2018-08-15T11:27:52-05:00 2017-09-29 990 2016-10-01 741070544 Southwest Research Institute SOUT 2106845111 PO Drawer 28510 San Antonio TX 782280510 Beth Ann Rafferty CFO & Vice President, Finance 2106845111 2018-08-15 2016 2022-09-23 18:48:47Z PO Drawer 28510 San Antonio TX 782280510 537648336 0 X www.swri.org X 1966 TX Benefiting government, industry & the public through innovative science & technology. 13 10 2859 0 57359035 859687 247725 285729 569749564 534794304 1371235 2058886 518404 379744 571886928 537518663 343315 319612 0 0 303796118 293799114 0 0 0 265930029 246404358 570069462 540523084 1817466 -3004421 674813781 665862060 166883693 146287345 507930088 519574715 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 451430506 319612 477435269 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/. 451430506 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 0 0 0 0 1 1 1 0 1 0 1 575 0 2859 1 1 1 1 CH 0 0 0 0 0 0 0 0 X 13 10 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 OK CA X Beth Ann Rafferty 2106845111 6220 Culebra Road San Antonio TX 78228 Wayne S Alexander Director 2.00 0.10 X 32500 0 0 Eugene L Ames Director 2.00 0.10 X 33500 0 0 A Baker Duncan Director 2.00 0.10 X 19750 0 0 Roger R Hemminghaus Director 2.00 0.10 X 37000 0 0 Milton B Lee II Chairman 3.00 0.10 X 60250 0 0 Phillip J Pfeiffer Director 2.00 0.10 X 35500 0 0 Mary Ann Rankin Director 2.00 0.10 X 33500 0 0 Ricardo Romo Director 2.00 0.10 X 33500 0 0 David S Zachry Vice Chairman 2.00 0.10 X 0 0 0 John C Korbell Director 2.00 0.10 X 14250 0 0 Adam Hamilton President 40.00 0.10 X X 936755 0 55432 Walter D Downing Jr Executive Vice Pres. 40.00 0.10 X X 773291 0 47558 Beth Ann Rafferty Chief Financial Officer 40.00 X 405685 0 45178 John W McLeod V.P. & General Counsel 40.00 X 411598 0 48879 Susan B Crumrine Vice President-Ret. April 2016 40.00 X 208180 0 16816 Michael MacNaughton Vice President 40.00 X 483742 0 30130 Steven D Marty Vice President 40.00 X 349032 0 47696 Wesley C Patrick Vice President 40.00 X 455015 0 46176 Danny M Deffenbaugh Vice President 40.00 X 389810 0 36172 C Nils Smith Vice President 40.00 X 320007 0 52712 James L Burch Vice President 40.00 X 583178 0 50140 Linda Boehme Treasurer 40.00 X 229099 0 41237 Paul Easley Vice President 40.00 X 277163 0 44575 Mary Massey Vice President 40.00 X 353222 0 39381 Kenneth H Bennett Jr Vice President 40.00 X 248245 0 50940 Daniel W Stewart Vice President 40.00 X 314209 0 52723 Steven W Dellenback Vice President 40.00 X 272516 0 57124 Scott J Bolton Associate Vice President 40.00 X 406791 0 43473 Sol A Stern Associate Vice President 40.00 X 368437 0 56990 William M Thompson President-Signature Scienc 40.00 X 384999 0 30852 Michael E Regester V.P.Administration-Signatu 40.00 X 339294 0 24495 Stephan A Fuselier Executive Director 40.00 X 351742 0 29557 JDan Bates-See SchJ Part III Director/Former Pres-Ret. 2.00 0.10 X 408400 0 0 9570160 0 948236 688 1 1 0 Johns Hopkins University 111000 John Hopkins Laurel MD 20723 R&D Services 5764929 Chapman Bros Inc 16332 IH 35 North 2C Selma TX 78154 R&D Services 4904906 Chevron Phillips 1301 McKinney St Houston TX 77010 R&D Services 4547849 University of New Hamphire 51 College Road Durham NH 03824 R&D Services 4114400 Regents of University of CO Campus Box 572 Boulder CO 80309 R&D Services 3350066 339 234668 51061 285729 Research & Development 541700 498063396 440704361 57359035 Signature Science 541700 36730908 36730908 534794304 2058886 2058886 320156 320156 189261 129673 59588 59588 59588 537518663 477435269 57359035 2438630 279612 279612 40000 40000 6670701 3462501 3208200 352859 224560 128299 219845692 186561939 33283753 18457240 15154985 3302255 32981287 25590170 7391117 15491335 13098446 2392889 3410704 3410704 234965 234965 270182 270182 13566938 9406737 4160201 2039749 1513887 525862 18790276 9332961 9457315 6197406 5334338 863068 405534 32008 373526 1232 1232 27607914 10165347 17442567 Project cost-non labor 152086383 152086383 Income Tax 489731 489731 Purchased Services 17250966 15502015 1748951 Equipment Rental 2625049 2217288 407761 1427329 1427329 540523084 451430506 89092578 0 124384454 163369068 111211257 105163180 12090248 12350945 14105654 9996631 685935148 389530410 297340881 296404738 0 115681287 78577498 674813781 665862060 99748012 84193803 67135681 62093542 166883693 146287345 X 507930088 519574715 507930088 519574715 674813781 665862060 X -3004421 14649048 X 0 1 X 1 1 1 X 802062 926776 423449 247725 285729 2685741 511070928 526578040 525240239 499935515 477435269 2540259991 100000 100000 100000 100000 100000 500000 511972990 527604816 525763688 500283240 477820998 2543445732 752257 677133 385987 213222 234668 2263267 140455195 115879029 129966536 120042117 100415273 606758150 141207452 116556162 130352523 120255339 100649941 609021417 1934424315 878731 1477419 1330730 1929667 2438630 8055177 636383 -2321172 3939556 3835718 859687 6950172 1515114 -843753 5270286 5765385 3298317 15005349 513488104 526761063 531033974 506048625 481119315 2558451081 0.75610 0.73730 0.00590 0.00570 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 459243 459243 450971263 451430506 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 231590 335878 366323 459243 1393034 250000 250000 250000 250000 1000000 1500000 8746796 8746796 454857337 217711083 237146254 2316264 1799763 516501 219985208 170019564 49965644 29543 29543 296404738 Tianjin SwARC Investment 2637305 Post Retirement Medical Fund 64744153 Deferred Tax Asset 2787216 Other Assets 8408824 78577498 Post Retirement Medical Benefits Obligation 52595348 Pension Obligations 1073109 Deferred Compensation Obligation 8408824 Long term payables 16261 62093542 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 Program Services Marketing and project coordination for SwRI's Research and Development efforts. 529807 East Asia and the Pacific 1 Program Services Investment 2637305 2 0 0 0 2 0 3167112 0 3167112 0 0 1 0 0 0 Part I, line 3: Accrual Method 1 ESSAR Recreation Association 6220 Culebra Road San Antonio TX 78228 741490851 501(c)(4) 22500 General Support West Point Association of Graduates 698 Mills Road West Point NY 10996 141260763 501(c)(3) 20000 General Support United Way of San Antonio 700 South Alamo San Antonio TX 78293 741272381 501(c)(3) 190515 General Support Texas Biomedical Forum PO Box 6648 San Antonio TX 78209 237080207 501(c)(3) 8000 General Support Clarity Guidance Center 8535 Tom Slick Drive San Antonio TX 78229 741153067 501(c)(3) 5000 General Support 4 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 753932 0 82500 0 100323 0 26780 0 28652 0 992187 0 0 0 Walter D Downing Jr Executive Vice Pres. 600211 0 84414 0 88666 0 26780 0 20778 0 820849 0 0 0 Beth Ann Rafferty Chief Financial Officer 333200 0 36296 0 36189 0 26780 0 18398 0 450863 0 0 0 John W McLeod V.P. & General Counsel 354142 0 30128 0 27328 0 26780 0 22099 0 460477 0 0 0 Susan B Crumrine Vice President-Ret. April 2016 105957 0 34295 0 67928 0 10335 0 6481 0 224996 0 9976 0 Michael MacNaughton Vice President 381002 0 43609 0 59131 0 26780 0 3350 0 513872 0 0 0 Steven D Marty Vice President 276947 0 44788 0 27297 0 26780 0 20916 0 396728 0 0 0 Wesley C Patrick Vice President 363269 0 42093 0 49653 0 26780 0 19396 0 501191 0 0 0 Danny M Deffenbaugh Vice President 324320 0 44661 0 20829 0 26780 0 9392 0 425982 0 0 0 C Nils Smith Vice President 281495 0 30712 0 7800 0 26780 0 25932 0 372719 0 0 0 James L Burch Vice President 404268 0 44408 0 134502 0 26780 0 23360 0 633318 0 0 0 Linda Boehme Treasurer 203628 0 20051 0 5420 0 20952 0 20285 0 270336 0 0 0 Paul Easley Vice President 249554 0 21116 0 6493 0 25824 0 18751 0 321738 0 0 0 Mary Massey Vice President 290590 0 31816 0 30816 0 26780 0 12601 0 392603 0 0 0 Kenneth H Bennett Jr Vice President 231650 0 12388 0 4207 0 24203 0 26737 0 299185 0 0 0 Daniel W Stewart Vice President 283528 0 21110 0 9571 0 26780 0 25943 0 366932 0 0 0 Steven W Dellenback Vice President 264651 0 0 0 7865 0 26780 0 30344 0 329640 0 0 0 Scott J Bolton Associate Vice President 399957 0 0 0 6834 0 26780 0 16693 0 450264 0 0 0 Sol A Stern Associate Vice President 363207 0 0 0 5230 0 26780 0 30210 0 425427 0 0 0 William M Thompson President-Signature Scienc 285363 0 95500 0 4136 0 7950 0 22902 0 415851 0 0 0 Michael E Regester V.P.Administration-Signatu 250978 0 84400 0 3916 0 7950 0 16545 0 363789 0 0 0 Stephan A Fuselier Executive Director 327337 0 0 0 24405 0 26780 0 2777 0 381299 0 0 0 JDan Bates-See SchJ Part III Director/Former Pres-Ret. 0 0 0 0 408400 0 0 0 0 0 408400 0 70169 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 less than .32% 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 2016 was $301,981. Additionally, he received distributions from the Institute's Sec. 457(b) Plan of $70,169 and Director's Fees of $36,250. 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 2016 are shown on Sch. J, Part II, Col. (B)(ii). Heather Bates Family member of J. Dan Bates,Director/Former President 128299 Employment 0 Deborah Deffenbaugh Family member of Danny M. Deffenbaugh, Vice President 105182 Employment 0 Julia Fey Family member of Walter D. Downing Jr., Executive Vice President 71393 Employment 0 Employment 0 William Rafferty Family member of Beth Ann Rafferty, Chief Fiancial Officer 177656 Employment 0 Paul Easley II Family member of Paul Easley, Vice President 64073 Employment 0 Zachry Hamilton Family member of Adam Hamilton, President 46904 Employment 0 Cynthia Dellenback Family member of Steven W. Dellenback, Vice President 23550 Independent Contractor 0 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 PMBP (NET) 7,622,258. NET UNREALIZED GAIN OF PRMB 7,026,790. Signature Science LLC 8329 N Mopac Blvd Austin TX 78759 900041499 Scientific Research and Development TX 36730908 10227452 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 2431386 2722660 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 234668 GL Transaction Amt ESSAR Recreation Association N 5120376 Asset Book Value Tianjin SwARC Automotive Research Laboratory CoLT S 305590 GL Transaction Amt