972 0 60582 A Mangel Vice President 40 0 X 472078 0 69224 C Buchholtz Assistant Secretary 40 0 X 235693 0 40091 A Williams Vice President 40 0 X 464681 0 22314 P Weisenfeld Vice President 40 0 X 357859 0 3105 M Roberts Vice President 40 0 X 372572 0 28507 D O'Brien Vice President 40 0 X 246626 0 44100 L May Vice President 40 0 X 0 0 0 S Earnshaw Divisional Director 40 0 X 383957 0 28849 R Zerbonia Divisional Director 40 0 X 365932 0 31720 L Gilliland Divisional Director 40 0 X 345436 0 39000 T Pierson Divisional Director 40 0 X 344624 0 31487 J Mitchell Divisional Director 40 0 X 343787 0 43225 T Nagle Former Board Member 0 40 X 0 151420 0 S Snyder Former Vice President 0 0 X 284788 0 9382 S Sethi Former Vice President 0 0 X 256362 0 0 J Trainham Former Vice President 0 0 X 149080 0 15201 L Maggart Former Vice President 0 0 X 138897 0 0 8196503 2943446 970758 873 1 1 0 Headway Corporate Resources 421 Fayetteville Street Suite 1020 Raleigh NC 27601 Contract Labor 30969367 AMEC 1979 Lakeside Parkway Suite 400 Tucker GA 30084 Engineering & Construction Services 23789919 HR Directions Int'l Research Partners/Greene Resources 805 Spring Forest Road Raleigh NC 27609 Contract Labor 12617689 Interchurch Medical Assistance Inc 500 Main Street New Windsor MD 21776 International Healthcare Services 9588496 Helen Keller International 353 Park Avenue South Suite 1 New York NY 10010 International Healthcare Services 7719357 305 0 Research 541700 590465992 573965264 16500728 0 International Development 541900 241066284 241066284 0 0 0 0 0 0 831532276 6543422 0 0 6543422 0 0 0 0 0 0 0 0 327588 0 213727 0 113861 0 113861 0 62850 51011 28168972 23013578 28168972 8474178 0 14539400 14539400 0 0 14539400 Foreign Currency Gain(Loss) 900099 43655 43655 0 0 0 0 0 0 43655 852772614 815075203 16563578 21133833 X 368923 368923 0 0 15000 15000 0 0 6474516 0 6474516 0 0 0 0 0 255970847 221812855 34157992 0 18414429 15428664 2985765 0 75848286 63550041 12298245 0 19322293 16189324 3132969 0 0 0 0 0 1843145 826658 1016487 0 597428 135034 462394 0 302008 302008 0 0 0 298916044 289782348 9133696 0 2469 1979 490 0 13371155 11460995 1910160 0 31125523 29582021 1543502 0 554657 554657 0 0 13955360 26227072 -12271712 0 21129425 18548333 2581092 0 0 0 0 0 24714470 24226250 488220 0 1892037 0 1892037 0 0 0 0 0 14232304 3301908 10930396 0 1484962 432595 1052367 0 Business Meals 704428 561269 143159 Memberships 577153 583362 -6209 Miscellaneous 7674509 7427679 246830 Taxes 1554771 682487 872284 811046142 731699454 79346688 0 74154511 72665253 157215430 164974441 14065527 31768959 277371901 148352499 135247972 129019402 149217275 175942133 3953049 1615593 2737246 2638426 6796993 9823997 543388003 588448204 91063769 91526079 44804142 49803314 54232763 51765701 0 0 0 0 16448893 17965069 206549567 211060163 X 334445076 375334963 630260 437485 1763100 1615593 336838436 377388041 543388003 588448204 X 41726472 -1657929 0 0 0 481062 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 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X 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, Section A, Line 6 Grants have been made to organizations with need that have a similar cause. 0 1 0 0 0 0 1 302008 0 0 302008 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. 0 2674413 2674413 0 195857608 96047936 99809672 0 0 0 0 0 74525079 52304563 22220516 0 4314801 0 4314801 129019402 0 Other Accrued Expenses 17965069 17965069 X 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, 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 an examination, based on the technical merits of the position. Interest and penalties, if any, are included in tax expense in the consolidated statement of revenue, costs and changes in Institute net assets. As of September 30, 2015 and 2014, the Institute had no uncertain tax positions that qualify for recognition or disclosure in the consolidated financial statements. 1 Central America and the Caribbean 7 42 Program Services Economic & Social Growth, Education, Energy Research, Governance & Economic Growth, Health, Information & Communication Technology, Additional Program Service Travel, Monitoring & Evaluation 84074894 East Asia and the Pacific 24 466 Program Services Education, Environmental Research Services, Governance & Economic Growth, Health, Information & Communication Technology, Survey Research, Additional Program Service Travel, Lab & Chemistry Services, Advanced Technology, Statistics Research 70525988 Europe (including Iceland and Greenland) 4 62 Program Services Economic & Social Research, Education, Energy Research, Environmental Research Services, Health, Information & Communication Technology, Additional Program Service Travel, Monitoring & Evaluation, Lab & Chemistry Services, Advanced Technology, Statistics Research 15011899 Middle East and North Africa 7 59 Program Services Economic & Social Research, Education, Energy Research, Environmental Research Services, Governance & Economic Growth, Health, Additional Program Service Travel, Monitoring & Evaluation, Lab & Chemistry Services, Advanced Technology 14653083 North America (including Canada and Mexico, but not the United States) 0 0 Program Services Economic & Social Research, Education, Environmental Research Services, Health, Information & Communication Technology, Additional Program Service Travel, Monitoring & Evaluation, Lab & Chemistry Services 1140506 Russia and the newly independent States 0 0 Program Services Economic & Social Research, Health, Additional Program Service Travel 2709933 South America 0 2 Program Services Education, Environmental Research Services, Governance & Economic Growth, Health, Information & Communication Technology, Additional Program Service Travle 970954 South Asia 5 91 Program Services Economic & Social Research, Education, Energy Research, Environmental Research Services, Governance & Economic Growth, Health, Survey Research, Additional Program Service Travel 15610407 Sub-Saharan Africa 37 552 Program Services Economic & Social Research, Education, Energy Research, Environmental Research Services, Governance & Economic Growth, Health, Information & Communication Technology, Survey Research, Additional Program Service Travel, Monitoring & Evaluation, Lab & Chemistry Services, Advanced Technology 101611294 East Asia and the Pacific Investments 420330 Central America and the Caribbean Grantmaking 5000 East Asia and the Pacific Grantmaking 5000 Sub-Saharan Africa Grantmaking 5000 South Asia Investments 151248 84 1274 306895536 1 0 1 0 0 1 Schedule F, Part I, Line 1 RTI's International development program services are not in the nature of grant making. 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 FY15, RTI contributed $1,250 to Kuona Trust Centre for the Visual Arts to help support the National Museum of Kenya. The funds will be used in various ways such for Its artists' studios, library, program of exhibitions, artists' talks, training & mentoring, education and or international exchange to provide opportunities for artists to develop new and experimental contemporary artwork within a context of international current practice. Additionally, RTI contributed $2,250 to Empower the World Foundation a nonprofit making Nongovernmental Organization registered by the Republic of Kenya. Contributions will be used to provide sanitary towels to 50 girls in secondary school for one year and a mentorship activity for the teenage girls. The mentorship will focus on either Reproductive Health or Life Skills. RTI contributed $1,500 to the Samburu Girls Foundation. This foundation works in northern Kenya fighting retrogressive traditional practices that affect the girl child among the Nomadic pastoralist communities. Contributions will be used to pay school fees for 16 girls for one school term in a public boarding primary school. RTI, also contributed $5,000 The Museum Associates of Children which offers a safe space that contributes to the formation of children as comprehensive and creative citizens through meaningful learning experience, cultural stimulation and fun experiments in an inclusive environment and staff that promotes the development, welfare and family outreach. The contribution will be used to by two selected schools that have benefited from RTI, with three visits to TIN Marin, in which 150 children, 20 parents and 20 teachers will be trained on issues of community interest. RTI also supported Yayasan Aulia a non profit organization that provides direct health and education support to Jakarta's poorest citizens by contributing $2,500. Lastly, RTI contributed $2,500 to Yayasan Kotex Mandiri an HIV/AIDS support organization that directly provides support to people living with HIV/AIDS in Jakarta. 1 American Red Cross 2025 E Street NW Washington DC 20006 530196605 501(c)(3) 42500 Cash General Support Benevolent Healthcare Foundation 10377 E Geddes Avenue Ste 200 Centennial CO 80112 841568566 501(c)(3) 25000 Cash General Support Tides Center 1014 Torney Avenue San Francisco CA 94129 943213100 501(c)(3) 7000 Cash General Support The Childrens Inn at NIH 7 West Drive Bethesda MD 20814 521638207 501(c)(3) 6000 Cash General Support DURHAM INTERFAITH 1216 N Roxboro Street Durham NC 27701 568524280 501(c)(3) 7000 Cash General Support Food Bank of Central and Eastern North Carolina 3808 Tarheel Drive Raleigh NC 27609 561283426 501(c)(3) 12000 Cash General Support Wakemed Foundation 3000 New Bern Avenue Raleigh NC 27614 561916549 501(c)(3) 7500 Cash General Support INNOVATE RALEIGH 310 S Harrington Street Raleigh NC 27603 262891963 501(c)(3) 10000 Cash General Support Triangle United Way 2400 Perimeter Park Drive Morrisville NC 27560 561949103 501(c)(3) 85805 57755 Cash FMV General Support Public Health Foundation PO Box 899 Chapel Hill NC 27514 561717285 501(c)(3) 7000 Cash General Support Childrens Mental Health Network 2201 Wilshire Drive Durham NC 27707 274658931 501(c)(3) 15000 Cash General Support Emily Krzyewski Family Life Center Inc 904 W Chapel Hill Street Durham NC 27701 562230469 501(c)(3) 10000 Cash General Support UNC Center for Public Television 10 TW Alexander Drive Research Triangle Park NC 27709 566172047 501(c)(3) 10000 Cash General Support DURHAM LITERACY CENTER 1905 Chapel Hill Road Durham NC 27707 561479534 501(c)(3) 10000 Cash General Support 14 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 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 communication and participates in local United Way volunteer 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 office and lab supplies to various schools. 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 X 1 1 X X X X X X 1 1 0 0 0 0 0 1 1 0 B Entwisle Board Member 28000 328834 0 0 0 0 0 0 0 0 28000 328834 0 0 P Lange Board Member 26000 605872 0 0 0 17500 0 31860 0 9701 26000 664933 0 0 C Brown Board Member 24279 235908 0 0 0 0 0 0 0 0 24279 235908 0 0 H Martin Board Member 18299 307588 0 0 0 0 0 0 0 0 18299 307588 0 0 J Siedow Board Member 28000 184259 0 68200 0 0 0 31141 0 5809 28000 289409 0 0 P Wynn Jr Board Member 32000 203834 0 0 0 0 0 24687 0 6549 32000 235070 0 0 L Carin Board Member 0 250973 0 117042 0 0 0 31860 0 16023 0 415898 0 0 M Vouk Board Member 0 233539 0 0 0 0 0 0 0 0 0 233539 0 0 E Holden President 581627 0 237647 0 28548 0 62113 0 24235 0 934170 0 31706 0 J Gibson Vice President 417210 0 149676 0 10876 0 52195 0 26830 0 656787 0 27507 0 A Mangel Vice President 327081 0 136885 0 8113 0 45347 0 23877 0 541303 0 23146 0 A Williams Vice President 351075 0 101000 0 12606 0 20800 0 1514 0 486995 0 0 0 T Gabel Vice President 329719 0 95373 0 6880 0 45496 0 15085 0 492553 0 11529 0 M Kaelin Jr Vice President & CFO 322480 0 100000 0 6511 0 44704 0 27003 0 500698 0 0 0 E Story Secretary 302502 0 103797 0 4695 0 43698 0 24447 0 479139 0 20098 0 M Roberts Vice President 274198 0 97102 0 1272 0 20800 0 7706 0 401078 0 17327 0 P Weisenfeld Vice President 275377 0 81136 0 1346 0 633 0 2471 0 360963 0 0 0 E Sax Treasurer 243430 0 44000 0 558 0 19971 0 23633 0 331592 0 0 0 D O'Brien Vice President 208924 0 37400 0 303 0 17449 0 26651 0 290727 0 0 0 C Buchholtz Assistant Secretary 195118 0 40300 0 275 0 16146 0 23945 0 275784 0 0 0 T Lomax Vice President 45781 232477 50000 0 0 0 2177 0 0 0 97958 232477 0 0 S Earnshaw Divisional Director 271644 0 110792 0 1521 0 20800 0 8049 0 412806 0 0 0 R Zerbonia Divisional Director 207549 0 22495 0 135889 0 16940 0 14780 0 397653 0 0 0 L Gilliland Divisional Director 288901 0 52500 0 4034 0 20800 0 18200 0 384435 0 0 0 T Pierson Divisional Director 276027 0 65190 0 3408 0 20800 0 10687 0 376112 0 0 0 J Mitchell Divisional Director 273372 0 65269 0 5146 0 20800 0 22425 0 387012 0 0 0 T Nagle Former Board Member 0 151420 0 0 0 0 0 0 0 0 0 151420 0 0 S Snyder Former Vice President 39840 0 0 0 244948 0 3321 0 6061 0 294170 0 0 0 S Sethi Former Vice President 0 0 0 0 256362 0 0 0 0 0 256362 0 0 0 J Trainham Former Vice President 136031 0 0 0 13049 0 10945 0 4257 0 164282 0 0 0 L Maggart Former Vice President 0 0 0 0 138897 0 0 0 0 0 138897 0 0 0 Schedule J, Part I, Line 1a Two officers travelled first class. 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. Memberships to two business clubs, where leaders in industry and business gather, are maintained for RTI business purposes. No taxable compensation has been imputed to the senior executive who use these club memberships exclusively for RTI business purposes. Schedule J, Part I, Line 4 The following severance payments were made during the calendar year 2014: S. Sethi $256,362, S. Synder 196,489, and L. Maggart $138,897. 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 Institutes' continued strong performance. Amounts paid and accrued during the calendar year 2014 are as follows: E. Holden $83,588, J. Gibson $68,071, A. Mangel $55,408, G. Story $49,695, T. Gabel $40,069, M. Kaelin $23,904, M. Roberts $23,102, and T. Lomax $2,177. These amounts include payments totaling $131,313 which were accrued and reported in prior years as deferred compensation. Schedule J, 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 2014 are as follows: E. Holden $195,372, J. Gibson $113,000, A. Mangel $106,024, M. Kaelin, $100,000, T. Gabel $80,000, G. Story $77,000, A. Williams $76,000, M. Roberts $74,000, P. Weisenfeld $61,136, E. Sax $44,000, D. O'Brien $37,400, C. Buchholtz $36,800, S. Earnshaw $110,792, J. Mitchell $65,269 T. Pierson $65,190, L. Gilliland $52,500, and R. Zerbonia $22,495. Schedule J, 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 2014 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 2014 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 building & parking deck 0 0 0 A 0 0 41187495 0 0 0 333770 0 0 40853725 0 0 2008 0 0 1 1 B 0 0 25000732 0 0 0 340956 0 0 24659776 0 0 2011 0 0 1 1 A 0 1 0 1 0 0.0002 0.0393 0.0395 1 0 1 B 0 0 0 1 0 0.0025 0.0059 0.0084 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 3-11/29/2007 40,560,000 Durham County Industrial Facilities & Pollution Co The difference in issue price and total proceeds is investment earnings. Schedule K, Part II, Line 3-02/18/2010 24,999,384 Durham County Industrial Facilities & Pollution Co The difference in 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 IV, Line 12a Research Triangle Institute, as a member of a consolidated group, was included in consolidated independent audited financial statements. 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 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 disclosures in accordancewith 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 interests 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 Instuite'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 the reasonableness of the executive compensation packages. The Compensation Committee and 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, Socical, Statistical and Environmental Sciences, 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 officer positions: D. O'Brien, Vice President and Corporate Controller and E. Sax, Vice President and Treasurer. 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 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 VII, Section A, Line 1a T. Lomax transitioned from a Board Member to a Vice President of the organization in November 2014. In column (D), reportable compensation from the organization for this officer reflects their position as follows: Board Member, $30,237 and Vice President, $65,544. 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 University 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 Total Expenses=215,106,870(Subcontractors & Consultants) & 83,809,174(Other Services) Form 990, Part XI, Line 9 Pension related changes = 481,062 Duke University 2138 Campus Drive Durham NC 27708 560532129 University NC 501(c)(3) 2 N/A 0 The University of North Carolina UNC System University of North Carolina Chapel Hill NC 27599 566001393 University NC 501(c)(3) 2 N/A 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 RTI Ziptronix Equity Associates LLC PO Box 12194 Research Triangle Park NC 27709 300033837 Investment Company NC Research Triangle Institute Excluded -212976 0 0 1 0 Research Triangle Institute International (Hong Kong) Limited 15 Queens Road Central Central HK Investment Company HK Research Triangle Institute C -3576 444601 1 1 Research Triangle Institute Global Inc 3040 Cornwallis Road Durham NC 27709 472500213 Scientific research and development NC Research Triangle Institute C 0 1016 1 1 Research Triangle Institute Global India Private Limited F22 667 IIND FLOOR GANESH NAGAR II SHAKARPUR NEW DELHI DELHI IN 110092 Scientific Research and development IN Reseach Triangle Institute C -56272 129386 0.9999 1 0 1 0 0 0 0 0 0 0 0 1 1 1 1 1 1 1 1 1 Research Triangle Institute Global India Private Limited b 350915 Cash Value RTI Post Retirement Health Benefits Trust RTI VEBA p 578888 Cash Value RTI Post Retirement Health Benefits Trust RTI VEBA q 1315894 Cash Value