2020-08-17T15:07:47-05:00 2019-09-27 346565596 ERNEST & YOUNG US LLP 425 HOUSTON STREET STE 600 FORT WORTH TX 76102 990 2018-09-29 741070544 Southwest Research Institute SOUT 2105222077 PO Drawer 28510 San Antonio TX 782280510 Beth Ann Rafferty CFO & Vice President, Finance 2105222077 2020-08-17 KATHLEEN MOSELEY P00116760 8173351900 129.162.222.26 2020-08-17 15:04:52 CD P BEE6B97376D86A56A06B7293BC52E3D101BB9E4C BEE6B97376D86A56A06B7293BC52E3D101BB9E4C 2018 2020-09-23 17:36:50Z Beth Ann Rafferty PO Drawer 28510 San Antonio TX 782280510 685670899 0 X www.swri.org X 1966 TX Benefiting government, industry & the public through innovative science & technology. 16 13 2820 0 70561018 5726689 260176 575375 587141075 677831360 3240812 6850749 512562 287679 591154625 685545163 332187 370530 0 0 290895512 323400797 0 0 0 269782624 320685908 561010323 644457235 30144302 41087928 720619580 761804112 162636266 170323601 557983314 591480511 X 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 550633876 370530 677831360 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/. 550633876 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 0 1 0 1 0 0 0 1 1 1 0 1 0 1 666 0 1 2820 1 1 1 1 CH 0 0 0 0 0 0 0 0 0 0 X 16 13 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 OK CA GA WI X Beth Ann Rafferty 2106845111 6220 Culebra Road San Antonio TX 78228 David S Zachry Chairman 3.00 0.10 X 0 0 0 Wayne S Alexander Vice Chairman 2.00 0.10 X 30000 0 0 Eugene L Ames Director 2.00 0.10 X 29500 0 0 Roger R Hemminghaus Director 2.00 0.10 X 30000 0 0 Milton B Lee II Director 3.00 0.10 X 36500 0 0 Phillip J Pfeiffer Director 2.00 0.10 X 31500 0 0 Mary Ann Rankin Director 2.00 0.10 X 28500 0 0 Ricardo Romo Director 2.00 0.10 X 32000 0 0 John C Korbell Director 2.00 0.10 X 30000 0 0 Sam G Dawson Director 2.00 0.10 X 28500 0 0 Phillip D Green Director (Eff. Jan. 2019) 1.50 0.10 X 0 0 0 Kimberly S Lubel Director (Eff. Jan. 2019) 1.50 0.10 X 0 0 0 Jan Newton Director (Eff. Jan. 2019) 1.50 0.10 X 0 0 0 J Dan Bates-See Sch J Part III Director/Former Pres- Ret. 2.00 0.10 X 406058 0 0 Adam Hamilton President 40.00 0.10 X X 883356 0 55202 Walter D Downing Jr Executive Vice Pres. 40.00 0.10 X X 673574 0 48892 Beth Ann Rafferty Chief Financial Officer 40.00 X 379582 0 46182 Linda Boehme Treasurer 40.00 X 209894 0 41038 Kenneth H Bennett Jr Vice President 40.00 X 241960 0 29348 James L Burch Vice President 40.00 X 557017 0 53834 Danny M Deffenbaugh Vice President 40.00 X 355926 0 40838 Steven W Dellenback Vice President 40.00 X 307410 0 54552 Paul Easley Vice President 40.00 X 256344 0 44338 Michael MacNaughton Vice President 40.00 X 313055 0 30967 Anthony Magaro Vice President (Eff. Dec. 2018) 40.00 X 205590 0 41402 Steven D Marty Vice President 40.00 X 358202 0 48246 Mary Massey Vice President 40.00 X 338929 0 43992 C Nils Smith Vice President 40.00 X 339695 0 53331 Daniel W Stewart Vice President 40.00 X 340462 0 53332 Monica R Trollinger General Counsel 40.00 X 187360 0 46516 Scott J Bolton Associate Vice President 40.00 X 424916 0 55541 Stephan A Fuselier Executive Director 40.00 X 365910 0 29986 Robin Mihran Assistant Vice President 40.00 X 335962 0 57678 Sol A Stern Associate Vice President 40.00 X 382889 0 59677 William M Thompson President-Signature Science 40.00 X 431073 0 30735 Wesley C Patrick Former-V.P. (Eff. Feb. 2017) 40.00 X 279567 0 46931 8851231 0 1012558 635 1 1 0 Johns Hopkins University 111000 John Hopkins Laurel MD 20723 R&D Services 15263563 Arizona State University PO Box 871704 Tempe AZ 85287 R&D Services 5594326 Johann Haltermann Ltd 15600 W Hardy Rd Houston TX 77060 R&D Services 4394302 Chevron Phillips 1301 McKinney St Houston TX 77010 R&D Services 4153112 Aerotek PO Box 630853 Baltimore MD 21263 R&D Services 4012910 439 222476 352899 352597 575375 Research & Development 541700 618485496 547924478 70561018 Signature Science 541700 59345864 59345864 677831360 6850749 6850749 212059 212059 201356 125736 75620 75620 75620 685545163 607270342 70561018 7138428 335530 335530 35000 35000 7920362 3662121 4258241 507353 363104 144249 247699063 213912448 33786615 20377247 16414500 3962747 28551147 22967586 5583561 18345625 15345915 2999710 1425825 1425825 303291 303291 713797 713797 21516428 16246154 5270274 2088986 1572955 516031 20260446 8950952 11309494 6831697 5906236 925461 420779 420779 4517 4517 28523059 11041206 17481853 Project cost-non labor 208885412 208885412 Income Tax 1524882 1524882 Purchased Services 23181613 20121769 3059844 Equipment Rental 2647484 2515296 132188 2357692 2357692 644457235 550633876 93823359 0 1 197053851 228988121 127582562 150309271 12546193 11772999 15138486 4981287 716064884 434728103 285755617 281336781 0 82542871 84415652 720619580 761804112 103136785 104977599 59499481 65346002 162636266 170323601 X 557983314 591480511 557983314 591480511 720619580 761804112 X 41087928 -7590731 X 0 1 X 1 1 1 X 423449 247725 285729 260176 575375 1792454 525240239 499935515 477435269 527476983 677831360 2707919366 100000 100000 100000 100000 100000 500000 525763688 500283240 477820998 527837159 678506735 2710211820 385987 213222 234668 249437 222476 1305790 129966536 120042117 100415273 108298275 123583933 582306134 130352523 120255339 100649941 108547712 123806409 583611924 2126599896 1330730 1929667 2438630 3881470 7264164 16844661 3939556 3835718 859687 4212158 5727689 18574808 5270286 5765385 3298317 8093628 12991853 35419469 531033974 506048625 481119315 535930787 691498588 2745631289 0.77450 0.76830 0.01290 0.00840 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 502062 502062 550131814 550633876 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 366323 459243 462974 502062 1790602 250000 250000 250000 250000 1000000 1500000 8897539 8897539 465074128 246914316 218159812 2831946 901946 1930000 239231728 186911841 52319887 29543 29543 281336781 Tianjin SwARC Investment 3859166 Post Retirement Medical Fund 69898811 Deferred Tax Asset 1464339 Other Assets 9193336 84415652 Post Retirement Medical Benefits Obligation 54981733 Pension Obligations 1170933 Deferred Compensation Obligation 9193336 65346002 X Part X, Line 2: Southwest Research Institute does not have any uncertain tax positions under ASC 740 "Income Taxes". East Asia and the Pacific 1 3 Program Services Marketing and project coordination for SwRI's Research and Development efforts. 522446 East Asia and the Pacific 1 1 Program Services Investment 3859166 2 4 0 0 2 4 4381612 0 4381612 0 0 1 0 0 0 Part I, line 3: Accrual Method 1 General Support West Point Association of Graduates 698 Mills Road West Point NY 10996 141260763 501(c)(3) 28600 General Support United Way of San Antonio 700 South Alamo San Antonio TX 78293 741272381 501(c)(3) 190000 General Support General Support The Academy of Medicine Engineering & Science of Texas 3925 West Braker Lane Ste 3 8018 MS D8800 Austin TX 78759 201014851 501(c)(3) 20000 General Support The National Academies of Sciences Engineering Medicine PO Box 936803 Atlanta GA 31193 530196932 501(c)(3) 8000 General Support 4 Scholarships 7 35000 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 J Dan Bates-See Sch J Part III Director/Former Pres- Ret. 0 0 0 0 406058 0 0 0 0 0 406058 0 70077 0 Adam Hamilton President 777516 0 0 0 105840 0 27682 0 27520 0 938558 0 0 0 Walter D Downing Jr Executive Vice Pres. 586992 0 0 0 86582 0 27682 0 21210 0 722466 0 0 0 Beth Ann Rafferty Chief Financial Officer 341461 0 0 0 38121 0 27682 0 18500 0 425764 0 0 0 Linda Boehme Treasurer 204514 0 0 0 5380 0 20886 0 20152 0 250932 0 0 0 Kenneth H Bennett Jr Vice President 237409 0 0 0 4551 0 24026 0 5322 0 271308 0 0 0 James L Burch Vice President 400890 0 25000 0 131127 0 27682 0 26152 0 610851 0 0 0 Danny M Deffenbaugh Vice President 332600 0 0 0 23326 0 27682 0 13156 0 396764 0 0 0 Steven W Dellenback Vice President 287631 0 10000 0 9779 0 27682 0 26870 0 361962 0 0 0 Paul Easley Vice President 249358 0 0 0 6986 0 25647 0 18691 0 300682 0 0 0 Michael MacNaughton Vice President 274534 0 0 0 38521 0 27682 0 3285 0 344022 0 0 0 Anthony Magaro Vice President (Eff. Dec. 2018) 178087 0 0 0 27503 0 20138 0 21264 0 246992 0 0 0 Steven D Marty Vice President 301379 0 25000 0 31823 0 27682 0 20564 0 406448 0 0 0 Mary Massey Vice President 297105 0 10000 0 31824 0 27682 0 16310 0 382921 0 0 0 C Nils Smith Vice President 302198 0 25000 0 12497 0 27682 0 25649 0 393026 0 0 0 Daniel W Stewart Vice President 302861 0 25000 0 12601 0 27682 0 25650 0 393794 0 0 0 Monica R Trollinger General Counsel 183708 0 0 0 3652 0 18915 0 27601 0 233876 0 0 0 Scott J Bolton Associate Vice President 415761 0 0 0 9155 0 27682 0 27859 0 480457 0 0 0 Stephan A Fuselier Executive Director 340930 0 0 0 24980 0 27682 0 2304 0 395896 0 0 0 Robin Mihran Assistant Vice President 312641 0 0 0 23321 0 27682 0 29996 0 393640 0 0 0 Sol A Stern Associate Vice President 374851 0 0 0 8038 0 27682 0 31995 0 442566 0 0 0 William M Thompson President-Signature Science 313744 0 109638 0 7691 0 8250 0 22485 0 461808 0 0 0 Wesley C Patrick Former-V.P. (Eff. Feb. 2017) 250139 0 0 0 29428 0 27682 0 19249 0 326498 0 0 0 Part I, Line 1a 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 .36% of total officer compensation. Health or social club dues/fees: SwRI pays the membership cost for two officers at two social clubs. These memberships are used primarily 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 2018 was $301,981. Additionally, he received distributions from the Institute's Sec. 457(b) Plan of $70,077 and Director's Fees of $34,000. 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. Amounts paid during calendar year 2018 are shown on Sch. J, Part II, Col. (B)(ii). Heather Bates Family member of J. Dan Bates,Director/Former President 144249 Employment 0 Shannon Dellenback Family member of Steven W. Dellenback, Vice President 21510 Employment 0 Julia Fey Family member of Walter D. Downing Jr., Executive Vice President 81137 Employment 0 Carter Schmitz Family member of Adam Hamilton, President 40923 Employment 0 William Rafferty Family member of Beth Ann Rafferty, Chief Fiancial Officer 192063 Employment 0 Paul Easley II Family member of Paul Easley, Vice President 61503 Employment 0 Zachry Hamilton Family member of Adam Hamilton, President 48982 Employment 0 Cynthia Dellenback Family member of Steven W. Dellenback, Vice President 24833 Independent Contractor 0 Kristi Magaro Family member of Anthony Magaro, Vice President 95946 Employment 0 Anthony John Magaro Family member of Anthony Magaro, Vice President 82945 Employment 0 X Scientific equipment 1 342000 Fair Market Value X Scientific equipment 1 10597 Fair Market Value 0 0 1 0 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. 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: INCREASED OBLIGATION FOR POST RETIREMENT BENEFIT (NET) -7,590,731. Signature Science LLC 8329 N Mopac Blvd Austin TX 78759 900041499 Scientific Research and Development TX 59345864 19471178 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 C 3683177 3587548 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 222476 GL Transaction Amt ESSAR Recreation Association N 4774205 Asset Book Value Tianjin SwARC Automotive Research Laboratory CoLT S 726591 GL Transaction Amt