2012-07-09T15:13:03-07:00 2011-09-30 990 2010-10-01 560686338 RESEARCH TRIANGLE INSTITUTE RESE 9195416000 PO Box 12194 Research Triangle Park NC 277092194 James Gibson 9195416000 2012-07-10 2010 2016-02-24 21:20:13Z RTI International Victoria F Haynes PO Box 12194 Research Triangle Park NC 27709 796806610 0 X www.rti.org X 1958 NC Research Triangle Institute is one of the world's leading research institutes, dedicated to improving the human condition by turning knowledge into practice. Our staff of more than 2,800 provides research and technical expertise to governments and businesses in more than 40 countries in the areas of health and pharmaceuticals, education and training, surveys and statistics, advanced technology, international development, economic and social policy, energy and the environment, and laboratory and chemistry services. 14 6 3190 0 4393184 438514 0 0 756080154 777100035 2378876 13961751 -1141723 -610251 757317307 790451535 655338 676586 0 0 350732506 364240346 0 0 0 382750462 399455515 734138306 764372447 23179001 26079088 441855940 455854566 210021021 199552920 231834919 256301646 X Research Triangle Institute is one of the world's leading research institutes, dedicated to improving the human condition by turning knowledge into practice. Our staff of more than 2,800 provides research and technical expertise to governments and businesses in more than 40 countries in the areas of health and pharmaceuticals, education and training, surveys and statistics, advanced technology, international development, economic and social policy, energy and the environment, and laboratory and chemistry services. 0 0 431482735 618233 495683394 RESEARCH: Multidisciplinary research & development and the application of science & technology in the areas of Health Research; Drug Discovery & Development; Education & Training Research; Survey Research Services; Statistics Research; Economic & Social Research; Advanced Technology Research & Development; Energy Research; Environmental Research Services; and Laboratory & Chemistry Services. See Schedule O for expanded description of these program services. 252244268 58353 280806390 INTERNATIONAL DEVELOPMENT: Our experts in international development are dedicated to improving the human condition in developing countries. With more than 200 international development staff members based around the world, we deliver advisory and training services at the national, sub-national, and local government levels, providing institutional development through the transfer of analytical tools and methods. We often work in multidisciplinary teams that cut across traditional sector boundaries. Our clients include the United States Agency for International Development, Asian Development Bank, World Bank, Inter-American Development Bank, and several agencies of the United Nations, as well as foundations and other regional and international organizations. Our International Development service areas include Stabilization, Governance & Economic Growth; International Education; International Environmental Services; Global Health; Information & Communication Technology; and Monitoring & Evaluation. 0 0 0 683727003 1 0 0 1 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 1 0 0 0 0 0 0 0 0 1 1 0 1 0 0 1 1 1 1 1 0 1 1450 0 0 3190 1 1 1 1 AE AM BC BG BN CG CH EG ES ET GG GH GT GV ID IZ JO KE LI MA MI ML MO MZ NI NP OC PK PL RP RW SF SG SP SW TH TZ UG UK UP UV YM ZA ZI 0 0 0 0 0 0 0 0 X 14 6 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 CA GA MA X J Gibson - Chief Financial Officer 9195416000 3040 Cornwallis Road PO Box 12194 Research Triangle Park NC 27709 X T Darden 2 X 24499 0 0 B Entwisle 2 X 0 300000 0 R Ingram 2 X 0 0 0 E Johnson Jr 2 X 33000 0 0 P Lange 2 X 26222 504619 37590 T Lomax 2 X 28245 209833 0 H Martin 2 X 24154 262008 0 J Moellering 2 X 0 0 0 W Moore Jr 2 X 36000 11000 0 T Nagle 2 X 24000 84937 0 H Pinnix-Ragland 2 X 24000 0 0 P Rizzo 2 X 24000 0 0 P Scott III 2 X 31000 0 0 J Siedow 2 X 28000 248280 36508 P Wynn Jr 2 X 32000 248441 34926 V Haynes 40 X X 773082 0 498633 J Gibson 40 X 449186 0 62285 E Holden 40 X 448469 0 56757 L Maggart 40 X 415001 0 44956 J Hunter-Cevera 40 X 411001 0 83788 S Sethi 40 X 402524 0 40131 A Mangel 40 X 382368 0 54859 J Trainham 40 X 305469 0 8043 E Story 40 X 296671 0 52644 S Snyder 40 X 258384 0 41160 E Sax 40 X 237871 0 39482 M Roberts 40 X 222433 0 28377 C Buchholtz 40 X 181411 0 39497 L Cravens 40 X 421539 0 33358 R Zerbonia 40 X 346300 0 32401 J Herstein 40 X 329277 0 27780 M Kattan 40 X 311742 0 32565 L Gilliland 40 X 302674 0 38583 T Waldrop 0 X 12000 241752 0 L Clark 0 X 100936 0 109764 R Johnson 40 X 295513 0 43029 7238971 2110870 1477116 736 1 1 0 Headway Corporate Resources 421 Fayetteville Street Suite 1020 Raleigh NC 27601 Contract Labor 31016118 G4S Risk Management ArmourGroup Services Egginton House 25-28 Buckhingham Gate London UK SW1E 6LD Security Services 16097715 HR Directions Int'l Research Partners/Greene Resources 805 Spring Forest Road Raleigh NC 27609 Contract Labor 14357298 DEI Services Corporation 7213 Sandscove Court Suite 1 Winter Park FL 32792 Training Simulation Services 9430328 Crown Agents Consultancy 818 Connecticut Avenue NW Suite 840 Washington DC 20006 Procurement Logistics 7159734 350 0 Research 541700 496072957 491679773 4393184 0 International Development 541900 281027078 281027078 0 0 0 0 0 0 777100035 2804599 0 0 2804599 0 0 0 0 0 0 0 0 0 0 0 17512227 0 6355075 0 11157152 11157152 0 0 11157152 Foreign Currency Gain/Loss 900099 -610251 -610251 0 0 0 0 0 0 -610251 790451535 772096600 4393184 13961751 618233 618233 0 0 58353 58353 0 0 6224148 6224148 386228 386228 246370273 215750991 30619282 22086253 18938057 3148196 70989432 58872013 12117419 18184012 15425497 2758515 3128145 636637 2491508 522759 522759 384203 384203 263255112 254995444 8259668 18934880 15496773 3438107 37456596 35514642 1941954 280640 280640 16218263 15721984 496279 18713018 16864666 1848352 11777602 11083681 693921 2085939 2085939 16223642 15276506 947136 2247558 761549 1486009 Taxes 1158934 944269 214665 Memberships 666987 267523 399464 Miscellaneous 5798394 5747513 50881 Business Meals 602843 472032 130811 764372447 683727003 80645444 0 26731507 48970274 177533266 149768700 20084170 16906211 263499279 109537624 138551035 153961655 73426809 77274638 1846325 5752670 463610 0 3219218 3220418 441855940 455854566 83129678 88372461 39448513 31778003 63307601 61152592 8290948 0 15844281 18249864 210021021 199552920 X 229891002 254421015 345302 370761 1598615 1509870 231834919 256301646 441855940 455854566 X 26079088 -1612361 X 0 1 1 X 1 1 X X X 0 0 0 DUKE UNIVERSITY 560532129 2 1 1 1 0 THE UNIVERSITY OF NORTH CAROLINA (UNC SYSTEM) 566001393 IRC 115 1 1 1 0 2 0 Schedule A, Part I, Line 11h - Three North Carolina universities -- Duke University in Durham, the University of North Carolina at Chapel Hill, and North Carolina State University in Raleigh -- incorporated RTI in 1958. We are a separately operated affiliate of these schools and maintain our own staff and offices. We work with their scientists on research programs and projects and maintain such relationships as adjunct faculty appointments, cooperative research programs, and other professional contacts. We also participate with universities and businesses in the Microelectronics Center of North Carolina and the North Carolina Biotechnology Center. 0 1 0 0 0 0 1 384203 0 0 384203 0 SchC_P2B_S00_L01 Schedule C, Part II-B, Line 1 Research Triangle Institute communicates the results of its independent objective research to government officials; protects its reputation for independence, objectivity and quality; and seeks sufficient federal budgets for certain fields of research and development. 0 2674413 2674413 0 176984269 64842716 112141553 0 0 0 0 0 69300420 44694908 24605512 0 14540177 0 14540177 153961655 Other Accrued Expenses 18249864 18249864 SchD_P10_S00_L02 Schedule D, Part X, Line 2 As provided by Section 501(c)(3) of the Internal Revenue Code and the Internal Revenue Service's determination that the Institute's charitable, scientific and educational operations are income tax exempt, no provision for corporate income taxes is required. However, this tax exemption does not pertain to activities unrelated to the Institute's exempt purposes. The Institute's presence in the United Kingdom, Spain, and Sweden results in income taxation in these countries. All not-for-profit organizations, including the Institute, are subject to the provisions of FASB ASC Topic 740 Income Taxes. The Institute's activities that most likely could create taxable income are contracts with commercial enterprises for services performed in non-domestic jurisdictions. There are no uncertain tax positions that result in material liabilities. 1 Central America and the Caribbean 5 56 Program Services Education, Environmental Research, Governance & Economic Growth, Health, Information & Communication Technology, Statistics Research 19865112 East Asia and the Pacific 15 181 Program Services Education, Environmental Research, Governance & Economic Growth, Health, Information & Communication Technology 17582048 Europe (including Iceland and Greenland) 5 46 Program Services Governance & Economic Growth, Health 8222671 Middle East and North Africa 9 94 Program Services Education, Environmental Research, Governance & Economic Growth, Information & Communication Technology 90308596 Russia and the newly independent States 3 10 Program Services Education, Governance & Economic Growth, Health 2372194 South America 1 19 Program Services Education, Governance & Economic Growth, Statistics Research 2323706 South Asia 3 9 Program Services Economic & Social Research, Education, Health, Monitoring & Evaluation, Statistics Research 2189993 Sub-Saharan Africa 51 620 Program Services Education, Environmental Research, Governance & Economic Growth, Health, Information & Communication Technology, Statistics Research, Survey Research 151044266 North America (including Canada and Mexico, but not the United States) 0 0 Program Services Education & Research 15782 East Asia and the Pacific Investments 125000 Europe (including Iceland and Greenland) Investments 0 Sub-Saharan Africa Investments 0 Central America and the Caribbean Grantmaking 2000 East Asia and the Pacific Grantmaking 40000 Sub-Saharan Africa Grantmaking 12420 Middle East and North Africa Grantmaking 3933 92 1035 294107721 East Asia and the Pacific Charitable contribution to Japanese Red Cross in support of earthquake relief efforts in Japan. 25000 Wire transfer Cash East Asia and the Pacific Charitable contribution to International Federation of Red Cross & Red Crescent Societies including $10,000 in support of flood relief efforts in Australia and $5,000 in support of the Mt Merapi volcano and Mentawi Islands earthquake and tsunami relief efforts in Indonesia. 15000 Wire transfer Cash Sub-Saharan Africa Charitable contribution to the Nkaikela Youth Group to paint and furnish a youth center in support of HIV/AIDS education and prevention in Botswana. 10420 Check payment Cash 3 0 1 0 1 0 0 0 SchF_P01_S00_L01 Schedule F, Part I, Line 1 RTI's international development program services are not in the nature of grant making. See Part III, Line 4(b) of the Form 990. SchF_P01_S00_L02 Schedule F, Part I, Line 2 RTI is committed to improving the human condition and helping people by giving back to communities where we are located. As described in Schedule I, RTI seeks staff recommendations for worthy charitable causes. During FY11, RTI supported relief efforts for recovery from natural disasters in Indonesia, Japan and Australia. These contributions were directed to the International Federation of Red Cross and Red Crescent Societies and the Japanese Red Cross. These organizations have comprehensive expertise and capabilities in disaster situations, and allow donors to direct contributions to a specific disaster event. RTI also supported HIV/AIDS education and prevention in Botswana during FY11. 1 United Way of the Greater Triangle 2400 Perimeter Park Drive Suite 150 Morrisville NC 27560 561949103 501(c)(3) 165000 0 Cash Discarded Office Supplies & Equipment (see Sch I, Part IV) Charitable Contribution Duke University NC Community AIDS Fund 2812 Erwin Road Suite 403 Campus Box 90392 Durham NC 27705 560532129 501(c)(3) 100000 Cash Charitable Contribution RTI PCCO Parents Child Care Organization PO Box 12574 RTP NC 27709 561593799 501(c)(3) 95323 Cash Charitable Contribution UNC Solar Energy Research Center Campus Box 3290 Chapel Hill NC 27599 566001393 115 35000 Cash Charitable Contribution National Merit Scholarship Corporation 1560 Sherman Avenue Suite 200 Evanston IL 60201 362307745 501(c)(3) 19220 Cash Scholarship Funding UNC Center for Public Television PO Box 12231 RTP NC 27709 581720178 501(c)(3) 10000 Cash Charitable Contribution Peace Corps 50th Anniversary Fund 1111 20th Street NW Washington DC 20526 560261522 170 10000 Cash Charitable Contribution Food Bank of Central & Eastern NC 3808 Tarheel Drive Raleigh NC 27609 561283426 501(c)(3) 8000 Cash Charitable Contribution 8 0 SchI_P01_S00_L02 Schedule I, Part I, Line 2 Consistent with our mission, RTI is committed to helping people by giving back to the communities where we are located, when possible. RTI has a process for making annual contributions at the corporate level to charitable causes. The process, governed by an annual budget and consistent giving criteria, seeks staff recommendations for worthy recipient organizations. The Community Partnerships Board reviews the contributions proposed by the staff and makes a recommendation to the CEO and CFO who make the final decisions. The decisions are reported to the staff, thereby setting the program for the fiscal year. In the fourth quarter of the fiscal year, the CEO and CFO, in consultation with Corporate Affairs, review the program, lessons learned, and prospects for its evolution. RTI also supports the United Way's mission to improve people's lives by mobilizing the caring power of communities. As part of this effort, RTI holds an annual United Way campaign in the fall, grants an annual corporate contribution to Triangle United Way as well as a regional office United Way, provides year round donor education and communication, and participates in local United Way volunteer efforts when possible. In addition, RTI supports educational initiatives related to our exempt purpose through the corporate sponsorships program. SchI_P02_S00_L01 Schedule I, Part II, Line 1 RTI organized an effort to reduce, reuse and recycle office supplies, materials and equipment associated with the move of staff members to a newly constructed LEED office building during FY11. This "Spread the Love Campaign" diverted more than 42 tons of materials from landfills and more importantly allowed more than 8 tons of these materials to be reused by local schools, nonprofit organizations and United Way agencies. With the assistance of United Way, more than 140 schools and charitable organizations received much needed office supplies and equipment, including binders, file folders, labels, paper clips, pens, pencils, highlighters, adding machines and monitors. These items had been used and discarded by staff, with no remaining fair market value. X X X X 1 1 X X X X X X 0 1 0 0 0 0 0 1 1 0 B Entwisle 0 300000 0 0 0 0 0 0 0 0 0 300000 P Lange 26222 488119 0 0 0 16500 0 30029 0 8786 26222 543434 T Lomax 28245 209833 0 0 0 0 0 0 0 0 28245 209833 H Martin 24154 262008 0 0 0 0 0 0 0 0 24154 262008 J Siedow 28000 165880 0 82400 0 0 0 30029 0 6870 28000 285179 P Wynn Jr 32000 248441 0 0 0 0 0 30029 0 5501 32000 283971 V Haynes 589102 0 145428 0 38552 0 483046 0 15588 0 1271716 0 J Gibson 344911 0 90000 0 14275 0 39312 0 22973 0 511471 0 E Holden 342075 0 95000 0 11394 0 39014 0 17743 0 505226 0 L Maggart 320483 0 80000 0 14518 0 37962 0 6994 0 459957 0 J Hunter-Cevera 343737 0 62000 0 5265 0 73495 0 10293 0 494790 0 S Sethi 331220 0 60000 0 11304 0 38357 0 1774 0 442655 0 A Mangel 285535 0 90000 0 6833 0 36686 0 18173 0 437227 0 J Trainham 215731 0 45333 0 44405 0 2390 0 5653 0 313512 0 E Story 235899 0 60000 0 772 0 34281 0 18363 0 349315 0 S Snyder 221658 0 36000 0 726 0 22658 0 18502 0 299544 0 E Sax 200717 0 36500 0 654 0 20649 0 18833 0 277353 0 M Roberts 187333 0 35100 0 0 0 20950 0 7427 0 250810 0 C Buchholtz 161510 0 19550 0 351 0 17108 0 22389 0 220908 0 L Cravens 196599 0 47000 0 177940 0 19966 0 13392 0 454897 0 R Zerbonia 168003 0 18840 0 159458 0 17257 0 15143 0 378701 0 J Herstein 123724 0 0 0 205553 0 12830 0 14950 0 357057 0 M Kattan 156556 0 0 0 155186 0 16113 0 16452 0 344307 0 L Gilliland 262197 0 37000 0 3477 0 24500 0 14083 0 341257 0 T Waldrop 12000 241752 0 0 0 0 0 0 0 0 12000 241752 L Clark 65987 0 0 0 34949 0 6782 0 102982 0 210700 0 R Johnson 241049 0 25000 0 29464 0 24500 0 18529 0 338542 0 SchJ_P01_S00_L01a Schedule J, Part I, Line 1a Senior executives utilized domestic charter and first class air travel on a limited basis during FY11. In some instances, a spouse accompanied the senior executives on their RTI business as dictated by local tradition and protocol. The officers reimbursed RTI for non-business spousal travel expenses, and therefore, no income was imputed for spousal travel costs. A tax gross up payment was made to a newly hired senior executive to assist with the executive's relocation. Two highly compensated employees received tax gross up payments related to their international assignments. Two business club memberships, where leaders in industry and business gather, are maintained for RTI business purposes. No taxable compensation has been imputed to the senior executives who use these club memberships exclusively for RTI business purposes. SchJ_P01_S00_L04 Schedule J, Part I, Line 4 In recognition of Dr. Haynes' long service to the institution, her compensation and retirement benefits relative to the market, and retaining Dr. Haynes through 2011, the Board provided Dr. Haynes a supplemental retirement benefit. The amount accrued for this benefit during calendar year 2010 was $433,615. The Institute implemented a long-term incentive plan designed to reward executives for ensuring the organization's finances are strong, and to retain executives. This plan recognizes that the executives' total compensation is below market. Rather than increasing salaries, annual incentives, or supplemental retirement benefits, the Board implemented a cash based retention plan which is dependent on the institution's continued strong performance. Amounts accrued during calendar year 2010 are as follows: V Haynes $24,931; J Gibson $14,811; E Holden $14,514; J Hunter-Cevera $14,477; L Maggart $13,462; S Sethi $13,857; A Mangel $12,186; E Story $10,183; J Trainham $2,390; and M Roberts $1,925. SchJ_P01_S00_L07 Schedule J, Part I, Line 7 RTI maintains variable compensation plans which are reviewed and approved annually by the Compensation Committee of the Board as well as the full Board to establish appropriate measurable targets and objectives along with incentive amounts. Actual performance under the plans is reviewed after the performance period and approved by the Compensation Committee and full Board as well. Amounts paid under these plans during calendar year 2010 are as follows: V Haynes $145,428; J Gibson $90,000; E Holden $95,000; J Hunter-Cevera $62,000; L Maggart $80,000; S Sethi $60,000; A Mangel $90,000; E Story $60,000; J Trainham $22,000; S Snyder $36,000; E Sax $33,500; M Roberts $35,000; C Buchholz $18,500; R Johnson $25,000; L Cravens $17,000; R Zerbonia $13,840; and L Gilliland $37,000. These amounts are included in Schedule J, Part II, column (B)(ii). J Trainham received a non fixed payment of $30,000 in connection with his relocation upon employment with RTI during calendar year 2010. This payment was reported as taxable income and is included in Schedule J, Part II, column (B)(iii). SchJ_P01_S00_L08 Schedule J, Part I, Line 8 RTI recruits its executive leadership from the national labor market, and this practice can introduce additional variability into each executive's initial compensation package. Accordingly, amounts were paid and accrued during the 2010 calendar year that emanated from RTI's offer of employment to certain executives and these items were included in the executive's employment agreement with RTI. Amounts paid were reported as taxable income and are included in the 2010 bonus categorization for each executive that received such payment. Any unpaid accruals are included in the 2010 deferred compensation categorization. SchJ_P02_S00_L00 Schedule J, Part II RTI was established in 1958 by Duke University and The University of North Carolina system as the founding tenant of the Research Triangle Park in NC. It has grown into one of the world's leading independent nonprofit research organizations and is dedicated to conducting research and development that improves the human condition by turning knowledge into practice. Based on RTI's corporate governance structure, compensation of those Board Members employed by supported organizations (i.e. Duke and the UNC System) is reported on rows (ii) and was obtained from the 990 information request questionnaire that was distributed to these listed persons and from Duke University. These amounts were paid by either Duke University or The University of North Carolina (UNC System). Given the supporting relationship with these universities, RTI is required to report these amounts; however, RTI has no influence over this compensation. The reportable compensation of four of the top five highest compensated employees reported in Schedule J, Part II, column (B)(iii) includes additional compensation (i.e. danger pay, housing & other allowances) related to an international assignment. In connection with his employment with RTI, J Trainham participated in various scientific research collaborations with the UNC System, including an appointment as adjunct professor during FY11. RTI received reimbursements from the UNC System for costs related to these research services. Durham County Industrial Facilities & Pollution Control Financing Authority 561379535 266711AA8 2007-11-29 40560000 Finance construction of office buildings and parking deck 0 0 0 Durham County Industrial Facilities & Pollution Control Financing Authority 561379535 266711AC4 2010-02-18 24999384 Finance construction of office building & parking deck 0 0 0 0 0 41187495 0 627495 0 333770 0 0 40853725 0 0 2008 0 0 1 1 0 0 25000732 0 1348 0 340956 0 0 24659776 0 0 2011 0 0 1 1 0 0 0 1 0 0.0087 0.0003 0.0090 1 0 0 0 1 0 0.0152 0.0007 0.0159 1 0 1 0 0 0 1 0 0 0 0 0 1 Nextreme Thermal Solutions Inc J Gibson is a Director of Nextreme 861045 Loan, Equipment Purchase, Contract Services 0 SunTrust Bank P Wynn is a Director of SunTrust Bank 1497954 Credit Facilities, Interest & Fees 0 Archer Daniels Midland Company V Haynes is a Director of Archer Daniels Midland Company 516098 Dept of Energy Cost Share Agreement 0 M Gibson Family Member of J Gibson, VP & CFO 50246 Employment Compensation & Benefits 0 SchL_P04_S00_L00 Schedule L, Part IV V Haynes and J Gibson served on the Board of Directors of the for-profit companies Ziptronix and Nextreme, respectively, representing RTI's interest in each of the companies. These companies were spun-off from RTI's research divisions in March 2000 and December 2004, respectively. RTI holds a minority interest in each company. No directors fee or other compensation was received for serving in these positions. X 1 0 N/A 0 0 1 0 SchM_P01_S00_L33 Schedule M, Part I, Line 33 During FY11, RTI received a donation of a seven piece "Crossing Cultures" artwork for display in an office building on RTI's main campus. The value assigned to this artwork by the donor was less than $5,000. No revenue was recorded on the books by RTI. F990_P03_S00_L04a Form 990, Part III, Line 4a HEALTH RESEARCH is our largest single field of study, encompassing research that ranges from studies of the human genome and the development of new drug compounds to national surveys of health behaviors and the implementation of global health programs. Our activities in DRUG DISCOVERY AND DEVELOPMENT include working with pharmaceutical companies and government agencies to bring new medicines to market, and to ensure the safety and efficacy of those in the marketplace. As part of a comprehensive EDUCATION AND TRAINING RESEARCH program, our experts conduct rigorous studies used to assess and improve the quality of early development, education, and employment programs in the United States and many other countries. We also provide training solutions for forensic scientists and law enforcement. RTI is a leader in SURVEY RESEARCH and SURVEY STATISTICS. With a staff of highly skilled researchers using advanced data collection systems and techniques, we offer broad-based survey services for public and private sector studies. Our SURVEY RESEARCH SERVICES include study design, instrument development and evaluation, pretests and pilot studies, mail surveys, telephone surveys, face-to-face field surveys, Web surveys, records abstraction, collection of biological specimens, mixed-mode surveys, subject tracing, focus groups, and health registries. Our STATISTICS RESEARCH experts conduct complex statistical analyses to support wide ranging research programs in both laboratory and social sciences as well as ensure the quality, validity, and reliability of our research products and results by applying quality control and assurance procedures from sampling design through data collection and analysis. Our multidisciplinary ECONOMIC & SOCIAL RESEARCH team includes experts in economics, demography, health, education, urban planning, and public financing. We provide independent, objective information and analyses that help to inform and improve public policy discourse and advance economic and social development decision making in technology economics and policy, crime and justice, and food and agricultural policy. We provide ADVANCED TECHNOLOGY RESEARCH & DEVELOPMENT services through the identification, development, application, and transfer of leading-edge technologies in areas including Materials Science; Electronics; Microfabrication; Information Technology; Innovation Advising; and Technology Economics & Policy. Our ENERGY RESEARCHERS develop advanced energy technologies to address today's significant energy challenges, such as climate change, energy security, energy efficiency, sustainability, and water conservation, Our research supports national and worldwide goals of reliable, sustainable, economically viable, and secure energy supplies. We are a leading provider of ENVIRONMENTAL RESEARCH SERVICES for the U.S. Environmental Protection Agency and other government agencies. We conduct large-scale environmental management projects for both government and industry, helping them make critical policy and regulatory decisions. Our LABORATORY & CHEMISTRY SERVICES support RTI research with state-of-the-art instrumentation, technologies, and processes. Our lab specifications and procedures emphasize quality control and excellence at every level of activity to meet the expectations and needs of our clients. F990_P06_S0A_L02 Form 990, Part VI, Section A, Line 2 T Darden & E Johnson - Family Relationship; T Darden & W Moore - Business Relationship; T Darden & P Rizzo - Business Relationship; P Lange & J Siedow - Business Relationship; P Lange & P Wynn - Business Relationship; W Moore & P Rizzo - Business Relationship; W Moore & E Johnson - Business Relationship; W Moore & P Scott - Business Relationship; T Darden & E Johnson - Business Relationship; T Darden & R Ingram - Business Relationship; R Ingram & P Wynn - Business Relationship F990_P06_S0A_L06 Form 990, Part VI, Section A, Line 6 Research Triangle Institute is a non-profit corporation incorporated under the laws of the State of North Carolina. The Members of the corporation include the persons who at the time occupy the following positions: President, The University of North Carolina; President, Duke University; One member of the Board of Trustees of Duke University, appointed by the Chair of the Board of Trustees of Duke University, for one or more terms of three years; and One member of the Board of Governors of The University of North Carolina, appointed by the Chair of the Board of Governors of The University of North Carolina, for one or more terms of three years. The Members shall elect the Governors, review and act on fundamental corporate transactions approved by the Governors, and take such other actions as may be required by law. No part of the earnings of the Corporation shall inure to the benefit of any member or individual. F990_P06_S0A_L07a Form 990, Part VI, Section A, Line 7a The Members shall elect the Governors as described in the Bylaws of the Corporation. F990_P06_S0A_L07b Form 990, Part VI, Section A, Line 7b The Members shall review and act on fundamental corporate transactions approved by the Governors, and take such other actions as may be required by law. Fundamental corporate transactions are described in the Articles of Incorporation. F990_P06_S0B_L11b Form 990, Part VI, Section B, Line 11b The Form 990 with required schedules was provided to the full Board of Governors prior to filing via posting on RTI's hosted board communication solution, Directors Desk. In addition, RTI management reviewed the process and steps undertaken in completing the form on multiple occasions with the Audit and Compensation Committees of the Board, including a review of the file ready form with the Audit Committee prior to dissemination to the full Board. F990_P06_S0B_L12c Form 990, Part VI, Section B, Line 12c Members of the Board of Governors, Officers, and Key Employees are required to complete an annual conflict of interest disclosure in accordance with the organization's policies and procedures. Each disclosure is reviewed by the Audit Committee Chair, Chair of the Board of Governors, or the Chief Ethics Officer to determine whether a conflict of interest exists, and if so, whether it appears to be significant and may warrant further review according to the standards and guidelines of the policy. F990_P06_S0B_L15 Form 990, Part VI, Section B, Line 15 Each year, Research Triangle Institute (the "Institute") management seeks the review and approval of the Institute's Compensation Committee and Board of Governors ("Board") to ensure that the total compensation packages for its Chief Executive Officer (CEO) and other senior executives listed below are reasonable. The CEO and other senior executives are not involved in the Compensation Committee and Board's decision regarding the reasonableness of the executive compensation packages. The Compensation Committee and Board use independent compensation surveys conducted by nationally recognized independent firms. The independent survey includes compensation paid by comparable institutions (taxable as well as non-taxable) for functionally comparable positions and in comparable geographic labor markets. The Compensation Committee and Board also use an independent executive compensation consulting firm to review the survey data and provide comments opining on the reasonableness of compensation for the Institute's senior executives. In 2010, the study covered the following executive positions: Victoria F Haynes, President & Chief Executive Officer; James J Gibson, Executive Vice President & Chief Financial Officer; Satinder K Sethi, Executive Vice President, Operations Group; Lon E Maggart, Executive Vice President, International Development Group; E Wayne Holden, Executive Vice President, Social, Statistical and Environmental Sciences; Jennie Hunter-Cevera, Executive Vice President, Discovery and Analytical Sciences; G Edward Story, Senior Vice President, General Counsel, and Corporate Secretary; Allen W Mangel, Senior Vice President, Health Solutions; Martha J Roberts, Unit Vice President, Chief HR Officer; and James A Trainham, Vice President, Stategic Energy Initiatives. F990_P06_S0B_L16b Form 990, Part VI, Section B, Line 16b RTI and its staff belong to and participate in consortiums and associations that are consistent with RTI's mission to improve the human condition. These affiliations are neither in form nor substance a joint venture for federal income taxation. While RTI has not entered into a joint venture with a taxable entity, RTI has adopted a joint venture policy in order to evaluate its participation for federal income tax purposes. Additionally, certain federal contracts are awarded on a cost share basis whereby a cost share subcontractor reimburses RTI for a percentage of the total contract cost. Cost share arrangements exist primarily with unrelated taxable entitites. F990_P06_S0C_L19 Form 990, Part VI, Section C, Line 19 The organization makes its governing documents, conflict of interest policy and financial statements available to the public upon request. F990_P07_S0A_L01a Form 990, Part VII, Section A, Line 1a In connection with his employment with RTI, J Trainham participated in various scientific research collaborations with the UNC System, including an appointment as adjunct professor during FY11. RTI received reimbursements from the UNC System for costs related to these research services. F990_P07_S0A_L01b Form 990, Part VII, Section A, Line 1b RTI was established in 1958 by Duke University and The University of North Carolina system as the founding tenant of the Research Triangle Park in NC. It has grown into one of the world's leading independent nonprofit research organizations and is dedicated to conducting research and development that improves the human condition by turning knowledge into practice. Based on RTI's corporate governance structure, compensation of those Board Members employed by supported organizations (i.e. Duke and the UNC System) is reported in column (E) and was obtained from the 990 information request questionnaire that was distributed to these listed persons and from Duke University. These amounts were paid by either Duke University or The University of North Carolina (UNC System). Given the supporting relationship with these universities, RTI is required to report these amounts; however, RTI has no influence over this compensation. The following individuals listed on Part VII, Section A, column (A) devoted an estimated average of 40 hours per week to Duke University (the related supported organization): J Siedow and P Wynn. P Lange devoted an estimated average of 65 hours per week to Duke University and an estimated average of 1 hour per week to several organizations related to Duke University. F990_P11_S00_L05 Form 990, Part XI, Line 5 Equity in gains of affiliates & subsidiaries = 3,070,070; Pension related changes = (641,330); Unrealized market losses = (4,041,101) Research Triangle Institute Global Research Corp LLC RTIGR PO Box 12194 Research Triangle Park NC 27709 560686338 None NC 0 0 N/A Duke University 2138 Campus Drive Durham NC 27708 560532129 University NC 501(c)(3) 2 N/A 0 The University of North Carolina UNC System University of North Carolina Chapel Hill NC 27599 566001393 University NC 115 N/A 0 RTI-PCCO Parents Child Care Organization PO Box 12574 Research Triangle Park NC 27709 561593799 Child-Care Center NC 501(c)(3) 9 N/A 0 RTI Post Retirement Health Benefits Trust RTI VEBA PO Box 12194 Research Triangle Park NC 27709 561855400 Retiree Health Benefits NC 501(c)(9) N/A 1 Center for Health Economics Research CHER PO Box 12194 Research Triangle Park NC 27709 042703180 Inactive MA 501(c)(3) 7 N/A 1 RTI Ziptronix Equity Associates LLC PO Box 12194 Research Triangle Park NC 27709 300033837 Investment Company NC N/A Excluded 0 213475 0 0 1 0.53295 RTI Polska SP zoo UI Walecznych Warsaw PL European Collaboration PL N/A C 88736 0 1 Sizanang Nieuw Mucklenueck Pretoria SF Research SF N/A C 45350 0 1 Research Triangle Institute International (Hong Kong) Limited 15 Queens Road Central Central HK Investment Company HK N/A C 0 125069 1 1 1 0 1 0 0 0 0 0 0 1 1 1 1 1 1 1 0 Sizanang a-i 14623 Cash value Research Triangle Institute International (Hong Kong) Limited b 125069 Cash value RTI-PCCO Parents Child Care Organization b 95323 Cash value Sizanang q 53369 Cash value RTI Polska SP zoo q 165593 Cash value RTI Post Retirement Health Benefits Trust RTI VEBA p 1069097 Cash value RTI Post Retirement Health Benefits Trust RTI VEBA q 1057176 Cash value SchR_P05_S00_L02 Schedule R, Part V, Line 2 In connection with the dissolution of RTI Polska and Sizanang, RTI forgave loans of 165,593 and 53,369, respectively, during FY11.