2012-08-08T08:51:14-05:00 2011-09-30 990 2010-10-01 314379427 BATTELLE MEMORIAL INSTITUTE BATT 6144246424 505 KING AVENUE COLUMBUS OH 432012693 THOMAS E SHARPE 6144244971 2012-08-08 2010 2016-02-24 21:20:13Z DR JEFFREY WADSWORTH 505 KING AVENUE COLUMBUS OH 432012693 5647314474 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 3 24827 0 4800876 0 4505277128 4550460328 1010272669 913006990 9312771 30781216 20475132 23197769 5545337700 5517446303 10620032 13604816 0 0 2524748990 2690692976 0 0 0 3002660984 2812721585 5538030006 5517019377 7307694 426926 1183968052 1249023195 621994961 693534114 561973091 555489081 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 2972471434 382549986 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. 593885412 526340133 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 AND ENVIRONMENT, NATIONAL SECURITY, HEALTH AND LIFE SCIENCES. 13604816 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 MATH (STEM) DISCIPLINES. 3579961662 1 0 0 1 0 0 0 0 0 1 1 0 0 1 0 1 0 0 1 1 1 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 1 1 1 1 1 1 1 X 4069 0 1 24827 1 1 1 1 GG IN JA MY MX SN KS SZ UP UK 0 0 0 0 0 0 0 0 X 9 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 KY MA MO NH NY NC OH OR VA X X I MARTIN INGLIS 6144247120 505 KING AVENUE COLUMBUS OH 432012693 JOHN B MCCOY 3.00 X 130004 0 0 VICKY A BAILEY 3.00 X 107500 0 0 MICHAEL J GASSER 3.00 X 0 0 0 BERNADINE P HEALY 3.00 X 110000 0 0 RUSSELL A HULSE 3.00 X 110000 0 0 SEAN O'KEEFE 3.00 X 115004 0 0 LESTER L LYLES 3.00 X 115004 0 0 MICHAEL G MORRIS 3.00 X 107500 0 0 ROBERT D WALTER 3.00 X 107500 0 0 JOHN K WELCH 3.00 X 115004 0 0 JEFFREY WADSWORTH 40.00 X 2053250 0 323839 I MARTIN INGLIS 40.00 X 1223748 0 233006 RONALD D TOWNSEND 40.00 X 959257 0 23622 RUSSELL P AUSTIN 40.00 X 586759 0 92853 RICHARD C ADAMS 40.00 X 942844 0 712199 JOHN J GROSSENBACHER 40.00 X 552614 0 186445 ANTHONY T HEBRON 40.00 X 449802 0 52144 STEPHEN E KELLY 40.00 X 591939 0 91315 MICHAEL KLUSE 40.00 X 724394 0 454132 BARBARA L KUNZ 40.00 X 595329 0 74431 THOMAS E MASON 40.00 X 551697 0 385778 DONALD P MCCONNELL 40.00 X 571158 0 16420 THOMAS D SNOWBERGER 40.00 X 666628 0 33948 MARTIN TOOMAJIAN 40.00 X 310927 0 71192 RICHARD D ROSEN 40.00 X 392118 0 74024 THOMAS E SHARPE 40.00 X 228827 0 74611 STEPHEN H VALENTINE 40.00 X 298092 0 130684 GWENDOLYN C VONHOLTEN 40.00 X 257971 0 119558 BRIAN GRAHAM 40.00 X 250952 0 57350 JUDITH L MOBLEY 40.00 X 162682 0 99655 BRIAN R SMITH 40.00 X 151111 0 24164 SAMUEL ARONSON 40.00 X 510565 0 48755 REINHOLD C MANN 40.00 X 577370 0 18766 MICHAEL LAWRENCE 40.00 X 683411 0 150296 JEFFREY W SMITH 40.00 X 429412 0 134579 BOBI GARRETT 40.00 X 451823 0 563871 DAVID J HILL 40.00 X 437436 0 22130 JOHN J HOPFIELD X 0 0 0 W GEORGE MEREDITH X 0 0 0 MORRIS TANENBAUM X 0 0 0 HENRY CIALONE X 0 0 0 JOHN DOSTER X 0 0 0 GREGORY L FRANK X 0 0 472306 WILLIAM J MADIA X 120000 0 0 DENNIS V MCGINN X 0 0 0 DANIEL W O'BRYAN 40.00 X 247769 0 52870 DOUGLAS OLESEN X 0 0 0 MERWYN VANDERLIND X 0 0 0 JOHN BAGLEY X 0 0 188332 DON CAUDY X 0 0 0 PAUL K KEARNS X 0 0 338 16997401 0 4322637 6828 1 1 0 NATIONAL SECURITY TECHNOLOGIES LLC MS NLV087 LAS VEGAS NV 89193 NUCLEAR RESEARCH SERVICES 76994807 TORCON INC 328 NEWMAN SPRINGS RD RED BANK NJ 07701 CONTRACTOR-CONSTRUCTION 72954562 RADIOACTIVE WASTE MANAGEMENT PLANT 05-400 OTWOCK-SWIERK MASOVIAN, POLAND PL WASTE MGMT SERVICES 54511690 GILBANE ELFORD-JOINT VENTURE 440 POLARIS PARKWAY SUITE 200 WESTERVILLE OH 43082 CONTRACTOR-CONSTRUCTION 39984881 LYDIG GRANT-JOINT VENTURE 11001 EAST MONTGOMERY DRIVE SPOKANE WA 99206 CONTRACTOR-CONSTRUCTION 29923224 1123 4550460328 4550460328 GOVERNMENT CONTRACTS 541700 759515511 759515511 SCIENTIFIC RESEARCH 541700 153491479 149374608 4116871 913006990 7146337 676652 6469685 7592488 7592488 669513 645048 24465 24465 7353 17112 152806182 51820 129052712 170411 23753470 -118591 23634879 23634879 VENTURE FUNDS 541700 11216224 11216224 STEM REVENUE 541700 2187938 2187938 OTHER REVENUE 541700 2176654 2176654 15580816 5517446303 908890119 4800876 53294980 13598912 13598912 5904 5904 13606766 13606766 2011576660 1578948173 432628487 223770171 176733898 47036273 299526319 229448335 70077984 142213060 110083840 32129220 844442258 844442258 6401778 6401778 636039 636039 404741 404741 5854384 5854384 1056398806 763254408 293144398 688147 688147 17193334 4787845 12405489 21778148 16045481 5732667 3473466 2118399 1355067 144997524 114855447 30142077 105517667 80646676 24870991 6655945 4512650 2143295 33448982 23169231 10279751 10198692 10198692 PURCHASES 437882198 365378405 72503793 RENTAL & MAINTENANCE 72801320 67158665 5642655 NON-INCOME TAX EXPENSE 28465563 26445467 2020096 MINORITY INTEREST 4993727 4993727 OTHER NON-OPERATING EXP 4625083 4625083 5863783 1677038 4186745 5517019377 3579961662 1937057715 0 51003950 49632893 15894553 13564442 274292486 354564767 1938479 0 8105339 8591142 7295559 22211739 813377571 388987855 385081410 424389716 284791467 220527525 139309736 137475505 16255073 18065466 1183968052 1249023195 157100339 160673393 28507448 33215229 18053000 17979000 149399879 168500054 268934295 313166438 621994961 693534114 X 0 0 0 0 561973091 555489081 561973091 555489081 1183968052 1249023195 X 426926 -6910936 X 0 1 1 X 1 1 X 3272337285 3711462617 3954051722 4505277128 4550460328 19993589080 3272337285 3711462617 3954051722 4505277128 4550460328 19993589080 19993589080 22676062 19076116 69299595 22502132 26524039 160077944 82241 93310 175551 20153842575 4473337623 0.99200 0.99150 X 0 0 0 0 0 1 0 0 0 0 1 806331 0 1 33952 840283 0 EXPLANATION OF OTHER LOBBYING ACTIVITIES: PART II-B, LINE 1I: THIRTEEN ORGANIZATIONS REPORTED THAT A PORTION OF MEMBERSHIP DUES PAID BY BATTELLE WERE USED FOR LOBBYING. PART IV, SUPPLEMENTAL INFORMATION: INTERNAL LOBBYING EXPENSES TOTALED $212,125 AND EXTERNAL LOBBYING EXPENSES TOTALED $594,206 FOR A TOTAL OF $806,331. 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. 15304353 15304353 452294754 181394970 270899784 223312496 207592885 15719611 122465968 122465968 424389716 131565534 F RABBI TRUSTS 5909971 F 137475505 LONG TERM BENEFIT RELATED LIABILITIES 7031736 OTHER LONG TERM LIABILITIES 21120073 LIABILITY FOR POSTRETIREMENT & OTHER BENEFITS 285014629 313166438 5517446303 5517019377 426926 -923091 -5987845 -6910936 -6484010 5558678026 50761934 50761934 5507916092 9530211 9530211 5517446303 5535434859 27945693 27945693 5507489166 9530211 9530211 5517019377 PART XI, LINE 8 - OTHER ADJUSTMENTS: MARKET VALUE ADJUSTMENT ON MARKETABLE SECURITIES -34,449,776. CURRENCY TRANSLATION ADJUSTMENT -86,419. PENSION AND POST RETIREMENT BENEFITS 9,132,338. DIVIDENDS 19,342,970. NONCONTROLLING INTEREST 73,042. PART XII, LINE 2D - OTHER ADJUSTMENTS: SUBSIDIARIES REVENUE NOT INCLUDED IN FORM 990 50,761,934. PART XII, LINE 4B - OTHER ADJUSTMENTS: RECLASSIFY INCOME 9,530,211. PART XIII, LINE 2D - OTHER ADJUSTMENTS: SUBSIDIARIES EXPENSE NOT INCLUDED IN FORM 990 27,945,693. PART XIII, LINE 4B - OTHER ADJUSTMENTS: RECLASSIFY EXPENSE 9,530,211. 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 6 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES 4636401 EUROPE 7 30 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 7004122 MIDDLE EAST AND NORTH AFRICA 3 3 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES 5517334 RUSSIA AND THE NEWLY INDEPENDENT STATES 3 25 PROGRAM SERVICES SCIENTIFIC RESEARCH/SERVICES AND LABORATORY MANAGEMENT 5854987 EAST ASIA AND THE PACIFIC INVESTMENTS 22224650 EUROPE INVESTMENTS 15686 SOUTH ASIA INVESTMENTS 4102022 19 64 0 0 19 64 49355202 0 49355202 EAST ASIA AND THE PACIFIC SUPPORT FOR REBUILDING SCHOOL AFTER THE EARTHQUAKE AND TSUNAMI 5904 WIRE TRANSFER 1 1 0 1 0 0 1 OTHER INFORMATION SCHEDULE F, PART V UT-BATTELLE, LLC, A BATTELLE AFFILIATE THAT OPERATES THE OAK RIDGE NATIONAL LAB IN OAK RIDGE, TENNESSEE, DONATED $5,904 TO AID IN JAPAN'S EARTHQUAKE AND TSUNAMI RELIEF EFFORTS. THE LAB JOINED EFFORTS TO HELP OAK RIDGE'S SISTER CITY, NAKA JAPAN, REPAIR A LOCAL SCHOOL THAT WAS DAMAGED BY THE EARTHQUAKE. THE DONATION WAS A MATCH OF EMPLOYEE CONTRIBUTIONS AND WAS DIRECTLY PAID TO THE CITY. 1 AKRON PUBLIC SCHOOLS 70 NORTH BROADWAY ST AKRON OH 44308 346000033 501(C)(3) 100000 SUPPORT STEM EDUCATION ALZHEIMER'S ASSOCIATION 1212 NEW YORK AVENUE NW SUITE 800 WASHINGTON DC 20005 133039601 501(C)(3) 8250 FUNDRAISER/SPONSORSHIP AMERICAN RED CROSS 995 E BROAD ST COLUMBUS OH 43205 530196605 501(C)(3) 9650 FUNDRAISER/SPONSORSHIP ARTHUR JAMES CANCER HOSPITAL 660 ACKERMAN ROAD COLUMBUS OH 43202 311301428 501(C)(3) 9000 FUNDRAISER/SPONSORSHIP BINGHAM ECONOMIC DEVELOPMENT CORP 1487 PARKWAY DRIVE BLACKFOOT ID 83221 820525983 501(C)(3) 5000 OPERATING SUPPORT BOISE STATE UNIVERSITY 1910 UNIVERSITY DR BOISE ID 83725 820290701 501(C)(3) 55000 OPERATING SUPPORT BONNEVILLE COUNTY HISTORICAL SOCIETY - MUSEUM OF IDAHO 200 N EASTERN AVE IDAHO FALLS ID 83402 820363177 501(C)(3) 10000 OPERATING SUPPORT BOY SCOUTS OF AMERICA PO BOX 29207 COLUMBUS OH 43229 314388520 501(C)(3) 5020 FUNDRAISER/SPONSORSHIP 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) 300000 SUPPORT STEM EDUCATION CENTER OF SCIENCE AND INDUSTRY 333 W BROAD STREET COLUMBUS OH 43215 314383802 501(C)(3) 130000 SUPPORT STEM EDUCATION CHILDHOOD LEAGUE 670 S 18TH STREET COLUMBUS OH 43205 316400177 501(C)(3) 7100 FUNDRAISER/SPONSORSHIP CHILDREN'S INN AT NIH 7 WEST DRIVE BETHESDA MD 20814 521638207 501(C)(3) 8750 FUNDRAISER/SPONSORSHIP COLLEGE OF SOUTHERN IDAHO 315 FALLS AVENUE TWIN FALLS ID 83301 820261628 501(C)(3) 23900 OPERATING SUPPORT COLUMBUS COALITION AGAINST FAMILY VIOLENCE 655 E LIVINGSTON AVENUE COLUMBUS OH 43205 542143915 501(C)(3) 14480 FUNDRAISER/SPONSORSHIP COLUMBUS COUNCIL ON WORLD AFFAIRS 51 JEFFERSON AVENUE COLUMBUS OH 43215 510180760 501(C)(3) 47100 OPERATING SUPPORT COLUMBUS FOUNDATION 1234 EAST BROAD STREET COLUMBUS OH 43205 316044264 501(C)(3) 8200000 DONOR-ADVISED FUND 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 COLUMBUS MUSEUM OF ART 480 EAST BROAD STREET COLUMBUS OH 43215 314379447 501(C)(3) 14520 FUNDRAISER/SPONSORSHIP COLUMBUS SYMPHONY ORCHESTRA 55 E STATE STREET 5TH FLOOR COLUMBUS OH 43215 316402408 501(C)(3) 650000 OPERATING SUPPORT COMMUNITIES FOUNDATION OF TEXAS 5500 CARUTH HAVEN LANE DALLAS TX 75225 750964565 501(C)(3) 400000 SUPPORT STEM EDUCATION COMMUNITY SHELTER BOARD 111 LIBERTY STREET SUITE 150 COLUMBUS OH 43215 311131284 501(C)(3) 24640 FUNDRAISER/SPONSORSHIP DIRECTIONS FOR YOUTH AND FAMILIES 1515 INDIANOLA AVENUE COLUMBUS OH 43201 314407642 501(C)(3) 4720 360 FMV BINDERS & FOLDERS FUNDRAISER/SPONSORSHIP DISABLED SPORTS USA WWDSP 451 HUNGERFORD DR SUITE 100 ROCKVILLE MD 20850 946174016 501(C)(3) 23090 FUNDRAISER/SPONSORSHIP EAST TN COMMUNITY DESIGN CENTER 1300 NORTH BROADWAY KNOXVILLE TN 37917 620817716 501(C)(3) 5000 STUDENT INTERN PROGRAM AT UT EASTERN IDAHO DEVELOPMENT CORP 1651 ALVIN RICKEN DRIVE POCATELLO ID 83201 820412962 501(C)(3) 20000 OPERATING SUPPORT EASTERN IDAHO ECONOMIC DEVELOPMENT CORP 151 N RIDGE AVE SUITE A IDAHO FALLS ID 83402 820460529 501(C)(3) 16000 OPERATING SUPPORT EASTERN IDAHO TECHNICAL COLLEGE FOUNDATION 1600 S 25TH E IDAHO FALLS ID 83404 820292220 501(C)(3) 13000 OPERATING SUPPORT EDUCATIONAL COUNCIL 1929 KENNY ROAD SUITE 300 COLUMBUS OH 43210 311364422 501(C)(3) 30000 SUPPORT STEM EDUCATION FIRST 200 BEDFORD STREET MANCHESTER NH 03101 222990908 501(C)(3) 5000 KNOXVILLE REGIONAL ROBOTICS COMPETITION FIRST BAPTIST CHURCH PO BOX 268 CLINTON TN 37717 620544274 501(C)(3) 5000 REMOTE AREA MEDICAL CLINIC IN ANDERSON COUNTY FOUNDATION FOR ECOL RES (FERN) PO BOX 862 UPTON NY 11973 201338931 501(C)(3) 16500 OPERATING SUPPORT FREE MEDICAL CLINIC OF OAK RIDGE 320 ROBERTSVILLE ROAD OAK RIDGE TN 37830 900715369 501(C)(3) 5000 FREE MEDICAL CLINIC OF OAK RIDGE FRIENDS OF LIMSAT 1050 FRANKLIN AVE GARDEN CITY NY 11530 113092143 501(C)(3) 5000 OPERATING SUPPORT GOODWILL INDUSTRIES 1331 EDGEHILL ROAD COLUMBUS OH 43212 314379448 501(C)(3) 5080 FUNDRAISER/SPONSORSHIP GREAT SCHOOLS PARTNERSHIP 912 S GAY ST L210 KNOXVILLE TN 37902 766206166 501(C)(3) 150000 DISTANCE LEARNING GREATER IDAHO FALLS EDUCATION COALITION 690 JOHN ADAMS PARKWAY IDAHO FALLS ID 83401 826001158 170(C)(1) 6000 OPERATING SUPPORT HARDIN VALLEY ACADEMY 11345 HARDIN VALLEY ROAD KNOXVILLE TN 37932 800209250 170(C)(1) 6000 ROBOTICS TEAM - NATIONAL COMPETITION HOBBS MIDDLE SCHOOL 350 E PINE STREET SHELLEY ID 83274 826000619 170(C)(1) 5849 OPERATING SUPPORT IDAHO COMMUNITY FOUNDATION INC 205 N 10TH SUITE 625 BOISE ID 83702 820425063 501(C)(3) 136000 OPERATING SUPPORT IDAHO ECONOMIC DEVELOPMENT ASSOCIATION 1255 W HWY 39 BLACKFOOT ID 83221 820529256 501(C)(6) 12000 OPERATING SUPPORT IDAHO FALLS ARTS COUNCIL 498 A STREET IDAHO FALLS ID 83402 820434714 501(C)(3) 20000 OPERATING SUPPORT IDAHO FALLS SYMPHONY 450 A STREET IDAHO FALLS ID 83402 826007411 501(C)(3) 20600 OPERATING SUPPORT IDAHO GOVERNOR'S CUP 1087 WEST RIVER STREET NO 310 BOISE ID 83702 208277116 501(C)(3) 10000 OPERATING SUPPORT IDAHO PUBLIC TELEVISION 1455 N ORCHARD BOISE ID 83706 826000952 170(C)(1) 6500 OPERATING SUPPORT IDAHO REGIONAL OPTICAL NETWORK INC 1910 UNIVERSITY DRIVE BOISE ID 83725 260698591 501(C)(3) 100000 OPERATING SUPPORT IDAHO STATE UNIVERSITY 921 S 8TH POCATELLO ID 83201 826000924 501(C)(3) 13000 OPERATING SUPPORT JAPAN SOCIETY JAPAN EARTHQUAKE RELIEF FUND 333 EAST 47TH ST NEW YORK NY 10017 131675082 501(C)(3) 25000 OPERATING SUPPORT JUVENILE DIABETES RESEARCH 26 BROADWAY NEW YORK NY 10004 231907729 501(C)(3) 5000 WALK TO CURE DIABETES KNOWLEDGEWORKS FOUNDATION 1 WEST 4TH STREET SUITE 200 CINCINNATI OH 45202 311321973 501(C)(3) 100000 SUPPORT STEM EDUCATION KNOXVILLE SYMPHONY ORCHESTRA PO BOX 360 KNOXVILLE TN 37901 626008097 501(C)(3) 15000 MASTERWORKS CONCERT SPONSORSHIP MARCH OF DIMES FOUNDATION 2700 SOUTH QUINCY STREET SUITE 220 ARLINGTON VA 22206 131846366 501(C)(3) 8850 OPERATING SUPPORT MARINE CORPS SCHOLARSHIP FOUNDATION 121 S ST ASAPH STREET ALEXANDRIA VA 22314 221905062 501(C)(3) 9396 OPERATING SUPPORT MAYORS SCHOLARSHIP FUNDIF DIST 91 FOUNDATION 690 JOHN ADAMS PARKWAY IDAHO FALLS ID 83401 820456533 170(C)(1) 10000 OPERATING SUPPORT MCNC 3021 CORNWALLIS ROAD RESEARCH TRIANGLE PARK NC 27709 581406628 501(C)(3) 600000 SUPPORT STEM EDUCATION MUSEUM OF MATHEMATICS 134 WEST 29TH ST NEW YORK NY 10001 271450809 501(C)(3) 10000 OPERATING SUPPORT NATIONAL SOCIETY OF BLACK ENGINEERS 205 DAINGERFIELD ROAD ALEXANDRIA VA 22314 351410757 501(C)(3) 23000 SUPPORT STEM EDUCATION NATIONWIDE CHILDREN'S HOSPITAL 700 CHILDRENS DRIVE COLUMBUS OH 43205 311036370 501(C)(3) 11500 50 FMV PARTICLE SIZER FUNDRAISER/SPONSORSHIP NEW MEXICO BUSINESS ROUNDTABLE 5600 EAGLE ROCK AVENUE NE ALBUQUERQUE NM 87113 311666623 501(C)(3) 200000 SUPPORT STEM EDUCATION NORTH IDAHO COMMUNITY SERVICES 370 E KATHLEEN AVE COEUR D ALENE ID 83815 820443278 501(C)(3) 5000 OPERATING SUPPORT OAK RIDGE CHAMBER OF COMMERCE 1400 OAK RIDGE TURNPIKE OAK RIDGE TN 37830 620572006 501(C)(6) 140000 PAVILION/OR WATERFRONT REDEVELOPMENT OAK RIDGE CIVIC MUSIC 205 BADGER ROAD OAK RIDGE TN 37830 620649604 501(C)(3) 10000 ORCMA SEASON OAK RIDGE ROTARY COMMUNITY FUND - ALVIN WEINBERG MEMORIAL PO BOX 6331 OAK RIDGE TN 37831 201693222 501(C)(3) 10500 ALVIN WEINBERG MEMORIAL OPERA COLUMBUS 177 EAST NAUGHTEN STREET COLUMBUS OH 43215 311020676 501(C)(3) 6000 FUNDRAISER/SPONSORSHIP ORNL UNITED WAY PO BOX 2008 OAK RIDGE TN 37831 621818021 501(C)(3) 96500 UW CAMPAIGN PARTNERSHIP FOR SCIENCE AND TECHNOLOGY 151 N RIDGE AVE IDAHO FALLS ID 83402 204914160 501(C)(6) 25475 OPERATING SUPPORT PREVENT CANCER FOUNDATION 1600 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) 35000 OPERATING SUPPORT RESEARCH AMERICA 1101 KING STREET SUITE 520 ALEXANDRIA VA 22314 521609875 501(C)(3) 13500 FUNDRAISER/SPONSORSHIP ROANE STATE FOUNDATION 276 PATTON LANE HARRIMAN TN 37748 581413034 501(C)(3) 10000 LAB-IN-A-BOX PILOT PROGRAM SALMON ROBOTICS 401 S WARPATH SALMON ID 83467 826000821 170(C)(1) 5000 OPERATING SUPPORT SCORE 1207 18TH AVENUE SOUTH SUITE 326 NASHVILLE TN 37212 263670335 501(C)(3) 30000 SUPPORT STEM EDUCATION SCORE 1207 18TH AVENUE SOUTH SUITE 326 NASHVILLE TN 37212 263670335 501(C)(3) 20000 SCORE PRIZE SECOND HARVEST FOOD BANK 136 HARVEST LANE MARYVILLE TN 37801 581450139 501(C)(3) 5000 FLOOD RELIEF EFFORTS SKYLINE ENERGY PROJECT 1767 BLUESKY DR IDAHO FALLS ID 83402 826001158 170(C)(1) 54967 OPERATING SUPPORT SOUTHERN IDAHO ECONOMIC DEVELOPMENT ORG PO BOX 1238 TWIN FALLS ID 83303 820261628 170(C)(1) 5000 OPERATING SUPPORT STONY BROOK FOUNDATION 230 ADMINISTRATION BLDG STONY BROOK NY 11794 116077945 501(C)(3) 7500 OPERATING SUPPORT THE ART MUSEUM OF EASTERN IDAHO 300 SOUTH CAPITAL AVE IDAHO FALLS ID 83402 481273754 501(C)(3) 5500 OPERATING SUPPORT TN TECH UNIVERSITY 1 WILLIAM L JONES DR COOKEVILLE TN 38505 591777911 170(C)(1) 5000 FIRST LEGO LEAGUE TOURNAMENT UNITED WAY OF ANDERSON CO PO BOX 4158 OAK RIDGE TN 37831 626041371 501(C)(3) 8500 UW OF ANDERSON CO. KICK-OFF CELEBRATION UNITED WAY OF IF AND BONNEVILLE COUNTY 151 N RIDGE AVE SUITE 180 IDAHO FALLS ID 83402 820233588 501(C)(3) 44000 OPERATING SUPPORT UNITED WAY OF LI 819 GRAND BLVD DEER PARK NY 11729 116042392 501(C)(3) 10000 OPERATING SUPPORT UNITED WAY OF POCATELLO PO BOX 911 POCATELLO ID 83204 820209625 501(C)(3) 12150 OPERATING SUPPORT UNITED WAY WORLDWIDE 701 NORTH FAIRFAX STREET ALEXANDRIA VA 22314 314393712 501(C)(3) 110209 OPERATING SUPPORT UNIVERSITY OF IDAHO AT IDAHO FALLS 1784 SCIENCE CENTER DRIVE IDAHO FALLS ID 83402 826000945 170(C)(1) 5500 OPERATING SUPPORT UNIVERSITY OF TN 800 ANDY HOLT TOWER KNOXVILLE TN 37996 626001636 170(C)(1) 20000 SCHOLARSHIPS VASSAR COLLEGE PO BOX 14 124 RAYMOND AVENUE POUGHKEEPSIE NY 12602 141338587 501(C)(3) 25000 OPERATING SUPPORT WRIGHT STATE UNIVERSITY 3640 COLONEL GLENN HIGHWAY 415 ALLYN HALL DAYTON OH 45435 237019799 501(C)(3) 50000 SUPPORT STEM EDUCATION 86 3 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. OTHER INFORMATION: PART IV: 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 X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 JEFFREY WADSWORTH 871076 0 1150000 0 32174 0 310300 0 13539 0 2377089 0 0 0 I MARTIN INGLIS 567300 0 645586 0 10862 0 228956 0 4050 0 1456754 0 0 0 RONALD D TOWNSEND 455380 0 491054 0 12823 0 9800 0 13822 0 982879 0 0 0 RUSSELL P AUSTIN 357700 0 227695 0 1364 0 75100 0 17753 0 679612 0 0 0 RICHARD C ADAMS 184098 0 0 0 758746 0 623351 0 88848 0 1655043 0 0 0 JOHN J GROSSENBACHER 361248 0 181381 0 9985 0 174289 0 12156 0 739059 0 0 0 ANTHONY T HEBRON 294403 0 154672 0 727 0 33810 0 18334 0 501946 0 0 0 STEPHEN E KELLY 363176 0 223205 0 5558 0 74134 0 17181 0 683254 0 0 0 MICHAEL KLUSE 315519 0 190085 0 218790 0 439346 0 14786 0 1178526 0 0 0 BARBARA L KUNZ 335372 0 255906 0 4051 0 66111 0 8320 0 669760 0 0 0 THOMAS E MASON 330330 0 221367 0 0 0 360563 0 25215 0 937475 0 0 0 DONALD P MCCONNELL 384772 0 121559 0 64827 0 9800 0 6620 0 587578 0 0 0 THOMAS D SNOWBERGER 374780 0 286146 0 5702 0 16167 0 17781 0 700576 0 0 0 MARTIN TOOMAJIAN 236403 0 73969 0 555 0 51665 0 19527 0 382119 0 0 0 RICHARD D ROSEN 301273 0 87667 0 3178 0 56476 0 17548 0 466142 0 0 0 THOMAS E SHARPE 174552 0 38551 0 15724 0 54512 0 20099 0 303438 0 0 0 STEPHEN H VALENTINE 243252 0 52159 0 2681 0 116245 0 14439 0 428776 0 0 0 GWENDOLYN C VONHOLTEN 211240 0 45290 0 1441 0 105938 0 13620 0 377529 0 0 0 BRIAN GRAHAM 204744 0 44883 0 1325 0 33712 0 23638 0 308302 0 0 0 JUDITH L MOBLEY 141759 0 20447 0 476 0 80291 0 19364 0 262337 0 0 0 BRIAN R SMITH 131916 0 19032 0 163 0 17857 0 6307 0 175275 0 0 0 SAMUEL ARONSON 366426 0 116393 0 27746 0 41509 0 7246 0 559320 0 0 0 REINHOLD C MANN 1077 0 0 0 576293 0 17250 0 1516 0 596136 0 0 0 MICHAEL LAWRENCE 232536 0 117822 0 333053 0 73331 0 76965 0 833707 0 0 0 JEFFREY W SMITH 276475 0 151967 0 970 0 109264 0 25315 0 563991 0 0 0 BOBI GARRETT 264842 0 184371 0 2610 0 544231 0 19640 0 1015694 0 0 0 DAVID J HILL 299095 0 134777 0 3564 0 11760 0 10370 0 459566 0 0 0 WILLIAM J MADIA 120000 0 0 0 0 0 0 0 0 0 120000 0 17842 0 DANIEL W O'BRYAN 193200 0 49468 0 5101 0 38417 0 14453 0 300639 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. 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. DURING BMI'S FISCAL YEAR 2006, DR. RICHARD ADAMS AND DR. JOAN ADAMS, HUSBAND AND WIFE, BEGAN A MULTI-YEAR INTERNATIONAL ASSIGNMENT TO FACILITATE THE START-UP OF BMI AFFILIATES IN ASIA. PRIOR TO THE ASSIGNMENT, BOTH WERE BMI EMPLOYEES AND DR. RICHARD ADAMS WAS AN OFFICER OF BMI. TO CARRY OUT THE ASSIGNMENT, EACH BECAME AN EMPLOYEE OF BATTELLE SERVICES COMPANY, INC. ("BSCI"), A WHOLLY-OWNED TAXABLE SUBSIDIARY OF BMI, BUT DR. RICHARD ADAMS REMAINED AN OFFICER OF BMI. AS A RESULT OF THE ASSIGNMENT, THEY RESIDED IN BOTH MALAYSIA AND KOREA AND RECEIVED HOUSING, TRAVEL, RELOCATION, COST-OF-LIVING, AND OTHER CUSTOMARY INTERNATIONAL ASSIGNMENT ALLOWANCES AND PAYMENTS FROM BSCI. THE SERVICES OF DR RICHARD AND DR JOAN ADAMS WERE PROVIDED BY BSCI TO BMI AND BMI'S JAPANESE, KOREAN, INDIAN, AND MALAYSIAN AFFILIATES UNDER ARMS-LENGTH TERMS AND AT PRICING WHICH COMPLIED WITH THE INTER-COMPANY TRANSFER RULES OF JAPAN, KOREA, INDIA, MALAYSIA, AND THE UNITED STATES. IN ADDITION TO PROVIDING SERVICES AS AN EMPLOYEE OF BSCI, DR. RICHARD ADAMS CONTINUED TO ENGAGE IN BMI CORPORATE-LEVEL ACTIVITIES IN HIS CAPACITY AS BMI'S SENIOR VICE PRESIDENT-INTERNATIONAL PARTNERSHIP. PART I, LINE 4B NO SEVERANCE PAYMENTS WERE MADE TO INDIVIDUALS LISTED ON FORM 990, PART VII. 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, 2010, 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 2010 FORM W-2. THE FOLLOWING 2010 ACCRUALS UNDER THE 457(F) PLAN ARE INCLUDED IN THE AMOUNTS OF COMPENSATION REPORTED IN COLUMN D OF PART VII AS APPLICABLE: RICHARD ADAMS $442,623 MICHAEL KLUSE $170,127 DONALD MCCONNELL $55,319 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 EXCLUDED FROM INCOME UNDER INTERNAL REVENUE CODE SECTIONS 132(A)(3) AND 132(A)(4), 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 AND WORKING CONDITION FRINGE BENEFITS. DEFERRED COMPENSATION FROM RETIREMENT PLANS REPORTED IN SCHEDULE J, PART II, COLUMN C REFLECTS THE IMPACT OF THE DECREASE IN THE DISCOUNT RATE FROM 6.26% TO 5.71% 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 0.00000 0.00000 0.00000 0 0 0 0 0 0 0 ALCOA INC MICHAEL MORRIS IS A DIRECTOR 193416 ALCOA INC. PAID BMI FOR RESEARCH SERVICES 0 AMERICAN ELECTRIC POWER MICHAEL MORRIS IS A DIRECTOR 4768559 BMI PAID AMERICAN ELECTRIC POWER FOR SERVICES 0 AMERICAN ELECTRIC POWER MICHAEL MORRIS IS A DIRECTOR 24458145 AMERICAN ELECTRIC POWER PAID BMI FOR RESEARCH SERVICES 0 AMERICAN EXPRESS ROBERT WALTER IS A DIRECTOR 152601 BMI PAID AMEX FOR SERVICES 0 AMEX TRAVEL RELATED SERVICES CO INC ROBERT WALTER IS A DIRECTOR 1427 AMEX TRAVEL PAID BMI FOR RESEARCH SERVICES 0 AT&T CORPORATION JOHN MCCOY IS A DIRECTOR 2312961 BMI PAID AT&T CORPORATION FOR SERVICES 0 GENERAL DYNAMICS LESTER LYLES IS A DIRECTOR 28355260 BMI PAID GENERAL DYNAMICS FOR PROJECT SERVICES 0 GENERAL DYNAMICS LESTER LYLES IS A DIRECTOR 5733470 GENERAL DYNAMICS PAID BMI FOR RESEARCH SERVICES 0 GREIF INC MICHAEL GASSER IS A DIRECTOR 374357 GREIF, INC. PAID BMI FOR RESEARCH SERVICES 0 GREIF INC MICHAEL GASSER IS A DIRECTOR 21188 BMI PAID GREIF INC FOR MATERIALS 0 USEC INC JOHN WELCH IS A DIRECTOR 120 BMI PAID USEC INC. FOR MATERIALS 0 USEC INC JOHN WELCH IS A DIRECTOR 8903879 USEC INC. PAID BMI FOR RESEARCH SERVICES 0 JOAN ADAMS FAMILY MEMBER OF RICHARD ADAMS 320503 PAYROLL 0 DAVID KELLY FAMILY MEMBER OF STEPHEN KELLY 284277 PAYROLL 0 BRITTNEY KLUSE FAMILY MEMBER OF MICHAEL KLUSE 31301 PAYROLL 0 BLAKE KLUSE FAMILY MEMBER OF MICHAEL KLUSE 61651 PAYROLL 0 KAREN ROSEN FAMILY MEMBER OF RICHARD ROSEN 121009 PAYROLL 0 JERRY WALTERS FAMILY MEMBER OF JOHN WELCH 68552 PAYROLL 0 JOSEPH ARONSON FAMILY MEMBER OF SAMUEL ARONSON 53178 PAYROLL 0 SCHEDULE L, PART IV BUSINESS TRANSACTIONS WITH LISTED PERSONS SIX 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 SIX 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, ALONG WITH SUMMARY OF CONSOLIDATED BALANCE SHEET AND INCOME STATEMENT, 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: -923,091. MARKET VALUE ADJUSTMENT ON MARKETABLE SECURITIES -34,449,776. CURRENCY TRANSLATION ADJUSTMENT -86,419. PENSION AND POST RETIREMENT BENEFITS 9,132,338. DIVIDENDS 19,342,970. NONCONTROLLING INTEREST 73,042. TOTAL TO FORM 990, PART XI, LINE 5: -6,910,936. 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 4,800,876 ADD INCOME TAX BASIS PARTNERSHIP INCOME 4,156 DEDUCT THE COSTS OF GOODS SOLD 3,963,853 ADD BACK RENTAL EXPENSE 11,631 ADD INSURANCE PREMIUMS FROM TAXABLE SUBSIDIARIES 31,931 EQUALS TOTAL ON FORM 990T PART I, LINE 13 884,741 LINE 19 CONFERENCES, CONVENTIONS, AND MEETINGS PART IX STATEMENT OF FUNCTIONAL EXPENSES EXPENSES FOR CONFERENCES, CONVENTIONS, AND MEETINGS ARE INCLUDED IN LINE 17 TRAVEL. TOTAL NET ASSETS OR FUND BALANCE PART X, BALANCE SHEET, COLUMN A, LINE 33 BEGGINING BALANCE WAS ADJUSTED FOR NONCONTROLLING INTERESTS OF $7,935,398 WHICH WAS ORIGINALLY REPORTED UNDER OTHER LIABILITIES. 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SPECIFIED PAYMENT A 156774 FMV BATTELLE JAPAN - SPECIFIED PAYMENT A 6346 FMV BATTELLE SERVICES COMPANY INC - SPECIFIED PAYMENT A 6180 FMV BATTELLE UK LIMITED - QUALIFYING SPECIFIED PAYMENT A 27466 FMV BLUEFIN ROBOTICS CORPORATION - SPECIFIED PAYMENT A 375342 FMV GEOSAFE CORPORATION - SPECIFIED PAYMENT A 137774 FMV VITEX SYSTEMS INC - QUALIFING SPECIFIED PAYMENT A 314431 FMV ZIVENA INC - QUALIFYING SPECIFIED PAYMENT A 133874 FMV ZIVENA INC- SPECIFIED PAYMENT A 12404 FMV BATTELLE SCIENCE & TECHNOLOGY INDIA PVT LTD B 500000 FMV VITEX SYSTEMS INC B 87178 FMV 360IP PTE LTD D 2795000 FMV BATTELLE JAPAN D 500000 FMV BATTELLE SCIENCE & TECHNOLOGY INDIA PVT LTD D 250000 FMV BLUEFIN ROBOTICS CORPORATION D 7400000 FMV BATTELLE JAPAN K 171541 FMV BATTELLE KOREA INC K 1483216 FMV BATTELLE SCIENCE & TECHNOLOGY MALAYSIA SDN BHD K 73841 FMV BATTELLE SERVICES COMPANY INC K 472058 FMV BATTELLE UK LIMITED K 85922 FMV BLUEFIN ROBOTICS CORPORATION K 500581 FMV VITEX SYSTEMS INC K 57996 FMV BATTELLE SCIENCE & TECHNOLOGY INDIA PVT LTD L 978690 FMV BATTELLE SCIENCE & TECHNOLOGY MALAYSIA SDN BHD L 964776 FMV BATTELLE SERVICES COMPANY INC L 1061160 FMV BATTELLE UK LIMITED L 2045460 FMV BLUEFIN ROBOTICS CORPORATION L 1657370 FMV RESEARCH INSURANCE COMPANY LIMITED L 2213632 FMV BATTELLE VOLUNTARY EMPLOYEES' BENEFICIARY ASSOCIATION Q 74209477 FMV BROOKHAVEN SCIENCE ASSOCIATESLLC PO BOX 5000 UPTON NY 11973 113403915 MANAGEMENT OF NATIONAL LABORATORY DE 1 2376369 0 0 0 UT-BATTELLE LLC 1 BETHEL VALLEY ROAD BLDG 4500N MS OAK RIDGE TN 37831 621788235 MANAGEMENT OF NATIONAL LABORATORY TN 1 5049389 0 0 0 TRANSACTIONS WITH RELATED ORGANIZATIONS: SCHEDULE R,PART V, DURING FISCAL YEAR 2011, 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 360IP PTE LTD, BATTELLE SERVICES COMPANY INC, AND ZIVENA INC. BATTELLE UK, LTD LEASES FACILITIES TO BMI. 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 $475,771 SPECIFIED PAYMENTS $694,820 TOTAL $1,170,591 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.