2022-08-12T11:49:04-05:00 2021-09-24 346565596 ERNST & YOUNG US LLP 425 HOUSTON STREET STE 600 FORT WORTH TX 76102 990 2020-09-26 741070544 Southwest Research Institute SOUT 2105222077 6220 Culebra Road San Antonio TX 782385166 Beth Ann Rafferty CFO & Vice President, Finance 2105222077 2022-08-12 0 Beth Ann Rafferty 999009999 Jodi Rosser P01255710 8173351900 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z Beth Ann Rafferty 6220 Culebra Road San Antonio TX 782385166 748419727 0 X www.swri.org X 1966 TX Benefiting government, industry & the public through innovative science & technology. 15 11 3068 0 55303883 0 194590 233021 696215996 726300444 9030556 21462811 693271 317057 706134413 748313333 350409 397106 0 0 347535481 362459712 0 0 0 312637304 334771325 660523194 697628143 45611219 50685190 820589755 894584988 191700314 213158979 628889441 681426009 X Southwest Reseach Institute(SwRI) exists to benefit government, industry & the public by conducting innovative applied & basic research; developing/transferring technology; establishing, maintaining & operating research facilities; & providing a challenging and rewarding work environment to fulfill its scientific, charitable, testing for public safety, literary and educational purposes. 0 0 587801334 397106 726300444 Southwest Research Institute exists to benefit government, industry and the public by conducting innovative applied and basic research developing/transferring technology; establishing, maintaining and operating research facilities; and providing a challenging and rewarding work environment to fulfill its scientific, charitable, testing for public safety, literary and educational purposes.Scientific Research and Development directly related services are described at our website: www.swri.org. Additional information regarding federal government technical programs is available by searching for Southwest Research Institute single audit at http://harvester.census.gov/facdissem/. 587801334 1 1 0 1 0 0 0 0 0 0 1 0 0 1 1 1 0 1 0 1 1 0 0 0 0 0 0 1 1 1 0 0 0 0 0 1 1 1 1 0 0 0 1 1 1 1 1 0 1 635 0 1 3068 1 1 1 1 CH 0 0 0 0 0 0 0 0 1 0 X 15 11 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 OK CA NH X Beth Ann Rafferty 2106845111 6220 Culebra Road San Antonio TX 782385166 Adam Hamilton President and CEO 40.00 0.10 X X 1253141 0 58632 Walter D Downing Jr Exec. Vice Pres. and COO 40.00 0.10 X X 888379 0 51650 J Dan Bates-See Sch J Part III Director/Former Pres- Ret. 3.00 0.10 X 370911 0 0 Milton B Lee II Director 3.00 0.10 X 38000 0 0 John C Korbell Director 3.00 0.10 X 44750 0 0 Phillip J Pfeiffer Director 2.00 0.10 X 37500 0 0 Ricardo Romo Director 2.00 0.10 X 35000 0 0 Wayne S Alexander Chairman 3.00 0.10 X 69250 0 0 Jan Newton Director 3.00 0.10 X 42500 0 0 Eugene L Ames Director 2.00 0.10 X 35000 0 0 Phillip D Green Director 2.00 0.10 X 36500 0 0 Sam G Dawson Vice Chairman 2.00 0.10 X 35750 0 0 Mary Ann Rankin Director 2.00 0.10 X 33500 0 0 Kimberly S Lubel Director 2.00 0.10 X 36500 0 0 David S Zachry Director 2.00 0.10 X 0 0 0 James L Burch Vice President 40.00 0.00 X 643545 0 55287 Beth Ann Rafferty CFO and Secretary 40.00 0.00 X 506711 0 48205 Steven D Marty Vice President 40.00 0.00 X 469292 0 50934 Danny M Deffenbaugh Vice President 40.00 0.00 X 439083 0 48570 Daniel W Stewart Vice President 40.00 0.00 X 432136 0 56828 C Nils Smith Vice President 40.00 0.00 X 425223 0 56917 Mary Massey Vice President 40.00 0.00 X 448487 0 46460 Steven W Dellenback Vice President 40.00 0.00 X 399176 0 52536 Michael MacNaughton Vice President 40.00 0.00 X 359515 0 31951 Paul Easley Vice President 40.00 0.00 X 311513 0 47586 Monica R Trollinger General Counsel 40.00 0.00 X 294728 0 56493 Kenneth H Bennett Jr Vice President 40.00 0.00 X 285033 0 28987 Linda Boehme Treasurer 40.00 0.00 X 267197 0 44872 Anthony Magaro Vice President 40.00 0.00 X 270377 0 46514 Sol A Stern Associate Vice President 40.00 0.00 X 498183 0 59483 Scott J Bolton Associate Vice President 40.00 0.00 X 452570 0 59745 William M Thompson President-Signature Science 40.00 0.00 X 450374 0 29656 Robin Mihran Assistant Vice President 40.00 0.00 X 418704 0 55392 Michael A Regester Vice President-Signature Science 40.00 0.00 X 436089 0 26459 Wesley C Patrick Former-V.P. Eff. Feb.2017 40.00 0.00 X 294684 0 51477 11059301 0 1064634 846 1 1 0 Johns Hopkins University 11000 Johns Hopkins Laurel MD 20723 R&D Services 11835666 Joeris General Contractor 11814 Jones Maltsberger San Antonio TX 78216 Construction services 8823479 473 Group LLC 3212 Ravensworth Place Alexandria VA 22302 Technonolgy services 8478913 Tri-Starr Personnel LLC 121 Interpark Blvd Ste 108 San Antonio TX 78216 Personnel Services 4730943 Arizona State Unversity PO Box 871704 Tempe AZ 85287 R&D Services 4296356 448 181278 51743 38905 233021 Research & Development 541700 668737812 613433929 55303883 Signature Science 541700 57562632 57562632 726300444 21462811 21462811 177547 177547 245904 106394 139510 139510 139510 748313333 670996561 55303883 21779868 357106 357106 40000 40000 9126264 4113473 5012791 561697 393797 167900 279769297 232959493 46809804 21870173 18388442 3481731 31736328 24579759 7156569 19395953 16567036 2828917 2191078 2191078 344131 344131 625493 625493 834332 834332 19912492 14577015 5335477 2096356 1480405 615951 22579582 8662086 13917496 1546974 1285158 261816 463133 463133 21050 21050 29867933 12459624 17408309 Project cost-non labor 225059035 225059035 Income Tax 99687 99687 Purchased Services 23655919 21502064 2153855 Equipment Rental 3154179 3056890 97289 2319951 2319951 697628143 587801334 109826809 0 205067 191865 243245516 233269910 158420315 178887055 11527679 10722692 4342389 5471091 810310460 459390712 309238135 350919748 3366884 2905897 90243770 112216730 820589755 894584988 122570448 146740009 69129866 66418970 191700314 213158979 X 628889441 681426009 628889441 681426009 820589755 894584988 X 50685190 1851378 X 0 1 X 1 1 1 X 285729 260176 575375 394590 233021 1748891 477435269 527476983 677831360 696215996 726300444 3105260052 100000 100000 100000 100000 100000 500000 477820998 527837159 678506735 696710586 726633465 3107508943 234668 249437 222476 126264 181278 1014123 100415273 108298275 123583933 163510545 193201738 689009764 100649941 108547712 123806409 163636809 193383016 690023887 2417485056 2438630 3881470 7264164 9830141 21886262 45300667 859687 4212158 5727689 219737 0 11019271 3298317 8093628 12991853 10049878 21886262 56319938 481119315 535930787 691498588 706760464 748519727 3163828881 0.76410 0.77510 0.01780 0.01380 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 625493 625493 587175841 587801334 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 462974 502062 593808 625493 2184337 250000 250000 250000 250000 1000000 1500000 26459745 26459745 481466360 275273950 206192410 4184661 1985107 2199554 243755367 182131655 61623712 54444327 54444327 350919748 Tianjin SwARC Investment 2990138 Post Retirement Medical Fund 96559905 Deferred Tax Asset 619635 Deferred Compensation 12047052 112216730 Post Retirement Medical Benefits Obligation 53019322 Pension Obligations 1352597 Deferred Compensation Obligation 12047051 66418970 X Part X, Line 2: From Southwest Research Institute consolidated financial statements (collectively, the Institute) that include the filing organization: The Institute does not have any uncertain tax positions under ASC Topic 740, Income Taxes. East Asia and the Pacific 1 3 Program Services Marketing and project coordination for SwRI's Research and Development efforts. 585999 East Asia and the Pacific 1 46 Program Services Investment 2990138 2 49 0 0 2 49 3576137 0 3576137 0 0 1 0 0 0 Part I, line 3: Column (f) - Accrual Method Part III Accounting Method: 1 United Way of San Antonio 700 South Alamo San Antonio TX 78293 741272381 501(c)(3) 260000 General Support San Antonio Economic Development Corporation 100 West Houston St Ste 1900 San Antonio TX 78205 203000004 501(c)(3) 20000 General Support ESSAR Recreation Association 6220 Culebra Rd San Antonio TX 78238 741490851 501(c)(4) 30525 General Support SAISD Foundation 2411 San Pedro Ave San Antonio TX 78212 742861587 501(c)(3) 5500 General Support 3 1 Scholarships 8 40000 Part I, Line 2: The assistance amounts listed are provided to the entities as donations in accordance with the applicable stated purposes of Southwest Research Institute. Grants are provided to tax-exempt organizations for general support purposes. Scholarships are monitored by Scholarship Management Services. X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 Adam Hamilton President and CEO 841469 0 296400 0 115272 0 28596 0 30036 0 1311773 0 0 0 Walter D Downing Jr Exec. Vice Pres. and COO 610343 0 188177 0 89859 0 28596 0 23054 0 940029 0 0 0 James L Burch Vice President 418235 0 88519 0 136791 0 28596 0 26691 0 698832 0 0 0 Sol A Stern Associate Vice President 488010 0 0 0 10173 0 28596 0 30887 0 557666 0 0 0 Beth Ann Rafferty CFO and Secretary 376302 0 86215 0 44194 0 28596 0 19609 0 554916 0 0 0 Steven D Marty Vice President 330219 0 103560 0 35513 0 28596 0 22338 0 520226 0 0 0 Scott J Bolton Associate Vice President 442999 0 0 0 9571 0 28596 0 31149 0 512315 0 0 0 Mary Massey Vice President 318658 0 93016 0 36813 0 28596 0 17864 0 494947 0 0 0 Daniel W Stewart Vice President 334132 0 82727 0 15277 0 28596 0 28232 0 488964 0 0 0 Danny M Deffenbaugh Vice President 346923 0 68709 0 23451 0 28596 0 19974 0 487653 0 0 0 C Nils Smith Vice President 333311 0 75947 0 15965 0 28596 0 28321 0 482140 0 0 0 William M Thompson President-Signature Science 369472 0 80000 0 902 0 8550 0 21106 0 480030 0 0 0 Robin Mihran Assistant Vice President 394127 0 0 0 24577 0 28596 0 26796 0 474096 0 0 0 Michael A Regester Vice President-Signature Science 297129 0 138058 0 902 0 8550 0 17909 0 462548 0 0 0 Steven W Dellenback Vice President 313576 0 71760 0 13840 0 28596 0 23940 0 451712 0 0 0 Michael MacNaughton Vice President 288442 0 30114 0 40959 0 28596 0 3355 0 391466 0 0 0 J Dan Bates-See Sch J Part III Director/Former Pres- Ret. 0 0 0 0 370911 0 0 0 0 0 370911 0 29179 0 Paul Easley Vice President 264651 0 39626 0 7236 0 27179 0 20407 0 359099 0 0 0 Monica R Trollinger General Counsel 253025 0 37500 0 4203 0 26398 0 30095 0 351221 0 0 0 Wesley C Patrick Former-V.P. Eff. Feb.2017 263698 0 0 0 30986 0 28596 0 22881 0 346161 0 0 0 Anthony Magaro Vice President 206288 0 33424 0 30665 0 23230 0 23284 0 316891 0 0 0 Kenneth H Bennett Jr Vice President 255370 0 25020 0 4643 0 25596 0 3391 0 314020 0 0 0 Linda Boehme Treasurer 226132 0 33259 0 7806 0 23102 0 21770 0 312069 0 0 0 Part I, Line 1a First class or charter travel: The Institute's travel policy generally does not permit first class travel. There are a small number of exceptions for approved medical conditions or other business required special circumstances. Tax indemnification and gross-up payments: SwRI provided additional cash compensation (reported on the W-2 and Schedule J) to partially offset the economic impact of a grandfathered taxable benefit to one officer. This represents .30% of total officer compensation. Health or social club dues/fees: SwRI pays the membership cost for two officers at two social clubs to use for business meetings. Any personal charges are paid by the officers. Part I, Line 4b Also referencing Form 990, Part VII, Sec. A., Col. (D) and Schedule J, Part II, Col. (B)(iii) and (F) regarding J. Dan Bates. The Institute has a noncontributory defined benefit pension plan, which is a grandfathered 457 plan, that was granted to Institute officers who were employed as of April 30, 1981. Benefits are provided through a group annuity contract. The last active participant, J. Dan Bates, retired in September, 2014. He will receive a monthly benefit for his lifetime, with a twenty-year guarantee. The actual benefit paid in 2020 was $301,981. Additionally, he received distributions from the Institute's Sec. 457(b) Plan of $29,179 and Director's Fees of $39,750. Part I, Line 7 The Institute has an Annual Incentive Compensation Plan for officers which is subject to oversight by the Compensation Committee of the Board of Directors. The Plan is based on the Institute's mission and uses both strategic and operational performance metrics as the basis for non-fixed payments, if any. All amounts paid under the Annual Incentive Compensation Plan are determined, reviewed and approved by the Board Compensation Committee. Incentive compensation is paid to other employees, including two of the five highest compensated employees, as determined by internal management. Amounts paid during calendar year 2020 are shown on Sch. J, Part II, Col. (B)(ii). Heather Bates Family member of J. Dan Bates,Director/Former President 167900 Employment - Amount of transaction includes gross wages and employer provided retirement and fringe benefits. 0 Shannon Dellenback Family member of Steven W. Dellenback, Vice President 41412 Employment - Amount of transaction includes gross wages and employer provided retirement and fringe benefits. 0 Julia Fey Family member of Walter D. Downing Jr., Executive Vice President and COO 88947 Employment - Amount of transaction includes gross wages and employer provided retirement and fringe benefits. 0 Carter Schmitz Family member of Adam Hamilton, President and CEO 47424 Employment - Amount of transaction includes gross wages and employer provided retirement and fringe benefits. 0 William Rafferty Family member of Beth Ann Rafferty, Chief Fiancial Officer and Secretary 203285 Employment - Amount of transaction includes gross wages and employer provided retirement and fringe benefits. 0 Paul Easley II Family member of Paul Easley, Vice President 76044 Employment - Amount of transaction includes gross wages and employer provided retirement and fringe benefits. 0 Zachary Hamilton Family member of Adam Hamilton, President and CEO 54141 Employment - Amount of transaction includes gross wages and employer provided retirement and fringe benefits. 0 Cynthia Dellenback Family member of Steven W. Dellenback, Vice President 33255 Independent Contractor 0 Kristi Magaro Family member of Anthony Magaro, Vice President 104031 Employment - Amount of transaction includes gross wages and employer provided retirement and fringe benefits. 0 Anthony John Magaro Family member of Anthony Magaro, Vice President 88230 Employment - Amount of transaction includes gross wages and employer provided retirement and fringe benefits. 0 Sam G Dawson Business Transaction 197577 Engineering services provided to Southwest Research Institute in the ordinary course of business. 0 X Scientific equipment 3 38905 FMV over amount paid 0 1 0 Part I, Column (b): The amount shown is the total number of items received. Form 990, Part VI, Section A, line 2 Sam G. Dawson, Director and Phillip D. Green, Director- Business Relationship. Eugene L. Ames, Director and John C. Korbell, Director- Business Relationship. Form 990, Part VI, Section B, line 11b A summary of Form 990 was reviewed with the Audit Committee of the Board of Directors. Schedule J compensation data was reviewed with the Compensation Committee. A copy of the completed Form 990, including all schedules, was electronically provided to all board members prior to filing. Form 990, Part VI, Section B, line 12c Directors of the organization are obligated under the conflict of interest policy to report all conflicts, to disclose all interests that could arise to conflicts, and all covered family and business relationships when completing the required annual disclosure questionnaire. The Compliance Officer, under the Office of the General Counsel, monitors the conflict of interest policy and reviews the annual disclosure questionnaires. Potential conflicts of interest are reviewed by the non-interested directors or committee members. Failure to disclose a conflict of interest will result in appropriate disciplinary and corrective action as determined by the Board or committee. Form 990, Part VI, Section B, line 15 Determination of Compensation: SwRI's strategy is to provide compensation that is fair, reasonable, and consistent with compensation paid for similar work in relevant labor areas and with compensation paid by Institute competitors in the markets for scientific research and development (R&D) and other technical services. The principal compensation authority is vested with the Board of Directors; however, the President of the Institute retains the authority to determine how various programs will be structured and administered subject to the oversight of the Compensation Committee of the Board of Directors. The Committee uses reputable compensation survey data, gathered annually, to compare the compensation of Officers to peer groups, within the relevant market segments, targeting an appropriate percentile corresponding to performance both for the year in question, and considering longer-term performance trends for total compensation. This review shall include comparative analysis of compensation paid by the Institute to compensation paid by local, sector, and national applied research and development organizations of similar size, both for profit and nonprofit organizations. The Committee engages the services of an external compensation advisor when conducting such comparability studies. Compensation Committee Review and Approval: The Board of Director delegates to the Committee the responsibility, in consultation with the President to review, approve and inform the Board of Directors of the changes in annual compensation and benefits for all Officers, except the President and Executive Vice President. The Committee will review the performance of the President and Executive Vice President and make a recommendation to the Board of Director for the total compensation for both of these officers. Adequate documentation is created contemporaneously and maintained to substantiate the basis for the Committee's and the Board of Directors' determination of total compensation for the President and all other Officers. Form 990, Part VI, Section C, line 19 The organization's governing documents, conflict of interest policy and financial statements are available to the public upon written request to the organization's Treasurer. Form 990, Part XI, line 9: CHANGE IN OBLIGATION FOR POST RETIREMENT BENEFIT (NET) 1,851,378. Signature Science LLC 8329 N Mopac Blvd Austin TX 78759 900041499 Scientific Research and Development TX 57562632 21824295 Southwest Research Institute ESSAR Recreation Association 6220 Culebra Road San Antonio TX 78228 741490851 Improve the morale and welfare of members TX 501(c)(4) SWRI 1 Tom Slick Memorial Trust for SwRI 6220 Culebra Road San Antonio TX 78228 237225476 Support for Southwest Research Institute's scientific & educational purposes TX 501(c)(3) Line 12a, I SWRI 1 Tianjin SwARC Automotive Research Laboratory CoLT CATARC ETL Bldg Tianshanlukou Che Tianjin Hedong District CH 000000000 Research and Development CH N/A C 3442256 5225460 0.50000 1 0 0 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 Tom Slick Memorial Trust for SwRI C 181278 GL Transaction Amt ESSAR Recreation Association N 4495438 Asset Book Value Tianjin SwARC Automotive Research Laboratory CoLT S 327968 GL Transaction Amt