2013-08-09T08:05:27-05:00 2012-09-30 990 2011-10-01 314379427 BATTELLE MEMORIAL INSTITUTE BATT 6144246424 505 KING AVENUE COLUMBUS OH 432012693 THOMAS E SHARPE 6144244971 2013-08-09 2011 2016-02-24 21:20:13Z DR JEFFREY WADSWORTH 505 KING AVENUE COLUMBUS OH 432012693 5430572912 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. 9 4 24712 0 10556972 0 4550460328 4368714116 913006990 818334334 30781216 33360780 23197769 14034791 5517446303 5234444021 13604816 6747802 0 0 2690692976 2662463738 0 0 0 2812721585 2606148617 5517019377 5275360157 426926 -40916136 1249023195 1265541358 693534114 733600890 555489081 531940468 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 3268562934 339770427 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 IS 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. 752074377 468661251 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. 6747802 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. 4027385113 1 0 0 1 0 0 0 0 0 0 1 1 0 0 1 0 1 0 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 3750 0 1 24712 1 1 1 1 GG IN JA MY MX SN KS SZ UP UK CH 0 0 0 0 0 0 0 0 X 9 4 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 NH NY NC OH OR VA X X DAVID C EVANS 6144244777 505 KING AVENUE COLUMBUS OH 432012693 JOHN B MCCOY 3.00 X 130004 0 0 VICKY A BAILEY 3.00 X 110000 0 0 FRANK L DOUGLAS 3.00 X 0 0 0 MICHAEL J GASSER 3.00 X 62500 0 0 RUSSELL A HULSE 3.00 X 110000 0 0 LESTER L LYLES 3.00 X 115004 0 0 SEAN C O'KEEFE 3.00 X 115004 0 0 MICHAEL G MORRIS 3.00 X 107500 0 0 ROBERT D WALTER 3.00 X 100000 0 0 JOHN K WELCH 3.00 X 115004 0 0 JEFFREY WADSWORTH 40.00 X 1939693 0 430485 I MARTIN INGLIS 40.00 X 930501 0 327591 RONALD D TOWNSEND 40.00 X 852666 0 65063 RUSSELL P AUSTIN 40.00 X 531000 0 173515 JOHN J GROSSENBACHER 40.00 X 535066 0 173691 STEPHEN E KELLY 40.00 X 582608 0 260040 MICHAEL KLUSE 40.00 X 743517 0 624461 BARBARA L KUNZ 40.00 X 529210 0 107183 THOMAS E MASON 40.00 X 533355 0 238475 THOMAS D SNOWBERGER 40.00 X 566510 0 44858 MARTIN TOOMAJIAN 40.00 X 384738 0 123564 THOMAS E SHARPE 40.00 X 230613 0 77884 GWENDOLYN C VONHOLTEN 40.00 X 289408 0 234084 BRIAN GRAHAM 40.00 X 264183 0 76862 JUDITH L MOBLEY 40.00 X 178622 0 97065 BRIAN R SMITH 40.00 X 166016 0 24701 SAMUEL ARONSON 40.00 X 482873 0 40409 JEFFREY W SMITH 40.00 X 434416 0 266853 THOMAS ZACHARIA 40.00 X 416907 0 348592 ROGER ANDERSON 40.00 X 531138 0 215713 JOSEPH FITCH 40.00 X 421005 0 57689 BRENT PARK 40.00 X 439962 0 45833 RICHARD C ADAMS 40.00 X 454795 0 397132 ANTHONY T HEBRON 40.00 X 562556 0 74090 DONALD P MCCONNELL 40.00 X 962182 0 368354 RICHARD D ROSEN 40.00 X 221192 0 228370 STEPHEN H VALENTINE 40.00 X 329882 0 206810 MICHAEL LAWRENCE 40.00 X 426754 0 152234 15906384 0 5481601 6857 1 1 0 TORCON INC 328 NEWMAN SPRINGS RD RED BANK NJ 07701 CONTRACTOR-CONSTRUCTION 67175260 EW HOWELL CO LLC 245 NEWTOWN ROAD SUITE 600 PLAINVIEW NY 11803 CONTRACTOR-CONSTRUCTION 38466121 JSC TVEL KASHIROKEE SHOSSE 49 MOSCOW RS FABRICATION AND ASSEMBLY 37558842 BABCOCK & WILCOX NUCLEAR OPERATIONS GROU PO BOX 65002 DALLAS TX 75265 NUCLEAR RESEARCH 16501785 AREVA FEDERAL SERVICES LLC 7207 IBM DRIVE CHARLOTTE NC 28262 DESIGN ENGINEERING 16061419 922 4335775307 32938809 4368714116 GOVERNMENT CONTRACTS 541700 702175650 702175650 SCIENTIFIC RESEARCH 541700 116158684 106256029 9902655 818334334 6726522 654000 6072522 6438793 6438793 1503877 943450 560427 560427 317 560110 221705573 114126 193433332 1752109 28272241 -1637983 26634258 26634258 OTHER REVENUE 541700 2841863 2841863 VENTURE FUNDS 541700 2322537 2322537 STEM REVENUE 541700 1871171 1871171 7035571 5234444021 808431679 10556972 46741254 6706002 6706002 31800 31800 10000 10000 9973718 9973718 1945917719 1407762730 538154989 170358843 110429758 59929085 415534995 282059892 133475103 120678463 79644696 41033767 992762059 992762059 3983988 3983988 994699 994699 711202 711202 1176219 1176219 966346580 679833448 286513132 1178852 1178852 17786739 5898406 11888333 25435978 18187365 7248613 316106 214952 101154 141116238 93149469 47966769 93747008 64354516 29392492 3156074 2177307 978767 8509621 6467199 2042422 38441673 29281016 9160657 6397270 6397270 PURCHASES 213695650 198286323 15409327 RENTAL & MAINTENANCE 37240484 25328985 11911499 NON-INCOME TAX EXPENSE 30084964 20653602 9431362 OTHER NON-OPERATING EXP 12965906 12965906 10101307 2255534 7845773 5275360157 4027385113 1247975044 0 49632893 32178784 13564442 34147952 354564767 291598276 8591142 11795049 22211739 23828104 859339721 415568858 424389716 443770863 220527525 264919566 137475505 141534071 18065466 21768693 1249023195 1265541358 160673393 148743414 33215229 34975006 17979000 17901256 168500054 178600000 313166438 353381214 693534114 733600890 X 0 0 0 0 555489081 531940468 555489081 531940468 1249023195 1265541358 X -40916136 17367523 X 0 1 1 X 1 1 X 3711462617 3954051722 4505277128 4550460328 4368714116 21089965911 3711462617 3954051722 4505277128 4550460328 4368714116 21089965911 21089965911 19076116 69299595 22502132 26524039 18032578 155434460 82241 93310 896781 1072332 21246472703 4433511763 0.99260 0.99200 X 0 0 0 0 0 1 0 0 0 0 1 787835 0 1 15026 802861 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: LINE 1 (I) OTHER ACTIVITIES EIGHT ORGANIZATIONS REPORTED THAT A PORTION OF MEMBERSHIP DUES PAID BY BATTELLE WERE USED FOR LOBBYING. PART IV, SUPPLEMENTAL INFORMATION: INTERNAL LOBBYING EXPENSES TOTALED $206,570 AND EXTERNAL LOBBYING EXPENSES TOTALED $581,265 FOR A TOTAL OF $787,835. 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. 15330023 15330023 538144959 267240544 270904415 259880778 148328314 111552464 45983961 45983961 443770863 134836731 F RABBI TRUSTS 6697340 F 141534071 LONG TERM BENEFIT RELATED LIABILITIES 5507515 OTHER LONG TERM LIABILITIES 19697093 LIABILITY FOR POSTRETIREMENT & OTHER BENEFITS 328176606 353381214 5234444021 5275360157 -40916136 903192 16464331 17367523 -23548613 5264775855 47032694 47032694 5217743161 16700860 16700860 5234444021 5289230182 30570885 30570885 5258659297 16700860 16700860 5275360157 PART XI, LINE 8 - OTHER ADJUSTMENTS: MARKET VALUE ADJUSTMENT ON MARKETABLE SECURITIES 31,225,737. CURRENCY TRANSLATION ADJUSTMENT 78,201. PENSION AND POST RETIREMENT BENEFITS -15,151,016. NONCONTROLLING INTEREST 311,409. TOTAL TO SCHEDULE D, PART XI, LINE 8: 16,464,331. PART XII, LINE 2D - OTHER ADJUSTMENTS: SUBSIDIARIES REVENUE NOT INCLUDED IN FORM 990 47,032,694. PART XII, LINE 4B - OTHER ADJUSTMENTS: RECLASSIFY INCOME 16,700,860. PART XIII, LINE 2D - OTHER ADJUSTMENTS: SUBSIDIARIES EXPENSE NOT INCLUDED IN FORM 990 30,570,885. PART XIII, LINE 4B - OTHER ADJUSTMENTS: RECLASSIFY EXPENSE 16,700,860. 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 6 7 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES 1786911 EUROPE 6 28 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 8293761 MIDDLE EAST AND NORTH AFRICA 4 4 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES 2962883 RUSSIA AND THE NEWLY INDEPENDENT STATES 5 73 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 9810966 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 22890889 EUROPE 0 0 INVESTMENTS 15686 SOUTH ASIA 0 0 INVESTMENTS 4603096 21 112 0 0 21 112 50364192 0 50364192 RUSSIA & THE NEWLY INDEPENDENT STATES SUPPORT BASEBALL AND SOFTBALL IN THE REPUBLIC OF GEORGIA 10000 WIRE TRANSFER 1 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 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) 10000 GENERAL OPERATING SUPPORT AKRON PUBLIC SCHOOLS 70 NORTH BROADWAY AKRON OH 44308 346000033 170(C)(1) 50000 SUPPORT STEM EDUCATION AMERICAN DIABETES ASSOCIATION 5455 N HIGH STREET COLUMBUS OH 43212 131623888 501(C)(3) 5000 120 FMV FOLDERS & BINDERS FUNDRAISER/SPONSORSHIP AMERICAN HEART ASSOCIATION 5455 N HIGH STREET COLUMBUS OH 43214 135613797 501(C)(3) 6916 FUNDRAISER/SPONSORSHIP AMERICAN RED CROSS 995 E BROAD STREET COLUMBUS OH 43205 530196605 501(C)(3) 11150 FUNDRAISER/SPONSORSHIP BATTELLE FOR KIDS 1160 DUBLIN ROAD SUITE 100 COLUMBUS OH 43215 311781583 501(C)(3) 87077 GENERAL OPERATING SUPPORT BIG BROTHERS BIG SISTERS 1855 E DUBLIN-GRANVILLE R COLUMBUS OH 43229 314379429 501(C)(3) 5750 FUNDRAISER/SPONSORSHIP BOISE STATE UNIVERSITY 1910 UNIVERSITY DR BOISE ID 83725 820290701 170(C)(1) 47766 GENERAL OPERATING SUPPORT BOWLING GREEN STATE UNIVERSITY 907 ADMINISTRATION BUILDING BOWLING GREEN OH 43403 346402018 170(C)(1) 50000 SUPPORT STEM EDUCATION BOY SCOUTS OF AMERICA P O BOX 51865 KNOXVILLE TN 37950 620476811 501(C)(3) 29750 SCIENCE & MATH EDUCATION CAMPAIGN FOR TOBACCO FREE KIDS 1400 I STREET SUITE 1100 WASHINGTON DC 20005 521969967 501(C)(3) 8100 FUNDRAISER/SPONSORSHIP CENIC 1415 L STREET SUITE 870 SACRAMENTO CA 95814 943289022 501(C)(3) 70000 SUPPORT STEM EDUCATION CLEVELAND METROPOLITAN SCHOOL DISTRICT 1380 EAST SIXTH STREET CLEVELAND OH 44114 346000662 170(C)(1) 25000 SUPPORT STEM EDUCATION COLLEGE OF SOUTHERN IDAHO PO BOX 1238 TWIN FALLS ID 83303 820261628 501(C)(3) 19500 GENERAL OPERATING SUPPORT COLUMBUS COUNCIL ON WORLD AFFAIRS 51 JEFFERSON AVENUE COLUMBUS OH 43215 510180760 501(C)(3) 47100 GENERAL OPERATING SUPPORT COLUMBUS FOUNDATION 1234 EAST BROAD STREET COLUMBUS OH 43205 316044264 501(C)(3) 3800000 CAPITAL COLUMBUS LITERACY COUNCIL 195 NORTH GRANT AVENUE COLUMBUS OH 43215 237433168 501(C)(3) 12750 FUNDRAISER/SPONSORSHIP COLUMBUS METROPOLITAN CLUB 100 EAST BROAD STREET SUITE 2200 COLUMBUS OH 43215 310889324 501(C)(3) 14000 FUNDRAISER/SPONSORSHIP COLUMBUS METROPOLITAN LIBRARY FOUNDATION 96 SOUTH GRANT AVENUE COLUMBUS OH 43215 311692755 501(C)(3) 24600 FUNDRAISER/SPONSORSHIP COMMUNITY SHELTER BOARD 111 LIBERTY STREET SUITE 150 COLUMBUS OH 43215 311131284 501(C)(3) 24640 FUNDRAISER/SPONSORSHIP COSI 333 WEST BROAD STREET COLUMBUS OH 43215 314383802 501(C)(3) 150000 SUPPORT STEM EDUCATION COUNCIL ON COMPETITIVENESS 1500 K STREET NW SUITE 850 WASHINGTON DC 20005 521872849 501(C)(3) 12500 GENERAL OPERATING SUPPORT CROCKER R11 SCHOOL HIGHWAY 17 AND SCHOOL STREET CROCKER MO 65452 436014751 170(C)(1) 6641 FMV CHAIRS & CPU HANGERS GENERAL OPERATING SUPPORT CUSTER ECONOMIC DEVELOPMENT PO BOX 758 CHALLIS ID 83226 820536118 501(C)(3) 12500 GENERAL OPERATING SUPPORT DISABLED SPORTS USA WWDSP 451 HUNGERFORD DR SUITE 100 ROCKVILLE MD 20850 946174016 501(C)(3) 23000 FUNDRAISER/SPONSORSHIP DISTRICT 91 EDUCATION FOUNDATION 690 JOHN ADAMS PARKWAY IDAHO FALLS ID 83401 820456533 501(C)(3) 10000 GENERAL OPERATING SUPPORT EASTERN IDAHO ECONOMIC DEVELOPMENT CORP 151 N RIDGE AVE SUITE A IDAHO FALLS ID 83402 820460529 501(C)(3) 12500 GENERAL OPERATING SUPPORT EDUCATIONAL SERVICE CENTER OF CENTRAL OHIO 2080 CITYGATE DRIVE COLUMBUS OH 43219 515985018 501(C)(3) 25000 SUPPORT STEM EDUCATION EMORY VALLEY CENTER 715 EMORY VALLEY ROAD OAK RIDGE TN 37830 620762198 501(C)(3) 50000 GENERAL OPERATING SUPPORT FIELDS OF GRACE PO BOX 1766 RICHLAND WA 99352 800347599 501(C)(3) 6146 FMV 2002 FORD TRUCK GENERAL OPERATING SUPPORT FOUNDATION FOR ECOL RES (FERN) PO BOX 862 UPTON NY 11973 201338931 501(C)(3) 6000 GENERAL OPERATING SUPPORT GIRL SCOUTS OF OHIO'S HEARTLAND COUNCIL INC 1700 WATERMARK DRIVE COLUMBUS OH 43215 314379475 501(C)(3) 24000 FUNDRAISER/SPONSORSHIP GREAT SCHOOLS LEARNING PARTNERSHIP 912 SOUTH GAY STREET L210 KNOXVILLE TN 37902 766206166 501(C)(3) 150000 SCIENCE & MATH EDUCATION GREATER IDAHO FALLS EDUCATION COALITION 1784 SCIENCE CENTER DRIVE IDAHO FALLS ID 83405 826001158 501(C)(3) 11000 GENERAL OPERATING SUPPORT HISTORIC OLD TOWN FOUNDATION 111 NORTH MAIN POCATELLO ID 83204 161768019 501(C)(3) 18500 GENERAL OPERATING SUPPORT IDAHO COMMUNITY FOUNDATION INC 205 N 10TH SUITE 625 BOISE ID 83702 820425063 501(C)(3) 23000 GENERAL OPERATING SUPPORT IDAHO DEPT OF EDUCATION 650 WEST STATE STREET BOISE ID 83720 826000952 170(C)(1) 6000 GENERAL OPERATING SUPPORT IDAHO FALLS ARTS COUNCIL 498 A STREET IDAHO FALLS ID 83402 820434714 501(C)(3) 12500 GENERAL OPERATING SUPPORT IDAHO GOVERNOR'S CUP PO BOX 983 BOISE ID 83701 208277116 501(C)(3) 10000 GENERAL OPERATING SUPPORT INNOVATEEDUCATE 362 STAAB STREET SANTA FE NM 87501 263205739 501(C)(3) 30000 SUPPORT STEM EDUCATION KNOXVILLE SYMPHONY ORCHESTRA P O BOX 360 KNOXVILLE TN 37901 626008097 501(C)(3) 7500 GENERAL OPERATING SUPPORT MARCH OF DIMES FOUNDATION 2700 SOUTH QUINCY STREET SUITE 220 ARLINGTON VA 22206 131846366 501(C)(3) 8850 GENERAL OPERATING SUPPORT MUSEUM OF IDAHO 200 N EASTERN AVE IDAHO FALLS ID 83402 820363177 501(C)(3) 13500 GENERAL OPERATING SUPPORT NATIONWIDE CHILDREN'S HOSPITAL 700 CHILDRENS DRIVE COLUMBUS OH 43205 311036370 501(C)(3) 19180 FUNDRAISER/SPONSORSHIP NORTH CAROLINA SCIENCE MATHEMATICS & TECHNOLOGY EDUCATION PO BOX 13901 21 TW ALEXANDER ST RESEARCH TRIANGLE PARK NC 27709 043602929 501(C)(3) 90000 SUPPORT STEM EDUCATION NORTHWEST NAZARENE UNIVERSITY 623 HOLLY STREET NAMPA ID 83686 820200907 501(C)(3) 6000 GENERAL OPERATING SUPPORT OAK RIDGE CIVIC MUSIC ASSOCIATION 205 BADGER ROAD OAK RIDGE TN 37830 620649604 501(C)(3) 10000 GENERAL OPERATING SUPPORT OHIO STATE UNIVERSITY 1480 WEST LANE AVENUE SUITE 312 COLUMBUS OH 43221 311145986 170(C)(1) 10500 FUNDRAISER/SPONSORSHIP OPERA COLUMBUS 177 EAST NAUGHTEN STREET COLUMBUS OH 43215 311020676 501(C)(3) 5400 FUNDRAISER/SPONSORSHIP PARTNERSHIP FOR SCIENCE AND TECHNOLOGY 151 N RIDGE AVE IDAHO FALLS ID 83402 204914160 501(C)(6) 25000 SUPPORT SCIENCE AND TECHNOLOGY 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) 25000 GENERAL OPERATING SUPPORT RESEARCH AMERICA 1101 KING STREET SUITE 520 ALEXANDRIA VA 22314 521609875 501(C)(3) 12000 FUNDRAISER/SPONSORSHIP 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) 50000 SUPPORT STEM EDUCATION SOCIETY FOR WOMEN'S HEALTH RESEARCH 1025 CONNECTICUT AVENUE NW SUITE 601 WASHINGTON DC 20036 521694732 501(C)(3) 8750 FUNDRAISER/SPONSORSHIP STATE COLLABORATIVE ON REFORMING EDUCATION (SCORE) 1207 18TH AVENUE SOUTH SUITE 236 KNOXVILLE TN 37212 263670335 501(C)(3) 10000 SCIENCE & MATH EDUCATION STATE UNIVERSITY OF NEW YORK 22 CORPORATE WOODS BLVD 3RD FLOOR ALBANY NY 12211 141368361 170(C)(1) 300000 SUPPORT STEM EDUCATION TEXAS HIGH SCHOOL PROJECT 5500 CARUTH HAVEN LANE DALLAS TX 75225 750964565 170(C)(1) 471650 SUPPORT STEM EDUCATION THE ART MUSEUM OF EASTERN IDAHO 300 SOUTH CAPITAL AVE IDAHO FALLS ID 83402 481273754 501(C)(3) 5500 GENERAL OPERATING SUPPORT THE IDAHO FALLS SYMPHONY 450 A STREET IDAHO FALLS ID 83402 826007411 501(C)(3) 10000 GENERAL OPERATING SUPPORT TRI-COUNTY HABITAT FOR HUMANITY 313 WELLSIAN WAY RICHLAND WA 99352 911591086 501(C)(3) 15871 FMV 98,02 FORD TRUCKS GENERAL OPERATING SUPPORT TRI-CITIES FOOD BANK 321 WELLSIAN WAY RICHLAND WA 99352 911011971 501(C)(3) 7422 FMV 00,01 FORD TRUCKS GENERAL OPERATING SUPPORT UNITED WAY PO BOX 911 POCATELLO ID 83204 820209625 501(C)(3) 12375 GENERAL OPERATING SUPPORT UNITED WAY 151 N RIDGE AVE SUITE 180 IDAHO FALLS ID 83402 820233588 501(C)(3) 42891 GENERAL OPERATING SUPPORT UNITED WAY 819 GRAND BLVD DEER PARK NY 11729 116042392 501(C)(3) 10350 GENERAL OPERATING SUPPORT UNITED WAY 1301 HANNAH AVENUE KNOXVILLE TN 37921 621818021 501(C)(3) 100000 GENERAL OPERATING SUPPORT UNIVERSITY OF CINCINNATI PO BOX 210061 CINCINNATI OH 45221 310896555 170(C)(1) 50000 SUPPORT STEM EDUCATION UNIVERSITY OF TENNESSEE 800 ANDY HOLT TOWER KNOXVILLE TN 37996 626001636 170(C)(1) 95000 SCIENCE & MATH EDUCATION US FOUNDATION INSPIRATION & RECOGNITION SCIENCE & TECH (FIRST) 200 BEDFORD STREET MANCHESTER NH 03101 222990908 501(C)(3) 10000 SCIENCE & MATH EDUCATION WASHINGTON STATE STEM EDUCATION FOUNDATION 210 S HUDSON STREET SEATTLE WA 98134 272133169 501(C)(3) 16000 9149 FMV 01 FORD TRUCK & ART SUPPLIES SUPPORT STEM EDUCATION WRIGHT STATE UNIVERSITY 415 ALLYN HALL 3640 COLONEL GLENN HIGHWAY DAYTON OH 45435 237019799 501(C)(3) 50000 SUPPORT STEM EDUCATION YWCA COLUMBUS 65 S 4TH STREET COLUMBUS OH 43215 311275824 501(C)(3) 5192 FUNDRAISER/SPONSORSHIP 72 1 FIRST ROBOTICS TEACHER HONORARIUM - SCIENCE & MATH EDUCATION 22 30000 2011 VETERANS DAY ESSAY CONTEST 2 500 ROBERTSVILLE BAPTIST CHURCH - HONORARIUM FOR VOLUNTEERS FOR THE ADFAC BUILD 78 1000 SUPPORT FOR RAGNAR RELAY TEAM 1 300 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 X 1 1 X X X X X 1 1 0 0 0 0 0 1 0 JEFFREY WADSWORTH 947444 0 959600 0 32649 0 418789 0 11696 0 2370178 0 0 0 I MARTIN INGLIS 567800 0 351469 0 11232 0 324819 0 2772 0 1258092 0 0 0 RONALD D TOWNSEND 482740 0 356655 0 13271 0 52261 0 12802 0 917729 0 0 0 RUSSELL P AUSTIN 357508 0 172128 0 1364 0 157243 0 16272 0 704515 0 0 0 JOHN J GROSSENBACHER 361116 0 164397 0 9553 0 162755 0 10936 0 708757 0 0 0 STEPHEN E KELLY 363044 0 214556 0 5008 0 244094 0 15946 0 842648 0 0 0 MICHAEL KLUSE 344937 0 252715 0 145865 0 612375 0 12086 0 1367978 0 0 0 BARBARA L KUNZ 335812 0 188862 0 4536 0 100140 0 7043 0 636393 0 0 0 THOMAS E MASON 360240 0 173115 0 0 0 216006 0 22469 0 771830 0 0 0 THOMAS D SNOWBERGER 374588 0 186317 0 5605 0 28558 0 16300 0 611368 0 0 0 MARTIN TOOMAJIAN 264972 0 118669 0 1097 0 104884 0 18680 0 508302 0 0 0 THOMAS E SHARPE 199192 0 29135 0 2286 0 56860 0 21024 0 308497 0 0 0 GWENDOLYN C VONHOLTEN 224716 0 63199 0 1493 0 220377 0 13707 0 523492 0 0 0 BRIAN GRAHAM 223124 0 40715 0 344 0 53756 0 23106 0 341045 0 0 0 JUDITH L MOBLEY 160522 0 17602 0 498 0 77984 0 19081 0 275687 0 0 0 BRIAN R SMITH 149062 0 15992 0 962 0 18584 0 6117 0 190717 0 0 0 SAMUEL ARONSON 367227 0 87900 0 27746 0 24500 0 15909 0 523282 0 0 0 JEFFREY W SMITH 302028 0 132388 0 0 0 244848 0 22005 0 701269 0 0 0 THOMAS ZACHARIA 305099 0 111808 0 0 0 326568 0 22024 0 765499 0 0 0 ROGER ANDERSON 166872 0 27133 0 337133 0 180128 0 35585 0 746851 0 0 0 JOSEPH FITCH 283088 0 135275 0 2642 0 38533 0 19156 0 478694 0 0 0 BRENT PARK 290966 0 99688 0 49308 0 23870 0 21963 0 485795 0 0 0 RICHARD C ADAMS 72121 0 0 0 382674 0 397132 0 0 0 851927 0 0 0 ANTHONY T HEBRON 233957 0 0 0 328599 0 59972 0 14118 0 636646 0 0 0 DONALD P MCCONNELL 270469 0 0 0 691713 0 366013 0 2341 0 1330536 0 0 0 RICHARD D ROSEN 75522 0 0 0 145670 0 224325 0 4045 0 449562 0 0 0 STEPHEN H VALENTINE 20802 0 0 0 309080 0 205713 0 1097 0 536692 0 0 0 MICHAEL LAWRENCE 7353 0 0 0 419401 0 136569 0 15665 0 578988 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. IN ORDER TO ALLOW MIKE KLUSE TO PARTICIPATE FULLY IN AN INTERNAL GOVERNANCE MEETING AT THE PACIFIC NORTHWEST NATIONAL LABORATORY, BMI ALLOWED HIM AND HIS SPOUSE TO FLY FOR PERSONAL REASONS ON A CORPORATE AIRCRAFT ON MARCH 1, 2011. BMI INCLUDED THE VALUE OF THE FLIGHT, $2,870, IN BOX 14 OF MIKE KLUSES FORM W-2 AS A NONTAXABLE FRINGE BECAUSE OF THE SEATING CAPACITY RULE IN TREASURY REGULATION 1.61-21(G)(12) SINCE 50% OF THE SEATS ON THE FLIGHT WERE UTILIZED BY BMI STAFF ON BUSINESS TRAVEL. BMI PROVIDES A TAX GROSS-UP FOR FOREIGN TAXES, FOREIGN ALLOWANCES AND RELOCATION COSTS. SOCIAL CLUB DUES PERTAIN TO DUES THAT ALLOW BUSINESS MEETINGS AND BUSINESS ACTIVITIES TO TAKE PLACE. PART I, LINES 4A-B SEVERANCE PAYMENTS WERE MADE TO THE FOLLOWING INDIVIDUALS LISTED ON FORM 990, PART VII. RICHARD ADAMS $310,418 RICHARD ROSEN $117,522 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, 2011, 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 OFFICERS OR EXECUTIVES 2011 FORM W-2. THE FOLLOWING 2011 ACCRUALS UNDER THE 457(F) PLAN ARE INCLUDED IN THE AMOUNTS OF COMPENSATION REPORTED IN COLUMN D OF PART VII AS APPLICABLE: MICHAEL KLUSE $124,682 DONALD MCCONNELL $259,321 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 5.71% TO 5.29% AND ACTUARIAL IMPACTS OF SALARY GROWTH, AGE, AND ADDITIONAL SERVICE AND OTHER ACTUARIAL FACTORS, THEREBY INCREASING THE AMOUNTS. HARFORD COUNTY MARYLAND 526000959 412493AF5 2004-04-07 18456562 CONSTRUCTION RESEARCH FACILITY, MARYLAND 0 0 0 18472123 355700 18100862 2003 0 0 1 1 0 0 0 0 0.00000 0.00000 0.00000 0 0 0 0 0 0 0 360IP PTE LTD JEFFREY WADSWORTH AND I MARTIN INGLIS ARE OFFICERS 9142 360IP PTE. LTD. PAID BMI FOR RESEARCH SERVICES 0 ALCOA INC MICHAEL MORRIS IS A DIRECTOR 76450 ALCOA PAID BMI FOR RESEARCH SERVICES 0 AMERICAN ELECTRIC POWER MICHAEL MORRIS IS DIRECTOR 4664996 BMI PAID AMERICAN ELECTRIC POWER FOR SERVICES 0 AMERICAN ELECTRIC POWER MICHAEL MORRIS IS A DIRECTOR 12913499 AMERICAN ELECTRIC POWER PAID BMI FOR RESEARCH SERVICES 0 AMERICAN EXPRESS ROBERT WALTER IS A DIRECTOR 88813 BMI PAID AMERICAN EXPRESS FOR SERVICES 0 AT&T JOHN MCCOY IS A DIRECTOR 4340768 BMI PAID AT&T CORPORATION FOR SERVICES 0 GENERAL DYNAMICS LESTER LYLES IS A DIRECTOR 20812133 BMI PAID GENERAL DYNAMICS FOR PROJECT SERVICES 0 GENERAL DYNAMICS LESTER LYLES IS A DIRECTOR 2718686 GENERAL DYNAMICS PAID BMI FOR RESEARCH SERVICES 0 GREIF INC MICHAEL J. GASSER IS A DIRECTOR 712832 GREIF, INC. PAID BMI FOR RESEARCH SERVICES 0 LEVITRONIX LLC BARBARA KUNZ IS BOARD MEMBER 12298 LEVITRONIX PAID BMI FOR RESEARCH SERVICES 0 USEC INC JOHN WELCH IS A DIRECTOR 3801798 USEC INC. PAID BMI FOR RESEARCH SERVICES 0 BLAKE KLUSE FAMILY MEMBER OF MICHAEL KLUSE 81639 PAYROLL 0 BRITTNEY KLUSE FAMILY MEMBER OF MICHAEL KLUSE 24204 PAYROLL 0 DAVID KELLY FAMILY MEMBER OF STEPHEN KELLY 253658 PAYROLL 0 JOAN ADAMS FAMILY MEMBER OF RICHARD ADAMS 165349 PAYROLL 0 JOSEPH ARONSON FAMILY MEMBER OF SAMUEL ARONSON 55776 PAYROLL 0 KAREN ROSEN FAMILY MEMBER OF RICHARD ROSEN 118512 PAYROLL 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, CREDIT CARD SERVICES 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 FOR PURPOSES OF FORM 990 AND THUS NOT CONSIDERED TO BE INDEPENDENT DIRECTORS. 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 5: PRIOR PERIOD ADJUSTMENTS: 903,192. MARKET VALUE ADJUSTMENT ON MARKETABLE SECURITIES 31,225,737. CURRENCY TRANSLATION ADJUSTMENT 78,201. PENSION AND POST RETIREMENT BENEFITS -15,151,016. NONCONTROLLING INTEREST 311,409. TOTAL TO FORM 990, PART XI, LINE 5: 17,367,523. 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. 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JAPAN D 500000 FMV BATTELLE KOREA INC D 150000 FMV BATTELLE SCIENCE & TECHNOLOGY INDIA PVT LTD D 250000 FMV BATTELLE UK LIMITED D 3421750 FMV BLUEFIN ROBOTICS CORPORATION D 975000 FMV BATTELLE JAPAN K 90383 FMV BATTELLE KOREA INC K 73805 FMV BATTELLE SERVICES COMPANY INC K 190222 FMV BATTELLE UK LIMITED K 59590 FMV BLUEFIN ROBOTICS CORPORATION K 500580 FMV VITEX SYSTEMS INC K 52758 FMV BATTELLE JAPAN L 52593 FMV BATTELLE SCIENCE & TECHNOLOGY INDIA PVT LTD L 769956 FMV BATTELLE SERVICES COMPANY INC L 867479 FMV BATTELLE UK LIMITED L 560215 FMV BLUEFIN ROBOTICS CORPORATION L 3618893 FMV RESEARCH INSURANCE COMPANY LIMITED L 2213632 FMV BATTELLE VOLUNTARY EMPLOYEES' BENEFICIARY ASSOCIATION Q 62787097 FMV BROOKHAVEN SCIENCE ASSOCIATESLLC PO BOX 5000 UPTON NY 11973 113403915 MANAGEMENT OF NATIONAL LABORATORY DE RELATED 1 1948464 2575265 0 0 0 0.50000 UT-BATTELLE LLC 1 BETHEL VALLEY ROAD BLDG 4500N MS OAK RIDGE TN 37831 621788235 MANAGEMENT OF NATIONAL LABORATORY TN RELATED 1 4538670 4647065 0 0 0 0.50000 TRANSACTIONS WITH RELATED ORGANIZATIONS: SCHEDULE R,PART V, DURING FISCAL YEAR 2012, BMI RELATED ENTITIES PROVIDED CONTRACT SCIENTIFIC RESEARCH AND DEVELOPMENT AND TECHNICAL SERVICES IN THE ORDINARY COURSE OF BUSINESS UNDER ARMS-LENGTH TERMS, CONDITIONS, AND PRICING. SERVICES TO BMI AND BMI'S JAPAN, KOREA, INDIA, MALAYSIA, 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, 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. LEASE OF FACILITIES, EQUIPMENT, OR OTHER ASSETS TO/FROM OTHER ORGANIZATIONS SCHEDULE R, PART V BMI LEASES FACILITY SPACE TO BATTELLE SERVICES COMPANY INC, AND ZIVENA INC. THE AMOUNTS ARE LISTED IN LINE 2. 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 $396,629 SPECIFIED PAYMENTS $673,519 TOTAL $1,070,148 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.