2014-08-01T08:52:26-05:00 2013-09-30 990 2012-10-01 314379427 BATTELLE MEMORIAL INSTITUTE BATT 6144246424 505 KING AVENUE COLUMBUS OH 432012693 THOMAS E SHARPE 6144244971 2014-08-01 2012 2015-11-30 17:44:51Z DR JEFFREY WADSWORTH 505 KING AVENUE COLUMBUS OH 432012693 5246838271 0 X WWW.BATTELLE.ORG X 1925 OH SEE MISSION STATEMENT ON SCHEDULE O BATTELLE MEMORIAL INSTITUTE ("BMI") IS ORGANIZED EXCLUSIVELY FOR CHARITABLE, EDUCATIONAL AND SCIENTIFIC PURPOSES, INCLUDING THE UTILIZATION OF SCIENCE, THE SCIENTIFIC METHOD AND RESEARCH FOR THE BENEFIT AND EDUCATION OF MANKIND. 8 3 23768 0 23498073 0 4368714116 4044734254 818334334 698265823 33360780 33952084 14034791 14933770 5234444021 4791885931 6747802 3830346 0 0 2662463738 2492363980 0 0 0 2606148617 2317477952 5275360157 4813672278 -40916136 -21786347 1265541358 1273610617 733600890 543231553 531940468 730379064 X BATTELLE MEMORIAL INSTITUTE ("BMI") IS ORGANIZED EXCLUSIVELY FOR CHARITABLE, EDUCATIONAL AND SCIENTIFIC PURPOSES, INCLUDING THE UTILIZATION OF SCIENCE, THE SCIENTIFIC METHOD AND RESEARCH FOR THE BENEFIT AND EDUCATION OF MANKIND. 0 0 2941758366 285746288 BATTELLE MEMORIAL INSTITUTE ("BMI") AND ITS AFFILIATES OPERATE FIVE UNITED STATES DEPARTMENT OF ENERGY ("DOE") NATIONAL LABORATORIES: PACIFIC NORTHWEST NATIONAL LABORATORY; OAK RIDGE NATIONAL LABORATORY; IDAHO NATIONAL LABORATORY; BROOKHAVEN NATIONAL LABORATORY AND NATIONAL RENEWABLE ENERGY LABORATORY. BMI IS AN INTEGRATED SUBCONTRACTOR AT A SIXTH DOE NATIONAL LABORATORY: LAWRENCE LIVERMORE NATIONAL LABORATORY. IN ADDITION, A BMI AFFILIATE HOLDS THE MANAGEMENT CONTRACT WITH RESPECT TO THE UNITED STATES DEPARTMENT OF HOMELAND SECURITY'S NATIONAL BIODEFENSE ANALYSIS AND COUNTERMEASURES CENTER. ANOTHER BMI AFFILIATE WAS PART OF A CONSORTIUM THAT OPERATES THE NATIONAL NUCLEAR LABORATORY FOR THE UNITED KINGDOM'S DEPARTMENT FOR ENERGY AND CLIMATE CHANGE. THROUGH OPERATION OF THE NATIONAL LABORATORIES, BMI AND ITS AFFILIATES ADDRESS CRITICAL ELEMENTS OF THE NATION'S SCIENTIFIC RESEARCH AGENDA, PERFORM BASIC AND APPLIED SCIENTIFIC RESEARCH, CREATE SCIENTIFIC KNOWLEDGE AND TECHNICAL SOLUTIONS IN KEY AREAS OF SCIENCE, INCREASE THE AVAILABILITY OF CLEAN AND ABUNDANT ENERGY, RESTORE AND PROTECT THE ENVIRONMENT, ENGAGE IN EDUCATIONAL ACTIVITIES, AND CONTRIBUTE TO NATIONAL SECURITY. 513426867 389709175 BMI ALSO CONDUCTS SCIENTIFIC RESEARCH AND DEVELOPMENT PROGRAMS FOR OTHER FEDERAL, STATE AND LOCAL GOVERNMENT AGENCIES AND INDUSTRIAL SPONSORS, AND TRANSLATES SCIENCE AND TECHNOLOGY INTO PRODUCTS, SYSTEMS AND SERVICES FOR ITS SPONSORS. BMI PLACES SPECIAL EMPHASIS UPON SIGNATURE AREAS OF ENERGY, ENVIRONMENT AND MATERIAL SCIENCES, NATIONAL SECURITY, AND HEALTH AND LIFE SCIENCES. 3830346 3830346 EACH YEAR, BMI DISTRIBUTES AT LEAST TWENTY PERCENT OF ITS CONSOLIDATED NET INCOME TO PUBLIC CHARITIES AND GOVERNMENT AGENCIES. DISTRIBUTIONS ARE PRIMARILY FOCUSED UPON EDUCATION, HUMAN SERVICES, ARTS AND SCIENCES, AND ECONOMIC DEVELOPMENT. BMI ACTIVELY SUPPORTS EDUCATIONAL INITIATIVES IN OHIO AND ACROSS THE UNITED STATES THAT MEASURE STUDENT ACHIEVEMENT, ASSIST WITH PROFESSIONAL DEVELOPMENT FOR TEACHERS, AND PROMOTE INQUIRY-BASED LEARNING, ESPECIALLY IN THE SCIENCE, TECHNOLOGY, ENGINEERING, AND MATHEMATICS (STEM) DISCIPLINES. 3459015579 1 0 0 1 0 0 0 0 0 0 1 1 0 0 1 0 0 1 0 1 1 1 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 1 1 1 0 0 0 0 1 1 1 1 1 1 1 X 3544 0 1 23768 1 1 1 1 CA CH GG IN JA KS MY SA SN SZ UK UP 0 0 0 0 0 0 0 0 X 8 3 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 1 1 AZ CA DC GA IL IN KY MA MO NY NC OH OR VA X X DAVID C EVANS 6144244777 505 KING AVENUE COLUMBUS OH 432012693 JOHN K WELCH 3.00 X 116254 0 0 VICKY A BAILEY 3.00 X 107500 0 0 FRANK L DOUGLAS 3.00 X 47500 0 0 MICHAEL J GASSER 3.00 X 110000 0 0 LESTER L LYLES 3.00 X 107504 0 0 SEAN C O'KEEFE 3.00 X 115004 0 0 JOHN B MCCOY 3.00 X 126254 0 0 MICHAEL G MORRIS 3.00 X 110000 0 0 RUSSELL A HULSE 3.00 X 102500 0 0 JEFFREY WADSWORTH 39.00 1.00 X 1006098 0 344867 I MARTIN INGLIS 39.00 1.00 X 590646 0 286904 DAVID C EVANS 40.00 X 0 0 0 RONALD D TOWNSEND 40.00 X 524803 0 73876 RUSSELL P AUSTIN 40.00 X 365480 0 204845 JOHN J GROSSENBACHER 40.00 X 377144 0 186693 STEPHEN E KELLY 40.00 X 380420 0 346013 MICHAEL KLUSE 40.00 X 620296 0 892232 THOMAS E MASON 40.00 X 550268 0 398211 THOMAS D SNOWBERGER 40.00 X 390433 0 58209 MARTIN TOOMAJIAN 40.00 X 301621 0 152342 GWENDOLYN C VONHOLTEN 38.00 2.00 X 251448 0 263516 BRIAN R SMITH 39.00 1.00 X 156860 0 34757 THOMAS E SHARPE 36.00 4.00 X 208925 0 104814 BARBARA L KUNZ 40.00 X 345867 0 124492 BRIAN GRAHAM 40.00 X 233885 0 102029 JUDITH L MOBLEY 40.00 X 173135 0 141507 SAMUEL ARONSON 40.00 X 398943 0 36727 JEFFREY W SMITH 40.00 X 402192 0 320860 STEVE DIERKER 40.00 X 410020 0 25000 STEVEN ASHBY 40.00 X 409069 0 129644 AMANDA BATTLE 40.00 X 400866 0 1392 JILL ENGEL-COX 40.00 X 390153 0 77917 DONALD P MCCONNELL 40.00 X 181528 0 455836 10012616 0 4762683 6747 1 1 0 EW HOWELL COMPANY LLC 245 NEWTOWN ROAD SUITE 600 PLAINVIEW NY 11803 CONTRACTOR - CONSTRUCTION 63034960 AREVA FEDERAL SERVICES LLC 7207 IBM DRIVE CHARLOTE NC 28262 DESIGN ENGINEERING 25832794 NATIONAL SECURITY TECHNOLOGIES LLC PO BOX 98521 LAS VEGAS NV 89193 NUCLEAR RESEARCH 25318167 TORCON INC 328 NEWMAN SPRINGS ROAD RED BANK NJ 07701 CONTRACTOR - CONSTRUCTION 18953774 BABCOCK & WILCOX NUCLEAR OPERATIONS GROU PO BOX 741733 ATLANTA GA 30374 FABRICATION 15654573 1022 4016871278 27862976 4044734254 GOVERNMENT CONTRACTS 541700 564609699 564609699 SCIENTIFIC RESEARCH 541700 133656124 110845764 22810360 698265823 7504123 687713 6816410 8233544 8233544 806278 477423 328855 328855 328855 480815902 106976 451285223 3189694 29530679 -3082718 26447961 26447961 OTHER REVENUE 541700 5016652 5016652 VENTURE FUNDS 541700 1354719 1354719 6371371 4791885931 675455463 23498073 48198141 3780523 3780523 39823 39823 10000 10000 6826635 6826635 1869631740 1291431404 578200336 126270475 77457392 48813083 375086134 227682190 147403944 114548996 69867542 44681454 869982362 869982362 11852655 11852655 174344 174344 828145 828145 1163506 1163506 451556475 274876947 176679528 1121792 1121792 13689268 4706548 8982720 55729262 33237587 22491675 290847 197776 93071 163146728 102861761 60284967 81058720 52126771 28931949 2155667 1387549 768118 7575628 4223537 3352091 36105990 20357764 15748226 5740164 5740164 PURCHASES 510099754 366997377 143102377 RENTAL & MAINTENANCE 38306731 23247255 15059476 NON-INCOME TAX EXPENSE 28921004 19077247 9843757 RESTRUCTURING COSTS 8493394 4797305 3696089 29485516 8718982 20766534 4813672278 3459015579 1354656699 0 32178784 40908288 34147952 80947881 291598276 248062141 11795049 9752566 23828104 26667649 857017450 425322183 443770863 431695267 264919566 269158520 141534071 144923611 21768693 21494694 1265541358 1273610617 148743414 137916589 34975006 20352255 17901256 17820000 178600000 188999665 353381214 178143044 733600890 543231553 X 0 0 0 0 531940468 730379064 531940468 730379064 1265541358 1273610617 X -21786347 1929425 218295518 X 0 1 X 1 1 1 X 3954051722 4505277128 4550460328 4368714116 4044734254 21423237548 3954051722 4505277128 4550460328 4368714116 4044734254 21423237548 21423237548 69299595 22502132 26524039 18032578 15940398 152298742 61658 93310 896781 708913 1760662 21577296952 4265808267 0.99290 0.99260 X 0 0 0 0 0 1 0 0 0 0 1 739470 0 1 40894 780364 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: LINE 1 (I) OTHER ACTIVITIES THIRTEEN ORGANIZATIONS REPORTED THAT A PORTION OF MEMBERSHIP DUES PAID BY BATTELLE WERE USED FOR LOBBYING. PART IV, SUPPLEMENTAL INFORMATION: INTERNAL LOBBYING EXPENSES TOTALED $316,248 AND EXTERNAL LOBBYING EXPENSES TOTALED $423,222 FOR A TOTAL OF $739,470. THE GENERAL ISSUE AREA FOR LOBBYING IS INCREASED APPROPRIATIONS IN THE FEDERAL BUDGET FOR SCIENTIFIC RESEARCH AND DEVELOPMENT PROGRAMS THROUGH APPROPRIATIONS AND REPORT LANGUAGE. THE SPECIFIC LOBBYING ISSUES INCLUDE THE HOUSE AND SENATE AUTHORIZATION AND APPROPRIATIONS BILLS FOR ENERGY AND WATER DEVELOPMENT; DEFENSE; INTERIOR, ENVIRONMENT, AND RELATED AGENCIES; LABOR, HEALTH AND HUMAN SERVICES, EDUCATION, AND RELATED AGENCIES; TRANSPORTATION, HOUSING AND URBAN DEVELOPMENT, AND RELATED AGENCIES; COMMERCE, JUSTICE, SCIENCE, AND RELATED AGENCIES; INTELLIGENCE, AND HOMELAND SECURITY. THE HOUSE(S) OF CONGRESS AND FEDERAL AGENCIES CONTACTED INCLUDE: U.S. HOUSE, U.S. SENATE, DEPARTMENT OF ENERGY, DEPARTMENT OF DEFENSE, DEPARTMENT OF TRANSPORTATION, DEPARTMENT OF HOMELAND SECURITY, ENVIRONMENTAL PROTECTION AGENCY, DEPARTMENT OF HEALTH AND HUMAN SERVICES (NATIONAL INSTITUTES OF HEALTH), U.S. ARMY CORPS OF ENGINEERS, AND NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION. IN ADDITION, A MINOR AMOUNT OF LOBBYING IS CONDUCTED WITH VARIOUS STATE AND LOCAL GOVERNMENTS AND/OR AGENCIES. 15417303 15417303 548034919 266403267 281631652 251426980 158918916 92508064 42138248 42138248 431695267 137633640 C RABBI TRUSTS 7289971 F 144923611 LONG TERM BENEFIT RELATED LIABILITIES 5184069 OTHER LONG TERM LIABILITIES 13258272 LIABILITY FOR POSTRETIREMENT & OTHER BENEFITS 159700703 178143044 4824599660 51637459 51637459 4772962201 18923730 18923730 4791885931 4836703755 41955207 41955207 4794748548 18923730 18923730 4813672278 PART XI, LINE 2D - OTHER ADJUSTMENTS: SUBSIDIARIES REVENUE NOT INCLUDED IN FORM 990 51,637,459. PART XI, LINE 4B - OTHER ADJUSTMENTS: RECLASSIFY INCOME 18,923,730. PART XII, LINE 2D - OTHER ADJUSTMENTS: SUBSIDIARIES EXPENSE NOT INCLUDED IN FORM 990 41,955,207. PART XII, LINE 4B - OTHER ADJUSTMENTS: RECLASSIFY EXPENSE 18,923,730. PART X, LINE 2 - FIN 48(ASC 740) FOOTNOTE THE PROVISIONS OF FIN 48 INCLUDED IN FASB ASC 740 APPLY TO BATTELLE MEMORIAL INSTITUTE (BMI). A FIN 48 ANALYSIS FOR UNCERTAIN INCOME TAX POSITIONS WAS PERFORMED BY BMI AND REVIEWED BY ITS INDEPENDENT AUDITORS. AS A RESULT OF THE ANALYSIS, NO FIN 48 RESERVES FOR UNCERTAIN TAX POSITIONS WERE REQUIRED AND NONE WERE RECORDED IN THE FINANCIAL STATEMENTS. THEREFORE NO SPECIFIC FIN 48 FOOTNOTE WAS INCLUDED IN BMI'S FINANCIAL STATEMENTS. 1 EAST ASIA AND THE PACIFIC 7 8 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES 1311664 EUROPE 2 19 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 13318513 MIDDLE EAST AND NORTH AFRICA 3 6 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES 5370320 RUSSIA AND THE NEWLY INDEPENDENT STATES 5 65 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 9149120 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 14351977 EUROPE 0 0 INVESTMENTS 15686 SOUTH ASIA 0 0 INVESTMENTS 6002022 MIDDLE EAST AND NORTH AFRICA 0 0 INVESTMENTS 411136 17 98 0 0 17 98 49930438 0 49930438 RUSSIA & THE NEWLY INDEPENDENT STATES - SUPPORT BASEBALL AND SOFTBALL IN THE REPUBLIC OF GEORGIA 10000 WIRE TRANSFER 1 1 0 1 1 1 1 SCHEDULE F PART II BMI PROVIDED A $10,000 GRANT TO THE FRIENDS OF GEORGIAN BASEBALL AND SOFTBALL FOUNDATION, A NONPROFIT ORGANIZATION FORMED IN THE REPUBLIC OF GEORGIA TO SUPPORT BASEBALL AND SOFTBALL FOR THE YOUTH IN THE LOCAL AREA WHERE BMI ESTABLISHED AN OFFICE. A BATTELLE STAFF MEMBER RESIDING IN THE COUNTRY IS ON THE ORGANIZATIONS BOARD OF DIRECTORS. PERSUANT TO THE GRANT AGREEMENT, THE FOUNDATION PROVIDES BMI WITH PERIODIC REPORTS REGARDING HOW THE GRANT FUNDS ARE SPENT. 1 AID TO DISTRESSED FAMILIES OF APPALACHIAN COUNTIES 1051 OAK RIDGE TURNPIKE OAK RIDGE TN 37830 581727751 501(C)3 5500 GENERAL OPERATING SUPPORT AKRON PUBLIC SCHOOLS 70 NORTH BROADWAY AKRON OH 44308 346000033 170(C)(1) 7142 SUPPORT STEM EDUCATION AMERICAN ASSOCIATION FOR CANCER RESEARCH 615 CHESTNUT STREET 16TH FLOOR PHILADELPHIA PA 19106 236251648 501(C)3 9900 GENERAL OPERATING SUPPORT AMERICAN RED CROSS OF GREATER COLUMBUS 995 EAST BROAD STREET COLUMBUS OH 43205 530196605 501(C)3 9650 FUNDRAISER/SPONSORSHIP ART MUSEUM OF EASTERN IDAHO 300 S CAPITAL AVE IDAHO FALLS ID 83402 481273754 501(C)3 5500 GENERAL OPERATING SUPPORT BATTELLEEDORG 505 KING AVENUE COLUMBUS OH 43201 460585021 501(C)3 PENDING 637500 SUPPORT STEM EDUCATION BOWLING GREEN STATE UNIVERSITY 907 ADMINISTRATION BUILDING BOWLING GREEN OH 43403 346402018 170(C)(1) 7143 SUPPORT STEM EDUCATION BOY SCOUTS OF AMERICA PO BOX 51865 KNOXVILLE TN 37950 620476811 501(C)3 50000 GENERAL OPERATING SUPPORT CALIFORNIA STEM LEARNING NETWORK 1 EMBARCARDERO CENTER SUITE 500 SAN FRANCISCO CA 94111 273628352 501(C)3 70000 SUPPORT STEM EDUCATION CENTER FOR FAMILY SAFETY AND HEALING 655 LIVINGSTON AVE COLUMBUS OH 43205 020627166 501(C)3 14480 FUNDRAISER/SPONSORSHIP CENTER OF SCIENCE AND INDUSTRY (COSI) 333 WEST BROAD STREET COLUMBUS OH 43215 314383802 501(C)3 200500 SUPPORT STEM EDUCATION CHILDREN'S INN AT THE NIH 7 WEST DRIVE BETHESDA MD 20814 521638207 501(C)3 8500 FUNDRAISER/SPONSORSHIP CLEVELAND MUNICIPAL SCHOOL DISTRICT 1380 EAST SIXTH STREET CLEVELAND OH 44114 346000662 170(C)(1) 7143 SUPPORT STEM EDUCATION COLLEGE OF SOUTHERN IDAHO FOUNDATION PO BOX 1238 TWIN FALLS ID 83303 820388193 501(C)3 18500 GENERAL OPERATING SUPPORT COLUMBUS COUNCIL ON WORLD AFFAIRS 51 JEFFERSON AVENUE COLUMBUS OH 43215 510180760 501(C)3 29900 GENERAL OPERATING SUPPORT COLUMBUS FOUNDATION 1234 EAST BROAD STREET COLUMBUS OH 43205 316044264 501(C)3 1000000 GENERAL OPERATING SUPPORT COLUMBUS LITERACY COUNCIL 92 JEFFERSON AVENUE COLUMBUS OH 43215 237433168 501(C)3 13300 FUNDRAISER/SPONSORSHIP COLUMBUS METROPOLITAN CLUB 100 EAST BROAD ST SUITE 2200 COLUMBUS OH 43215 310889324 501(C)3 14000 FUNDRAISER/SPONSORSHIP COLUMBUS METROPOLITAN LIBRARY 96 S GRANT AVE COLUMBUS OH 43215 311692755 501(C)3 24600 FUNDRAISER/SPONSORSHIP COLUMBUS MUSEUM OF ART 480 EAST BROAD STREET COLUMBUS OH 43215 314379447 501(C)3 13300 FUNDRAISER/SPONSORSHIP COMMUNITIES FOUNDATION OF TEXAS 5500 CARUTH HAVEN LANE DALLAS TX 75225 750964565 501(C)3 50000 GENERAL OPERATING SUPPORT COMMUNITY SHELTER BOARD 111 LIBERTY STREET COLUMBUS OH 43214 311131284 501(C)3 24550 GENERAL OPERATING SUPPORT CUSTER ECONOMIC DEVELOPMENT PO BOX 758 CHALLIS ID 83226 820536118 501(C)3 12500 ECONOMIC DEVELOP ACTIVITIES DISABLED SPORTS USA 452 HUNGERFORD DRIVE SUITE 100 ROCKVILLE MD 20850 946174016 501(C)3 23000 FUNDRAISER/SPONSORSHIP DISTRICT 91 EDUCATION FOUNDATION 690 JOHN ADAMS PARKWAY IDAHO FALLS ID 83401 826001158 501(C)3 20878 MAYOR'S SCHOLARSHIP FUND EASTERN IDAHO TECHNICAL COLLEGE 1600 SOUTH 25TH EAST IDAHO FALLS ID 83404 820292220 170(C)(1) 5500 EITC SUMMER I-STEM INSTITUTE EIEDC FOUNDATION 151 N RIDGE SUITE A IDAHO FALLS ID 83402 820460529 501(C)3 13500 ECONOMIC DEVELOPMENT COUNCIL EMORY VALLEY CENTER 715 EMORY VALLEY ROAD OAK RIDGE TN 37830 620762198 501(C)3 50000 GENERAL OPERATING SUPPORT FOUNDATION FOR ECOL RES (FERN) PO BOX 862 UPTON NY 11973 201338931 501(C)3 10000 GENERAL OPERATING SUPPORT FIRST ROBOTICS 200 BEDFORD STREET MANCHESTER NH 03101 222990908 501(C)3 10000 SMOKY MOUNTAIN REGIONAL ROBOTICS TOURNAMENT FREDERICK COUNTY PUBLIC SCHOOLS 6 NORTH EAST STREET SUITE 201 FREDERICK MD 21702 526000941 170(C)(1) 5986 FMV BACKPACKS SUPPORT EDUCATION FRIENDS OF LIMSAT INC 1050 FRANKLIN AVE GARDEN CITY NY 11530 113092143 501(C)3 10000 GENERAL OPERATING SUPPORT GENESEE SCHOOL 330 W ASH ST GENESEE ID 83832 826000815 170(C)(1) 10000 CLASSROOM MAKEOVER GRANT GREAT SCHOOLS LEARNING PARTNERSHIP 912 SOUTH GAY STREET L210 KNOXVILLE TN 37902 766206166 501(C)3 150000 GENERAL OPERATING SUPPORT HILL COUNTRY MISSION FOR HEALTH PO BOX 606 BOERNE TX 78006 481262832 501(C)3 12449 FMV OFFICE FURNITURE GENERAL OPERATING SUPPORT HISTORIC OLD TOWN POCATELLO FOUNDATION PO BOX 222 POCATELLO ID 83204 161768019 501(C)3 18500 TECH BASES ECONOMIC DEVELOP IDAHO DEPARTMENT OF EDUCATION 650 W STATE STREET BOISE ID 83720 826000952 170(C)(1) 8000 IDAHO STATESIDE MATH ACADEMY IDAHO FALLS ARTS COUNCIL 498 A STREET IDAHO FALLS ID 83402 820434714 501(C)3 16000 GENERAL OPERATING SUPPORT IDAHO FALLS CHUKARS BASEBALL PO BOX 2183 IDAHO FALLS ID 83403 820386141 501(C)3 5200 INL NIGHT / FIELD AND TICKETS IDAHO FALLS SYMPHONY 450 A STREET IDAHO FALLS ID 83402 826007411 501(C)3 8000 YOUTH AMBASSADOR PROGRAM SPONSORSHIP IDAHO GOVERNOR'S CUP PO BOX 983 BOISE ID 83701 208277116 501(C)3 10000 SPONSORSHIP IDAHO GOVERNORS CUP KNOXVILLE SYMPHONY ORCHESTRA PO BOX 360 KNOXVILLE TN 37901 626008097 501(C)3 6000 GENERAL OPERATING SUPPORT MARCH OF DIMES FOUNDATION 2120 WASHINGTON BLVD ARLINGTON VA 22204 131846366 501(C)3 9270 FUNDRAISER/SPONSORSHIP MARINE CORPS SCHOLARSHIP FOUNDATION 909 N WASHINGTON STREET SUITE 400 ALEXANDRIA VA 22314 221905062 501(C)3 11420 FUNDRAISER/SPONSORSHIP METRO EARLY COLLEGE HIGH SCHOOL 1929 KENNY RD COLUMBUS OH 43210 900838465 501(C)3 7143 SUPPORT STEM EDUCATION MUSEUM OF IDAHO 200 N EASTERN AVE IDAHO FALLS ID 83402 820363177 501(C)3 6500 EDUCATIONAL PROGRAMS NORTH CAROLINA SCIENCE MATH AND TECHNOLOGY EDUCATION CENTER PO BOX 13901 21 TW ALEXANDER DRIVE RESEARCH TRIANGLE PARK NC 27709 043602929 501(C)3 90000 SUPPORT STEM EDUCATION OAK RIDGE CIVIC MUSIC ASSOCIATION 205 BADGER ROAD OAK RIDGE TN 37830 620649604 501(C)3 10000 GENERAL OPERATING SUPPORT OAK RIDGE PUBLIC SCHOOLS EDUCATION FOUNDATION PO BOX 117 MS-22 OAK RIDGE TN 37831 621809810 501(C)3 10000 GENERAL OPERATING SUPPORT OHIO CENTER FOR ESSENTIAL SCHOOLS REFORM 12954A STONECREEK DRIVE PICKERINGTON OH 43147 320030699 501(C)3 84000 GENERAL OPERATING SUPPORT PARTNERSHIP FOR SCIENCE AND TECHNOLOGY 151 N RIDGE AVE IDAHO FALLS ID 83402 204914160 501(C)(6) 25000 GENERAL OPERATING SUPPORT PREVENT CANCER FOUNDATION 600 DUKE STREET SUITE 500 ALEXANDRIA VA 22314 521429544 501(C)3 9000 FUNDRAISER/SPONSORSHIP REGION VI DEVELOPMENT ASSOCIATION PO BOX 5079 TWIN FALLS ID 83303 820311062 501(C)3 22000 GENERAL OPERATING SUPPORT RESEARCHAMERICA 101 KING STREET SUITE 520 ALEXANDRIA VA 22314 521609875 501(C)3 8500 FUNDRAISER/SPONSORSHIP SANDCREEK MIDDLE SCHOOL 2955 OWEN STREET IDAHO FALLS ID 83406 826001206 170(C)(1) 9924 CLASSROOM MAKEOVER GRANT SECOND HARVEST FOOD BANK 136 HARVEST LANE MARYVILLE TN 37801 581450139 501(C)3 20000 GENERAL OPERATING SUPPORT SHAWNEE STATE UNIVERSITY 940 SECOND STREET PORTSMOUTH OH 45662 310864917 170(C)(1) 7143 SUPPORT STEM EDUCATION SKYLINE ENERGY PROJECT 1767 BLUESKY DR IDAHO FALLS ID 83402 826001158 170(C)(1) 56000 STEM DEVELOPMENT FOR TEACHERS STATE UNIVERSITY OF NEW YORK RESEARCH FOUNDATION OF SUNY 22 CORPORATE WOODS ALBANY NY 12211 141368361 501(C)3 180000 GENERAL OPERATING SUPPORT STONEWALL COLUMBUS INC 1160 N HIGH STREET COLUMBUS OH 43201 311189481 501(C)3 9862 FUNDRAISER/SPONSORSHIP UNITED WAY OF ANDERSON COUNTY 161 C ROBERTSVILLE ROAD OAK RIDGE TN 37831 626041371 501(C)3 6000 GENERAL OPERATING SUPPORT UNITED WAY OF IDAHO FALLS AND BONNEVILLE COUNTY 151 N RIDGE AVE SUITE 180 IDAHO FALLS ID 83402 820233588 501(C)3 42900 GENERAL OPERATING SUPPORT UNITED WAY OF LONG ISLAND 819 GRAND BLVD DEER PARK NY 11729 116042392 501C3 10000 GENERAL OPERATING SUPPORT UNITED WAY OF OAK RIDGE 1301 HANNAH AVENUE KNOXVILLE TN 37921 621818021 501(C)3 100000 GENERAL OPERATING SUPPORT UNITED WAY OF SOUTHEASTERN IDAHO PO BOX 911 POCATELLO ID 83204 820209625 501(C)3 10680 GENERAL OPERATING SUPPORT UNIVERSITY OF CINCINNATI FOUNDATION 51 GOODMAN DRIVE CINCINNATI OH 45221 310896555 501(C)3 7143 SUPPORT STEM EDUCATION UNIVERSITY OF IDAHO 714 WEST STATE ST BOISE ID 83702 826000945 170(C)(1) 5600 COMMUNITY PARTNERSHIP GIFTS UNIVERSITY OF MEMPHIS RESEARCH FOUNDATION 308 ADMINISTRATION BUILDING MEMPHIS TN 38152 205400381 501(C)3 200000 SUPPORT STEM EDUCATION UNIVERSITY OF TENNESSEE 800 ANDY HOLT TOWER KNOXVILLE TN 37996 626001636 170(C)(1) 21500 GENERAL OPERATING SUPPORT WRIGHT STATE UNIVERSITY FOUNDATION INC 415 ALLYN HALL 3640 COLONEL GLENN HIGHWAY DAYTON OH 45365 237019799 501(C)3 7143 SUPPORT STEM EDUCATION 69 1 FIRST ROBOTICS TEACHER HONORARIUM - SCIENCE & MATH EDUCATION 34 39323 2012 VETERANS DAY ESSAY CONTEST 2 500 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: BATTELLE MEMORIAL INSTITUTE (BMI) SENDS A LETTER TO EACH ORGANIZATION THAT STATES THAT BY SIGNING AND DEPOSITING THE CHECK THEY ARE CONFIRMING THAT THEY ARE A 501(C)(3) CHARITABLE ORGANIZATION. FOR LARGER GRANTS, BMI ASKS THE ORGANIZATIONS TO SIGN A DONOR OBJECTIVE LETTER THAT STATES THE SCOPE AND PURPOSE OF THE DISTRIBUTION. THE BMI BOARD OF DIRECTORS HAS FINAL APPROVAL FOR ANY DISTRIBUTIONS OVER $500,000. BATTELLE ENERGY ALLIANCE LLC, BROOKHAVEN SCIENCE ASSOCIATES LLC, AND UT-BATTELLE LLC EACH HAVE THEIR OWN APPROACH TO MAKING SURE THAT GRANTS ARE ONLY MADE TO PROPER OBJECTS OF CHARITY. BMI WAS CREATED PURSUANT TO THE WILL OF GORDON BATTELLE AS AN OHIO NOT-FOR-PROFIT CORPORATION, SPECIFICALLY AS AN OHIO INCORPORATED CHARITABLE TRUST. AS AN INCORPORATED CHARITABLE TRUST, BMI IS SUBJECT TO THE GENERAL SUPERVISION OF THE OHIO ATTORNEY GENERAL AND TO THE REQUIREMENTS OF OHIO NONPROFIT CORPORATION STATUTES. THE ORIGINAL PURPOSE OF BMI WAS TO CONDUCT RESEARCH IN METALLURGY OF COAL, IRON, STEEL AND ZINC AND TO MAKE DISTRIBUTIONS TO OTHER CHARITABLE ORGANIZATIONS. PURSUANT TO AN AGREEMENT WITH THE OHIO ATTORNEY GENERAL, BMI MAKES ANNUAL DISTRIBUTIONS FOR CHARITABLE PURPOSES EQUAL TO AT LEAST 20% OF ITS FINANCIAL STATEMENT NET INCOME, BUT NOT LESS THAN ONE MILLION DOLLARS. ON AUGUST 11, 2005 THE BOARD OF DIRECTORS OF BATTELLE ADOPTED A RESOLUTION THAT ESTABLISHED A MINIMUM CHARITABLE DISTRIBUTION GOAL OF $3,000,000. IN AUGUST 2005, BMI ESTABLISHED A DONOR ADVISED FUND, THE BATTELLE FOUNDATION FUND (THE FUND), UNDER THE COLUMBUS FOUNDATION, A 501(C)(3) PUBLIC CHARITY COMMUNITY FOUNDATION THAT IS LEGALLY AND FINANCIALLY SEPARATE FROM BMI. A SUBSTANTIAL PORTION OF BMI'S CHARITABLE DISTRIBUTIONS ARE EXPECTED TO BE MADE TO THE FUND. BMI RECOMMENDS DISTRIBUTIONS FROM THE FUND TO QUALIFYING RECIPIENTS; HOWEVER, THE COLUMBUS FOUNDATION MAKES FINAL DECISIONS ON THE ACTUAL DISTRIBUTIONS. THE FUNDS TRANSFERRED FROM BMI TO THE FUND HAVE NO POSSIBILITY OF REVERSION TO BMI. DISTRIBUTIONS TO THE FUND FULFILL THE OBLIGATIONS UNDER THE WILL OF GORDON BATTELLE AND THE AGREEMENT WITH THE OHIO ATTORNEY GENERAL. X X X 1 1 X X X X X 1 1 0 0 0 0 0 1 0 JEFFREY WADSWORTH 975024 0 0 0 31074 0 332801 0 12066 0 1350965 0 0 0 I MARTIN INGLIS 579186 0 0 0 11460 0 284112 0 2792 0 877550 0 0 0 RONALD D TOWNSEND 511409 0 0 0 13394 0 60611 0 13265 0 598679 0 0 0 RUSSELL P AUSTIN 364088 0 0 0 1392 0 187995 0 16850 0 570325 0 0 0 JOHN J GROSSENBACHER 367969 0 0 0 9175 0 175375 0 11318 0 563837 0 0 0 STEPHEN E KELLY 373742 0 0 0 6678 0 329678 0 16335 0 726433 0 0 0 MICHAEL KLUSE 323522 0 206904 0 89870 0 878890 0 13342 0 1512528 0 0 0 THOMAS E MASON 364397 0 185871 0 0 0 374970 0 23241 0 948479 0 0 0 THOMAS D SNOWBERGER 385295 0 0 0 5138 0 41324 0 16885 0 448642 0 0 0 MARTIN TOOMAJIAN 299216 0 0 0 2405 0 132968 0 19374 0 453963 0 0 0 GWENDOLYN C VONHOLTEN 249746 0 0 0 1702 0 248407 0 15109 0 514964 0 0 0 BRIAN R SMITH 156656 0 0 0 204 0 31649 0 3108 0 191617 0 0 0 THOMAS E SHARPE 208428 0 0 0 497 0 85811 0 19003 0 313739 0 0 0 BARBARA L KUNZ 340546 0 0 0 5321 0 111698 0 12794 0 470359 0 0 0 BRIAN GRAHAM 233316 0 0 0 569 0 77954 0 24075 0 335914 0 0 0 JUDITH L MOBLEY 172532 0 0 0 603 0 124434 0 17073 0 314642 0 0 0 SAMUEL ARONSON 370833 0 0 0 28110 0 25000 0 11727 0 435670 0 0 0 JEFFREY W SMITH 301068 0 101004 0 120 0 297683 0 23177 0 723052 0 0 0 STEVE DIERKER 316534 0 85471 0 8015 0 25000 0 0 0 435020 0 0 0 STEVEN ASHBY 293829 0 103233 0 12007 0 109784 0 19860 0 538713 0 0 0 AMANDA BATTLE 61455 0 0 0 339411 0 0 0 1392 0 402258 0 0 0 JILL ENGEL-COX 189132 0 5000 0 196021 0 72454 0 5463 0 468070 0 0 0 DONALD P MCCONNELL 181528 0 0 0 0 0 455836 0 0 0 637364 0 0 0 PART I, LINE 1A DIRECTORS, OFFICERS, AND STAFF TRAVEL ON THE CORPORATE PLANES. TRAVEL EXPENSES COMPLY WITH A WRITTEN REIMBURSEMENT POLICY THAT FOLLOWS PUBLISHED IRS GUIDANCE. ALL EXECUTIVES, INCLUDING THOSE INDIVIDUALS REPORTED ON PART VII, ARE REQUIRED TO SUBSTANTIATE TRAVEL AND ENTERTAINMENT EXPENSES IN ACCORDANCE WITH THE POLICY. INTERNAL AUDIT EXAMINES ALL EXPENSE REPORTS ASSOCIATED WITH DIRECTORS AND OFFICERS TRAVEL AND ENTERTAINMENT EXPENSES. ANY TRAVEL NOT DEEMED AS NON-TAXABLE IS REPORTABLE AS TAXABLE COMPENSATION IN THE W-2. FOR 2012 ONE CURRENT OFFICER HAD REPORTABLE TRAVEL LISTED IN THE W-2 WITH A GROSS UP FOR TAXES. BMI PROVIDES A TAX GROSS-UP FOR FOREIGN TAXES, FOREIGN ALLOWANCES AND RELOCATION COSTS. FOR 2012 TWO HIGH FIVE EMPLOYEES HAD GROSS UPS. SOCIAL CLUB DUES PERTAIN TO DUES THAT ALLOW BUSINESS MEETINGS AND BUSINESS ACTIVITIES TO TAKE PLACE. FOR 2012 THERE WERE TWO CURRENT OFFICERS WITH SOCIAL CLUB DUES. PART I, LINES 4A-B SEVERANCE PAYMENTS WERE MADE TO THE FOLLOWING INDIVIDUAL LISTED ON FORM 990, PART VII. AMANDA BATTLE $276,808 EFFECTIVE JANUARY 1, 2006, BMI IMPLEMENTED THE BATTELLE MEMORIAL INSTITUTE EXECUTIVES SECTION 457(F) PENSION PLAN (THE 457(F) PLAN), AN ERISA TOP HAT PLAN. THE 457(F) PLAN IS A COMPONENT OF BMI'S TOTAL COMPENSATION PACKAGE AND REFLECTS ITS BASIC PHILOSOPHY WITH RESPECT TO DEFINED BENEFIT PENSIONS: THE SAME PENSION FORMULAS ARE TO BE APPLIED IN DETERMINING THE PENSION OF ALL EMPLOYEES, REGARDLESS OF POSITION OR COMPENSATION LEVEL. THE 457(F) PLAN PROVIDES AN ACCRUAL OF THAT PORTION OF AN OFFICERS OR EXECUTIVES ANNUAL PENSION BENEFIT ACCRUAL WHICH CAN NOT BE PAID UNDER ANY OTHER QUALIFIED OR NON-QUALIFIED PENSION PLAN MAINTAINED BY BMI DUE TO OPERATION OF VARIOUS RULES AND LIMITATIONS IN THE INTERNAL REVENUE CODE. AS OF JANUARY 1, 2012, 100% PERCENT OF THE 457(F) PLAN ACCRUAL EARNED DURING A YEAR IS PAID IN CASH TO THE OFFICERS OR EXECUTIVES AS SOON AS POSSIBLE AFTER THE END OF THE YEAR. THE FULL AMOUNT OF THE 457(F) PLAN ACCRUAL WAS REPORTED ON THE OFFICER'S OR EXECUTIVE'S 2011 FORM W-2. THE FOLLOWING 2012 ACCRUAL UNDER THE 457(F) PLAN IS INCLUDED IN THE AMOUNT OF COMPENSATION REPORTED IN COLUMN D OF PART VII AS APPLICABLE: MICHAEL KLUSE $40,109 PART I, LINE 7 SHORT AND LONG-TERM INCENTIVE COMPENSATION PROGRAMS ARE TIED TO CORPORATE AND INDIVIDUAL PERFORMANCE. SUPPLEMENTAL INFORMATION PART III DIRECTORS ARE PAID AS INDEPENDENT CONTRACTORS IN PART VII. EMPLOYEE WELFARE BENEFITS AND FRINGE BENEFITS: IN ADDITION TO THE COMPENSATION AND RETIREMENT PLANS OTHERWISE LISTED IN PART VII, THOSE INDIVIDUALS REPORTED ON PART VII WHO ARE EMPLOYEES OF BMI ARE ELIGIBLE TO PARTICIPATE IN BMI'S EMPLOYEE WELFARE BENEFIT AND GROUP INSURANCE PLANS ON THE SAME TERMS AS ANY OTHER EMPLOYEE. CONTRIBUTIONS TO EMPLOYEE WELFARE BENEFIT AND GROUP INSURANCE PLANS ARE MADE IN AGGREGATE BASED UPON GROUP ACTUARIAL FACTORS AND HISTORICAL CLAIMS EXPERIENCE AND APPORTIONING SPECIFIC DOLLAR AMOUNTS TO INDIVIDUALS IS IMPRACTICAL. AS EMPLOYEES, SUCH INDIVIDUALS MAY ALSO HAVE RECEIVED WORKING CONDITION FRINGE BENEFITS AND/OR DE MINIMIS FRINGE BENEFITS AND/OR QUALIFIED MOVING EXPENSE REIMBURSEMENTS EXCLUDED FROM INCOME UNDER INTERNAL REVENUE CODE SECTIONS 132(A)(3),132(A)(4),AND 132(A)(6) RESPECTIVELY, FOR WHICH DETAILED ACCOUNTING IS IMPRACTICAL. TRAVEL AND ENTERTAINMENT EXPENSE REIMBURSEMENT: BMI'S EXECUTIVES INCUR VARIOUS TRAVEL AND ENTERTAINMENT EXPENSES IN THE CONDUCT OF THEIR OFFICIAL DUTIES AS REPRESENTATIVES OF BMI. BMI HAS A WRITTEN TRAVEL AND ENTERTAINMENT EXPENSE REIMBURSEMENT POLICY THAT COMPLIES WITH PUBLISHED IRS GUIDANCE. ALL EXECUTIVES, INCLUDING THOSE INDIVIDUALS REPORTED ON PART VII, ARE REQUIRED TO SUBSTANTIATE TRAVEL AND ENTERTAINMENT EXPENSE IN ACCORDANCE WITH THAT POLICY. INTERNAL AUDIT EXAMINES ALL EXPENSE REPORTS ASSOCIATED WITH DIRECTORS AND OFFICERS TRAVEL AND ENTERTAINMENT EXPENSES. BMI'S TOTAL COMPENSATION PACKAGE CONSISTS OF BASE SALARIES OR HOURLY RATES OF PAY; SHORT AND LONG-TERM INCENTIVE COMPENSATION PROGRAMS TIED TO CORPORATE AND INDIVIDUAL PERFORMANCE; QUALIFIED DEFINED BENEFIT AND DEFINED CONTRIBUTION EMPLOYEE BENEFIT PLANS; NONQUALIFIED PLANS AND CASH PAYMENT ARRANGEMENTS WHICH PROVIDE THE ECONOMIC VALUE OF BENEFITS OTHERWISE PAYABLE UNDER THE NORMAL PROVISIONS OF BMI'S QUALIFIED DEFINED BENEFIT AND DEFINED CONTRIBUTION EMPLOYEE BENEFIT PLANS (QUALIFIED PLANS) BUT FOR OPERATION OF THE INTERNAL REVENUE CODES LIMITATIONS UPON THE AMOUNT OF COMPENSATION WHICH CAN BE TAKEN INTO ACCOUNT IN DETERMINING BENEFITS UNDER A QUALIFIED PLAN, THE AMOUNT OF CONTRIBUTIONS WHICH CAN BE MADE TO A QUALIFIED PLAN, AND/OR THE AMOUNT OF BENEFITS WHICH CAN BE PAID FROM A QUALIFIED PLAN; VARIOUS EMPLOYEE WELFARE BENEFIT PLANS AND GROUP INSURANCES; PAID LEAVE TIME; TUITION REIMBURSEMENT; AND MISCELLANEOUS DE MINIMIS, WORKING CONDITION FRINGE BENEFITS, AND QUALIFIED MOVING EXPENSE REIMBURSEMENTS. DEFERRED COMPENSATION FROM RETIREMENT PLANS REPORTED IN SCHEDULE J, PART II, COLUMN C REFLECTS THE IMPACT OF THE CHANGES IN THE DISCOUNT RATE FROM 5.29% TO 4.39% AND ACTUARIAL IMPACTS OF SALARY GROWTH, AGE, AND ADDITIONAL SERVICE AND OTHER ACTUARIAL FACTORS, THEREBY INCREASING THE AMOUNTS. A HARFORD COUNTY MARYLAND 526000959 412493AF5 2004-04-07 18456562 CONSTRUCTION RESEARCH FACILITY, MARYLAND 0 0 0 A 18472123 355700 18100862 2003 0 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 0 A 1 0 0 0 0 0 360IP PTE LTD JEFFREY WADSWORTH AND I MARTIN INGLIS ARE OFFICERS 142436 360IP PTE. LTD. PAID BMI FOR RESEARCH SERVICES 0 AMERICAN ELECTRIC POWER MICHAEL MORRIS IS A DIRECTOR 4461873 AMERICAN ELECTRIC POWER PAID BMI FOR RESEARCH SERVICES 0 AMERICAN ELECTRIC POWER MICHAEL MORRIS IS DIRECTOR 4416133 BMI PAID AMERICAN ELECTRIC POWER FOR ELECTRICITY 0 AT&T JOHN MCCOY IS A DIRECTOR 3096974 BMI PAID AT&T FOR SERVICES 0 GENERAL DYNAMICS LESTER LYLES IS A DIRECTOR 1949283 BMI PAID GENERAL DYNAMICS FOR PROJECT SERVICES 0 GENERAL DYNAMICS LESTER LYLES IS A DIRECTOR 2616799 GENERAL DYNAMICS PAID BMI FOR RESEARCH SERVICES 0 GREIF INC MICHAEL J. GASSER IS A DIRECTOR 377294 GREIF, INC. PAID BMI FOR RESEARCH SERVICES 0 PRECISION CAST PARTS CORPORATION LESTER LYLES IS A DIRECTOR 130103 BMI PAID PRECISION CASTPARTS CORPORATION FOR PROJECT SERVICES 0 USEC JOHN WELCH IS A DIRECTOR 3251856 USEC PAID BMI FOR RESEARCH SERVICES 0 BLAKE KLUSE FAMILY MEMBER OF MICHAEL KLUSE 86428 PAYROLL 0 BRITTNEY KLUSE FAMILY MEMBER OF MICHAEL KLUSE 21313 PAYROLL 0 DAVID KELLY FAMILY MEMBER OF STEPHEN KELLY 286988 PAYROLL 0 JOSEPH ARONSON FAMILY MEMBER OF SAMUEL ARONSON 43308 PAYROLL 0 DONALD P MCCONNELL FORMER SENIOR VP OFFICER 181528 BMI PAID DONALD P. MCCONNELL FOR CONSULTING SERVICES. 0 SCHEDULE L, PART IV BUSINESS TRANSACTIONS WITH LISTED PERSONS FIVE OF BMI DIRECTORS ALSO SIT ON THE BOARDS OF CERTAIN PUBLIC COMPANIES FROM WHICH BMI ACQUIRES COMMUNICATIONS AND ELECTRICAL SERVICES OR WHICH CONTRACT WITH BMI FOR RESEARCH SERVICES. THESE BUSINESS TRANSACTIONS IN THE NORMAL COURSE OF BMI'S BUSINESS CAUSE THESE FIVE DIRECTORS TO BE INTERESTED PERSONS THUS NOT CONSIDERED TO BE INDEPENDENT DIRECTORS FOR FORM 990 PURPOSES. HOWEVER, UNDER OHIO CORPORATE LAW ALL EIGHT DIRECTORS WOULD BE CONSIDERED INDEPENDENT UNDER EXISTING CIRCUMSTANCES. FORM 990, PART VI, SECTION B, LINE 11 A DETAILED ANALYSIS OF FORM 990 AND 990T AND FINAL COPIES OF EACH FORM ARE PROVIDED TO EVERY MEMBER OF THE BOARD OF DIRECTORS PRIOR TO FILING. THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS HOLDS A SPECIAL MEETING TO REVIEW AND APPROVE THE FORMS FOR FILING. THE AUDIT COMMITTEE REPORTS ITS FINDINGS AND CONCLUSIONS TO THE ENTIRE BOARD FOLLOWING THE COMMITTEE MEETING. FORM 990, PART VI, SECTION B, LINE 12C EACH YEAR, BMI USES A DETAILED CONFLICT OF INTEREST CERTIFICATE TO OBTAIN INFORMATION FROM DIRECTORS, OFFICERS AND KEY EMPLOYEES. IN ADDITION, DIRECTORS AND OFFICERS PERIODICALLY UPDATE LISTS OF THEIR AFFILIATIONS WITH OTHER ENTITIES. BMI PERIODICALLY DISTRIBUTES AN ETHICAL CODE OF CONDUCT TRAINING COURSE THAT MUST BE REVIEWED AND SIGNED BY EVERY EMPLOYEE. TRAINING WITH RESPECT TO SECTION 501(C)(3) COMPLIANCE REQUIREMENTS, LIMITATIONS AND PROHIBITIONS, INCLUDING IMPROPER PRIVATE BENEFIT AND OTHER CONFLICT OF INTEREST-RELATED MATTERS IS INCLUDED IN THE ETHICAL CODE OF CONDUCT TRAINING COURSE THAT MUST BE REVIEWED AND SIGNED BY EVERY EMPLOYEE. BMI MAINTAINS AN ETHICS HOT-LINE FOR ITS STAFF FOR USE WITH RESPECT TO ANY ETHICS-RELATED MATTER, AND ALSO MAINTAINS A DEDICATED E-MAIL BOX FOR USE WITH RESPECT TO SECTION 501(C)(3) RELATED MATTERS. MATTERS REPORTED OR CONCERNS RAISED BY CONTACT WITH THE HOT-LINE OR THROUGH THE E-MAIL BOX ARE GIVEN DUE CONSIDERATION AND INVESTIGATED APPROPRIATELY. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION POLICY: BMI HAS A COMPREHENSIVE TOTAL COMPENSATION POLICY WHICH IT APPLIES TO ALL EMPLOYEES. BMI'S POLICY IS TO COMPENSATE EACH EMPLOYEE IN A MANNER WHICH IS EQUITABLE AND CONSISTENT WITH THE MARKET VALUE OF HIS/HER POSITION, HIS/HER PERFORMANCE, AND COMPENSATION OF HIS/HER ASSOCIATES AND PEERS. THE GOAL UNDERLYING BMI'S POLICY IS TO ATTRACT, RETAIN, AND REWARD THE HIGH-QUALITY EMPLOYEES IT NEEDS TO CONTINUE AND ADVANCE ITS EXEMPT PURPOSES. IN IMPLEMENTING ITS POLICY, BMI RIGOROUSLY UTILIZES NATIONAL, REGIONAL, AND LOCAL COMPENSATION SURVEYS AND BENCHMARKING OF OTHER ORGANIZATIONS TO ESTABLISH MARKET-COMPARABILITY OF TOTAL COMPENSATION AND TAKES GREAT CARE TO STRUCTURE COMPENSATION PROGRAMS TO COMPLY WITH ALL RELEVANT LEGAL, TAX AND REGULATORY REQUIREMENTS. WHEN CONSIDERING AND APPROVING KEY EXECUTIVE COMPENSATION, THE BMI BOARD OF DIRECTOR'S NORMAL PRACTICE IS TO FOLLOW PROCEDURES WHICH ESTABLISH A REBUTTABLE PRESUMPTION OF REASONABLENESS PURSUANT TO TREASURY REGULATION SECTION 53.4958-6. FORM 990, PART VI, SECTION C, LINE 19 BMI PROVIDES FORM 1023, APPLICATION FOR TAX EXEMPTION, ON REQUEST, FORM 1023 INCLUDES THE ARTICLES OF INCORPORATION AND THE CODE OF REGULATIONS. THE CODE OF REGULATIONS IN FORM 1023 DOES NOT REFLECT THE RECENT CHANGES MADE ON NOVEMBER 12, 2008. BMI MAKES FORMS 990 AND 990T AVAILABLE TO THE PUBLIC FROM ITS WEB SITE. THE CONFLICT OF INTEREST POLICIES AND FINANCIAL STATEMENTS ARE NOT MADE AVAILABLE TO THE PUBLIC. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: MARKET VALUE ADJUSTMENT ON MARKETABLE SECURITIES 31,523,352. CURRENCY TRANSLATION ADJUSTMENT 82,105. PENSION AND POST RETIREMENT BENEFITS 186,863,097. NONCONTROLLING INTEREST -412,589. DIVIDENDS 239,553. TOTAL GROSS UNRELATED BUSINESS REVENUE FORM 990, PART I, LINE 7A FORM 990 IS PREPARED ON GAAP FINANCIAL ACCOUNTING BASIS AND FORM 990T IS PREPARED ON AN INCOME TAX ACCOUNTING BASIS. THEREFORE THERE ARE BOOK TO TAX DIFFERENCES THAT ARE RECONCILED IN THE FOLLOWING SCHEDULE FOR THE GROSS UNRELATED BUSINESS REVENUE TO FORM 990T, PART I, COLUMN A, LINE 13, FORM 990 GROSS UNRELATED BUSINESS REVENUE 23,498,073 DEDUCT INCOME TAX BASIS PARTNERSHIP LOSS 23,624 DEDUCT THE COSTS OF GOODS SOLD 21,390,051 ADD INSURANCE PREMIUMS FROM TAXABLE SUBSIDIARIES 59,782 EQUALS TOTAL ON FORM 990T PART I, LINE 13 2,144,180 BATTELLE NATIONAL BIODEFENSE INSTITUTE LLC 110 THOMAS JOHNSON DR SUITE 300 FREDERICK MD 21702 043851808 MANAGEMENT OF NATIONAL LABORATORY DE 31653799 8699504 BATTELLE MEMORIAL INSTITUTE BATTELLE ASIA LLC 505 KING AVENUE COLUMBUS OH 43201 203790334 SCIENTIFIC RESEARCH (DORMANT) DE 0 106658 BATTELLE MEMORIAL INSTITUTE BATTELLE ENERGY ALLIANCE LLC 2525 N FREMONT AVE IDAHO FALLS ID 83415 680588324 MANAGEMENT OF NATIONAL LABORATORY DE 834547665 8219256 BATTELLE MEMORIAL INSTITUTE BATTELLE ENERGY UK LLC 505 KING AVENUE COLUMBUS OH 43201 421767455 MANAGEMENT OF NATIONAL 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SERVICES TO BMI AND BMI'S JAPAN, KOREA, INDIA, MALAYSIA, SAUDI ARABIA, SINGAPORE, AND UNITED KINGDOM AFFILIATES WERE PROVIDED UNDER ARMS-LENGTH TERMS AND AT PRICING WHICH COMPLIED WITH THE INTER-COMPANY TRANSFER PRICING RULES OF JAPAN, KOREA, INDIA, MALAYSIA, SAUDI ARABIA, SINGAPORE, UNITED KINGDOM, AND THE UNITED STATES. BMI ENGAGED IN TRANSACTIONS WITH RELATED ENTITIES SUCH AS: THE LEASING OF REAL OR PERSONAL PROPERTY; THE PROVISION OF CAPITAL; AND, THE FURNISHING OF GOODS, SERVICES OR FACILITIES. THESE TRANSACTIONS WERE CONDUCTED AT FAIR MARKET VALUE RATES AND ARE IN ACCORDANCE WITH INTERNAL REVENUE CODE SECTION 482 AND OTHER APPLICABLE INTER-COMPANY TRANSFER PRICING RULES. THESE TRANSACTIONS HAVE BEEN APPROVED AND DOCUMENTED AND CONDUCTED IN THE ORDINARY COURSE OF BUSINESS. RECEIPT OF INTEREST, ANNUITIES, ROYALTIES, OR RENT FROM CONTROLLED ENTITY SCHEDULE R, PART V, LINE 1A QUALIFYING SPECIFIED PAYMENTS AND SPECIFIED PAYMENTS RELATED TO IRS SECTION 512(B)(13)PERTAINING TO 990T PAGE 1, PART I, LINE 8 QUALIFYING SPECIFIED PAYMENTS $360,199 SPECIFIED PAYMENTS $708,588 TOTAL $1,068,787 UNRELATED ORGANIZATION TAXABLE AS A PARTNERSHIP SCHEDULE R, PART VI BMI IS REQUIRED TO CONSOLIDATE THESE ENTITIES FOR FINANCIAL ACCOUNTING PURPOSES AND ACCORDINGLY, THEIR FINANCIAL ATTRIBUTES ARE REFLECTED IN THE REVENUES AND EXPENSES AND OTHER FINANCIAL INFORMATION IN THIS FORM AND RELATED SCHEDULES. SHARING OF EMPLOYEES AND EQUIPMENT SCHEDULE R, PART V, LINE 1M AND 1N BMI SHARES EMPLOYEES, FACILITIES, AND EQUIPMENT WITH BATTELLE VOLUNTARY EMPLOYEES' BENEFICIARY ASSOCIATION AND BATTELLEED.ORG.