2015-07-23T10:05:42-07:00 2014-09-30 990 2013-10-01 560686338 RESEARCH TRIANGLE INSTITUTE RESE 9195416000 PO Box 12194 Research Triangle Park NC 277092194 Michael H Kaelin Jr Chief Financial Officer 9195416000 2015-07-31 2013 2016-02-25 16:41:14Z RTI International E Wayne Holden PO Box 12194 Research Triangle Park NC 277092194 845768791 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 3,800 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. 15 7 3102 0 8317137 831122 0 0 778068741 788162936 16189651 18454099 52558 736907 794310950 807353942 390245 420984 0 0 355184889 351293003 0 0 0 411833054 418378904 767408188 770092891 26902762 37261051 526756337 543388003 221761024 206549567 304995313 336838436 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 3,800 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 484346718 403984 562912267 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. 204188853 17000 225852694 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 688535571 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 1 1 0 0 0 0 0 1 1 1 1 0 1 2215 0 3102 1 1 1 1 AE AO BC BN CG CH EC ES GG GH GT GV HA HK ID IN IZ KE LI MA MI ML MO MZ NI NP NU RP SF SG SP SW TH TZ UG UK YM ZA ZI 0 0 0 0 0 0 0 0 X 15 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 T Darden Board Member 2 0 X 24000 0 0 B Entwisle Board Member 2 40 X 28000 325638 0 R Ingram Board Member 2 0 X 24000 0 0 P Lange Board Member 1.20 68.80 X 26000 599341 38503 T Lomax Board Member 2 40 X 30239 241139 0 H Martin Board Member 2 40 X 18314 306921 0 W Mitchell Board Member 2 0 X 24218 0 0 J Moellering Board Member 2 0 X 30000 0 0 W Moore Jr Chairman 2 0 X 39000 0 0 T Nagle Board Member 2 40 X 24000 168371 0 H Pinnix-Ragland Board Member 2 0 X 24000 0 0 P Scott III Board Member 2 0 X 31000 0 0 J Siedow Board Member 2 40 X 28000 283205 36295 P Wynn Jr Board Member 2 40 X 32000 204855 30570 C Brown Board Member 2 40 X 0 226784 0 E Holden President 40 0 X X 730562 0 84409 J Gibson Vice President 40 0 X 582958 0 80635 T Gabel Vice President 40 0 X 422458 0 57799 E Story Secretary 40 0 X 393724 0 70275 A Mangel Vice President 40 0 X 457160 0 72102 J Trainham Vice President 40 0 X 365945 0 34075 M Kaelin Jr Vice President & CFO 40 0 X 383521 0 64203 M Roberts Vice President 40 0 X 335129 0 52621 S Snyder Vice President 40 0 X 270572 0 47144 E Sax Treasurer 40 0 X 281895 0 48380 C Buchholtz Assistant Secretary 40 0 X 219653 0 45893 A Williams Vice President 40 0 X 455922 0 26990 D O'Brien Vice President 40 0 X 213116 0 44934 R Zerbonia Divisional Director 40 0 X 360774 0 33656 L Gilliland Divisional Director 40 0 X 337378 0 42501 S Earnshaw Divisional Director 40 0 X 365023 0 33262 J Mitchell Divisional Director 40 0 X 334712 0 47018 J St Clair Divisional Director 40 0 X 382801 0 32554 L Clark Former Vice President 0 0 X 203449 0 0 B Kennedy Former Vice President 0 0 X 119305 0 0 S Sethi Former Vice President 0 0 X 341815 0 0 L Maggart Former Vice President 0 0 X 333352 0 0 8273995 2356254 1023819 832 1 1 0 AMEC 1979 Lakeside Parkway Suite 400 Tucker GA 30084 Engineering & Construction Services 66493527 Headway Corporate Resources 421 Fayetteville Street Suite 1020 Raleigh NC 27601 Contract Labor 36018882 HR Directions Int'l Research Partners/Greene Resources 805 Spring Forest Road Raleigh NC 27609 Contract Labor 15782278 Interchurch Medical Assistance Inc 500 Main Street New Windsor MD 21776 International Healthcare Services 6379844 Helen Keller International 353 Park Avenue South Suite 1 New York NY 10010 International Healthcare Services 3954071 312 0 0 0 0 0 0 0 0 Research 541700 562482624 554239941 8242683 0 International Development 541900 225680312 225680312 0 0 0 0 0 0 788162936 7002966 0 0 7002966 0 0 0 0 0 0 0 0 341694 0 206812 0 134882 0 134882 0 74454 60428 34722436 14936734 34722436 3485601 0 11451133 11451133 0 0 11451133 0 Foreign Currency Gain/(Loss) 900099 602025 602025 0 0 0 0 0 0 602025 807353942 780522278 8317137 18514527 X 403984 403984 0 0 17000 17000 6445409 0 6445409 0 564050 0 564050 0 239522272 202544542 36977730 0 18874679 15493730 3380949 0 67377191 55506986 11870205 0 18509402 15193883 3315519 0 1816297 617057 1199240 0 1022820 41056 981764 0 405822 0 405822 0 0 0 0 0 0 0 278520261 276331177 2189084 0 131223 131223 14346791 13355878 990913 0 32656270 28998452 3657818 0 597720 597720 0 0 17140533 15941312 1199221 0 18145412 16363921 1781491 0 0 0 0 0 23007110 22535622 471488 0 1995033 0 1995033 0 0 0 0 0 14733576 13702756 1030820 0 2448907 628160 1820747 0 Business Meals 573940 443971 129969 0 Memberships 885517 476262 409255 0 Miscellaneous 8430677 8285700 144977 0 Taxes 1520995 1056402 464593 0 770092891 688535571 81557320 0 82912565 74154511 167231364 157215430 14776124 14065527 284927954 149679982 143713220 135247972 104549034 149217275 3781632 3953049 2836067 2737246 6956331 6796993 526756337 543388003 106877747 91063769 45063605 44804142 56620264 54232763 13199408 16448893 221761024 206549567 X 302638682 334445076 627786 630260 1728845 1763100 304995313 336838436 526756337 543388003 X 37261051 -4087142 0 0 0 -1330786 X 0 1 X 1 1 1 X X X 0 0 0 DUKE UNIVERSITY 560532129 2 1 1 1 0 THE UNIVERSITY OF NORTH CAROLINA (UNC SYSTEM) 566001393 2 1 1 1 0 2 0 Schedule A, Part I, Line 11h Table 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 the North Carolina Biotechnology Center. 0 1 0 0 0 0 1 405822 0 0 405822 0 Schedule C, Part II-B, Line 1 Research Triangle Institute communicates the results of its independent objective research to 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 194414833 88622395 105792438 0 0 0 0 0 85012098 61057587 23954511 0 2826610 0 2826610 135247972 Other Accrued Expenses 16448893 16448893 X Schedule D, Part X, Line 2 As provided by Section 501(c)(3) of the Internal Revenue Code and the Internal Revenue Service's determination that the Institute's charitable, scientific and educational operations are income tax exempt, no provision for corporate income taxes is 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. Historically, income taxation in these foreign jurisdictions has not been material for the Institute. All not-for-profit organizations, including the Institute, are subject to the provisions of FASB ASC Topic 740 Income Taxes. The Institute's activities that most likely could create taxable income are contracts with commercial enterprises for services performed in "nondomestic" jurisdictions. There are no uncertain tax positions that result in material liabilities. 1 Central America and the Caribbean 7 38 Program Services Education, Governance & Economic Growth, Health, Information & Communication Technology 94128807 East Asia and the Pacific 23 447 Program Services Education, Environmental Research Services, Governance & Economic Growth, Health, Information & Communication Technology 52801898 Europe (including Iceland and Greenland) 4 58 Program Services Education, Environmental Research Services, Governance & Economic Growth, Health, Information & Communication Technology 13053501 Middle East and North Africa 5 33 Program Services Education, Energy Research, Environmental Research Services, Governance & Economic Growth, Health, Information & Technology 14159398 North America (including Canada and Mexico, but not the United States) 0 0 Program Services Environmental Research Services, Governance & Economic Growth, Information & Communication Technology 600209 Russia and the newly independent States 1 Program Services Economic & Social Research, Health, Additional Program Service Travel 8673338 South America 0 2 Program Services Economic & Social Research, Education, Energy Research, Governance & Economic Growth, Health, Additional Program Service Travel 172434 South Asia 4 64 Program Services Economic & Social Research, Education, Energy Research, Governance & Economic Growth, Health, Additional Program Services 3684926 Sub-Saharan Africa 39 488 Program Services Economic & Social Research, Education, Environmental Research Services, Governance & Economic Growth, Health, Information & Communication Technology, Additional Program Services, Monitoring & Evaluation, Lab & Chemistry Services, Advanced Technology 92667862 East Asia and the Pacific Investments 420330 Central America and the Caribbean Grantmaking 7000 East Asia and the Pacific Grantmaking 5000 Sub-Saharan Africa Grantmaking 5000 83 1130 280379703 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 worth charitable causes. During FY14, RTI contributed $4,000 to Carolina for Kibera to help support the Tabitha Clinic. The Tabitha Clinic offers healthcare to all residents on a sliding fee scale. Additionally, RTI contributed $1,000 to Sisi Ni Amani an organization in Kenya focused on strengthening peace efforts and prevent violence. RTI also supported Bumi Sehat Foundation in Jakarta by contributing $5,000 to help provide free prenatal, birth and post natal clinic visits for families in the local community and surrounding region. RTI also supported Fundacion de Desarrollo Social by contributing $5,000 to help fund social welfare programs for people most in need of assistance. RTI also supported Association Friends of Lake Ilonpango by contributing $2,000 to help the "Let's Clean El Salvador" program. The objective of this program is to reduce the impact of climate change, natural disasters and diseases caused by the lack of hygiene through actions to raise awareness, educate and activate the Salvadoran population. 1 AMERICAN RED CROSS 2025 E Street NW Washington DC 20006 530196605 501(c)(3) 75000 Cash General Support Florida Mental Health Institute 4202 East Flower Avenue Tampa FL 33620 593102112 501(c)(3) 10000 Cash General Support United Way of Greater Triangle 2400 Perimeter Park Drive Morrisville NC 27560 561949103 501(c)(3) 85180 83155 Cash and FMV Discarded Computers & Equipment(See Sch I, Part IV) General Support DURHAM INTERFAITH 1216 N Roxboro Street Durham NC 27701 568524280 501(c)(3) 6000 Cash General Support Food Bank of Central 3808 Tarheel Drive Raleigh NC 27609 561283426 501(c)(3) 6000 Cash General Support Triangle Volley Ball Club 9301 Globe Center Drive Ste 140 Morrisville NC 27560 020647356 501(c)(3) 10000 Cash General Support Wakemed Foundation 3000 New Bern Avenue Raleigh NC 27614 561916549 501(c)(3) 25000 Cash General Support MAGELLAN CHARTER SCHOOL 9324 Baileywick Road Raleigh NC 27615 562019202 501(c)(3) 10000 Cash General Support Friends of the North 11 West Jones Street Raleigh NC 27601 561240806 501(c)(3) 10000 Cash General Support Public Health Foundation PO Box 899 Chapel Hill NC 27514 561717285 501(c)(3) 7000 Cash General Support Public Television Center 10 TW Alexander Drive Research Triangle Park NC 27709 566172047 501(c)(3) 10000 Cash General Support 11 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 an 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 sponsorships 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 X 1 1 X X X X X X 1 1 0 0 0 0 0 1 1 0 E Holden President 501219 0 201779 0 27564 0 61148 0 23262 0 814972 0 27057 0 J Gibson Vice President 399103 0 166676 0 17179 0 54819 0 25816 0 663593 0 27507 0 A Mangel Vice President 312861 0 135760 0 8539 0 49151 0 22951 0 529262 0 23146 0 E Story Secretary 289113 0 99797 0 4813 0 46836 0 23439 0 463998 0 20098 0 T Gabel Vice President 315146 0 100000 0 7312 0 44061 0 13737 0 480256 0 0 0 A Williams Vice President 340850 0 101333 0 13739 0 25500 0 1490 0 482912 0 0 0 M Kaelin Jr Vice President & CFO 293316 0 85000 0 5205 0 38237 0 25966 0 447724 0 0 0 J Trainham Vice President 291532 0 68675 0 5738 0 25500 0 8575 0 400020 0 21506 0 M Roberts Vice President 253341 0 81658 0 131 0 43979 0 8642 0 387751 0 16243 0 E Sax Treasurer 234760 0 46600 0 535 0 24246 0 24134 0 330275 0 0 0 S Snyder Vice President 232216 0 38000 0 356 0 23890 0 23254 0 317716 0 0 0 C Buchholtz Assistant Secretary 184391 0 35000 0 262 0 19460 0 26434 0 265547 0 0 0 D O'Brien Vice President 184556 0 28300 0 260 0 19374 0 25560 0 258050 0 0 0 S Sethi Former Vice President 0 0 0 0 341815 0 0 0 0 0 341815 0 28485 0 L Maggart Former Vice President 0 0 0 0 333352 0 0 0 0 0 333352 0 27779 0 L Clark Former Vice President 0 0 0 0 203449 0 0 0 0 0 203449 0 0 0 B Kennedy Former Vice President 0 0 0 0 119305 0 0 0 0 0 119305 0 0 0 J St Clair Divisional Director 171835 0 15001 0 195965 0 17693 0 14861 0 415355 0 0 0 S Earnshaw Divisional Director 263664 0 100000 0 1358 0 25500 0 7762 0 398284 0 0 0 R Zerbonia Divisional Director 192352 0 18486 0 149937 0 19655 0 14001 0 394431 0 0 0 J Mitchell Divisional Director 263021 0 68445 0 3246 0 25500 0 21518 0 381730 0 0 0 L Gilliland Divisional Director 280940 0 52100 0 4339 0 25500 0 17001 0 379880 0 0 0 C Brown Board Member 0 226784 0 0 0 0 0 0 0 0 0 226784 0 0 B Entwisle Board Member 28000 325638 0 0 0 0 0 0 0 0 28000 325638 0 0 P Lange Board Member 26000 581841 0 0 0 17500 0 31276 0 9312 26000 639929 0 0 T Lomax Board Member 30239 241139 0 0 0 0 0 0 0 0 30239 241139 0 0 H Martin Board Member 18314 306921 0 0 0 0 0 0 0 0 18314 306921 0 0 T Nagle Board Member 24000 168371 0 0 0 0 0 0 0 0 24000 168371 0 0 P Wynn Jr Board Member 32000 204855 0 0 0 0 0 24893 0 6366 32000 236114 0 0 J Siedow Board Member 28000 178938 0 104267 0 0 0 31276 0 5612 28000 320093 0 0 Schedule J, Part I, Line 1a One officer travelled first class in connection with a commercial client. In some instances, a spouse accompanied the senior executives on their RTI business as dictated by local tradition and protocol. The officers reimbursed RTI for non-business spousal travel expenses, and therefore, no income was imputed for spousal travel costs. Two highly compensated employees received tax gross up payments related to their international assignments in addition to payment for housing which was included in taxable income. Personal services for tax preparation were provided to two highly compensated employees and 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 executives who use these club memberships exclusively for RTI business purposes. Schedule J, Part I, Line 4 The following severance payments were made during calendar year 2013. S. Sethi $341,815, L Maggart $333,352, L Clark $203,449, B Kennedy $119,305. 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 2013 are as follows. E Holden $71,724, J Gibson $65,995, A Mangel $54,512, G Story $48,134, T Gabel $18,561, M Kaelin $12,737, J Trainham $28,675, M Roberts $40,137. These amounts include payments totaling $135,557 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 2013 are as follows: E Holden $165,702, J Gibson $130,000, A Mangel $104,899, G Story $73,000, T Gabel $100,000, A Williams $68,000, M Kaelin $85,000, J Trainham $40,000, M Roberts $60,000, E Sax $46,600, S Snyder $38,000, C Buchholz $35,000, J St Clair $15,001, S Earnshaw $100,000, R Zerbonia $18,486, J Mitchell $68,445, L Gililliand $52,100 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 2013 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 2013 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 0.0003 0.0376 0.0379 1 0 1 B 0 0 0 1 0 0.0024 0.0039 0.0063 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. Kenneth Bollen Family Member of B. Entwisle 40000 Contractor at Research Triangle Institute 0 SunTrust Bank P Wynn is a Director of SunTrust Bank 1159778 Credit Facilities, Interest & Fees 0 SciQuest Inc Family Member of M Kaelin is Officer at SciQuest Inc 432819 Software License Fees and Contract Services (See Sch. L, Part V fn) 0 Schedule L, Part IV SciQuest Inc - RTI competitively procured the purchase of software licenses and contract services prior to M Kaelin obtaining the CFO position. M Kaelin did not have oversight or responsibility during the bid and selection process. Additionally, M Kaelin currently does not have any vendor relationship related to SciQuest as the relationship is managed and supported by the CEO and President of RTI. 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 VI, Section A, Line 2 P Lange & J Siedow - Business Relationship; P Lange & P Wynn - Business Relationship; W Moore & T Darden - Business Relationship; W Moore & W Mitchell - Business Relationship; W Moore & P Scott - Business Relationship; W Mitchell & T Darden - Business Relationship; W Mitchell & P Scott - Business Relationship; T Darden & R Ingram - Business Relationship; B Entwisle & T Lomax - Business Relationship; B Entwisle & H Martin - Business Relationship; B Entwisle & J Siedow - Business Relationship; B Entwisle & W Moore - Business Relationship; P Scott & T Darden - 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; President, 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 of the 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 on multiple occasions with the Audit Compensation Committees of the Board, including a review of the file ready form 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 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 geographic labor markets. The Compensation Committee and Board also use an independent executive compensation consulting firm to review the survey data and provide comments opining on the reasonableness of compensation for the Institute's senior executives. In 2013, the study covered the following executive positions: E Wayne Holden, President & Chief Executive Officer; James J Gibson, Chief Operating Officer; Tim J Gabel, Executive Vice President, Social, Statistical and Environmental Sciences; Allen W Mangel, Executive Vice President, Health Solutions; G Edward Story, Senior Vice President, General Counsel and Corporate Secretary; Martha J Roberts, Senior Vice President, Human Resources; Michael H Kaelin Jr, Senior Vice President and Chief Financial Officer; Aaron S Williams, Executive Vice President, International Development Group; and James A Trainham, Vice President, Strategic Energy Initiatives and Distinguished Fellow. Also included in the independent review was the following officer positions: Stephen Snyder, Vice President and Controller, E. Ward 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 In connection with his employment with RTI, J Trainham participated in various scientific research collaborations with the UNC System, including an appointment as adjunct professor during FY14. RTI received reimbursements from the UNC System for costs related to these research services. 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 NC. 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 of The University of North Carolina System (UNC System). Given the supporting relationship with these universities, RTI is required to report these amounts; however, RTI has no influence over this compensation. Form 990, Part IX, Line 11g Total Expenses = 278,658,484(Subcontractors & Consultants) Form 990, Part XI, Line 9 Pension related changes = (1,330,784) 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 400553 0 1 0.53295 Research Triangle Institute International (Hong Kong) Limited 15 Queens Road Central Central HK Investment Company HK Research Triangle Institute C -310884 444718 1 1 Research Triangle Institute Global Inc 3040 Cornwallis Road Durham NC 27709 472500213 Scientific research and development NC Research Triangle Institute C 0 0 1 1 0 1 0 0 0 0 0 0 0 0 1 1 1 1 1 1 1 1 0 RTI Post Retirement Health Benefits Trust RTI VEBA p 592952 Cash Value RTI Post Retirement Health Benefits Trust RTI VEBA q 1132186 Cash Value Research Triangle Institute International (Hong Kong) Limited b 200000 Cash Value