2012-11-13T15:10:03-08:00 2011-12-31 RK Taylor & Associates 2890 North Main St Suite 305 Walnut Creek CA 94597 990 2011-01-01 941160950 SRI International SRII 6508594304 333 Ravenswood Ave Menlo Park CA 94025 Thomas J Furst 2012-11-13 true John M Kikuchi 9259447666 2011 2016-02-24 21:20:13Z Curtis R Carlson 333 Ravenswood Ave Menlo Park CA 94025 593641421 false false X www.sri.com/ X 1946 CA SRI is committed to discovery and to the application of science and technology for knowledge, commerce, prosperity, and peace. 10 9 2266 86626672 43076732 38406936 357981268 539077064 30370000 2335962 9566157 9093665 440994157 588913627 0 0 219971966 294901900 0 0 194387098 282136727 414359064 577038627 26635093 11875000 322849000 341880000 189586000 154526000 133263000 187354000 X SRI is committed to discovery and to the application of science and technology for knowledge, commerce, prosperity, and peace. SRI has a broad charter that encourages it to make a difference in the world through basic and applied research, research services, technology development, and commercialization of our innovations. true false 272544400 287090000 Engineering & Systems Division (ESD), SRI's largest group, comprises more than 800 staff members conducting scientific research and development, supporting and deploying technologies and systems, and fielding products for its government and nongovernmental clients. Our expertise includes ionospheric and space research, radar and remote sensing, signal processing and algorithm development, medical devices, robotics, video processing, persistent surveillance, biometrics, signals and electronic intelligence, software engineering, training systems, and wireless communications. 86842700 96079000 Information and Computing Sciences (ICS) conducts scientific research to develop and advance new technologies in machine intelligence, speech and natural language, perception and visual sciences, bioinformatics, formal methods, and computer security. The group's pioneering innovations have been leading the field of computer science for decades. 78869000 80107000 SRI's Physical Sciences Division conducts scientific research to address important technical challenges in chemistry, physics, materials science, mechanics, optics, nanotechnology and many other fields. It offers multidisciplinary teams to solve technical challenges through laboratory experiments, computer simulations, and testing. Its work ranges from fundamental research and laboratory experiments to computer simulations, pilot-scale testing, and systems development. 55428879 493684979 true true false true false false false false false false true false false false true false false true false true true false false false false false false false false true true false false false false false false false false false false false false false false false true true false false false true 516 0 true 2266 true true true true OC false false false false false false false false 0 false false false false false false false false false false false X 10 9 false false false false false false false true true false false false true true true true true true true true true true CA X X Luther Lau 6508595255 333 Ravenswood Ave Menlo Park CA 94025 David Liddle 1.50 X 20000 0 0 Curtis R Carlson 40.00 X X 1455257 0 41180 Richard Brewer 1.50 X 48000 0 0 Leslie Kenne 1.50 X 54000 0 0 Philip J Quigley 1.50 X 54000 0 0 Henry Kressel 1.50 X 54000 0 0 Charles Holloway 1.50 X 57625 0 16500 John J Young Jr 1.50 X 57000 0 0 Vernon Clark 12.00 X 180000 0 0 Mariann Byerwalter 1.50 X 61000 0 0 Samuel H Armacost 11.00 X X 46228 0 16500 Donald Scott Seaton 40.00 X 398691 0 38804 Stephen Ciesinski 40.00 X 444777 0 45727 Eric Pearson 40.00 X 358696 0 26920 Jerry Harrison 40.00 X 453686 0 27659 Laleh Shayesteh 40.00 X 214054 0 28673 Norman Winarsky 40.00 X 534153 0 41180 Richard Cramer 40.00 X 234191 0 32473 Alice Resnick 40.00 X 320242 0 43637 Jean Tooker 40.00 X 345899 0 47630 John W Prausa 40.00 X 563637 0 35364 William S Mark 40.00 X 696676 0 47630 Dennis Beatrice 40.00 X 404388 0 41180 Walter Moos 40.00 X 523032 0 33925 Richard Abramson 40.00 X 464303 0 47630 Byron Rovegno 50.00 X 187377 0 26065 Thomas J Furst 40.00 X 495041 0 41180 C Raymond Perrault 40.00 X 421350 0 46355 Carla Woodworth 40.00 X 341543 0 43637 Douglas Bercow 40.00 X 430522 0 43637 James Crofton 40.00 X 430463 0 17026 Kristin Percoda 40.00 X 418040 0 32773 Adolf Pfefferbaum 40.00 X 227462 0 24267 Mark Clifton 40.00 X 405880 0 49874 11401213 937426 775 false true false University Space Research 10211 Wincopin Circle Columbia MD 21044 Transition support 367706 Reynolds Cleaning Service 1472 Oddstad Dr Redwood City CA 94063 Janitorial 1386092 Pricewaterhousecoopers PO Box 514038 Los Angeles CA 90051 Accounting 477140 Micro Disc 301 Oxford Valley Rd Suite1101 Yardley PA 19067 Image processing 458990 Hitech CM & Design PO Box 620252 Woodside CA 94062 Construction Mgmt 345327 11 38406936 38406936 Scientific research 452450392 452450392 Commercial tech svce 86626672 86626672 539077064 376000 376000 0 7727474 7727474 3323000 4680373 -1357373 -1357373 -1357373 2007383 24383 23038 1983000 -23038 1959962 -23038 1983000 0 0 0 Other income 2723564 2723564 2723564 588913627 455150918 86626672 8729101 0 0 0 0 8190821 1687521 6503300 0 190005356 159845892 30159464 17782731 14726164 3056567 63599604 51377711 12221893 15323388 12689543 2633845 0 2662693 2662693 588994 274972 314022 352556 352556 0 0 151468466 136097184 15371282 68123 32164 35959 25452300 22146907 3305393 6667678 2078089 4589589 0 18935720 13843562 5092158 12140389 11383376 757013 0 1846401 1529096 317305 278960 366 278594 0 17972683 15804959 2167724 2067190 493671 1573519 Rental expense on page 1 -4680373 -4680373 Printing and Publications 559175 30906 528269 Other 5274886 9209213 -3934327 Equipment purchases 40480886 40433683 47203 0 577038627 493684979 83353648 0 2439000 11295187 90031000 73797813 0 90851000 116055000 0 0 0 446000 3868000 4551000 5929000 295501527 186692527 78169000 108809000 11056000 12712000 38303000 0 0 0 7003000 9414000 322849000 341880000 68040000 77371000 34754000 33634000 10962000 3502000 75830000 40019000 189586000 154526000 X 133263000 187354000 133263000 187354000 322849000 341880000 X 11875000 42216000 X false true true X true true X 42596826 47692857 40307810 43076732 38406936 212081161 289639174 341673143 326553190 357981268 539077064 1854923839 0 0 0 332236000 389366000 366861000 401058000 577484000 2067005000 0 145066254 188635880 162710636 192029553 238801140 927243463 145066254 188635880 162710636 192029553 238801140 927243463 1139761537 10082764 8873149 7768450 7983000 8103474 42810837 0 10082764 8873149 7768450 7983000 8103474 42810837 0 99939 967276 1709290 -131000 2723564 5369069 342418703 399206425 376338740 408910000 588311038 2115184906 0.53880 0.53980 0.02020 0.02280 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false false false true false false false false true 346853 false true 232615 579468 false false Part II-B, Line 1i Part II-B, Line 1i - Other Activities Description The amount reflected in Line 1(i) as "other activities" represents the expenses associated with paid staff or management (line 1(b). SRI International contracted with lobbying firms to meet with Members of Congress and their staff to educate them on SRI-specific initiatives that were determined would be of value to the nation in the near- and long-term. These initiatives included areas such as cyber security, bio defense, economic development, educational enhancements and military personnel readiness. 21460908 21460908 189843940 142192075 47651865 5991821 3532958 2458863 74693501 40967494 33726007 3511357 3511357 108809000 Tenant allowance 2689879 Remediation reserve 6560699 Other liabilities 217422 Lease liability 2647000 Client advances and credits 27904000 40019000 588913627 577038627 11875000 1680000 40536000 42216000 54091000 598205000 1680000 7611373 9291373 588913627 588913627 583517000 6478373 6478373 577038627 577038627 Part XIII, Line 2d Part XIII, Line 2d: Other expenses and losses per audited F/S Equity investment in affiliates $1798000 Rental expense offset to income $4680373 Book-tax difference $0 Part XII, Line 2d Part XII, Line 2d: Other revenue amounts included in F/S but not included on form 990 Rental expense $4680373 Income tax benefit $2931000 Equity in gain of affiliates $0 Part XI, Line 8 Part XI, Line 8: Other Changes in Net Assets or Fund Balances Book-tax diff $0 Income tax benefit $2931000 Equity in gain of subsidiaries $0 Merger of subsidiaries $39403000 Equity investment in affiliates $ -1798000 Middle East 1 3 Program Services Improving innovation and R&D systems 627000 Europe 1 4 Program Services NSF Atmospheric Research Facility 1086456 East Asia 1 5 International marketing International marketing 2231000 North America 1 0 Program services NSF Atmospheric Research Facility 1000646 4 12 4 12 4945102 4945102 X false false false false false true X true true X X X X X false false true false true false false true false false William S Mark 358592 180000 158084 47630 744306 Walter Moos 325208 120000 77824 33925 556957 Vernon Clark 180000 180000 Thomas J Furst 364069 50000 80972 41180 536221 Stephen Ciesinski 304469 95000 45308 45727 490504 Richard Cramer 201926 26151 6114 32473 266664 Richard Abramson 302215 80000 82088 47630 511933 Norman Winarsky 311923 120000 102230 41180 575333 Mark Clifton 275192 100000 30688 49874 455754 Laleh Shayesteh 179976 26000 8078 28673 242727 Kristin Percoda 230383 85000 102657 32773 450813 John W Prausa 354731 120000 88906 35364 599001 Jerry Harrison 324354 90299 39033 27659 481345 Jean Tooker 221285 75000 49614 47630 393529 James Crofton 364363 66100 17026 447489 Eric Pearson 267846 50000 40850 26920 385616 Douglas Bercow 222019 65000 143503 43637 474159 Donald Scott Seaton 275231 100000 23460 38804 437495 Dennis Beatrice 281331 60000 63057 41180 445568 Curtis R Carlson 516387 686052 252818 41180 1496437 Carla Woodworth 213000 70000 58543 43637 385180 C Raymond Perrault 285223 105000 31127 46355 467705 Byron Rovegno 150915 25000 11462 26065 213442 Alice Resnick 199192 75000 46050 43637 363879 Adolf Pfefferbaum 212837 11000 3625 24267 251729 Sch J, Part I, Line 7 Part I, Line 7: Non-Fixed payments not listed above The amounts shown in column (ii) of Section B of Part II on the preceding page all represent PBC (Performance Based Compensation). PBC is a financial incentive pool of funds that is pre-approved by the Board of Directors annually. PBC payout is based on the following factors that are designed to align individual and organizational performance with the non-profit mission of SRI: growth in order bookings, growth in contract labor revenue, meeting threshold income from research contracts, generating royalty income, generating new equity assets resulting from spin-off companies, generating new patents, publishing research results, and other such metrics as deemed relevant by management for the fiscal year. Sch J, Part I, Line 5b Part I, Line 5b: Explanation of organization compensation based on revenues of related organization Like most universities and other research institutions, and consistent with the requirements of the Bayh-Dole Act [35 U.S.C. 200 et seq], SRI shares with SRI inventors and other contributors royalties in the form of cash or equity which is received from spin-off and other companies to whom SRI intellectual property is licensed or transferred. As noted above, the IRS approved SRI's Intellectual Property Royalty and Equity Sharing Program in a Private Letter ruling issued in 1999. Of the twenty-five Officers, Key Employees and Highest Compensated Employees (non-Officers and non-Key Employees) shown in Part II, royalty payments totaled $1,522,022 with individual amounts ranging from $314 to $312,044. Sch J, Part I, Line 4 Part I, Line 4: Participated or recieved pay from an equity based compensation arrangement Like most universities and other research institutions, and consistent with the requirements of the Bayh-Dole Act [35 U.S.C. 200 et seq], SRI shares with SRI inventors and other contributors royalties in the form of cash or equity received from spin-off and other companies to whom SRI intellectual property is licensed or transferred. The terms and conditions under which SRI shares such equity are laid out in detail in SRI's Intellectual Property Royalty and Equity Sharing Program that was approved by the IRS in a Private Letter ruling issued in 1999. Of the twenty-five Officers, Key Employees and Highest Compensated Employees (non-Officers and non-Key Employees) shown in Part II, fourteen received equity-based payments totaling $15,585, with individual amounts ranging from $1 to $4,000. Sch J, Part I, Line 1a Part I, Line 1a: Relevant information in regards to selections on 1a. SRI's Travel Policy is structured for compliance with FAR 31.205-46. Under sub-section (d) of this provision, airline costs in excess of the lowest customary standard are allowable in situations to accommodate the physical or medical needs of the traveler. The decision to permit such travel, solely for medical reasons on an individual basis, was issued from the Controller's office within the auspices of the Chief Financial Officer (CFO). CA Infrastructure and Dev 630304653 13033W3N1 2010-03-10 15000000 Research facilities upgrade false false CA Infrastructure and Development Bank 630304653 13033WLH4 2003-09-01 23720000 Research facilities false false 15000000 603000 14160026 236974 2011 false false false true 23720000 23720000 2005 false false true true false false false false true false false false false true false true false false false false false true false false false false X Schedule K, Part III, Lines 4 and 5 Any private use of the facilities is allocated to equity or taxable proceeds. Part V, Question 4 Foreign Accounts SRI maintains foreign accounts in Japan and Greenland. Form 990, Part VI, Line 19 Form 990, Part VI, Line 19: Other Organization Documents Publicly Available SRI's organization documents and financial statements are made available to the public upon request. Copies of the financial statements can also be obtained from the office of the California Secretary of State, where a copy is filed annually. SRI's conflict of interest policy is not made available to the public. Form 990, Part VI, Line 15b Form 990, Part VI, Line 15b: Compensation Review and Approval Process for Officers and Key Employees Among the committees of the SRI Board of Directors is the Compensation and Management Development Committee (the "Committee"), which is composed of four independent directors. On an annual basis, the Committee reviews and approves compensation levels for SRI's Senior Staff and CEO, based on comparable compensation information for similarly-situated companies. This comparable compensation information is developed or obtained by a qualified, experienced and independent compensation consultant, who provides a report and opinion to the Committee regarding the reasonableness of the proposed compensation levels in light of the external data. The minutes of the Committee reflect and document the decisions, and the basis thereof, reached by the Committee, and records relating to the data considered by the Committee and the minutes of the Committee's meetings are maintained by the VP of Human Resources and the General Counsel. In March 2010, the Compensation and Management Development Committee reviewed and approved salaries and incentives for the following Senior Executive positions: President and Chief Executive OfficerSenior Vice President and Chief Financial OfficerVice President, Legal and Business Affairs and General CounselTreasurerVice President, Policy DivisionVice President, Information Computing Sciences DivisionVice President, Biosciences DivisionVice President, Physical Sciences DivisionVice President, Engineering and Systems DivisionVice President, Corporate and Marketing CommunicationsVice President, Human ResourcesVice President, Ventures, Licensing, Strategic Programs and Government Business Development Form 990, Part VI, Line 12c Form 990, Part VI, Line 12c: Explanation of Monitoring and Enforcement of Conflicts SRI maintains, trains its officers, directors and employees regarding, and enforces standards of conduct and conflict-of-interest policies which, among other things, require such persons to identify, disclose and avoid interests that could give rise to ethical conflicts. Training in SRI's code of conduct and its ethics and conflicts-of-interest policies is provided through SRI's Legal Department, as well as through its professional contracts staff, and the ethics and conflict-of-interest policies are posted on SRI's internal website. SRI's ethics officer is reachable by all employees through SRI's ethics "hotline," and SRI's internal audit staff assists the ethics officer in investigating potential violations and recommending remedial measures. Senior management oversees these personnel and policies and takes corrective and, as warranted, disciplinary action. SRI requires its officers and directors to complete an annual disclosure form which is reviewed for potential conflicts. In the event of potential conflicts, the persons involved are barred from participating in the deliberations and decisions regarding the matter which is the subject of the conflict. Form 990, Part VI, Line 11 Form 990, Part VI, Line 11: Form 990 Review Process The Form 990 is reviewed by SRI staff (Financial Analysis, Controller, CEO), outside legal counsel and the audit committee. A copy of the final version of the Form 990 is furnished to the each member of the Board of Directors. Form 990, Part III, Line 4d Form 990, Part III, Line 4d : Other Program Services Description OTHER PROGRAM SERVICES 4: SRI engages in a broad range of other research initiatives in furtherance of its exempt mission, as exemplified by the Biosciences Division and Policy Division. The Biosciences Division is a unique organization of approximately 230 people, with all of the resources necessary to take chemical and biological research programs from "idea to IND" -- from initial discoveries to investigational new drug applications to start human clinical trials. The Biosciences Division performs basic research on disease mechanisms; drug discovery and the development of biologics; and full-service preclinical contract research and development. The Policy Division undertakes research to address problems posed by complex issues in education, health, economic development and human services. Policy experts develop research-based solutions to problems posed by rapid social, technological, and economic changes in society. The research is used to shape innovations to improve productivity and quality of life at home, at school, and in the workplace. Form 990, Part III, Line 2 Form 990, Part III, Line 2: New Services Effective January 1, 2011, SRI's wholly owned subsidiary, Sarnoff, Inc., was dissolved and its assets, liabilities and operations were transferred to SRI. Unrestricted net assets of Sarnoff as of December 31, 2010 totaled $38,000,000. Sarnoff engaged in research, technology development and consulting activities that were similar to those of SRI; such activities substantially further the exempt purposes of SRI. Client Note 1 - SRI maintains foreign accounts in Japan and Greenland. Technology Venture Management 333 Ravenswood Ave Menlo Park CA 94025 311663741 Support of research CA 501(c)(3) 509(a)(3) N/A true Averatek 550 Nuttman St Santa Clara CA 95054 260836519 Circuit components CA SRI C Corp -1010000 1584000 0.63900 SRI Holdings 333 Ravenwsood Ave Menlo Park CA 94025 931201429 Bus Consult CA SRI C Corp 1.00000 Sarnoff Corporation 201 Washington Road Princeton NJ 08540 222792705 Scientific research NJ SRI C Corp 1.00000 false false false false false false false false false false false false false false false false false false