2011-06-29T10:12:49-07:00 2010-09-30 990 2009-10-01 560686338 RESEARCH TRIANGLE INSTITUTE RESE 9195416000 PO Box 12194 Research Triangle Park NC 277092194 James Gibson 9195416000 2011-06-30 2009 2016-02-24 21:20:13Z RTI International Victoria F Haynes PO Box 12194 Research Triangle Park NC 27709 772293645 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. 13 5 3048 0 3136369 145374 0 0 710673001 756080154 1972545 2378876 -508663 -1141723 712136883 757317307 898429 655338 0 0 313740008 350732506 0 0 0 372702662 382750462 687341099 734138306 24795784 23179001 368057670 441855940 158648071 210021021 209409599 231834919 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 412641331 643838 474809472 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 service areas. 248238594 11500 280128959 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 Unites 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 Conflict Management, Mitigation & Reconstruction; Governance & Economic Growth; International Education; International Environmental Services; Global Health; Information & Communication Technology; and Monitoring & Evaluation. 0 0 0 660879925 1 0 0 1 0 0 0 0 0 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 0 0 0 1 1 1 0 0 1 1190 0 0 3048 1 1 1 1 AE AM BC BG BN CA CH EG ES ET GH GT GV ID IZ JO KE LI MA MI ML MO MZ NP OC PK PL RP RW SF SG SP TZ UG UK UP 0 0 0 0 0 0 0 13 5 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 CA GA X J Gibson - Chief Financial Officer 9195416000 3040 Cornwallis Road PO Box 12194 Research Triangle Park NC 27709 T Darden 2 X 15000 0 0 E Johnson Jr 2 X 22427 0 0 P Lange 2 X 18250 505164 36909 T Lomax 2 X 15250 223376 0 H Martin 2 X 11250 300000 0 W Moore Jr 2 X 25500 11000 0 T Nagle 2 X 16500 222482 0 H Pinnix-Ragland 2 X 0 0 0 P Rizzo 2 X 17000 0 0 P Scott III 2 X 20875 0 0 J Siedow 2 X 19749 247912 36330 T Waldrop 2 X 16742 303375 0 P Wynn Jr 2 X 21500 248532 34699 V Haynes 40 X X 721143 0 411061 J Gibson 40 X 429270 0 51330 E Holden 40 X 418781 0 45494 S Sethi 40 X 395940 0 30201 L Maggart 40 X 395401 0 34026 A Mangel 40 X 355451 0 44517 L Clark 40 X 319266 0 38143 E Story 40 X 275504 0 42379 J Hunter-Cevera 40 X 273092 0 24691 S Snyder 40 X 248175 0 40253 E Sax 40 X 226215 0 38989 C Buchholtz 40 X 151829 0 30983 L Cravens 40 X 402373 0 27950 A Haines 40 X 357595 0 6829 R Zerbonia 40 X 321584 0 29581 R Johnson 40 X X 320732 0 36553 M Kattan 40 X 316969 0 29602 L Gilliland 40 X 289530 0 39564 W Goodlett 0 X 110000 0 0 6548893 2061841 1110084 664 1 1 0 Headway Corporate Resources 421 Fayetteville Street Suite 1020 Raleigh NC 27601 Contract Labor 37319233 HR Directions Int'l Research Partners/Greene Resources 805 Spring Forest Road Raleigh NC 27609 Contract Labor 12956394 Crown Agents Consultancy 818 Connecticut Avenue NW Suite 840 Washington DC 20006 Procurement Logistics 11848489 G4S Risk Management ArmourGroup Services Egginton House 25-28 Buckhingham Gate London UK SW1E 6LD Security Services 8490100 Unity Resources Group 7F Albwardy Building Khalid Bin Waleed Street Dubai AE Security Services 8203370 357 0 Research 541700 475527545 472391176 3136369 0 International Development 541900 280552609 280552609 0 0 0 0 0 0 756080154 2073944 0 0 2073944 0 0 0 0 0 0 0 0 0 0 14558697 722573 14552800 423538 5897 299035 304932 0 0 304932 Foreign Currency Gain/Loss 900099 -1141723 -1141723 0 0 0 0 0 0 -1141723 757317307 751802062 3136369 2378876 643838 643838 0 11500 11500 5658499 5658499 1032725 1032725 235620637 207151466 28469171 20637402 17817624 2819778 70538791 59510057 11028734 17244452 14709518 2534934 3164714 560520 2604194 1190091 8602 1181489 318116 318116 252678586 246845034 5833552 19953659 16800916 3152743 29858263 27902311 1955952 436826 436826 18539916 18024506 515410 19044400 17338693 1705707 11737901 11130481 607420 1587192 1587192 14021954 13631627 390327 2396157 890203 1505954 Taxes, Net of Refunds 549362 671453 -122091 Memberships 540676 237815 302861 Miscellaneous 6094461 6059941 34520 Business Meals 638188 496994 141194 734138306 660879925 73258381 0 33971681 26731507 137295661 177533266 13210254 20084170 246473123 107922088 116207848 138551035 58284096 73426809 6196822 1846325 463610 2891308 3219218 368057670 441855940 78275374 83129678 26853844 39448513 39205000 63307601 8290948 14313853 15844281 158648071 210021021 X 207617293 229891002 260210 345302 1532096 1598615 209409599 231834919 368057670 441855940 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 318116 0 0 318116 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 151938638 64874131 87064507 0 0 0 0 0 62669276 43047957 19621319 0 29190796 0 29190796 138551035 -22921 C Wall Wani Foundation 270631 F George Watts Hill Foundation 1598615 F 1846325 Security Deposits 753988 Receivable from Subsidiaries 226664 IRC 457(b) Salary Deferral Plan 1725082 Capitalized Software Costs 186573 Deferred Bond Charges 326911 3219218 Other Accrued Expenses 15772173 Capital Lease Obligation 72108 15844281 757317307 734138306 23179001 924620 0 0 0 -1678301 -753681 22425320 763596047 3433675 0 0 1993634 5427309 758168738 0 -851431 -851431 757317307 741170727 0 0 0 7653751 7653751 733516976 0 621330 621330 734138306 SchD_P10_S00_L00 Schedule D, Part X 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 foreign countries did not result in significant income taxation in these countries. For the year ended September 30, 2010, the international tax expense was completely offset with a US tax benefit that arose from a US net operating loss claim. While the US tax loss was incurred in a prior period, the opportunity to carry it back and claim a US tax refund arose during fiscal year 2010. All not-for-profit organizations, including the Institute, are subject to the implementation provisions of FASB ASC Topic 740 Income Taxes (formerly referenced as FASB Interpretation No. 48, Accounting for Uncertainty in 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. SchD_P11_S00_L08 Schedule D, Part XI, Line 8 Equity in Losses of Affiliates = (1,306,003); Loss on Investment in Subsidiaries = (372,298) SchD_P12_S00_L02d Schedule D, Part XII, Line 2d Revenue of Subsidiaries, Net Eliminations = 2,607,786; Charitable Contributions = (638,628); Other Income Impact of Consolidation = 7,178; Income Tax Benefit = 17,298 SchD_P12_S00_L04b Schedule D, Part XII, Line 4b Gain on Disposal of Fixed Assets = 299,035; Foreign Currency Loss = (1,150,466) SchD_P13_S00_L02d Schedule D, Part XIII, Line 2d Gain on Disposal of Fixed Assets = (299,035); Foreign Currency Loss = 1,150,466; Impact of Consolidation = 2,987,262; MTM Loss = 2,509,055; Loss on Affiliate 1,306,003 SchD_P13_S00_L04b Schedule D, Part XIII, Line 4b Charitable Contributions = 638,628; Income Tax Benefit = (17,298) 1 Central America and the Caribbean 5 12 Program Services Education; Governance & Economic Growth; Health; Information & Communication Technology; Statistics Research 7157926 East Asia and the Pacific 18 201 Program Services Education; Environmental Research Services; Governance & Economic Growth; Health; Information & Communication Technology 27093277 Europe (including Iceland and Greenland) 4 33 Program Services Governance & Economic Growth; Health; Information & Communication Technology 11132320 Middle East and North Africa 11 565 Program Services Education; Environmental Research Services; Governance & Economic Growth; Information & Communication Technology 110016759 North America (including Canada and Mexico, but not the United States) 0 0 Program Services Information & Communication Technology 177977 Russia and the newly independent States 4 21 Program Services Education; Governance & Economic Growth; Health 2346406 South America 0 0 Program Services Education; Governance & Economic Growth; Statistics Research 280825 South Asia 1 6 Program Services Economic & Social Research; Education; Environmental Research Services; Governance & Economic Growth; Health; Information & Communication Technology; Statistics Research; Survey Research 11281675 Sub-Saharan Africa 63 389 Program Services Economic & Social Research; Education; Environmental Research Services; Governance & Economic Growth; Health; Information & Communication Technology; Monitoring & Evaluation; Statistics Research; Survey Research 126752691 Sub-Saharan Africa Investments Europe (including Iceland and Greenland) Investments East Asia and the Pacific Grantmaking 10000 Sub-Saharan Africa Grantmaking 1500 106 1227 296251356 East Asia and the Pacific Charitable Contribution to International Federation of Red Cross and Red Crescent Societies in support of earthquake relief efforts in Indonesia. 10000 Wire Transfer 0 Cash 1 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 Consistent with our mission, RTI is committed to helping people by giving back to communities where we are located when possible. As described in Schedule I, RTI seeks staff recommendations for worthy charitable causes, such as that received from our office in Indonesia to support the commmunity in recovery from natural disaster. During FY10, RTI contributed $10,000 to earthquake relief efforts in Indonesia. The contribution was directed to the International Federation of Red Cross and Red Crescent Societies, which has comprehensive expertise and capabilities in disaster situtations, and allows donors to direct contributions to a specific disaster event. 1 NC Zoological Society 4403 Zoo Pkwy Asheboro NC 27205 560990900 501(c)(3) 300000 0 Cash Charitable Contribution American Red Cross 4737 University Drive Durham NC 27717 560196605 501(c)(3) 76077 0 Cash Charitable Contribution Triangle United Way 2400 Perimeter Park Dr Morrisville NC 27560 561949103 501(c)(3) 75000 800 Cash, FMV Computer Equipment Charitable Contribution National Merit Scholarship Corporation 1560 Sherman Ave Suite 200 Evanston IL 60201 362307745 501(c)(3) 14210 0 Cash Scholarship Funding Research Triangle Environmental Health Collaborative 9200 Leslieshire Drive Raleigh NC 27615 204594346 501(c)(3) 10000 0 Cash Charitable Contribution Friends of the NC State Museum of Natural Sciences PO Box 26928 Raleigh NC 27611 561240806 501(c)(3) 8551 0 Cash Charitable Contribution 6 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 issues, via the RTI media, a call for recommendations from staff in December of each year. It convenes no later than February to make its recommendations to the Chief Executive Officer (CEO) and Chief Financial Officer (CFO). The decisions are reported to staff, thereby setting the program for the fiscal year. Contributions are made during the second and third quarters of 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 support, 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 location 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. X X X 1 1 X X X X X X 1 1 0 0 0 0 0 1 1 0 V Haynes 546877 0 135665 0 38601 0 396937 0 14124 0 1132204 0 J Gibson 328271 0 84000 0 16999 0 27439 0 23891 0 480600 0 E Holden 322350 0 87000 0 9431 0 27377 0 18117 0 464275 0 S Sethi 325419 0 57000 0 13521 0 27252 0 2949 0 426141 0 L Maggart 308120 0 74000 0 13281 0 27171 0 6855 0 429427 0 A Mangel 265552 0 85068 0 4831 0 26903 0 17614 0 399968 0 L Clark 265419 0 47500 0 6347 0 24500 0 13643 0 357409 0 E Story 220694 0 54000 0 810 0 24572 0 17806 0 317882 0 J Hunter-Cevera 168155 0 98100 0 6838 0 23708 0 982 0 297783 0 S Snyder 210198 0 37000 0 977 0 21606 0 18647 0 288428 0 E Sax 191875 0 33000 0 1340 0 19855 0 19134 0 265204 0 C Buchholtz 139024 0 12500 0 305 0 14357 0 16626 0 182812 0 L Cravens 165202 0 7250 0 229921 0 16833 0 11117 0 430323 0 A Haines 179868 0 7000 0 170727 0 1139 0 5689 0 364423 0 R Zerbonia 157040 0 11026 0 153518 0 16194 0 13387 0 351165 0 R Johnson 243516 0 37803 0 39413 0 24500 0 12053 0 357285 0 M Kattan 152922 0 0 0 164047 0 15746 0 13856 0 346571 0 L Gilliland 246260 0 40000 0 3270 0 24500 0 15064 0 329094 0 W Goodlett 0 0 0 0 110000 0 0 0 0 0 110000 0 P Lange 18250 488664 0 0 0 16500 0 30128 0 7717 18250 543009 T Lomax 15250 223376 0 0 0 0 0 0 0 0 15250 223376 H Martin 11250 300000 0 0 0 0 0 0 0 0 11250 300000 T Nagle 16500 222482 0 0 0 0 0 0 0 0 16500 222482 J Siedow 19749 247912 0 0 0 0 0 30128 0 6666 19749 284706 T Waldrop 16742 303375 0 0 0 0 0 0 0 0 16742 303375 P Wynn Jr 21500 248532 0 0 0 0 0 30128 0 5036 21500 283696 SchJ_P01_S00_L01a Schedule J, Part I, Line 1a Limited charter air travel was utilized by senior executives in the US and on the continents of Africa and Asia where commercial flights were unavailable. 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. 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 connection with W Goodlett's employment agreement, he received $110,000 during calendar year 2009. 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. This benefit will be paid to Dr. Haynes upon retirement in 2011, provided she remains employed with the institution through 2011. The amount accrued for this benefit during calendar year 2009 was $367,500. 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 2009 are as follows: V Haynes $4,937; J Gibson $2,939; E Holden $2,877; S Sethi $2,752; L Maggart $2,671; A Mangel $2,403; E Story $1,987; and J Hunter-Cevera $2,875. SchJ_P01_S00_L07 Schedule J, Part I, Line 7 The Compensation Committee approved non fixed payments for the following persons in connection with the termination of the IRC 457(f) plan: V Haynes $4,375; J Gibson $2,706; S Sethi $2,606; and R Johnson $2,601. 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 measureable targets and objectives along with incentive amounts. Actual performance under the plan 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 2009 are as follows: V Haynes $135,665; J Gibson $84,000; E Holden $87,000; S Sethi $57,000; L Maggart $74,000; A Mangel $85,068; L Clark $47,500; E Story $54,000; J Hunter-Cevera $14,600; S Snyder $34,000; E Sax $33,000; C Buchholtz $12,500; A Haines $7,000; R Zerbonia $11,026; R Johnson $30,000; and L Gilliland $40,000. These amounts are included in Schedule J, Part II, column (B). 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 during the 2009 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. These payments were reported as taxable income and are included in the 2009 bonus categorization for each executive that received such payment. 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, NC and has grown into one of the world's leading independent nonprofit research organizations, dedicated to conducting research and development that improves the human condition by turning knowlege 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 each 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. Durham County Industrial Facilities & Pollution Control Financing Authority 561379535 266711AA8 2007-11-29 40560000 Finance construction of office buildings & parking deck 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 41187495 0 0 0 333770 0 40853725 2008 0 0 1 1 25000497 0 0 9325072 340956 0 15334469 2011 0 0 0 1 0 0 0 1 0 0.0091 0.0004 0.0095 1 0 0 0 0 0 0.0136 0 0.0136 1 0 1 0 0 0 1 0 0 0 0 0 1 siXis Inc J Gibson is a Director of siXis 216688 Purchase Assets, Contract Services 0 Ziptronix Inc V Haynes is a Director of Ziptronix 990926 Equity Investment, Loan Repayment, Interest & Contract Services 0 Archer Daniels Midland Company V Haynes is a Director of Archer Daniels Midland Company 136152 Dept of Energy Cost Share Agreement 0 SunTrust Bank P Wynn is a Director of SunTrust Bank 1457927 Credit Facilities, Interest & Fees 0 S Liegey Family Member of S Snyder, Vice President 109759 Employment Compensation & Benefits 0 S Johnson Family Member of R Johnson, Former Officer 48041 Employment Compensation & Benefits 0 K Felder Family Member of V Haynes, President 46359 Employment Compensation & Benefits 0 M Gibson Family Member of J Gibson, Vice President & CFO 28792 Employment Compensation & Benefits 0 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, the military, 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 technologies that seek to generate cleaner and more efficient sources of energy. Through these efforts, we support national and worldwide goals of energy security and creation of a reliable, sustainable, and economically viable 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 & P Scott - 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_L11 Form 990, Part VI, Section B, Line 11 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 2009, 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; Lorena K Clark, Senior Vice President, Human Resources and Corporate Affairs; Allen W Mangel, Senior Vice President, Health Solutions; Stephen P Snyder, Vice President & Controller; and E Ward Sax, Vice President, Treasurer & Chief Risk Officer. 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_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, NC and has grown into one of the world's leading independent nonprofit research organizations, dedicated to conducting research and development that improves the human condition by turning knowlege 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. F990_P11_S00_L02b Form 990, Part XI, Line 2b The financial statements of Research Triangle Institute were audited on a consolidated basis by the independent accounting firm PricewaterhouseCoopers, LLP. SchL_P04_S00_L00 Schedule L, Part IV V Haynes and J Gibson were on the Board of Directors for one or more of the following for-profit companies representing RTI's interest in each of the companies: siXis, Nextreme and Ziptronix. These companies were spun-off from RTI's research divisions in June 2008, December 2004, and March 2000, respectively. RTI holds a minority interest in each company. No compensation was received from these companies for serving on the respective boards. SchR_P05_S00_L02 Schedule R, Part V, Line 2 MasiMax Resources Incorporated merged with RTI in December 2009. 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 The University of North Carolina UNC System University of North Carolina Chapel Hill NC 27599 566001393 University NC 115 N/A Center for Health Economics Research CHER PO Box 12194 Research Triangle Park NC 27709 042703180 Health Economics Research MA 501(c)(3) 7 N/A 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 RTI Post Retirement Health Benefits Trust RTI VEBA PO Box 12194 Research Triangle Park NC 27709 561855400 Health Benefits to Retirees NC 501(c)(9) N/A 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 RTI Polska SP zoo UI Walecznych Warsaw PL European Collaboration PL N/A C 118869 69434 1 MasiMax Resources Incorporated PO Box 12194 Research Triangle Park NC 27709 521904196 Consulting MD N/A C 0 0 1 Sizanang Nieuw Mucklenueck Pretoria SF Research SF N/A C -20219 25009 1 1 0 0 1 0 0 0 0 0 0 0 1 1 1 0 1 0 1 MasiMax Resources Incorporated l 62576 Sizanang a-i 19559 Sizanang d 70359 RTI Polska SP zoo d 156305 MasiMax Resources Incorporated p 170818