2011-11-10T11:29:13-08:00 2010-12-31 RK Taylor & Associates 2890 North Main St Suite 305 Walnut Creek CA 94597 990 2010-01-01 941160950 SRI International SRII 6508594304 333 Ravenswood Ave Menlo Park CA 94025 Thomas J Furst 2011-11-10 John M Kikuchi 9259447666 2010 2016-03-07 17:11:31Z Curtis R Carlson 333 Ravenswood Ave Menlo Park CA 94025 443335053 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 8 2101 55205951 -2942791 40307810 43076732 326553190 357981268 4511000 30370000 8252649 9566157 379624649 440994157 0 0 205742548 219971966 0 0 168832344 194387098 374574892 414359064 5049757 26635093 267333000 322849000 162841000 189586000 104492000 133263000 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. false false 186082000 191316000 Engineering & Systems Division (ESD), SRI's largest group, comprises more than 750 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. The Group's work focuses on the relationship of advanced systems and products to the complex environments in which they must operate. 56547000 56078000 Information and Computing Sciences (ICS) develops and advances 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. 54347000 54928000 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. 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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. 2779527 2779527 147026066 103593769 43432297 5655151 2872882 2782269 55714957 26540050 29174907 78169000 38031000 F 38303000 Tenant allowance 2960000 Remediation reserve 4844000 Pension reserve 159000 Other liabilities 2881000 Loss on investment in subsidiaries 42047000 Lease liability 3086000 Insurance reserve 900000 Client advances and credits 18953000 75830000 440994157 414359064 26635093 547000 1588907 2135907 28771000 444098000 547000 2556843 3103843 440994157 440994157 415327000 967936 967936 414359064 414359064 Part XIII, Line 2d Part XIII, Line 2d: Other expenses and losses per audited F/S Equity in loss of subs $0 Equity investment in affiliates $678000 Income tax benefit $0 Rental expense offset to income $804843 Book-tax difference $-514907 Part XII, Line 2d Part XII, Line 2d: Other revenue amounts included in F/S but not included on form 990 Rental expense $804843 Income tax benefit $250000 Equity in gain of affiliates $1502000 Part XI, Line 8 Part XI, Line 8: Other Changes in Net Assets or Fund Balances Book-tax diff $514907 Income tax benefit $250000 Equity in gain of subsidiaries $1502000 Income tax benefit $ -0 Equity in loss of subs $ -0 Equity investment in affiliates $ -678000 Middle East 1 2 Program Services Improving innovation and R&D systems 349416 Europe 1 4 Program Services NSF Atmospheric Research Facility 1015134 East Asia 1 5 International marketing International marketing 1333484 North America 0 0 Program services NSF Atmospheric Research Facility 914018 3 11 3 11 3612052 3612052 X false false false false false false X true true X X X X X false false true true false false false true false false William S Mark 346338 25000 122061 50385 543784 Walter Moos 315755 75000 71942 37547 500244 Vijendra Jaswal 94195 1579 309702 14633 420109 Vernon Clark 188000 188000 Thomas J Furst 358877 70000 63319 46910 539106 Stephen Ciesinski 296692 40000 20776 50525 407993 Shane Mason 114916 2250 308259 18349 443774 Richard Cramer 194967 14000 33486 242453 Richard Abramson 295338 50000 61760 48389 455487 Norman Winarsky 303023 55000 89060 45004 492087 Laleh Shayesteh 173516 10250 26439 210205 Jon C Mirsalis 274680 37500 6033 45868 364081 John W Prausa 317231 50000 63010 39388 469629 Jerry Harrison 317461 25000 8088 11587 362136 Jean Tooker 212469 35000 15907 47697 311073 Eric Pearson 253461 45000 37361 28959 364781 Douglas A Bercow 215224 5000 109855 40581 370660 Donald Scott Seaton 247000 40000 2674 40676 330350 Dennis Beatrice 275231 46400 34828 42888 399347 Curtis R Carlson 510000 305000 165590 46781 1027371 Carla Woodworth 195677 23000 121861 40360 380898 C Raymond Perrault 275458 12500 24956 50861 363775 Byron Rovegno 140838 15000 20656 25138 201632 Alice Resnick 191208 30000 22841 40879 284928 Adolf Pfefferbaum 345058 16000 20220 33232 414510 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 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 false false false true 23720000 23720000 false false true true false false false false false true false false false false false true false true false false false false false true false false false false 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, Greenland and Taiwan (account in Taiwan closed May, 2010). 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. Client Note 1 - SRI maintains foreign accounts in Japan, Greenland and Taiwan (account in Taiwan closed May, 2010). Technology Venture Management 333 Ravenswood Ave Menlo Park CA 94025 311663741 Support of research CA 501(c)(3) 509(a)(3) N/A true SRI Taiwan Ltd Lane 360 Sect 1 Neihu Rd Taip[ei TW Pharmaceutical qualification TW SRI C Corp -1500 1600 1.00000 Averatek 550 Nuttman St Santa Clara CA 95054 260836519 Circuit components CA SRI C Corp -920000 1730031 0.55410 SRI Holdings 333 Ravenswood Ave Menlo Park CA 94025 931201429 Bus Consult CA SRI C Corp -1000 6000 1.00000 Sarnoff Corporation 201 Washingtron Rd Princeton NJ 08540 222792705 Scientific research NJ SRI C Corp -2658000 56084000 1.00000 true false false false false false false false false false true false false false false true false false Averatek a 73000 Sarnoff Corporation p 200000 Sarnoff Corporation k 567000 Sarnoff Corporation a 247000