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EXTENSION GRANTED TO 08/15/11
Return of Organization Exempt From Income TaxO1547
Form iJU Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except black lungbenefit trust or private foundation)Depertment of the Treasury Open to Public
oternal Revenue Serv P' The organization may have to use a copy of this retum to satisfy state reporting requirements nspectonA Forthe2009calondaryear,ortaxyearbeginning OCT 1, 2009 andending SEP 30, 2010B Check Pease C Name of organization 0 Employer identification numberappkcabe:
use IRSfl1Address Iabei orLjchane punt or ATTELLE NmMORIAL INSTITUTE
type. Doing Business As 31 4379427Ll1 See Number and street (Or P.0. box if mail is not delivered to street address) Room/suite E Telephone number
J 05 KING AVENUE (614)424-5853rded noon
City or town, state or country, and ZIP + 4 G Gross recmpts $ 5, 682, 210, 647.
LI10 0LuMBUS, OH 432012693 H(a)lsthisagroupretumpeodorgF Name and address of principal officer:DR. JEFFREY WADSWORTH for affiliates? LIII! Yes LI] NoSAME AS C ABOVE H(b) Are all affiliates included? Eli Yes LIII] No
I Tax-exempt status: LLJ 501(c) ( 3 )1 (insert no.) Li 4947(a)(1) or L 527 If No attach a list. (see instructions)J Website: P' WWW. BATTELLE .ORG H(c) Group exemption number P'K Form of organization: [J Corporation Li Trust L_J Association LII Other P' L Year of formation: 1925 I M State of leoal domicile: OH
I Briefly describe the organizations mission or most significant activities: SEE MISSION STATEMENT ONSCHEDULE 0
E 2 Check this box P' U if the oraanization discontinued its onerations or disoosed of more thnrr 2°% of fe net assets
3 Number of voting members of the goveming body (Part VI, line 1 a) 3 94 Number of independent voting members of the goveming body (Part VI, line 1 b) 4 35 Total number of employees (Part V line 2a) 5 242016 Total number of volunteers (estimate if necessary) 6 07a Total gross unrelated business revenue from Part VIII, column (C), line 12 7a 2,200,867.
- b Net unrelated business taxable income from Form 990-T, line 34 7b 0._________________
Prior Year Current Yeare 8 Contributionsandgrants(PartVlll,linelh) 3,954,051,722. 4,505,277,128.
9 Programservicerevenue(PartVIlI,line2g) 866,030,005. 1,010,272,669.
10 Investment income (Part VIII, column (A>, lines 3,4, and 7d) 4,881,189. 9,312,771.
11 Otherrevenue(PartVIIl,column(A),lines5,6d,8c,9c,lOc,andiie) 65,831,035, 20,475,132.
- 12 Totalrevenue-addlines8throughii(mustequalPartVlll,column(A),Iinei2) 4,890,793,951. 5,545,337,700.
13 Grants and similar amounts paid (Part IX, column (A), lines 1-3) 21,079,523. 10,620,032.
14 Benefits paid to or for members (Part IX, column (A), line 4) ___________________ ____________________
15 Salaries, other compensation, employee benefits (Part IX, column (A>, lines 5-10) 2,360,551,925. 2,524,748,990.
2 16a Professional fundraising fees (Part IX, column (A), line lie)___________________
b Total fundraising experses (Part IX column (0) line 25) P' ___________________
___________________
W 17 Otherexpenses(PartIX,column(A),Iineslia-lid,11f-24f)___________________
2,475,285,788.___________________
3,002,660,984.18 TotalexpensesAddlinesl3-17(ustequalPartlX,column(A),line2s) 4,856,917,236. 5,538,030,006.
19 Revenuelessexpenses.Subtractlinel8fromlinel2 33,876,715. 7,307,694.
Beginning of Current Year End of Year20 Totalassets(PartX,linel6) 1,155,009,521. 1,183,968,052.
21 Totalliabilit)es(PartXline26) 560,978,343. 629,930,359.
'22 Netassetsorfuadbalances.Subtract)ine2lfroml)ne2O ,,. 594,031,178. 554,037,693.
f Part H J Stgnature BlockUnder penvihøn of perJry decisre that bane exemored thiS rerurn, ircudlrrg accornpvnying schedules and statements, and to the best of my knowledge and belief. 4 e true, oorrrrct.sod complete. Dec.isrstion of p,rmparem othvr thvn officer) is based on Si information of whic.tt preporer has any knowledge,
/sign k ) ° 1/Here V Si/ature of officer u,-, Date -
THOMAS K, SHARPE, ASST. TREASURER
Date Check if Preparer's dentifydç1 numberPaid
, oyed
see ostmoobons)
Preparer Firm's nanre (orUse Only y.urs ______________________________________________
selt.emrlployv.d)lSddress, sodzip 4 Phone no,
YeSJNO932001 02O41O LHA For Privacy Act and Paperwork Reduction Act Notice, see the separate instructions. Form 990(2009)
SEE SCHEDULE 0 FOR ORGANIZATION MISSION STATEMENT CONTINUATION
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 314379427 Page2Part III Statement of Program Service Accomplishments1 Briefly describe the organizations mission:
BATTELLE MEMORIAL INSTITUTE ("DM1") IS ORGANIZED EXCLUSIVELY FOR
CHARITABLE, EDUCATIONAL AND SCIENTIFIC PURPOSES, INCLUDING THE
UTILIZATION OF SCIENCE, THE SCIENTIFIC METHOD AND RESEARCH FOR THE
BENEFIT AND EDUCATION OF MANKIND.
2
3
4
Did the organization undertake any significant program services during the year which were not listed onthe prior Form 990 or 990EZ?
If 'Yes,' describe these new services on Schedule 0.
Did the organization cease conducting, or make significant changes in how it conducts, any program services?If 'Yes," describe these changes on Schedule 0.
Describe the exempt purpose achievements for each of the organization's three largest program services by expenses.
Section 501 (c)(3) and 501 (c)(4) organizations and section 4947(a)(1) trusts are required to report the amount of grants andallocations to others, the total expenses, and revenue, if any, for each program service reported.
SEE SCHEDULE 0 FOR CONTINUATION(S)
LIlYes LI1 No
LIIIlYes Liii No
4a (Code: )(Expenses$ 3,613,084,340. includinggrantsof$ )(Revenue$BATTELLE MEMORIAL INSTITUTE ("BMI") AND ITS AFFILIATES OPERATE FIVE
463,846,485.
UNITED STATES DEPARTMENT OF ENERGY ("DOE") NATIONAL LABORATORIES:
PACIFIC NORTHWEST NATIONAL LABORATORY; OAK RIDGE NATIONAL LABORATORY;
IDAHO NATIONAL LABORATORY; BROOKHAVEN NATIONAL LABORATORY AND NATIONAL
RENEWABLE ENERGY LABORATORY. BMI IS AN INTEGRATED SUBCONTRACTOR AT A
SIXTH DOE NATIONAL LABORATORY: LAWRENCE LIVERMORE NATIONAL LABORATORY.
IN ADDITION, A BMI AFFILIATE HOLDS THE MANAGEMENT CONTRACT WITH RESPECT
TO THE UNITED STATES DEPARTMENT OF HOMELAND SECURITY'S NATIONAL
BIODEFENSE ANALYSIS AND COUNTERMEASURES CENTER. ANOTHER BMI AFFILIATE
IS PART OF A CONSORTIUM THAT OPERATES THE NATIONAL NUCLEAR LABORATORY
FOR THE UNITED KINGDOM'S DEPARTMENT FOR ENERGY AND CLIMATE CHANGE.
THROUGH OPERATION OF THE NATIONAL LABORATORIES, BMI AND ITS AFFILIATES
4b (Code: )(Expenses$ 808,843,641. includinggrantsof$ )(Revenue$BMI ALSO CONDUCTS SCIENTIFIC RESEARCH AND DEVELOPMENT PROGRAMS FOR
546,426,184.
OTHER FEDERAL, STATE AND LOCAL GOVERNMENT AGENCIES AND INDUSTRIAL
SPONSORS, AND TRANSLATES SCIENCE AND TECHNOLOGY INTO PRODUCTS, SYSTEMS
AND SERVICES FOR ITS SPONSORS. BMI PLACES SPECIAL EMPHASIS UPON
SIGNATURE AREAS OF ENERGY AND ENVIRONMENT, NATIONAL SECURITY, HEALTH
AND LIFE SCIENCES.
4c (Code: )(Expenses$ 10,620,032. including grants of$ )(Revenue$EACH YEAR, DM1 DISTRIBUTES AT LEAST TWENTY PERCENT OF ITS CONSOLIDATED
NET INCOME TO PUBLIC CHARITIES AND GOVERNMENT AGENCIES. DISTRIBUTIONS
ARE PRIMARILY FOCUSED UPON EDUCATION, HUMAN SERVICES, ARTS AND
SCIENCES, AND ECONOMIC DEVELOPMENT. DM1 ACTIVELY SUPPORTS EDUCATIONAL
INITIATIVES IN OHIO AND ACROSS THE UNITED STATES THAT MEASURE STUDENT
ACHIEVEMENT, ASSIST WITH PROFESSIONAL DEVELOPMENT FOR TEACHERS, AND
PROMOTE INQUIRY-BASED LEARNING, ESPECIALLY IN THE SCIENCE, TECHNOLOGY,
ENGINEERING, AND MATH (STEM) DISCIPLINES.
4d Other program services. (Describe in Schedule 0,)(Expenses $ including grants of $ ) (Revenue $
4e TotaIprogramserviceexpenses'$ 4,432,548,013,
Form 990(2009)932002020410
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 31 4379427 Page3[Part IV j Checklist of Required Schedules
-
Yes No1 Is the organization described in section 501 (c)(3) or 4947(a)(1) (other than a private foundation)?
If Yes, complete Schedule A . ... . .. . _L .E_.2 Is the organization required to complete Schedule B, Schedule of Contributors? . . . _. -
3 Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates forpublic office? If 'Yes, complete Schedule C, Part! . 3 - x
4 Section 501(c)(3) organizations. Did the organization engage in lobbying activities? If 'Yes, complete Schedule C, Part II _i.. L5 Section 501(c)(4), 501(c)(5), and 501(c)(6) organizations. Is the organization subject to the section 6033(e) notice and
reporting requirement and proxy tax? If 'Yes, complete Schedule C, Part Ill . -
6 Did the organization maintain any donor advised funds or any similar funds or accounts where donors have the right toprovide advice on the distribution or investment of amounts in such funds or accounts? If Yes, complete Schedule 0, Part I 6 - X
7 Did the organization receive or hold a conservation easement, including easements to preserve open space,the environment, historic land areas, or historic structures? If Yes, complete Schedule 0, Part!! ._L. -
8 Did the organization maintain collections of works of art, historical treasures, or other similar assets? !f 'Yes, completeSchedule D, Part III
. . 8 - X
9 Did the organization report an amount in Part X, line 21; serve as a custodian for amounts not listed in Part X; or providecredit counseling, debt management, credit repair, or debt negotiation services? If 'Yes, complete Schedule 0, Part IV 9 X
10 Did the organization, directly or through a related organization, hold assets in term, permanent, or quasi-endowments?-
If "Yes, complete Schedule D, Part V . .11 Is the organization's answer to any of the following questions Yes? If so, complete ScheduleD, Parts VI, VII, VIII, IX, orX
-
as app!icab!e .. . .. ii X-
• Did the organization report an amount for land, buildings, and equipment in Part X, line 10? If 'Yes, complete ScheduleD,Part VI.
• Did the organization report an amount for investments-other securities in Part X, line 12 that is 5% or more of its totalassets reported in Part X, line 16? If Yes, complete Schedule D, Part VI!.
• Did the organization report an amount for investments - program related in Part X, line 13 that is 5% or more of its totalassets reported in Part X, line 16? If 'Yes, complete Schedule D, Part VII!.
• Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported inPart X, line 16? If Yes, complete Schedule D, Part IX.
• Did the organization report an amount for other liabilities in Part X, line 25? If 'Yes, complete Schedule D, Part X.• Did the organization's separate or consolidated financial statements for the tax year include a footnote that addresses
the organization's liability for uncertain tax positions under FIN 48? If Yes,' complete Schedule D, Part X.12 Did the organization obtain separate, independent audited financial statements for the tax year? If 'Yes, complete
Schedule 0, Parts XI, XII, and XI!!.________ 12 X
12A Was the organization included in consolidated, independent audited financial statements for the tax year? Yes No-
If 'Yes, completing Schedule D, Parts XI, XII, and XIII is optional . 12A X13 Is the organization a school described in section 170(b)(1)(A)Oi)? If Yes," complete Schedule E . .
-
_!!.
-
14a Did the organization maintain an office, employees, or agents outside of the United States? j-
2Lb Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business,
. -
and program service activities outside the United States? If Yes, 'complete Schedule F, Part! 14b X-
15 Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to any organizationor entity located outside the United States? If Yes, 'complete Schedule F, Part!! .. 15 -
X16 Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance to individuals
located outside the United States? If Yes,' complete Schedule F, Part I!! ..17 Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX,
-
column (A), lines 6 and 1 le? If Yes, complete Schedule G, Part I ... x18 Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, nes
-
1 c and 8a? If Yes 'complete Schedule 0, Part/I... ............................................................. . . 18 - X
19 Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If Yes.complete Schedule 0, Part Ill . . . . ............................................................... j... -
20 Did the organization operate one or more hospitals'? If Yes, complete Schedule H 20 A
Form-
990(2009)
41..'
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 31-4379427 Page4[Part IV j Checklist of Required Schedules (continued)
- -
Yes-
No21 Did the organization report more than $5,000 of grants and other assistance to governments and organizations in the
United States on Part IX, column (A), line 1? If 'Yes, complete Schedule I, Parts land/I 21 X-
22 Did the organization report more than $5,000 of grants and other assistance to individuals in the United States on Part IX,column (A), line 2? If "Yes," complete Schedule I, Parts land III 22 X
23 Did the organization answer 'Yes to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's current-
and former officers, directors, trustees, key employees, and highest compensated employees? If "Yes," completeSchedule J 23 X
24a Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the-
last day of the year, that was issued after December31, 2002? If "Yes," answer lines 24b through 24d and completeSchedule K. If "No ", go to line 25 24a X
-
b Did the organization invest any proceeds of tax-exempt bonds beyond a temporary peilod exception? 24b - X
c Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defeaseany tax-exempt bonds? 24c X
d Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year? 24d X
25a Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a-
disqualified person during the year? If "Yes," complete Schedule L, Part / 25a - X
b Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, andthat the transaction has not been reported on any of the organization's prior Forms 990 or 990-EZ? If "Yes," completeSchedule L, Part / 25b - X
26 Was a loan to or by a current or former officer, director, trustee, key employee, highly compensated employee, or disqualifiedperson outstanding as of the end of the organization's tax year? If "Yes," complete Schedule L, Part/I 26 - X
27 Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantialcontributor, or a grant selection committee member, or to a person related to such an individual? If "Yes," completeSchedule L, Part III 27 X
28 Was the organization a party to a business transaction with one of the following parties (see Schedule L Part IV-
instructions for applicable filing thresholds, conditions, and exceptions):a A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV 28a - Xb A family member of a current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV 28b X
c An entity of which a current or former officer, director, trustee, or key employee of the organization (or a family member) wasan officer, director, trustee, or direct or indirect owner? If "Yes," complete Schedule L, Part IV - 28c X
29 Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M 29-
X
30 Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation-
contributions? If "Yes," complete Schedule M . o X
31 Did the organization liquidate, terminate, or dissolve and cease operations?-
If "Yes," complete Schedule N, Part I.. ................................................ . .
32 Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets?/f "Yes," complete-
ScheduleN, Part/I x33 Did the organization own 100% of an entity disregarded as separate from the organization under Regulations
sections 301 7701-2 and 3017701-3? If "Yes," complete Schedule R, Part I . .34 Was the organization related to any tax-exempt or taxable entity?
-
If "Yes," complete Schedule R, Parts II, III, IV, and V, line 1... ... .!.. _L
35 Is any related organization a controlled entity within the meaning of section 51 2(b)(1 3)?-
If "Yes," complete Schedule R, Part V, line 2 . . L36 Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization?
_ -
If "Yes," complete Schedule R, Part tç line 2 .. -
37 Did the organization conduct more than 5% of its activities through an entity that is not a related organizationand that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VI
38 Did the organization complete Schedule 0 and provide explanations in Schedule 0 for Part VI, lines 11 and 19?Note. All Form 990 filers are required to complete Schedule 0. 38 X
Form-
990(2009)
93200402-0410
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 31 4379427 Page5I Part VI Statements Regarding Other IRS Filings and Tax Compliance
Yes Nola Enter the number reported in Box 3 of Form 1096, Annual Summary and Transmittal of
US. Information Retums. Enter -0- if not applicable Lia 3768b Enter the number of Forms W-2G included in line la. Enter -0- if not applicable I lb 0c Did the organization comply with backup withholding rules for reportable payments to vendors and r eportable gaming
(gambling) winnings to prize winners? .ic X-
2a Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements,filed for the calendar year ending with or within the year covered by this return . 2a 24201
b If at least one is reported on line 2a, did the organization file all required federal employment tax retums?Note. If the sum of lines la and 2a is greater than 250, you may be required toe-file this retum. (see instructions)
3a Did the organization have unrelated business gross income of $1000 or more during the year covered by this retum? 3a X
b If Yes, has it filed a Form 990-T for this year? If No, provide an explanation in Schedule 0
.
3b X-
-
4a At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, afinancial account in a foreign country (such as a bank account, securities account, or other financial account)? 4a X
b If Yes, enter the name of the foreign country: SEE SCHEDULE 0-
See the instructions for exceptions and filing requirements for Form TD F 90 221, Report of Foreign Bank andFinancial Accounts.
5a Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? . . -
b Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?-
c If Yes, to line 5a or 5b, did the organization file Form 8886-T, Disclosure by Tax-Exempt Entity Regarding ProhibitedTax Shelter Transaction? 5c
6a Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit- -
any contributions that were not tax deductible?
.
6a - X
b If Yes, did the organization include with every solicitation an express statement that such contributions or giftswere not tax deductible? 6b -
7 Organizations that may receive deductible contributions under section 170(c).a Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services
provided to the payor? .
.
-
b If Yes, did the organization notify the donor of the value of the goods or services provided? lb -
c Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was requiredto file Form 82822 ............................................................................................................................................................
.
xd If Yes, indicate the number of Forms 8282 filed during the year I 7d I
-
e Did the organization, during the year, receive any funds, directly or indirectly, to pay premiums on a personalbenefit contract?
.
7e X
f Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? .-
- Lg For all contributions of qualified intellectual property, did the organization file Form 8899 as required?
. ia. .
h For contributions of cars, boats, airplanes, and other vehicles, did the organization file a Form 1098-C as required?.
lh X
8 Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting organizations. Did the-
supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdingsat any time during the year? . 8
9 Sponsoring organizations maintaining donor advised funds.- -
a Did the organization make any taxable distributions under section 4966? . .. *
b Did the organization make a distribution to a donor, donor advisor, or related person? . - . 9b10 Section 501(c)(7) organizations. Enter:
- -
a Initiation fees and capital contributions included on Part VIII, line 12 - . ____________________
b Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities . . Liob11 Section 501(c)(12) organizations. Enter:
a Gross income from members or shareholders .hab Gross income from other sources (Do not net amounts due or paid to other sources against
amounts due or received from them.) . -. . .................................. .. ... 1 lbh2a Section 4941(a)(l) nonexempt charitable trusts. Is the organization filing Form 990 in lieu of Form 10412 12a
b If Yes, enter the amount of tax-exempt interest received or accrued durinq the year I 12b I- -
-
Foni- -
990 2009,
c_-, nc0 04 '0
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 314379427 Page6[!rtj Governance, Management, and Disclosure For each 'Yes' response to lines 2 through 7b below, and fora "No' response
to line 8a, 8b, or lOb below, describe the circumstances, processes, or changes in Schedule 0. See instructions,
Section A. Governing Body and Management-
Yes-
Nola Enter the number of voting members of the governing body Ia 9b Enter the number of voting members that are independent lb 3
2 Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any otherofficer, director, trustee, or key employee?
,,,..,.., 2 -X
3 Did the organization delegate control over management duties customarily performed by or under the direct supervisionof officers, directors or trustees, or key employees to a management company or other person? 3 X
4 Did the organization make any significant changes to its organizational documents since the prior Form 990 was filed? 4 -X
5 Did the organization become aware during the year of a material diversion of the organization's assets? 5 -X
6 Does the organization have members or stockholders?-
7a Does the organization have members, stockholders, or other persons who may elect one or more members of thegoverning body? 7a -
X
b Are any decisions of the governing body subject to approval by members, stockholders, or other persons?- -
8 Did the organization contemporaneously document the meetings held or written actions undertaken during the yearby the following:
a The goveming body? . . . .. .
b Each committee with authority to act on behalf of the governing body? . j_.9 Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the
organization's mailing address? If "Yes," provide the names and addresses in Schedule 0 9 X-
Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)-
Yes NoIOa Does the organization have local chapters, branches, or affiliates? . . . . .. . . i!?i
b If 'Yes," does the organization have written policies and procedures governing the activities of such chapters, affiliates,and branches to ensure their operations are consistent with those of the organization? . lOb X
11 Has the organization provided a copy of this Form 990 to all members of its goveming body before filing the form? 11 XI IA Describe in Schedule 0 the process, if any, used by the organization to review this Form 990.12a Does the organization have a written conflict of interest policy? If 'No, "go to line 13 . . i? _.
b Are officers, directors or trustees, and key employees required to disclose annually interests that could give riseto conflicts? 12b X
c Does the organization regularly and consistently monitor and enforce compliance with the policy? If" Yes," describe-
in Schedule Ohowthis is done 12c X
13 Does the organization have a written whistleblower policy? . .
-
14 Does the organization have a written document retention and destruction policy? . . jj _L15 Did the process for determining compensation of the following persons include a review and approval by independent
-
persons comparability data and contemporaneous substantiation of the deliberation and decision'?a The organization's CEO, Executive Director, or top management official , jb Other officers or key employees of the organization 15b
..
X-
If Yes to line 15a or 15b describe the process in Schedule 0 (See instructions)-
I6a Did the organization invest in contribute assets to or participate in a joint venture or similar arrangement with ataxable entity during the year? . 16a X
b If Yes has the organization adopted a written policy or procedure requiring the organization to evaluate its participation-
in joint venture arrangements under applicable federal tax law and taken steps to safeguard the organization sexempt status with respect to such arrangements? . . -
Section C. DisclosureistthestateswithwhichacopyofthisForm990isrequiredtobefiledSEESCHEDULEO
18 Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990-1 (501 (c)(3)s only) available forpublic inspection, Indicate how you make these available. Check all that apply.LiL Own website Another's website DL Upon request
19 Describe in Schedule 0 whether (and if so, how), the organization makes its governing documents, conflict of interest policy, and financialstatements available to the public.
20 State the name, physical address, and telephone number of the person who possesses the books and records of the organization:________
I. MARTIN INGLIS 614-4247120
505 KING AVENUE, COLUMBUS, OH 4320i2693
Form 990 (2009)
93200602-04-10
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 31-4379427 PageiI Part VIII Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated
Employees, and Independent ContractorsSection A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employeesla Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organizations taxyear. Use Schedule J-2 if additional space is needed.
• List all of the organizations current officers, directors, trustees (whether individuals or organizations), regardless of amount of compensation.Enter -0- in columns (D), (E), and (F) if no compensation was paid.
• List all of the organization's current key employees. See instructions for definition of key employee.• List the organizations five current highest compensated employees (other than an officer, director, trustee, or key employee) who received reportable
compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the organization and any related organizations,• List all of the organizations former officers, key employees, and highest compensated employees who received more than $100,000 of
reportable compensation from the organization and any related organizations.• List all of the organization's former directors or trustees that received, in the capacity as a former director or trustee of the organization,
more than $10,000 of reportable compensation from the organization and any related organizations.List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highest compensated employees;and former such persons.LIII Check this box if the oraanization did not comoensate any current officer, director, or trustee.
--
(A) (B) (C) (D) (E) (F)Name and Title Average Position Reportable Reportable Estimated
hours (check all that apply) compensation compensation amount ofper - - - - - from from related otherweek the organizations compensation
organization (W.2/1099-MISC) from the(W.2/1099'MISC) organization
a and relatedorganizations
JOHN 13. MCCOY
CHAIRMAN AND DIRECTOR 3.00 X
-
- - -130,004. 0. 0.
VICKY A. BAILEY _______________ ____________
DIRECTOR 3.00 X 110,000. 0. 0.
BERNADINE P. HEALY
DIRECTOR 3.00 X 105,000. 0. 0.
RUSSELL A. HULSE
DIRECTOR 3.00 X 110,000. 0. 0.
SEAN O'KEEFE
DIRECTOR 3.00 X- - -
112,504. 0. 0.
LESTER L. LYLES
DIRECTOR 3.00 X 107,504. 0. 0.
MICHAEL 0. MORRIS
DIRECTOR 3.00 X
-
- -110,000. 0. 0.
ROBERT D. WALTER
-
_______________ ____________
DIRECTOR 3.00 X- - -
110,000. 0. 0.
JOHN K. WELCH
DIRECTOR 3.00 X-
115,004. 0. 0.
JEFFREY WADSWORTH
PRESIDENT & CEO 40.00 x-
- -1,618,805. 0. 163,710.
I. MARTIN INGLIS-
______________ ___________
EXECUTIVE VP AND CFO 40.00 924,949. 0. 202,504.
RONALD D. TOWNSEND
EXECUTIVE VP 40.00 X 656,090. 0. 108,920.
RUSSELL P. AUSTIN
SR VP, GEN COUNSEL & SEC 40.00 X- - -
549,200, 0. 144,774,
RICHARD C. ADAMS
SENIOR VICE PRESIDENT 40.00 X
-
-752,710. 0. 612,775.
JOHN J. GROSSENBACHER
- -
_______________ ____________
SENIOR VICE PRESIDENT 40.00 536,064. 0. 157,860,
ANTHONY T. HEBRON
SENIOR VICE PRESIDENT 40.00-
X- -
404,311, 0. 62,810,
STEPHEN S. KELLY-
SENIOR VICE PRESIDENT 40.00 X 507,933. 0, 290,231,
932007 0204-10 Form 990(2009)
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 31-4379427 Page 8Part VIII Section A. Officers. Directors. Trustees. Key Emniovees. nd Hiohest Cnmnensted FmnIôvees (continued)
(A) (B) (C) (D) (E) (F)Name and title Average Position Reportable Reportable Estimated
hours (check all that apply) compensation compensation amount ofper from from related other
week the organizations compensationorganization (W-2/1 099-MISC) from the
(W-2/1 099-MISC) organizationand related
organizations
MICHAEL KLUSE
SENIOR VICE PRESIDENT 40.00 x 624,529. 0. 591,668.
BARBARA L. KUNZ
SENIOR VICE PRESIDENT 40.00 X 529,303. 0. 73,444.
THOMAS E. MASON
SENIOR VICE PRESIDENT 40.00 X 491,976. 0. 229,642.
DONALD P. MCCONNELL
SENIOR VICE PRESIDENT 40.00 X 549,741. 0. 598,675.
THOMAS D. SNOWBERGER
SENIOR VICE PRESIDENT 40.00 X 685,805. 0. 45,525.
RICHARD D. ROSEN
VICE PRESIDENT 40.00 X 388,212. 0. 350,677.
DANIEL W. O'BRYAN
ASST TREAS.& ASST SEC. 40.00 X 277,712. 0. 211,158.
STEPHEN H. VALENTINE
CONTROLLER & ASST TREAS. 40.00 X 290,627. 0. 218,867.
GWENDOLYN C. VONHOLTEN
TREASURER 40.00 X 251,618. 0. 244,796.
JUDITH L. MOBLEY- -
ASSISTANT TREASURER 40.00 X 153,726. 0. 77,747.
lb Total . - 15,949,746. 0. 6,041,359.
2 Total number of individuals (including but not limited to those listed above) who received more than $100,000 in reportablecompensation from the organization 6 ,368
Yes No
3 Did the organization list any former officer director or trustee key employee or highest compensated employee online 1 a? If 'Yes," complete Schedule J for such individual 3 X
4 For any individual listed on line 1 a is the sum of reportable compensation and other compensation from the organizationand related organizations greater than $150,000? If "Yes," complete Schedule J for such individual 4 X
-
5 Did any person listed on line 1 a receive or accrue compensation from any unrelated organization for services rendered tothe organization? If "Yes," complete Schedule J for such person X
Section B. Independent Contractors-
1 Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation fromthe_organization,
(A)_______________________________
(B)___________________
(C)
Name and business address Description of services CompensationLYDIG1GRANT-A JOINT VENTURE, 11001 EAST
MONTGOMERY DRIVE, SPOKANE, WA 99206 ONTRACTOR-CONSTRUCTION 79,309,440,
NATIONAL SECURITY TECHNOLOGIES LLC
P0 BOX 98521, LAS VEGAS, NV 89193 UCLEAR RESEARCH SERVICES 73,823,278,
TARCON, INC.
328 NEWMAN SPRINGS RD, RED BANK, NJ 07701 ONTRACTOR-CONSTRUCTION 20,811,780.
RADIOACTIVE WASTE MANAGEMENT PLANT
05-400, OTWOCK-SWIERK, MASOVIAN, POLAND IASTE MGMT SERVICES 19,025,636.
GILBANE ELFORD A JOINT VENTUR, 440 POLARIS
PARKWAY SUITE 200, WESTERVILLE, OH 43082 ONTRACTOR-CONSTRUCTION 15,987,485.
2 Total number of independent contractors (including but not hmited to those listed above) who received more than$100 000 n compensation from the organization 922SEE SCHEDULE J-2 FOR PART VII, SECTION A CONTINUATION Form99O(2009)
932008 020410
Form 990 (2009) BATTEL,LE MEMORIAL INSTITUTE 31 4379427 Pane9
.
.
.
..
.......................................................................
.
............................................
...........................................................
I Part VIII j Statement of Revenue____________
(A)____________
(B)__________
(C) (D)Total revenue Related or Unrelated exom
exempt function business tax underrevenue revenue sections 512,
_______________________________ _____________ _____________513, or 514
I a Federated campaigns la_____________ ___________
______________
b Membership dues lb ______________
c Fundraising events ______________
d Related organizations . . ... _______________
e Government grants (contributions) le 4,505,277, 128.
f All other contributions, gifts, grants, andsimilar amounts not included above If __________________- _________
voc g Noncash contnbut ons ncuded a Unes 'a If $
h Total.Add lines la-if .....-. 4,505,277,128,
Business Code_____________ ____________ _____________
2a GOVERNMENT CONTRACTS 541700 939,662,322. 939,662,322.
b SCIENTIFIC RESEARCH 541700 70,610,347. 68,667,633.___________
1,942,714.____________
0 c ___________________________ _________ ___________ ___________
_____________
w d __________________________ ________ ___________ ___________ __________ __________
o e'
__________________
f All other program service revenue______
____________
________
_______________
- g Total. Add lines 2a-2f 1,010,272,669._______________ _____________ ______________
3 Investment income (including dividends, interest, and_____________ ____________ _____________
othersimilaramounts) 8,579,151. 259,746. 8,319,405.4 Income from investment of tax-exempt bond proceeds _______________
_____________
5 Royalties 9,642,755._______________ _____________ ______________
9,642,755,
(i) Real (H) Personal______________ _____________
6 a Gross Rents 621,863.__________
b Less: rental expenses 571,359.___________
c Rental income or (loss) 50,504.____________
d Net rental income or (loss) 50,504, 1,593. 52,097.7 a Gross amount from sales of (i) Securities (ii) Other
______________
assetsotherthaninventory .36,834,552 200,656.
b Less: cost or other basisandsalesexpenses .35,380,194 921,394.
o Gainor(Ioss) 1,454,358 720,738.
d Netgainor(loss) 733,620. 733,620,8 a Gross income from fundraising events (not
______________ _____________
including $ of____________________
contributions reported on line lc). SeePart IV, line 18 a __________
b Less: direct expenses b __________
o Net income or (loss) from fundraising events . . . _______________
9 a Gross income from gaming activities. See_______________ _____________ ______________
Part IV, line 19 a __________
b Less: direct expenses bo Net income or (loss) from gaming activities
____________
. _______________ ________________
10 a Gross sales of invertory, less returns______________ _______________
and allowances a ____________
b Less: cost of goods sold . . . .. b ____________
o Net income or (loss) from sales of inventory .Miscellaneous Revenue Business Code
________________ ________________ ______________ _______________
11 a CURRENCY CONVERSION 541700 4,800,695. 4,800,695.
b STEM REVENUE 541700 4,518,622,______________ _____________
4,518,622.
c INCOME TAX BENEFIT 541700 153,581.______________
______________
_____________
153,581.
d Allotherrevenue 54170i 1,308,975,_____________
1,308,975,
e TotaLAdd inesilalid . . . .10,781,873.
_______________
_____________
_____________
12 Totatrevenue n tructons. . . . . S,545,337,7O0, 1,008,29,955____________
2,200,857_____________
29,°29,350.
'1o Form 990 (20C)
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 31-4379427 PagelO
Part IX Statement of Functional ExpensesSection 501(c)(3) and 501(c)(4) organizations must complete all columns.
All other organizations must complete column (A) but are not required to complete columns (B), (C), and (D).
Do not include amounts reported on lines 6b,7b, Sb, 9b, and lOb of Part VIII.
1 Grants and other assistance to governments andorganizations in the U.S. See Part IV, line 21
2 Grants and other assistance to individuals inthe US. See Part IV, line 22
3 Grants and other assistance to governments,organizations, and individuals outside the US.See Part IV, lines 15 and 16
4 Benefits paid to or for members5 Compensation of current officers, directors,
trustees, and key employees6 Compensation not included above, to disqualified
persons (as defined under section 4958(f)(1)) andpersons described in section 4958(c)(8)
7 Other salaries and wages8 Pension plan contributions (include section 401(k)
and section 403(b) employer contributions)9 Other employee benefits
10 Payroll taxes11 Fees for services (non-employees):
a Managementb Legalc Accountingd Lobbyinge Professional fundraising services. See Part IV, line 17f Investment management feesg Other
12 Advertising and promotion13 Office expenses14 Information technology15 Royalties16 Occupancy17 Travel18 Payments of travel or entertainment expenses
for any federal, state, or local public officials19 Conferences, conventions, and meetings20 Interest21 Payments to affiliates22 Depreciation, depletion, and amortization
23 Insurance
24 Other expenses, Itemize expenses not coveredabove. (Expenses grouped together and labeledmiscellaneous may not exceed 5% of totalexpenses shown on line 25 below.)
a PURCHASES
b RENTAL & MAINTENANCE
c NONINCOME TAX EXPENSE
d EQUITY LOSS INVESTMENTS
e MINORITY INTEREST
f All other expenses _____________________
25 Total functional expenses. Add lines I through 24f26 Joint costs. Check here . Li if following
SOP 98-2. Complete this line only if the organizationreported in column (B) joint costs from a combinededucational campaiqn and fundraisin solicitation
Total expenses Progran 'service Managém'ent and
10 ,620, 032. 10, 620, 032.__________________ ___________________
10633,779 8,507,023. 2,126,756
2,014,791,559
165,602,387.204,151,539.129,569,726.
12,939,509.8,512,526.
910,197.
875,431.
10,959,438.
1,757,791,872.483,066.
42,338,338.75,399,188.
713,666.132,958,146.
108,366,133.
7,299,311
31, 881 ,071.
7, 165 ,677.
,474.8, 96 , 4.
, 0 2 , 40.
6, 240 ,492.
3, 544,742.3, 122,433.
5,538, 030 ,006.
1,611,833,247
132,481,910.
163, 321, 231.
103,655,781.
10,351 ,607.
6,810 ,021.728 ,158.
700 ,345.
8,767,550.1,406,233 ,498.
386,453.33,870 ,670.60, 319 ,350.
570 ,933.
106,366 ,517.
86,692 ,906.
5,839,449
25,504,857.
5,732, 42.
34 4 79.
70,477,067.
28,042,352.
4,992,394.
2,835,794.
2,497,947.
4,432,548,013,
402,958,312,
33,120,477.
40,830,308.
25,913,945.
2, 587 ,902,
1, 702 ,505.
182 ,039.
175 ,086.
2, 191,888.351,558 ,374.
96 ,613.8, 467 ,668.
15, 079 ,838.142 ,733.
26, 591 ,629.21, 673 ,227.
1,459.862.
6, 376 ,214,
1, 4 3 ,135.
1 , 602 ,09
17, 1 ,267.7, 010 , 8
1, 248 ,09
708 ,948.
624 ,486.
1,105,481 ,993,
932010 02-04-10 Form 990 (2009)
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 31 4379427 Page11
I Part X ] Balance Sheet
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.
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.
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..............
(A) - (B)
- ______________________________________________________________________Beginning of year End of year
I Cash-non-interest-bearing 53,726 ,475. 51, 003 ,950.
2 Savingsandtemporarycashinvestments 48,345 ,395. 2 15,894 ,553.
3 Pledges and grants receivable, net
4 Accounts receivable, net_______________
276,894_____
,572. 4____________
274,_________
292,486.
5 Receivables from current and former officers, directors, trustees, keyemployees, and highest compensated employees. Complete Part IIof Schedule L ____________________ _____________________
6 Receivables from other disqualified persons (as defined under section4958(f)(1)) and persons described in section 4958(c)(3)(B). CompletePartllofScheduleL . .
7 Notesandloansreceivable,net____________
2,829____
,040,_.
7_________
1,____
938____
,479.
8 Inventoriesforsaleoruse 5,240 ,212. 8 8, 105 ,339.
9 Prepaidexpensesanddeferredcharges 9,856 ,170. 9 7, 295 ,559.
ba Land, buildings, and equipment: cost or otherbasis. Complete Part VI of Schedule D . . lOa 748,663,657.
b Less:accumulateddepreciation lOb 363,582,247, 331,727 ,935, lOc 385, 081 ,410.
11 Investments-publiclytradedsecurities 279,448 ,212. i 284, 791 ,467.
12 Investments-othersecuritiesSeePartlV,linell 129,206 ,201. 12 139, 309 ,736,
13 Investments - program-related. See Part IV, line 11 ____________________ 1314 Intangible assets 14
_____________________
15 OtherassetsSeePartlV,linell_______________
17,735_____
,309. 1.5____________
16,___
255______
,073.
- 16 Totalassets.Addlineslthroughl5(mustequalline34) 1,155,009 ,521. 16 1,183,968 ,052.17 Accounts payable and accrued expenses 175,818 ,535. 17 157, 100 ,339.18 Grants payable ____________________ _____________________
19 Deferred revenue 43,141 ,802. 19 28, 507 ,448.
20 Tax-exempt bond liabilities 18,123 ,410. 20 18, 053 ,000.21 Escrow or custodial account liability. Complete Part IV of Schedule D ____________________ _____________________
22 Payables to current and former officers, directors, trustees, key employees,highest compensated employees, and disqualified persons. Complete Part IIofScheduleL _________________
23 Secured mortgages and notes payable to unrelated third parties 137,700 ,000. 23__________
149,___
399_____
,879,
24 Unsecured notes and loans payable to unrelated third parties 2425 Otherliabilities. Complete Part X of Schedule D
_______________
186,194_____
,596. 25_____________________
276,869,693.
- 26 TotalliabilitiesAddlinesl7throuqh25 560,978 ,343. 26 629, 930 ,359.
Organizations that follow SFAS 117, check here Li and completelines 27 through 29, and lines 33 and 34.
27 Unrestricted net assets 2728 Temporarily restricted net assets .
____________________ _____________________
29 Permanently restricted net assets________________
_______________
_____
_____
____________
____________
____
___
______
______
Organizations that do not follow SFAS 117, check here LI1 andcomplete lines 30 through 34.
30 Capital stock or trust principal, or current funds 0. 30 0.
31 Paid-in or capital surplus, or and, building, or equipment fund 0. 31 0.
32 Retained earnings, endowment, accumulated income, or other funds 594,031 , 178. 32 554, 037 , 693.Z Totalpetassetsorund balances 594,031 ,178. 33 554, i37, 693.
- 34 Totalliabihtiesandnetassets/fundbalances 1,155,009 ,521, 34 1,183, 968, 052,
Form 99012009)
2C1 2 .,4
Form 990 (2009) BATTELLE MEMORIAL INSTITUTE 314379427 Pagel2I Part XII Financial Statements and Reoortinci
1 Accounting method used to prepare the Form 990: LIII Cash LiII Accrual El Other _____________________
If the organization changed its method of accounting from a prior year or checked Other, explain in Schedule 0.2a Were the organizations financial statements compiled or reviewed by an independent accountant?
b Were the organization's financial statements audited by an independent accountant?o If Yes to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit,
review, or compilation of its financial statements and selection of an independent accountant?If the organization changed either its oversight process or selection process during the tax year, explain in Schedule 0.
d If Yes to line 2a or 2b, check a box below to indicate whether the financial statements for the year were issued on aconsolidated basis, separate basis, or both:LII Separate basis Lull Consolidated basis LII Both consolidated and separate basis
3a As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single AuditAct and 0MB Circular A133?
b If 'Yes,' did the organization undergo the required audit or audits? If the organization did not undergo the required audit
Yes No
2a X
2b X
2c X
3a X
3b XForm 990(2009)
932012 020410
SCHEDULE A(Form 990 or 990-EZ)
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.
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Department of the Treaswyntema Revenue Servce
Name of the orqani;
Public Charity Status and Public SupportComplete if the organization is a section 501(c)(3) organization or a section
4947(a)(1) nonexempt charitable trust.Attach to Form 990 or Form 990-EZ. See separate instructions.
BATTELLE MEMORIAL INSTITUTE
0MB No. 1545-0047
Open to PublicInspection
31-4379427Part I I Heason tor Public Uharity Status (All orqanizations must complete this part.) See instructions.
The organization is not a private foundation because it is: (For lines 1 through 11 check only one box.)I El A church, convention of churches, or association of churches described in section 170(b)(l)(A)(i).2 LII A school described in section 170(b)(I)(A)(ii). (Attach Schedule E.)
LIII A hospital or a cooperative hospital service organization described in section I70(b)(I)(A)(iii).LII A medical research organization operated in conjunction with a hospital described in section 170(b)(1)(A)(iii). Enter the hospital's name,
city, and state:LII An organization operated for the benefit of a college or university owned or operated by a governmental unit described in
section 170(bXI)(AXiv). (Complete Part II.)6 LIII A federal, state, or local government or governmental unit described in section 170(b)(1)(A)(v).
LlII An organization that normally receives a substantial part of its support from a governmental unit or from the general public described insection 170(b)(1XA)(vi). (Complete Part II.)
LIII A community trust described in section 170(b)(I)(A)(vi). (Complete Part II.)LIII An organization that normally receives: (1) more than 33 1/3% of its support from contributions, membership fees, and gross receipts from
activities related to its exempt functions subject to certain exceptions, and (2) no more than 33 1/3% of its support from gross investmentincome and unrelated business taxable income (less section 511 tax) from businesses acquired by the organization after June 30, 1975.See section 509(a)(2). (Complete Part Ill.)
10 LII An organization organized and operated exclusively to test for public safety, See section 509(a)(4).ii LII An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or
more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). See section 509(a)(3). Check the box thatdescribes the type of supporting organization and complete lines lie through 1 lh.a [1111 Type I b LII Type II c LIII Type Ill Functionally integrated d LIII Type Ill - Other
o El By checking this box, I certify that the organization is not controlled directly or indirectly by one or more disqualified persons other thanfoundation managers and other than one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2).
f If the organization received a written determination from the IRS that it is a Type I, Type II, or Type Illsupporting organization, check this box LII
g Since August 17, 2006, has the organization accepted any gift or contribution from any of the following persons? __________(i) A person who directly or indirectly controls, either alone or together with persons described in (ii) and (iii) below, Yes No
the governing body of the supported organization? llg(i)(ii) A family member of a person described in (i) above? I lg(ii)(iii) A 35% controlled entity of a person described in (i) or (ii) above? 1 lg(iii)
h Provide the following information about the supported organization(s).
(vi) Is the (vii) Amount of(iii) ype 01 iv) Is the organization (v) Did you notify the organization in col.(i) Name of supported (ii) EIN organization n col. (i) listed in your organization in coL (i) organized in the supportorgamzahondescnbed on hnes 1-9 governing document? (i)ofyoursuppoU? U.S.?above or IRC section ________ ________ ________ ________ ________ -
(see instructions)) Yes No Yes No Yes No
Total ______________ _________________ ______ ______ ______ ______ _______ __________________
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Schedule A (Form 990 or 990-EZ) 2009Form 990 or 990-EZ.
932021 020S-10
Schedule A(Form 990 or 990.EZ) 2009 BATTELLE MEMORIAL INSTITUTE 31-4379427 Page 2
I Part III Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)(Complete only if you checked the box on lineS, 7, or 8 of Part I.)
Section A. Public SupportCalendar year (or fiscal year beginning in) (a) 2005 (b) 2006 (c) 2007 (d) 2008 (e) 2009 (f) Total
1 Gifts, grants, contributions, andmembership fees received. (Do notinclude any 'unusualgrants.") 2999298954. 3272337285. 3711462617. 3954051722. 4505277128. 18442427706.
2 Tax revenues levied for the organ-ization's benefit and either paid toor expended on its behalf
3 The value of services or facilitiesfurnished by a govemmental unit tothe organization without charge
______________ ______________ ______________
4 Total.Addlinesl through3 2999298954. 3272337285. 3711462617.______________
3954051722.______________
4505277128._______________
18442427706.
5 The portion of total contributionsby each person (other than agovemmental unit or publiclysupported organization) includedon line 1 that exceeds 2% of theamount shown on line 11,column (f)
-
6 Public support. ubtra t hn 5from fl 4
______________
_______________
______________
_______________
______________
______________
______________
______________
______________
_______________
_______________
18442427706.ecuon . i owl support
__________ __________ __________ __________ __________ ___________
Calendar year (or fiscal year beginning in) (a) 2005 (b) 2006 (C) 2007 (d) 2008 (e) 2009 (f) Total7 Amountsfromline4 2999298954. 3272337285. 3711462617. 3954051722. 4505277128. 18442427706.
8 Gross income from interest,
dividends, payments received onsecurities loans, rents, royaltiesandincomefromsimilarsources 23,802,434. 22,676,062. 19,076,116. 69,299,595. 22,502,132. 157,356,339.
9 Net income from unrelated businessactivities, whether or not thebusinessisregularlycarriedon ____________ ____________ ____________ ____________
82,241. 82,241.
10 Other income. Do not include gainor loss from the sale of capitalassets (Explain in Part IV.) _____________ _____________ _____________ _____________ _____________ ______________
11 Total support Add lines 7 through 10 18599866286
12 Gross receipts from related activities, etc. (see instructions) 12 I 4,321,154,596.
13 First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501 (c)(3)organization, check this box and stop here LIII
Section C. Computation of Public Support Percentage14 Public support percentage for 2009 (line 6, column (f) divided by line 11, column (f1) ............ 14 99.15 %15 Public support percentage from 2008 Schedule A, Part II, line 14 15 99.09 %16a 33 1/3% support test - 2009.lf the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box and
stop here. The organization qualifies as a publicly supported organizationb 33 1/3% support test - 2008. If the organization did not check a box on line 13 or 1 6a, and line 15 is 33 1/3% or more, check this box
and stop here. The organization qualifies as a publicly supported organization LJha 10/ -facts-and-circumstances test 2009.lf the organization did not check a box on line 13, 16a, or 16b, and line 14 is 10% or more,
and if the organization meets the facts-and-circumstances test, check this box and stop here. Explain in Part IV how the organizationmeets the 'facts-and-circumstances' test. The organization qualifies as a publicly supported organization 11111
b 10/Q -facts-and-circumstances test - 2008.lf the organization did not check a box on line 13, 16a, lBb, or 17a, and line 15 is 10% ormore, and if the organization meets the facts-and-circumstances' test, check this box and stop here. Explain in Part IV how theorganization meets the 'facts-andcircumstances test. The organization qualifies as a publicly supported organization Li
18 Private foundation. If the organization did not check a box on line 13, 1 6a, 1 6b, 1 7a, or 1 7b, check this box and see instructions LIIISchedule A (Form 990 or 990-EZ) 2009
c3202202-08-10
I Part HI j Support Schedule for Organizations Described in Section 509(a)(2) (Complete only if you checked the box on line 9 of Part L)Section A. Public Support
............................................................................................................................................................
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Calendar year (or fiscal year beginning in) (a) 2005 (b) 2006 (C) 2007 (d) 2008 (e) 2009 (f) Total1 Gifts, grants, contributions, and
membership fees received, (00 notinclude any unusual grants.)
______________ ______________
2 Gross receipts from admissions,______________ ______________ ______________ _______________
merchandise sold or services per.formed, or facilities furnished inany activity that is related to theorganization's taxexempt purpose _____________ _____________ _____________
3 Gross receipts from activities that_____________ _____________ ______________
are not an unrelated trade or busmess under section 513
4 Tax revenues levied for the organization's benefit and either paid toor expended on its behalf
5 The value of services or facilitiesfurnished by a governmental unit tothe organization without charge
______________ ______________ ______________ ______________
6 Total. Add lines 1 through 5 _____________ _____________ _____________
______________ _______________
7a Amounts included on lines 1, 2, and_____________ _____________ ______________
3 received from disqualified persons______________ ______________ ______________ ______________ ______________
b Amounts included on lines 2 and 3 received_______________
from other than disqualified persons thatexceed the cjreater of $5,000 or 1% of theamount on lane 13 for the year
c Add lines 7a and 7b _____________ _____________ _____________
8 Public_support_(Sublrpcl_line_in_torn_line ____________________ ____________________ ____________________
_____________
___________________
_____________
___________________
______________
_____________________
Section B. Total SupportCalendar year (or fiscal year beginning in)
9 Amounts from line 6lOa Gross income from interest,
dividends, payments received onsecurities loans, rents, royaltiesand income from similar sources
b Unrelated business taxable income(less section 511 taxes) from businessesacquired after June 30, 1975
cAdd lines ba and lOb11 Net income from unrelated business
activities not included in line lOb,whether or not the business isregularly carried on
12 Other income. Do not include gainor loss from the sale of capitalassets (Explain in Part IV.)
13 Total SuppOrt )Add lanes 9. ICc. 11, and 12.)
(a) 2005 (b) 2006 (c) 2007 (d) 2008 (e) 2009 (f) Total
14 First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501 (c)(3) organization,check this box and stop here Liii
Section C. Comoutation of Public Sunnort Percentaae
17 Investment income percentage for 2009 (line lOc, column (t) divided by line 13, column (f) 1718 Investment income percentage from 2008 Schedule A, Part Ill, line 17 1819a 33 1/3% support tests - 2009. If the organization did not check the box on line 14, and line 15 is more than 33 113%
%%
and line 17 is notmore than 33 1/3%, check this box andstop here. The organization qualifies as a publicly supported organization Liii
b 331/3% support tests 2008. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3%. andline l8is not more than 331/3%, check this box andstop here, The organization qualifies as a publicly supported organization
20 Private foundation. If the oranization did not check a box on line 14, 1 9a, or 1 9b, check this box and see instructions LiiiSchedule A (Form 990 or 990-EZ) 2009
932023 020810
Section D. Computation of Investment Income Percentage
SCHEDULE C Political Campaign and Lobbying Activities OMR No. 1545-0047
(Form 990 or 990-EZ)For Organizations Exempt From Income Tax Under section 501(c) and section 527 2009
Department of the Treasury Complete if the organization is described below Open to Publicntema Revenue Servme Ins ection___________________ Attach_to_Form_990_or_Form_990-EZ.__See_separate_instructions.
___________________
If the organization answered "Yes, to Form 990, Part IV, line 3, or Form 990-EZ, Part VI, line 46 (Political Campaign Activities), then• Section 501 (c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.• Section 501(c) (other than section 501 (c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.• Section 527 organizations: Complete Part I-A only.
If the organization answered "Yes," to Form 990, Part IV, line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then• Section 501 (c)(3) organizations that have filed Form 5768 (election under section 501(h)): Complete Part Il-A. Do not complete Part li-B.• Section 501 (c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part li-B. Do not complete Part Il-A.
If the organization answered "Yes," to Form 990, Part IV, line 5 (Proxy Tax), then• Section 501(c)(4), (5), or (6) organizations: Complete Part Ill.
Name of organization I Employer identification numberBATTELLE MEMORIAL INSTITUTE 3l4379427
art I-A j Complete if the organization IS exempt under section 501(c) or is a section 527 organization1 Provide a description of the organization's direct and indirect political campaign activities in Part IV.2 Political expenditures $ 0.3 Volunteer hours 0.
Part i-B I Complete if the organization is exempt under Section 501 (c)(3).I Enter the amount of any excise tax incurred by the organization under section 4955 $ 0.
2 Enter the amount of any excise tax incurred by organization managers under section 4955 $ 0.
3 If the organization incurred a section 4955 tax, did it file Form 4720 for this year? Li Yes Li No4a Was a correction made? LII] Yes [III] No
I.. IC "\/-,,-. I.-. fl....4 flI
Part I-C j Complete if the organization is exempt under section 501(c), except section 501 (c)(3).1 Enter the amount directly expended by the filing organization for section 527 exempt function activities $ _______________________
2 Enter the amount of the filing organization's funds contributed to other organizations for section 527exempt function activities $ _______________________
3 Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL,linel7b
4 Did the filing organization file Form 1 120-POL for this year? Li Yes LL No5 Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which payments were made.
For each organization listed, enter the amount paid from the filing organization's funds. Also enter the amount of political contributions receivedthat were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee(PAC). If additional space is needed, provide information in Part IV.
(a) Name (b) Address (c) EIN (d) Amount paid fromfiling organization's
funds. If none, enter -0-.
(e) Amount of politicalcontributions received and
promptly and directlydelivered to a separatepolitical organization.
If none, enter -0-.
For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Schedule C (Form 990 or 990-EZ) 2009LHA
032041 02-04-10
Schedule C (Form 990 or 990.EZ) 2009 BATTELLE MEMORIAL INSTITUTE 31-4379427 Page 2Part li-A Complete if the organization is exempt under section 501 (c)(3) and filed Form 57
(election under section 501(h)).A Check L.J if the filing organization belongs to an affiliated group.B Check LII if the filing organization checked box A and limited control provisions apply.
Limits on Lobbying Expenditures (a) Filing (b) Affiliated group
(The term "expenditures means amounts paid or incurred.)organization's totals
totals
1 a Total lobbying expenditures to influence public opinion (grass roots lobbying)b Total lobbying expenditures to influence a legislative body (direct lobbying)o Total lobbying expenditures (add lines 1 a and 1 b)d Other exempt purpose expenditurese Total exempt purpose expenditures (add lines lc and id)f Lobbying nontaxable amount. Enter the amount from the following table in both columns.
it the amount on line le, column (a) 01(b) is: The lobbying nontaxable amount is:Not over $500,000 20% of the amount on line 1 e.Over $500,000 but not over $1,000,000 $100,000 plus 15% of the excess over $500,000.Over $1,000,000 but not over $1,500,000 $1 75,000 plus 10% of the excess over $1,000,000Over $1,500,000 but not over $17,000,000 $225,000 plus 5% of the excess over $1,500,000.Over $17,000,000 $1,000,000.
g Grassroots nontaxable amount (enter 25% of line if) ________________ _________________
h Subtract line 1 g from line 1 a. If zero or less, enter .0i Subtract line if from line ic. If zero or less, enter .0.
If there is an amount other than zero on either line 1 h or line ii, did the organization file Form 4720reporting section 4911 tax for this LIII Yes LII No
4-Year Averaging Period Under Section 501(h)(Some organizations that made a section 501(h) election do not have to complete all of the five
columns below. See the instructions for lines 2a through 2f on page 4.)Lobbying Expenditures During 4-Year Averaging Period
Calendar year(or fiscal year beginning in) (a) 2006 (b) 2007 (0)2008 (d) 2009 (e) Total
2a_Lobbying_nontaxable_amount ________________ ________________
b Lobbying ceiling amount(150% of line_2a,_column(e))
________________ ________________ ________________
c_Total_lobbying_expenditures ________________ ________________
________________ _________________
d Grassroots nontaxable amount
________________ ________________ _________________
e Grassroots ceiling amount(150% of line_2d,_column_(e))
_______________ _______________ _______________
f Grassroots lobbying expenditures ________________ _________________ ________________
_______________
________________
________________
_________________
Schedule C (Form 990 or 990-EZ) 2009
9S2842 O2O41O
Schedule C (Form 990 or 990-EZ) 2009 BATTELLE MEMORIAL INSTITUTE 314379427 Page 3
I Part Il-B Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768(election under section 501(h)).
.
.
.
.
_______(a)_______ (b)
Yes No Amount
During the year, did the filing organization attempt to influence foreign, national, state orlocal legislation, including any attempt to influence public opinion on a legislative matteror referendum, through the use of:
a Volunteers? Xb Paid staff or management (include compensation in expenses reported on lines 1 c through 1 i)? Xc Media advertisements? Xd Mailings to members, legislators, or the public? Xe Publications, or published or broadcast statements? Xf Grants to other organizations for lobbying purposes?
________X
g Direct contact with legislators, their staffs, government officials or a legislative body? X 970,207.h Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? XI Other activities? If Yes,' describe in Part IV X
TotalAddlineslcthroughli______
970,207.2a Did the activities in line 1 cause the organization to be not described in section 501 (c)(3)? X
b If "Yes," enter the amount of any tax incurred under section 4912c If "Yes," enter the amount of any tax incurred by organization managers under section 4912
_________________
- d If the fi!inq organization incurred a section 4912 tax, did it file Form 4720 for this year? ________ ________ _________________
run aii- ..ompieie ii me orgunization is exempt unuer section U1(C)('), section u1(C)t), or section501 (c)(6).
______________
Yes NoI Were substantially all (90% or more) dues received nondeductible by members?2 Did the organization make only in-house lobbying expenditures of $2,000 or less?3 Did the organization agree to carryover lobbying and golitical exoenditures from the orior year?
jF'art ill-b] (omplete it the organization is exempt under section 501(c)(4), section 501(c)(5), or section501(c)(6) if BOTH Part Ill-A, lines 1 and 2 are answered "No" OR if Part Ill-A, line 3 is answered"Yes."
I Dues, assessments and similar amounts from members 1 _________________
2 Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of politicalexpenses for which the section 527(f) tax was paid).
a Current year__________________
b Carryover from last year_________________
c Total 2c ________________
3 Aggregate amount reported in section 6033(e)(1 )(A) notices of nondeductible section 162(e) dues 3 _________________
4 If notices were sent and the amount on line 2c exceeds the amount on line 3 what portion of the excessdoes the organization agree to carryover to the reasonable estimate of nondeductible lobbying and politicalexpenditure next year? _j_ __________________
5 Taxable amount of lobbying and political expenditures (see instructions) 5 _________________
Part IV Supplemental InformationComplete this part to provide the descriptions required for Part I-A, line 1 Part I-B, line 4; Part I-C, line 5; and Part Il-B. line 1 1 Also, complete this partfor any additional information.THE GENERAL ISSUE AREA FOR LOBBYING Is INCREASED APPROPRIATIONS IN THE
FEDERAL BUDGET FOR SCIENTIFIC RESEARCH AND DEVELOPMENT PROGRAMS THROUGH
APPROPRIATIONS AND REPORT LANGUAGE.
THE SPECIFIC LOBBYING ISSUES INCLUDE THE HOUSE AND SENATE AUTHORIZATION
AND APPROPRIATIONS HILLS FOR ENERGY AND WATER DEVELOPMENT; DEFENSE;
Schedule C (Form 990 or 990-EZ) 2009932043 02-04 i•0
Schedule C (Form 990 or 990-EZ) 2009 BATTELLE MEMORIAL INSTITUTE 3l4379427 Page 4[Partly j Supplemental Information (continued)
INTERIOR, ENVIRONMENT, AND RELATED AGENCIES; LABOR, HEALTH AND HUMAN
SERVICES, EDUCATION, AND RELATED AGENCIES; TRANSPORTATION, HOUSING AND
URBAN DEVELOPMENT, AND RELATED AGENCIES; COMNERCE, JUSTICE, SCIENCE, AND
RELATED AGENCIES; INTELLIGENCE, AND HOMELAND SECURITY.
THE HOUSE(S) OF CONGRESS AND FEDERAL AGENCIES CONTACTED INCLUDE U.S.
HOUSE, U.S. SENATE, DEPARTMENT OF ENERGY, DEPARTMENT OF DEFENSE,
DEPARTMENT OF TRANSPORTATION, DEPARTMENT OF HOMELAND SECURITY,
ENVIRONMENTAL PROTECTION AGENCY, DEPARTMENT OF HEALTH AND HUMAN SERVICES
(NATIONAL INSTITUTES OF HEALTH), U.S. ARMY CORPS OF ENGINEERS, AND
NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION.
Scheduie C (Form 990 or 99OEZ) 2009932044 O2O41O
Schedule D Supplemental Financial Statements0MB No.
(Form 990) Complete if the organization answered Yes," to Form ggo, 2009Part IV, line 6, 7, 8, 9, 10, 11, or 12 0'en to PubiDepartment of the Treasury
nterna Revenue Servce Attach to Form 990. See separate instructions. Inspection
Name of the organization Employer identification numberBATTELLE MEMORIAL INSTITUTE 3].4379427
Part I ] Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts Complete if theorganization answered Yes to Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts1 Total number at end of year ________________________________ ___________________________________2 Aggregate contributions to (during year> ________________________________ ___________________________________3 Aggregate grants from (during year) ________________________________ ___________________________________4 Aggregate value at end of year ________________________________ ___________________________________5 Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds
are the organization's property, subject to the organization's exclusive legal control? LIII Yes LIII No6 Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only
for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferringimpermissible private LIII Yes [1111 No
Part II Conservation Easements Complete if the organization answered Yes to Form 990 Part IV line 71 Purpose(s) of conservation easements held by the organization (check all that apply).
LII Preservation of land for public use (e.g., recreation or pleasure) Preservation of an historically important land areaLIII Protection of natural habitat LIII Preservation of a certified historic structureLIII Preservation of open space
2 Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the lastday of the tax year. ______________________________
I I Held atthe End of the TaxYear
.
.
.
a Total number of conservation easements 2ab Total acreage restricted by conservation easements 2bc Number of conservation easements on a certified historic structure included in (a) 2cd Number of conservation easements included in (c) acquired after 8/17/06 2d
3 Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the taxyear ______________
4 Number of states where property subject to conservation easement is located________________
5 Does the organization have a written policy regarding the periodic monitoring, inspection, handling ofviolations, and enforcement of the conservation easements it holds? LIII Yes LIII No
6 Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year________________
7 Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year i $ _______________
8 Does each conservation easement reported on line 2(d) above satisfy the requirements of section 1 70(h)(4)(B)(i)and section 170(h)(4)(B)(ii)? LIlli Yes No
9 In Part XIV, describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet, andinclude, if applicable, the text of the footnote to the organization's financial statements that describes the organization's accounting forconservation easements.
[Part lii Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar AssetsComplete if the organization answered Yes to Form 990, Part IV, line 8.
la If the organization elected, as permitted under SFAS 116, not to report in its revenue statement and balance sheet works of art, historicaltreasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIV, the text ofthe footnote to its financial statements that describes these items.
b If the organization elected, as permitted under SFAS 116, to report in its revenue statement and balance sheet works of art, historical treasures,or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating tothese items:(i) Revenues included in Form 990, Part VIII, line 1 $ ______________________(ii) Assets included in Form 990, Part X $ _______________________
2 lf the organization received or held works of art, historical treasures, or other similar assets for financial gain, providethe following amounts required to be reported under SFAS 116 relating to these items:
a Revenues included in Form 990, Part VIII, line 1 ' $ _______________________
b Assets included in Form 990, Part X $
LRA Ior Privacy Act and Paperwork Peduct'op Acf No"ce see the instrJcfiors for 990 Sc"ede i) (Corn 990) 2008932051020110
Schedule D (Form 990) 2009 BATTELLE MEMORIAL INSTITUTE 314379427 Page 2
.
.
.
.
.
.
.
.
.
.
LPaII III] Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)3 Using the organizations acquisition, accession, and other records, check any of the following that are a significant use of its collection items
(check all that apply):a Public exhibition d LII] Loan or exchange programsb [LIII Scholarly research e LIII] Other______________________________________________________c LIII Preservation for future generations
4 Provide a description of the organizations collections and explain how they further the organizations exempt purpose in Part XIV.5 During the year, did the organization solicit or receive donations of art, historical treasures, or other similar assets
to be sold to raise funds rather than to be maintained as part of the organizations collection? ,.,.,....,..,.,,.,,...,,.......,...,,.. LIII Yes LIII NoI Part IV j Escrow and Custodial Arrangements. Complete if organization answered Yes' to Form 990, Part IV, line 9, or
reported an amount on Form 990, Part X, line 21
la Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not includedon Form 990, Part X? LII] Yes LI] No
b If 'Yes,' explain the arrangement in Part XIV and complete the following table: - ________________________Amount
o Beginning balance ________________________d Additions during the year Id ________________________
e Distributions during the year le ________________________
f Ending balance if ________________________
2a Did the organization include an amount on Form 990, Part X, line 21? LII Yes L_J NoI. 1$ "/...... ....,.-I,..;.. +1-. ... fl.... Vt!
i ran v I tnoowmeni t-unas. Complete if the organization answered 'Yes" to Form 990, Part IV, line 10.(a) Current year (b) Prior year (c) Lu iac hs k (d) fhre ,ears bdk (e) Four .eii s hauk
Ia Beginning of year balance_______________ _______________ _______________ _______________ ________________
b Contributions ________________ _______________ _______________ _______________ _________________
c Net investment earnings, gains, and losses_______________ _______________
d Grants or scholarships ________________ _______________ _______________ _______________ _________________
e Other expenditures for facilities
and programs _______________ _______________ _______________ _______________ ________________
f Administrative expenses ________________ _______________ _______________ _______________ _________________
g End of year balance _______________ _______________ _______________ _______________ ________________
2 Provide the estimated percentage of the year end balance held as:
a Board designated or quasi-endowment __________________%
b Permanent endowment __________________%
c Term endowment _________________%
3a Are there endowment funds not in the possession of the organization that are held and administered for the organizationby:
__________
Yes No(i) unrelated organizations 3a(i)
(ii) related organizations 3a(ii)b If Yes' to 3a(ii), are the related organizations listed as required on Schedule A? 3b
4 Describe in Part XIV the intended uses of the organization's endowment funds.I Part VI I Investments - Land Buildings and Equipment See Form 990 Part X line 10
Description of investment (a) Cost or otherbasis (investment)
(b) Cost or otherbasis (other)
(c) Accumulateddepreciation
(d) Book value
la Land 13 063 378____________________
13 063 378
b Buildings 394,256,684._________________
221,976,534. 172,280,150.
o Leasehold improvements ___________________ ___________________
d Equipment 237,577,578.__________________
___________________
141,605,713.____________________
95,971,865.
e Other 103,766,017. 103,766,017.__________________ __________________
Total. Add lines 1 a through 1 e. (Column (d) must equal Form 990, Part X column B,l, line i0c) 385, 081 , 410.
Schedule D (Form 990) 2009
93205202-O110
ScheduleD (Form 990) 2009 BATTELLE MEMORIAL INSTITUTE 314379427 Page 3
Part VIII Investments - Other Securities. See Form 990, Part X, line 12.
(a) Description of security or category(including name of security) b Bo k I eo a u
(c) Method of valuation:Cost or end-of-year market value
Financial derivatives ____________________ _____________________________________________________Closely-held equity interests
Other_________________________________________________________________
_____________________
________________________________________________________________________________________________________________
OTHER INVESTMENTS AFFILIATES/OTHER 133,079,645. END-OF-YEAR MARKET VALUE
RABBI TRUSTS 6,230,091. ENDOFYEAR MARKET VALUE
Total (Col (b must equal Form 990 Part X ccl (B) line 12 ) 139 309 736Part VIII Investments - Program Related. S e Form 990, Part X, line 13.
(a) Description of investment type (b) Book value (C) Method of valuation:
Cost or end-of-year market value
Total (Col (b) must equal Form 990 Part X col (B) line 13 ) ______________________ ____________________________________________________________
t-'art IA I utner ASSEtS. See Form 990, Part X, line 15.(b) Book value(a) Description
Total. (Column (b) must equal Form 990, Part X, col (B) line 15) ____________________
Part X Other LiabilIties_See_Form_990_Part X_line 25___________________ ___________________________________
1. (a) Description of liability (b) Amount
Federal income taxes ____________________
LONG TERN OBLIGATION 112,,
LONG TERN BENEFIT RELATED LIABILITIES 5,880,::.
OTHER LONG TERM LIABILITIES 21,370,';.
MINORITY INTEREST 7,935,
LIABILITY FOR POSTRETIREMENT & OTHER BENEFITS 241,570,13.
Total. (Column (b) must equal Form 990, Part X col (B) line 25.) 276, 869,' ___________________________________2. FIN 48 Footnote. In Part XIV, provide the text of the footnote to the organizations financial statemer'f' -oci1', tl u-in!'n'cn : ah' tn'
uncertain tax positions under FIN 48.932OcO2O1-1O Schedule D (Form 990) 2009
Schedule D(Form 990) 2009 BATTELLE MEMORIAL INSTITUTE 31 4379427 Page4Part Xl j Reconciliation of Change in Net Assets from Form 990 to Audited Financial Statements1 Totalrevenue(Form990, PartVlll,column(A),Iinel2) 1 5, 545, 337,700.
2 Total expenses (Form 990, Part IX, column (A), line 25) 2 5, 538, 030,006.
3 Excess or (deficit) for the year. Subtract line 2 from line t .3 7, 307 , 694.
4 Net unrealized gains (losses) on investments .______________________________5 Donated services and use of facilities .6 Investment expenses _L
_____________________________
7 Priorperiodadjustments 7 3, 634,508.
8 Other (Describe in Part XIV.)
.
8 43, 666,671.
9 Total adjustments (net). Add lines 4 through 8
.
.9 47, 301,179.
10 Excess or (deficit) for the year per audited financial statements. Combine lines 3 and 9.
10 39, 993 , 485.Part XII Reconciliation of Revenue per Audited Financial Statements With Revenue per Return
.
.
.
...
..
.
.
.
..
.
..
1 Total revenue, gains, and other support per audited financial statements 1 5,554,452,013.
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:a Net unrealized gains on investments 2ab Donated services and use of facilities L2bo Recoveries of prior year grants 2cd Other(DescribeinPartXlV.) 2d 15,905,497.
e Add lines2athrough2d 2e 15,905,497.
3 Subtractline2efromlinel 5,538,546,516.
4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b L 4ab Other(DescribeinPartXlV.) 4b 6,791,184.
o Add lines 4a and 4b . . 4c 6,791,184.
5 Total revenue. Add lines 3and 4c. (This must equal Form 990, Part!, llne 12.) 5 5,545,337,700.
Part XlIIj Reconciliation of Expenses per Audited Financial Statements With Expenses per Return1 Total expenses and losses per audited financial statements 1 5,556,949,497.
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:a Donated services and use of facilities 2ab Prior year adjustments 2bo Other losses 2cd Other(DescribeinPartXlV.) 2d 25,710,675.
e Addlines2athrough2d 25,710,675.
3 Subtractline2efromlinel 3 5,531,238,822.
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:a Investment expenses not included on Form 990, Part VIII, line 7b 4ab Other(Describe in Part XIV.) 4b 6,791,184.
o Add lines4a and4b 4c 6,791,184.
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part!, line 18.) 5 5,538,030 , 006.
Part XIVJ Supplemental Information - ______________
Complete this part to provide the descriptions required for Part II, lines 3,5, and 9; Part Ill, lines la and 4; Part IV, lines lb and 2b; Part V, line 4; PartX, line 2; Part XI, line 8; Part XII, lines 2d and 4b; and Part XIII, lines 2d and 4b. Also complete this part to provide any additional information.
PART XI, LINE 8 OTHER ADJUSTMENTS:
MARKET VALUE ADJUSTMENT ON MARKETABLE SECURITIES: 5389931.
CURRENCY TRANSLATION ADJUSTMENT: 6259281.
PENSION AND POST RETIREMENT BENEFITS: 42947321.
DIVIDENDS: 150000,
PART XII, ,..INE 2D OTHER ADJUSTMENTS:
Schedule D (Form 990) 200932054
02 1 0
Schedule D(Form 990) 2009 BATTELLE MEMORIAL INSTITUTE 314379427 Page5Part XIVj Supplemental Information (continued)
SUBSIDIARIES NOT INCLUDED IN FORM 990: 15905497.
PART XII, LINE 4B OTHER ADJUSTMENTS:
RECLASSIFY INCOME & EXPENSE: 6791184.
PART XIII, LINE 2D - OTHER ADJUSTMENTS:
SUBSIDIARIES NOT INCLUDED IN FORM 990: 25710675.
PART XIII, LINE lB OTHER ADJUSTMENTS:
RECLASSIFY INCOME & EXPENSE: 6791184.
THE PROVISIONS OF FIN 48 INCLUDED IN FASB ASC 740 APPLY TO BATTELLE
MEMORIAL INSTITUTE (BMI). A FIN 48 ANALYSIS FOR UNCERTAIN INCOME TAX
POSITIONS WAS PERFORMED BY BMI AND REVIEWED BY ITS INDEPENDENT AUDITORS.
AS A RESULT OF THE ANALYSIS, NO FIN 48 RESERVES FOR UNCERTAIN TAX
POSITIONS WERE REQUIRED AND NONE WERE RECORDED IN THE FINANCIAL
STATEMENTS. THEREFORE NO SPECIFIC FIN 48 FOOTNOTE WAS INCLUDED IN EMI'S
FINANCIAL STATEMENTS.
32O55Scheduie D (Form 990) 2009
O2O1iO
Schedule F I Statement of Activities Outside the United States MB No.
(Form 990) I Complete if the organization answered Yes" to Form 990, I 2009Part IV, line 14b, 15, or 16. IDepartment ottheTreaou I Aftach to Form 990. See separate instructions. I Open to Publicnterna Revenue Servme InspectionName of the organization I Employer identification number
BATTELLE MEMORIAL INSTITUTE 314379427
n on Complete if the organization answered 'Yes'to Form 990, Part IV, line 14b.
1 For grantmakers. Does the organization maintain records to substantiate the amount of the grants or assistance, thegrantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? LIII Yes LIII No
2 For grantmakers. Describe in Part IV the organization's procedures for monitoring the use of grant funds outside the United States.
3 Activities per Reqion. (Use Schedule F-i (Form 990) if additional space is needed.)(a) Region (b) Number of
officesin the region
(c) Number ofemployees or
agents inregion
(d) Activities conducted in region(by type) (i.e., fundraising,
program services, grants torecipients located in the region)
(e) If activity listed in (d)is a program service,
describe specific typeof service(s) in region
(f) Totalexpenditures
for region
EAST ASIA AND THE
PACIFIC 10 18 ROGR4 SERVICES CIENTIFIC RESEARCH 7,718,045.
EUROPE 5 28 ROGRAM SERVICES
CIENTIFIC RESEARCH/LAB
ANAGEMENT 15,859,147.
MIDDLE EAST AND
NORTH AFRICA 4 4 ROGRAN SERVICES CIENTIFIC RESEARCH 6,893,780.
RUSSIA AND THE NEWLY
INDEPENDENT STATES 1 11 ROGRAM SERVICES CIENTIFIC RESEARCH 3,508,181.
EAST ASIA AND THE
PACIFIC 0 0 NVESTMENTS 8,990,980.
SOUTH ASIA 0 0 NVESTMENTS 1,000,000.
Totals 20 61______________________________ ___________________________
43,970,133,
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule F (Form 990) 2009
932071020110
SI -h rm 09 BATTELLE MEMORIAL INSTITUTE 31 4379427 Page2
Ii Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered Yes to Form 990, Part IV, line 15, for any
recipient who rec more than $5,000. Check this box if no one recipient received more than $5,000 ,,........... ...............................
Use Schedule F 1 (Form 990) if additional space is needed1 (b) IRS Code fl(a) Nam of orqntVn (C) Region
(d) Purpose of
grant
(e) Amount
of cash grant
(f) Manner of
cash disbursement
(g) Amount ofnon-cash
assistance
(h) Descriptionof non-cashassistance
(0 Method ofvaluation (book, FMV,
appraisal, other)
2 nt i tot number of r 'p ent ornizatk ns listed above that are recognized as charities by the foreign country, recognized as tax-exempt bytht IRJ, rfor v.hich tl .pn1ue ,ounol has provided a section 501 (c)(3) equivalency letter ........... ______________________________________
3 Enter total number of ottk-r organizations or entities ..
Schedule F (Form 990) 2009
Schedule F (Form 990) 2009
990) 2009 BATTELLE MEMORIAL INSTITUTE 3l-4379427 Page 3
Part III Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered Yes to Form 990, Part IV, line 16.
SCHEDULE I(Form 990) Grants and Other Assistance to Organizations,
Governments, and Individuals in the United States
T Complete if the organization answered "Yes' on Form 990, Part IV, line 21 or 22.Attach to Form 990.
.
DM11 No, 1545-0047
Open to PublicInspection
1 uganization Employer identification numberBATTELLE MEMORIAL INSTITUTE 31-4379427
on Grants and Assistance
1 Du tn o'iianization maint.iin records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and the selectionto '-,ard the. irint:, ci assistance? Yes No
2 D fart IV the Dtki's procedures for monitoring the use of grant funds in the United States.Grants and Other Assistance to Governments and Organizations in the United States. Complete if the organization answered Yes to Form 990, Part IV, line 21, for anyN ' it tl'it received more than $5,000. Check this box if no one recipient received more than $5,000. Use Part IV and Schedule I-i (Form 990) if additional space is needed ...
1 (a) Nn nd address of organization (b) EIN (c) IRC section (d) Amount of (e) Amount of Of (g) Description of (h) Purpose of grantgovernment if applicable cash grant non-cash t : non-cash assistance or assistanceA praI
-
assistance other)
AABE
PO FlY 111314
COL11L., t 43215 84-0782569 01c3 15,000. 0. 'UNDRAISER/SPONSORSHIP
AID T ' I 12') FAMILIES
P.O. JEATHERIZATION AND GREEN
OAK RIDGIT, TN 37831 58-1727751 01c3 5,000. 0. ITS PROGRAM
AK. . PUBLIC SCHOOLS
70 N. BPOADWAY ST.
Alt ., OH 44308 34-6000033 01C3 250,000. 0. UPPORT STEM EDUCATION
ALPHBET ATTRACTIONS (COLS,
LTU2-A('Y COUNCIL) 195 NORTH
1AD AVE. - COLUMBUS, OH 43215 237433168 01C3 12,000. 0. 'UNDRAISER
ALZHEIMEF - ASSOCIATION
1319 F 1W SUITE 500
WASHI., 20004 13-3039601 .01C3 8,250. 0. 'UNDRAISER/SPONSORSHIP
AMERICAN CANCER SOCIETY
P.O. BOX 916 AST ANDERSON COUNTY
CLINTON, TN 37716 64-0329009 01C3 5,000. 0. ELAY FOR LIFE
92.2 Enter total number of section 501 (c)(3) and government organizations3 Enter total number of other organizations 8.
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I (Form 990)2009
1132101 02-02-10
ScHu(lrm990)2009 BATTELLE MEMORIAL INSTITUTE 314379427 Page2UI Grants and Other Assistance to Individuals in the United States. Complete if the organization answered Yes to Form 990, Part IV, line 22.
tt;o Part IV and Schedule I-i (Form 990) if additional space is needed.
(a) Type of grant or assistance (b) Number ofrecipients
(c) Amount ofcash grant
(d) Amount of non-cash assistance
(e) Method of valuation(book, FMV, appraisal, other)
(f) Description of non-cash assistance
IV Supplemental Information. Complete this part to provide the information required in Part I, line 2, and any other additional information.
t I, PART I, LINE 2 BATTELLE MEMORIAL INSTITUTE (BMI) SENDS A
LETTER TO EACH ORGANIZATION THAT STATES THAT BY SIGNING AND DEPOSITING THE
CHECK THEY ARE CONFIRMING THAT THEY ARE A 501(C)(3) CHARITABLE
ORGANIZATION. FOR LARGER GRANTS, BMI ASKS THE ORGANIZATIONS TO SIGN A DONOR
OBJECTTVE LETTER THAT STATES THE SCOPE AND PURPOSE OF THE DISTRIBUTION. THE
BMI ( DIRECTORS HAS FINAL APPROVAL FOR ANY DISTRIBUTIONS OVER
$5OO,CC.
BMI 7\TCT) PURSUANT TO THE WILL OF GORDON BATTELLE AS AN OHIO
93 Schedule I (Form 990) 2009
SCHEDULE I 1(Form 990)
Continuation Sheet for Schedule I (Form 990)Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB No 1545OD47
Open to PublicInspection
Naiii' H He orinization Employer identification number
'EMORIAL INSTITUTE 314379427
L±rt jContinuation of Grants arid Other Assistance to Governments and Organizations in the United States (Schedule (Form 990), Part II.)
(a) Name and I I (b) EIN (C) IRC section (d) Amount of (e) Amount of (f) Method of (g) Description of (h) Purpose of grantorganization or ient if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,appraisal, other)
ANERI RH
99HA AO0REET
oH 4az06 53-0196606 01C3 9,650. 0. 'UNDRAISER/SPONSORSHIP
A: [.:I FLSTIVAL
13L AUTUMN HILL DRIVE
COLUMBUS, OH 43235 01-0813672 01C3 5,000. 0. 'UNDRAISER
BOISE STATE UNIVERSITY
191 UNIVERSITY DR
BCLH ID 83725 82-0290701 01C3 110,600. 0. DUCATION
CAM IN AMERICA
292 MADISO AVENUE, 8TH FLOOR
NEW YORK, NY 10017 52-6071299 01C3 10,000. 0. OLD WAR & ITS LEGACY
CAMPAIGN FOR TOBACCO FREE KIDS
1400 JE STREET, SUITE 1100
WAr;:H, DC 20005 52-1969967 01C3 8,100. 0. 'UNDRAISER/SPONSORSHIP
CAPITOL COMMISSION
502 N. 4TH STREET
BOISE, ID 83720 82-6000952 01C3 5,000. 0. 4ENERAL OPERATING SUPPOR
C°E HRYF UNIVERSITY
10 .1 AVE.
CLEVE D, OH 44106 34-1018992 01C3 80,000. 0. UPPORT STEM EDUCATION
CL?LLAN COUNTY FIRE DISTRICT
323 ORTH FIFTH AVENUE OMPUTER
SEHH, WA 98382 911244511 01C3 0. 8,200. 'MV QUIPMENT 4ENERAL OPERATING SUPPOR
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule 1-1 (Form 990)2009
932241 O2O11O
SCHEDULE I-i(Form 990) --
Continuation Sheet for Schedule I (Form 990)Attach to Form 990 to list additional information for
- Schedule I (Form 990), Part II or Part Ill.
0MB Ne 1545QO47
Open to PublicInspection
NaI!l, tte- trianiation Employer identification numberHL iE EMORIAL INSTITUTE 31-4379427
Part Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule I (Form 990), Part II.) - -
(a) Name and address of (b) EIN (c) IRC section (d) Amount of (e) Amount of (f Method of (g) Description of (h) Purpose of grantorganization or government if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,appraisal, other)
COLLEGE OF SOUTHERN IDAHO
315 FALLS AVENUE P0 BOX 1238
TWIN FALLS, ID 83303-1238 82-0261628 01C3 26,000. 0. DUCATION
COLLEGE OF WESTERN IDAHO
FOUNDATION - 6056 BIRCH LANE -
NAMPA, ID 83687 27-1159705 UBLIC UNIVERSIT 5,000. 0. DUCATION
COLUMBUS COALITION AGAINST FAMILY
VIOLENCE 655 LIVINGSTON AVENUE -
COLUMBUS, OH 43205 51-2143915 01C3 24,220. 0. UNDRAISER
COLUMBUS COUNCIL ON WORLD AFFAIRS
51 JEFFERSON AVE.
COLUMBUS, OH 53215 51-0180760 01C3 47,500. 0. 'UNDRAISER/SPONSORSHIP
COLUMBUS FOUNDATION
1234 EAST BROAD ST.
COLUMBUS, OH 43205 31-6044264 01C3 3,000,000. 0. APITAL
COLUMBUS U LITAN CLUB
1C .'AST BR •D ST.
CTT, OH 43215 31-0889324 01C3 14,000. 0. UNDRAISER/SP0NSORSHIP
COLLJEBUS METROPOLITAN LIBRARY
96 5, GRANT AVENUE
COLUMBUS, OH 43215 31-1692755 01C3 24,600. 0. UNDRAISER/SP0NS0RSHIP
COLTTMMtJB PARTNERSHIP
41 0 HIGH STREET, SUITE 1200
COLUMI., OH 43215 27-1509190 01C3 150,000. 0. ENERAL OPERATING SUPPOR
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I-i (Form 990)2009
932241 O2O11U
SCHEDULE I-i(Form 990)
__
Continuation Sheet for Schedule I (Form 990)Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB N. 1545-0047
Open to PublicInspection
Nano oganization Employer identification numberBATTELLE MEMORIAL INSTITUTE 31-4379427
Part Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule (Form 990) Part II) -
(a) Name and aict of (b) EIN (c) IRC section (d) Amount of (e) Amount of (f Method of (g) Description of (h) Purpose of grantorganization or go n mont if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,appraisal, other)
COLUMBUS SYMPHONY ORCHESTRA
55 EAST STATE STREET
COLTzMPrT, OH 43215 31-6402408 01c3 752,708. 0. 4ENERAL OPERATING SUPPORT
CCLO1L. URBAN LEAGUE
788 NoIT VERNON AVENUE QUAL OPPORTUNITY DAY
COLUMBUS, OH 43203-1408 31-4379453 01C3 5,398. 0 ,UNCHEON
COMMUNITY SHELTER BOARD
111 LIBERTY STREET
COLUMBUS, OH 43215 311131284 01C3 9,800. 0. 'UNDRAISER/SPONSORSHIP
DIRECTIONS FOR YOUTH AND FAMILIES
15T NDIANOLA AVENUE
FTMf.o - u5 43201 31-4407642 01C3 9,720. 0. 'UNDRAISER/SPONSORSHIP
DI5'oT° SPORTS USA
451 HUNGERFORD DR.
ROCKVILLE, MD 20850 94-6174016 01C3 23,150. 0. UNDRAISER/SPONSORSHIP
DISCOVERY CENTER OF IDAHO, INC.
131 MYRTLE STREET
BOISE, ID 83702 943047492 01c3 15,000. 0. ENERAL OPERATING SUPPOR
EAST TN COMMUNITY DESIGN CENTER
1300 NORTH BROADWAY '010 STUDENT INTERN
KNOXVILLE, TN 37917 62-0817716 01C3 5,000. 0. >ROGRAM
EASTERN IDAHO DEVELOPMENT CORP
1651 ALVIN RICKEN DRIVE
POCATELLO, ID 83201 82-0412962 01C3 25,000. 0. ;ENERAL OPERATING SUPPOR
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I-i (Form 990)2009
932241 02-01-10
SCHEDULE I-i(Form 990)
Continuation Sheet for Schedule I (Form 990)Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB No 1545-0047
Open to PublicInspection
NiEIm fti- tgcioation Employer identification numberBATri E 'tENORIAL INSTITUTE 31-4379427
L[Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule I (Form 990), Part II.)
(a) Name and I (b) EIN (c) IRC section (d) Amount of (e) Amount of (f Method of (g) Description of (h) Purpose of grantorganization or go 'nent if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,appraisal, other)
EASTERN IDAHO TECHNICAL C!H
FOUNDATION - 1600 25TH STRE8::
IDAHO FALLS, ID 83404 82-0292220 01C3 13,000. 0. 4ENERAL OPERATING SUPPORT
ENVISION STEM
10900 EUCLID AVE.
CLEVELAND, MD 44016 20-8622102 01C3 21,500. 0. UPPORT STEM EDUCATION
FCLC FANILY COMMUNITY LIFE CENTER
1018 NORTHVILLE TURNPIKE ROMOTES COMMUNITY BASED
RIVERHEAD, NY 11901 11-6021237 01C3 5,000. 0. ROGRAMS
FERN (FOUNDATION FOR ECOLOGICAL
RESEARCH IN THE NORTHEAST) - DO
BOX 862 - UPTON, NY 11973 20-1338931 0103 10,000. 0. COLOGICAL/CONSERVATION
FOUNDATION FOR APPALACHIAN OHIO
DO BOX 456 36 PUBLIC SQUARE
NELSONVILLE, OH 45764 31-1620483 01C3 150,000. 0. UPPORT STEM EDUCATION
FRANKLIN COUNTY HISTORICAL SOCIETY
(COSI) -- 333 WEST BROAD ST. -
COLUMBUS, OH 42215 31-4383802 01C3 106,250. 0. 4ENERAL OPERATING SUPPOR
FRIENDS OF CANCER RESEARCH
2231 CRYSTAL DRIVE, SUITE 200
ARLINGTON, VA 22202 52-1983273 01C3 9,556. 0. 'UNDRAISER/SPONSORSHIP
GROW IDAHO FALLS
151 NORTH RIDGE AVE SUITE 130
IDAHO FALLS, ID 83402 82-0456909 01C3 15,000. 0. 4ENERAL OPERATING SUPPOR
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I1 (Form 990)2009
932241 02-01-10
SCHEDULE I-I(Form 9O)
Ut...
Continuation Sheet for Schedule I (Form 990)Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB N 1545-0047
Open to PublicInspection
Nart rg. iiation Employer identification numberBATTELLE MEMORIAL INSTITUTE 31-4379427
L Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule I (Form 990), Part II)
(a) Name and address of (b) EIN (c) IRC section (d) Amount of (e) Amount of (f) Method of (g) Description of (h) Purpose of grantorganization or govemment if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,appraisal, other)________________________________
HABITAT F(r UJMr71ITY
1501 WJJT A'ENUE tO1O SECRET CITY HOME RUN
KNOXVLLL5 7i7 911914868 01C3 5,000. 0. 5K
IDAHO COMMUNITY FOUNDATION, INC.
205 N, 10TH SUITE 625
BCT'', ID 83702-5731 82-0425063 01C3 11,000. 0. 4ENERAL OPERATING SUPPOR
IE FALLS ARTS COUNCIL
49 A STREET
IDAHO FALLS, ID 83402 82-0434714 01C3 27,650. 0. 4ENERAL OPERATING SUPPOR
IDAHO FALLS SYMPHONY
450 A STREET
IDAHO FALLS, ID 83404 826007411 01C3 10,000. 0. 4ENERAL OPERATING SUPPOR
IDAHO GOVERNOR'S CUP
P0 BOX 983
BOISE, ID 83701 20--8277116 4OVT ENTITY 10,000. 0. 4ENERAL OPERATING SUPPOR
IDAHO PUBLIC TELEVISION
1455 N ORCHARD
BOISE, ID 83706 82-6000952 4OVT ENTITY 6,500. 0. 4ENERAL OPERATING SUPPOR
IDAHO RURAL PARTNERSHIP
821 WEST STATE STREET
BOISE, ID 83702 82-0425063 01C3 29,000. 0. 4ENERAL OPERATING SUPPOR
IDAHO STATE UNIVERSITY
921 S 8TH
POCATELLO, ID 83201 82-6000924 01C3 27,000. 0. DUCATION
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. . Schedule I-I (Form 990) 2009
932241 02-01-10
SCHEDULE I-i(Form 990)
y
Continuation Sheet for Schedule I (Form 990)Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB No 1545OO47
Open to PublicInspection
Name organization Employer identification numberBATTELLE MEMORIAL INSTITUTE 31-4379427
[t Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule I (Form 990), Part II.)
(a) Name and address of (b) EIN (c) IRC section (d) Amount of (e) Amount of (f) Method of (g) Description of (h) Purpose of grantorganization or govemment if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,___________________________________ ______________ __________________
appraisal, other)
JUNIOR ACHIEVEMENT
P.O. BOX 51266 TUNIOR ACHIEVEMENT
KNOXVILLE, TN 379501266 62-0810145 01C3 15,000. 0. APSTONE FACILITY
JUVENILE DIABETES RESEARCH
26 BROADWAY-14TH FLOOR
NEW YRK, NY 10004 231907729 ;olC3 5,000. 0. '010 WALK TO CURE
KR JORKS FOUNDATION
1 WES FOURTH STREET
CINCINNATI, OH 45202 31-1321973 01C3 250,000. 0. iUPPORT STEM EDUCATION
KNOXVILLE SYMPHONY ORCHESTRA
P.O. BOX 360 '010 CHAMBER CLASSICS
KEILLE, TN 37901 62-6008097 01C3 10,000. 0. ONCERT
CE FOR THE CURE
8t - RANDVIEW AVE
COLUMBUS, OH 42215 31 1225276 01C3 7,500. 0. 'UNDRAISER/SPONSORSHIP
LEONARDO ON WHEELS
210 EAST 400 SOUTH, SUITE 14
SALT LAKE CITY, UT 84111 48-1268355 01C3 15,000. 0. 'UNDRAISER/SPONSORSHIP
LE -- ('LARK STATE COLLEGE
Fc; A' ON - 500 8TH AVE.
LEW;TON, ID 83501 82 0396878 UBLIC UNIVERSIT 5,000. 0. DUCATION
MADTOON 'IC PARTNERS INC
31 I
83440 82-0435097 01C3 5,000. 0. 4ENERAL OPERATING SUPPOR
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I-I (Form 990)2009
932241 Q2-211O
SCHEDULE !-1(Form 990)
Continuation Sheet for Schedule I (Form 990)Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB No 1545-0047
Open to PublicInspection
Tor/.ation Employer identification numberBATTELLE MEMORIAL INSTITUTE 314379427
Part I Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule (Form 990), Part II,)
(a) N and sc (b) EIN (c) IRC section (d) Amount of (e) Amount of (f) Method of (g) Description of (h) Purpose of granttion or g mment if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,appraisal, other)
MARCH OF DIMES
2700 5. QUINCY ST. , STE. 220
ARLINGTON, VA 22206 13-1846366 01C3 8,850. 0. 'UNDRAISER/SPONSORSHIP
- 1E CORPS SCHOLARSHIP
F T [ON 121 SOUTH SAINT ASAPH
ALEXANDRIA, VA 22314 22-1905062 01C3 9,396. 0. CHOLARSHIPS
MAYO:RS SCHOLARSHIP FUND/CITY OF
IDAHO FALLS PD BOX 50220 IDAHO
FALLS, ID 83405 82-6000208 IUNICIPALITY 10,000. 0. 4ENERAL OPERATING SUPPOR
MT CARMEL
793 wo: STATE STREET
COL'HT , II 4 : 31-1113966 01C3 30,000. 0. 4ENERAL OPERATING SUPPOR
MUSEUM F APPALITiIA
2819 ANDERSONVILLE HIGHWAY "EVERYBODY TOURS"
CLINTON, TN 37716 04-3595011 01C3 10,000. 0. ANPAIGN
MUH 1M (F IDAHO
20 H EASTERN AVE
IDAHO FALLS, ID 83402 820363177 01C3 12,500. 0. 4ENERAL OPERATING SUPPOR
NATIONWIDE CHILDREN'S HOSP
FOUNDATION - 700 CHILDREN'S DRIVE
-COLUMBUS, OH 43205 31-1036370 01C3 11,450. 0. 'UNDRAISER/SPONSORSHIP
NC STATE UNOINF9PING FOUNDATION
BOX 7901, C
RALEIGH, NC 'i95 56-6046987 01C3 24,100. 0. 'UNDRAISER/SPONSORSHIP
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I-I (Form 990)2009
932241 02-01-10
SCHEDULE I1(Form 990)
Continuation Sheet for Schedule I (Form 990)' Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB No 1545OO47
Open to Publicinspection
Nar nation Employer identification number
BATTELLE MEMORIAL INSTITUTE 314379427
[t I Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule (Form 990), Part II.)
(a) Name and address of (b) EIN (c) IRC section (d) Amount of (e) Amount of (f Method of (g) Description of (h) Purpose of grantorganization or government if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,_________________________________ appraisal, other)
NORTH IDAHO COLLEGE FOUNDATION
1000 WEST GARDEN AVE.
COEUR '' ALENE, ID 83814 82-0337334 01C3 5,000. 0. DUCATION
NO L NAZARENE UNIVERSITY
623 Fl LV STREET
NANPA, 1D 83686 820200907 01c3 16,420. 0. DUCATION
OAK R E CIVIC MUSIC
205 'Ai-L ROAD
OAK RiE, TN 37830-6216 62-0649604 01C3 io,ooo. o. 009-2010 ORCMA SEASON
OAK RIDGE PUBLIC SCHOOLS
304 NEW YORK AVENUE IEASURING AND ASSESSING
OAK IDGE, TN 37830 626014956 >UBLIC SCHOOL 50,000. 0. HAT MATTERS CANPAIGN
OPA '-)LUMBUS
177 }AST NAUGHTEN STREET
COLUMBUS, on 1215 31-4020676 01C3 6,000. 0. IJNDRAISER/SPONSORSHIP
OSU ALU3R. -
2200 OLENTAtCY RIVER RD.
COLUMBUS, OH 43210 31-6401596 01C3 7,000. 0. CJNDRAISER/SPONSORSHIP
OSU MEDICAL CENTER
1480 WEST LANE AVE.
COLUMBUS, OH 43221 31-1145986 01C3 10,000. 0. UNDRAISER/SPONSORSHIP
PARTNERSHIP FOR SCIENCE AND
TECHNOLOGY - 151 N RIDGE AVE -
IDAHO FALLS, ID 83402 20-4914160 01C3 26,350. 0. UCATION
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I-I (Form 990)2009
932241 02-01--b
SCHEDULE I-i(Form 990)
Name 0t orUrni.ation
Continuation Sheet for Schedule I (Form 990)Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB No 1545-0047
Open to PublicInspection
BATTELLE MEMORIAL INSTITUTE
Employer identification number31- 4 3794 27
Part Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule I (Form 990), Part IL)
(a) Name and address of (b) EIN (c) IRC section (d) Amount of (e) Amount of (fi Method of (g) Description of (h) Purpose of grantorganization or govemment if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,appraisal, other)
PREVENT CANCER
1600 DUKE STREET, SUITE 500
ALEXADRIA,_VA 22314 52-1429544 01C3 9,000. 0. tJNDRAISER/SPONSORSHIP
PROJECT HOPE
255 CARTER HALL LANE
MILLWOOD, VA 22646 53-0242962 01C3 6,500. 0. IJNDRAISER/SPONSORSHIP
RESEARCH AMERICA
1101 KING ST., SUITE 520
ALEXANDRIA, VA 22314 52-1609875 0103 18,500. 0. UNDRAISER/SPONSORSHIP
ROANE COUNTY SCHOOLS
105 BLUFF ROAD ELL COMPUTER SERVER FOR
KI TON, TN 37763-9781 62-6000807 UBLIC SCHOOL 5,680. 0. NLINE PHYSICS COURSE
SH i -BANNOCK HIGH SCHOOL
P0 K 790
FORT HALL, ID 83203 82-0197554 UBLIC SCHOOL 11,813. 0. DUCATION
SKYLINE ENERGY PROJECT
1767 BLUESKY DR
IDAHO FALLS, ID 83402 82-6001158 UBLIC SCHOOL 29,000. 0. •ENERAL OPERATING SUPPOR
SMITHSONIAN
10TH AND CONSTITUTION AVENUE, NW,
WASHINGTON, DC 20560 53-0206027 01C3 20,000. 0. :EMBERSHIP DUES
SOCFPN APPALACHIAN SCIENCE AND OUTHERN APPALACHIAN
FINEERING - 2605 E.J, CHAPMAN CIENCE & ENGINEERING
DRii-- KNOXVILLE, TN 37996 4531 20-3667941 01C3 5,000. 0. AIR
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I-i (Form 990)2009
932241 02-01-10
SCHFDULE I-i(Form 990)
Continuation Sheet for Schedule I (Form 990)Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB No 1545OO47
Open to PublicInspection
NBmL of 'ho organLation Employer identification numberBATTELLE MEMORIAL INSTITUTE 31-4379427
Part Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule (Form 990), Part II.)
(a) Name and k' (b) EIN (c)IRC section (d)Amount of (e)Amount of (f) Method of (g) Description of (h) Purpose of grantorganization or gc nt if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,appraisal, other)
ST STEPHEN'S COMMUNITY HOUSE
1500 EAST 17TH AVENUE
COLUMBUS, OH 43219 314379568 01C3 277,125. 0. UPPORT STEM EDUCATION
TECHCOLUMBUS
1275 KINNEAR ROAD
COLUMBUS, OH 43121 31-1658220 01C3 23,500. 0. 'UNDRAISER/SPONSORSHIP
THE AMERICAN DIABETES' I ION
- 'TOUR DE CURE - 471 EA5 r ROAD
STREET COLUMBUS, OH 43215 13-1623888 01C3 5,000. 0. 'UNDRAISER
THE ART MUSEUM OF EASTERN IDAHO
300 SOUTH CAPITAL AVE.
IDAHO FALLS, ID 83402 48-1273754 01C3 5,500. 0. ENERAL OPERATING SUPPOR
THE 33ROOKINGS INST
1775 MASSACHUSETTS AVE. NW
WASHINGT , DC 20036 S30196577 01C3 50,000. 0. :EMBERSHIP DUES
THE Ci '. INN
7 WEST E
BETHESDA, MD 20814 52-1638207 01C3 8,750. 0. ENERAL OPERATING SUPPOR
THE COLUMBUS MUSEUM OF ART
480 EAST BROAD STREET
COLUSIBUS, OH 43215 31-4379447 01C3 14,520. 0. UPPORT STEM EDUCATION
THE EDUCATI(L "OUNCIL
1929 KENSuAi
COLUMBUS, OH 43210 31-1364422 01C3 1,503,761. 0. UPPORT STEM EDUCATION
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I-i (Form 990) 2009
932241 O2U1oO
SCHEDULE I-i(Form 990)
Continuation Sheet for Schedule I (Form 990)' Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB No 1545-0047
Open to PublicInspection
Nm t the kkinzation Employer identification numberBATTELLE MEMORIAL INSTITUTE 31-4379427
Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule I (Form 990) Part II) -
(a) Nwn nd address of (b) EIN (c) IRC section (d) Amount of (e) Amount of (f) Method of (g) Description of (h) Purpose of grant1.: tI1 or government if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,_________________________________ appraisal, other)
THO L: TTONAL COUNCIL
_____________
1929 1NY ROAD #300 IETRO SCHOOL SUPPORT
COLtTh'ri, OH 43210 31-1364422 01C3 5,050. 0. (STEM EDUCATION)
THE UNDATION
1929 F NY ROAD
COLtTMBU5, OH 43210 31-1694479 01C3 246,400. 0. UPPORT STEM EDUCATION
THURGOOD MARSHALL COLLEGE FUND
80 MAIDEN LANE, SUITE 2204
NEW YORK, NY 10038 41-1750692 01C3 5,000. 0. PONSORSHIP
TN TECHNOLOGY UNIVERSITY
FOUNDA ON - TTU, BOX 5037 009 FIRST LEGO LEAGUE
C()EEiLE TN 38505 59-1777911 01C3 5,000. 0. OURNANENT
UNITE WAY OF ANDERSON COUNTY
DO DCX 4158 PONSORSHIP FOR GOLFOJ , TN 37831-4158 62-6041371 01C3 5,000. 0. OURNAMENT KICK
UNITED WAY CAMPAIGN ORNL
P.O.BOX 2008
OAK RIDGE, TN 37831 62-1818021 01C3 97,500. 0. 010 OW CAMPAIGN
UNITED WAY OF IF AND F3N7EV ILLE
CNTY - 151 N RIDGE AV}DTFiD 180 -
IDAHO FALLS, ID 83402 82-0233388 01C3 40,950. 0. ORPORATE SPONSORSHIP
UNITED WkY CT
819 GRAND
DEER PARK, NY 11729 11-6042392 01C3 10,000. 0. UNDRAISER
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I-i (Form 990)2009
93224 0201-10
SCHITOULE -1(Form 990)
Continuation Sheet for Schedule I (Form 990)' Attach to Form 990 to list additional information for
Schedule I (Form 990), Part II or Part Ill.
0MB No, 1545-0047
Open to PublicInspection
Nan of tt* 'zation Employer identification numberBATTELLE MEMORIAL INSTITUTE 314379427
Part j Continuation of Grants and Other Assistance to Governments and Organizations in the United States (Schedule I (Form 990), Part IL)
(a) Name and .idJ,o r (b) EIN (c) IRC section (d) Amount of (e)Amount of (f Method of (g) Description of (h) Purpose of grantorganization or gorrnnnnt if applicable cash grant non-cash valuation non-cash assistance or assistance
assistance (book, FMV,appraisal, other)
UNITED WAY OF POCATELLO
P.O. BOX 911
POCATELLO, ID 83204 82-0209624 01C3 14,200. 0. PONSORSHIP
UNIVERSITY OF CINCINNATI
P.O. 210063
CTT' '.'I OH 45221-0063 310896555 01c3 371,231. 0. UPPORT STEM EDUCATION
UN LIV OF TENNESSEE
800 ANIL HOLT TOWER
KNOXVILLE, TN 37996 62-6001636 70C1 133,450. 0. .BORETUM AUDITORIUM
UP ON THE ROOF
660 ACKERMAN ROAD, P.O. BOX 183112
COLUMBUS, OH 43218 31-1301428 01C3 9,000. 0. UNDRAISER
WASH INGTON ELEMENTARY
2918 WASHINGTON AVE.
CALOWELL, ID 83705 82-6000728 UBLIC SCHOOL 9,966. 0. DUCATION
WRIGHT STATE UNIVERSITY
3640 COLONEL GLENN HWY
DAYTON, OH 45401 23-7019799 01C3 570,000. 0. UPPORT STEM EDUCATION
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I-I (Form 990)2009
93224 02-01-10
Schedule I (Form 990) 2009 BATTELLE MEMORIAL INSTITUTE 31-4379427 Page 2
Part IV j Supplemental Information
NOT-FOR-PROFIT CORPORATION, SPECIFICALLY AS AN OHIO INCORPORATED
CHARITABLE TRUST. AS AN INCORPORATED CHARITABLE TRUST, DM1 IS SUBJECT
TO THE GENERAL SUPERVISION OF THE OHIO ATTORNEY GENERAL AND TO THE
REQUIREMENTS OF OHIO NONPROFIT CORPORATION STATUTES. THE ORIGINAL
PURPOSE OF BMI WAS TO CONDUCT RESEARCH IN METALLURGY OF COAL, IRON,
STEEL AND ZINC AND TO MAKE DISTRIBUTIONS TO OTHER CHARITABLE
ORGANIZATIONS. PURSUANT TO AN AGREEMENT WITH THE OHIO ATTORNEY
GENERAL, BMI MAKES ANNUAL DISTRIBUTIONS FOR CHARITABLE PURPOSES EQUAL
TO AT LEAST 20% OF ITS FINANCIAL STATEMENT NET INCOME, BUT NOT LESS
THAN ONE MILLION DOLLARS.
IN AUGUST 2005, BMI ESTABLISHED A DONOR ADVISED FUND, THE BATTELLE
FOUNDATION FUND (THE FUND), UNDER THE COLUMBUS FOUNDATION, A 501(C)(3)
PUBLIC CHARITY COMMUNITY FOUNDATION THAT IS LEGALLY AND FINANCIALLY
SEPARATE FROM BMI. A SUBSTANTIAL PORTION OF BMIS CHARITABLE
DISTRIBUTIONS ARE EXPECTED TO BE MADE TO THE FUND. BMI RECOMMENDS
DISTRIBUTIONS FROM THE FUND TO QUALIFYING RECIPIENTS; HOWEVER, THE
COLUMBUS FOUNDATION MAKES FINAL DECISIONS ON THE ACTUAL DISTRIBUTIONS.
THE FUNDS TRANSFERRED FROM BMI TO THE FUND HAVE NO POSSIBILITY OF
REVERSION TO BMI. DISTRIBUTIONS TO THE FUND FULFILL THE OBLIGATIONS
UNDER THE WILL OF GORDON BATTELLE AND THE AGREEMENT WITH THE OHIO
ATTORNEY GENERAL.
Schedu!e I (Form 990) 2009
932291 o424-Og
SCHEDULE J Compensation Information 0MB No. 1545-0047
(Form 990) For certain Officers, Directors, Trustees, Key Employees, and HighestCompensated Employees
Complete if the organization answered Yes to Form 990,Department of the Treasury Part IV, line 23. Open to Publicsterna! Revenue Servce Attach to Form 990. See separate instructions, inspection
Name of the organization Employer identification number
BATTELLE MEMORIAL INSTITUTE 31-4379427
'La Check the appropriate box(es) if the organization provided any of the following to or for a person listed in Form 990,Part VII, Section A, line 1 a. Complete Part III to provide any relevant information regarding these items.Lii First-class or charter travel Lii Housing allowance or residence for personal useLiii Travel for companions LII Payments for business use of personal residenceLiii Tax indemnification and gross-up payments Lii Health or social club dues or initiation feesLII Discretionary spending account LIII Personal services (e.g., maid, chauffeur, chef)
b If any of the boxes on line 1 a are checked, did the organization follow a written policy regarding payment orreimbursement or provision of all of the expenses described above? If No, complete Part Ill to explain
2 Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all officers, directors,trustees, and the CEO/Executive Director, regarding the items checked in line la?
3 Indicate which, if any, of the following the organization uses to establish the compensation of the organization'sCEO/Executive Director. Check all that apply.Liii Compensation committee Lii Written employment contractLiii Independent compensation consultant Liii Compensation survey or studyLII Form 990 of other organizations Liii Approval by the board or compensation committee
4 During the year, did any person listed in Form 990, Part VII, Section A, line la, with respect to the filingorganization or a related organization:
a Receive a severance payment or change-of-control payment?b Participate in, or receive payment from, a supplemental nonqualified retirement plan?c Participate in, or receive payment from, an equity-based compensation arrangement?
If 'Yes' to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only section 501(c)(3) and 501(c)(4) organizations must complete lines 5-9.5 For persons listed in Form 990, Part VII, Section A, line la, did the organization pay or accrue any compensation
contingent on the revenues of:a The organization?b Any related organization?
If 'Yes to line 5a or Sb, describe in Part III.6 For persons listed in Form 990, Part VII, Section A, line la, did the organization pay or accrue any compensation
contingent on the net earnings of:a The organization?b Any related organization?
If Yes' to line Ga or 6b, describe in Part III.7 For persons listed in Form 990, Part VII, Section A, line la, did the organization provide any non-fixed payments
not described in lines 5 and 6? If Yes, describe in Part III8 Were any amounts reported in Form 990, Part VII, paid or accrued pursuant to a contract that was subject to the
initial contract exception described in Regs. section 53.4958-4(a)(3)? If Yes," describe in Part III9 If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.
lb X
2 X
4a X
x
5a X5b X
6a X
6b X
7 x
8 X
__________ 9Schedule J (Form 990) 2009
9321110 2-02-10
S Jm990)2009 EIATTELLE MEMORIAL INSTITUTE 31-4379427 Page2
Jofficers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use Schedule J-1 if additional space is needed.
Fo h individual whose compensation must be reported in Schedule J, report compensation from the organization on row (i) and from related organizations, described in the instructions, on row (ii),Do rt list any individuals that are not listed on Form 990, Part VII.
Note. The sum of columns (B)(i)-(iii) must equal the applicable column (0) or column (E) amounts on Form 990, Part VII, line 1a.
(B) Breakdown of W-2 and/or 1099-MISC compensation (C)Retirement and
(D)Nontaxable
(E)Total of columns
(F)Compensation
'A' Name(i) Base
compensation(ii) Bonus &
incentivecompensation
(iii) Otherreportable
compensation
other deferredcompensation
benefits (B)(i)-(D) reported in priorForm 990 orForm 990-EZ
- (i) 747,936. 850,000. 20,869. 160,846. 2,864. 1,782,515. 0.JEFFREY WADSWORTH 0. 0. 0. 0. 0. 0. 0.
(i) 517,053, 400,000. 7,896. 197,834. 4,670. 1,127,453, 0.
I, MARTIN INGLIS 0, 0. 0. 0. 0. 0. 0.
(i) 390,568. 249,500. 16,022. 98,221. 10,699. 765,010. 0.
RONALD 0, TOWNSEND ) 0. 0. 0, 0. 0. 0. 0.
(i) 342,832. 205,524. 844. 129,754. 15,020. 693,974. 0.
RUSSELL 0, AUSTIN (ii) 0. 0. 0. 0. 0. 0. 0.
(i) 202,143. 126,909. 423,658. 517,821. 94,954. 1,365,485. 0.
RICHARD C. ADAMS ) 0. 0. 0, 0. 0. 0. 0.
- (i) 351,016. 176,540. 8,508. 147,602. 10,258. 693,924. 0.
JOHN J, GROSSENBACHER ) 0. 0. 0. 0. 0. 0. 0.
- (i) 283,085. 120,540. 686. 47,203. 15,607. 467,121. 0.
ANTHONY T, HEBRON
-
(ii) 0, 0. 0. 0. 0. 0. 0.
(I) 347,989. 153,893. 6,051. 274,966. 15,265. 798,164. 0.
STEP:HEN E. KELLY 0. 0. 0, 0, 0, 0, 0.
(I) 303,893. 175,760. 144,876. 577,630. 14,038. 1,216,197, 0.
MICHAEL KLUSE
-
) 0, 0. 0. 0. 0. 0. 0.
(i) 298,057. 225,000. 6,246. 67,144. 6,300. 602,747. 0.
BARBARA L,
-
0, 0. 0. 0. 0. 0. 0.
(I) 326,616. 165,360. 0. 206,407. 23,235. 721,618. 0.
THOMAS E, M2 [T
-
0. 0. 0. 0. 0. 0. 0.
(i) 367,396. 145,688. 36,657. 587,144. 11,531. 1,148,416. 0.
DONALD P. MCCONNELL 0, 0. 0. 0, 0. 0. 0.
(i) 317,933. 350,000. 17,872. 31,743. 13,782. 731,330. 0.
THOMAS D. SNOWBERGER 0. 0. 0. 0. 0, 0, 0.
(I) 299,113. 85,700. 3,399. 335,815. 14,862. 738,889. 0.
RICHARD D, ROSEN () 0. 0, 0. 0. 0, 0, 0,
(i) 228,912. 46,416. 2,384. 195,750. 15,408. 488,870. 0.
DANIEL W. O'BRYAN 0, 0. 0, 0. 0, 0, 0,
(i) 238,993. 48,701, 2,933. 206,506. 12,361. 509,494. 0.
STEPHEN H, VALENTINE 0, 0. 0, 0. 0, 0, 0.
Schedule J (Form 990) 2009932112 02-02-10
Swf J (rm 990) 2009 BATTELLE MEMORIAL INSTITUTE 314379427 Page 3Supplemental Information
Cc e1e this part to provide the information, explanation, or descriptions required for Part I, lines la, ib, 4c, 5a, 5b, 6a, 6b, 7, and 8. ,Jso complete this part for any additional information.
PART I, LINE 1A: DIRECTORS OFFICERS AND STAFF TRAVEL ON THE CORPORATE
PLANES. TRAVEL EXPENSES COMPLY WITH A WRITTEN REIMBURSEMENT POLICY THAT
FOLIMWS PUBLISHED IRS GUIDANCE, ALL EXECUTIVES, INCLUDING THOSE INDIVIDUALS
[C ON PART VII, ARE REQUIRED TO SUBSTANTIATE TRAVEL AND ENTERTAINMENT
EXiCSES IN ACCORDANCE WITH THE POLICY.
CMI PROVIDES A TAX GROSS-UP FOR FOREIGN TAXES, FOREIGN ALLOWANCES AND
RELOCATIONS COSTS,
SOCIAL CLUB DUES PERTAIN TO DUES THAT ALLOW BUSINESS MEETINGS AND BUSINESS
ACTIVITIES TO TAKE PLACE,
DURING BMI'S FISCAL YEAR 2006, DR. RICHARD ADANS AND DR. JOAN ADANS,
HUSBAND AND WIFE, BEGAN A MULTI-YEAR INTERNATIONAL ASSIGNMENT TO FACILITATE
THE START-UP OF CMI AFFILIATES IN ASIA. PRIOR TO THE ASSIGNMENT, BOTH WERE
CMI EMPLOYEES AND DR. RICHARD ADANS WAS AN OFFICER OF CMI. TO CARRY OUT THE
ASSIGNMENT, EACH BECAME AN EMPLOYEE OF BATTELLE SERVICES COMPANY, INC.
("BSCI">, A WHOLLY-OWNED TAXABLE SUBSIDIARY OF BMI, BUT DR. RICHARD ADAMS
^^^^^^^^ AN OFFICER OF CMI. AS A RESULT OF THE ASSIGNMENT, WHICH CONTINUED
Schedule J (Form 990) 2009
9321
ScLf C0) 2009 BATTELLE MEMORIAL INSTITUTE 31-4379427 Page 3
I SuppementaI Information
Compte this part to provide the information, explanation, or descriptions required for Part I, lines la, ib, 4c, 5a, 5b, 6a, 6b, 7, and 8. Also complete this part for any additional information.
THROUGHOUT FISCAL YEAR 2010, THEY RESIDED IN BOTH MALAYSIA AND KOREA DURING
CALENDAR YEAR 2009 AND RECEIVED HOUSING, TRAVEL, RELOCATION
COST-OF-LIVING, AND OTHER CrCTI 'fACY INTERNATIONAL ASSIGNMENT ALLOWANCES AND
PAYMENTS FROM BSCI. THE SERV S OF DR RICHARD AND DR JOAN ADAMS WERE
PROVIt)HD BY ESCI TO BMI AND BMI'S JAPANESE, KOREAN, INDIAN, AND MALAYSIAN
AFF1LiAS UNDER ARMS-LENGTH TERMS AND AT PRICING WHICH COMPLIED WITH THE
INTEB P2Y TRANSFER RULES OF JAPAN, KOREA, INDIA, MALAYSIA, AND THE
UNITEL L'ATES, IN ADDITION TO PROVIDING SERVICES AS AN EMPLOYEE OF BSCI,
DR. RICHARD ADAMS CONTINUED TO ENGAGE IN BMI CORPORATE-LEVEL ACTIVITIES IN
HIS CAPACITY AS BMI'S SENIOR VICE PRESIDENT-INTERNATIONAL PARTNERSHIP.
PART I, LINES 4AB: SEVERANCE PAYMENTS FOR STEVEN D. MCLAUGHLIN $174,445,
GR L, FRANK $482,052, ALEXANDER FISCHER $330,000
EF FTC JANUARY 1, 2006, BMI IMPLEMENTED THE BATTELLE MEMORIAL INSTITUTE
EXECUTIVES SECTION 457(F) PENSION PLAN (THE 457(F) PLAN), AN ERISA TOP HAT
PLAN. THE 457(F) PLAN IS A COMPONENT OF BMI'S TOTAL COMPENSATION PACKAGE
ANT' ITS BASIC PHILOSOPHY WITH RESPECT TO DEFINED BENEFIT PENSIONS:
THE SAME TSION FORMULAS ARE TO BE APPLIED IN DETERMINING THE PENSION OF
Schedule J (Form 990)2009
cU211 U2O21O
Sch€ J (Turm 990)2009 BATTELLE MEMORIAL INSTITUTE 314379427 Page 3_lll Supplemental Information
COi1t, this part to provide the information, explanation, or descriptions required for Part I, lines la, ib, 4c, 5a, Sb, 6a, 6b, 7, and 8. Also complete this part for any additional information,
ALL EMPLOYEES, REGARDLESS OF POSITION OR COMPENSATION LEVEL THE 457(F)
PLAN PROVIDES AN ACCRUAL OF THAT PORTION OF AN OFFICERS OR EXECUTIVES
ANNUAL PENSION BENEFIT ACCRUAL WHICH CAN NOT BE PAID UNDER ANY OTHER
QUALIFIED OR NuN irAL :FIED PENSION PLAN MAINTAINED BY BMI DUE TO OPERATION
OF VARIOUS RULEJ AND LIMI'rATIONS IN THE INTERNAL REVENUE CODE. AS OF
JANUARY 1, 2009, 100% J[u TI' THE 457(F) PLAN ACCRUAL EARNED DURING A
YE,V' IS PAID IN CASH TO THE OFFICERS OR EXECUTIVES AS SOON AS POSSIBLE
AF T} END OF THE YEAR. THE FULL AMOUNT OF THE 457(F) PLAN ACCRUAL WAS
REPORTED ON THE OFFICERS OR EXECUTIVES 2009 FORM W2. THE FOLLOWING 2009
ACCRUALS UNDER THE 457(F) PLAN ARE INCLUDED IN TEE AMOUNTS OF COMPENSATION
REPORTED IN COLUMN D OF PART VII AS APPLICABLE:
RICHARD ADAMS $52,803
GREGORY FRANK $131,043
MICHAEL KLUSE $93,600
DONALD MCCONNELL $28,739
ROBERT SMITH $359,733
PART I, LINE 7: SHORT AND LONGTERM INCENTIVE COMPENSATION PROGRAMS
ARE TIED TO CORPORATE AND INDIVIDUAL PERFORMANCE.
Schedule J (Form 990)2009
932113 Q2O21O
h-Jule J (Form 990) 2009 BATTELLE MEMORIAL INSTITUTE 31-4379427 Page 3
lI Supplemental Information
Comi Ete this part to provide the information, explanation, or descriptions required for Part, lines la, ib, 4c, 5a, 5b, 6a, 6b, 7, and 8. Also complete this part for any additional information.
DIRECTORS ARE PAID AS INDEPENDENT CONTRACTORS IN PART
VII.
EMPLOYEE WELFARE BENEFITS AND FRINGE BENEFITS:
IN ADDITION TO THE COMPENSATION AND RETIREMENT PLANS OTHERWISE LISTED IN
PART VII, THOSE INDIVIDUALS REPORTED ON PART VII WHO ARE EMPLOYEES OF BMI
ARE ELIGIBLE TO PARTICIPATE IN BMI'S EMPLOYEE WELFARE BENEFIT AND GROUP
INSJA LIANS ON THE SANE TERMS AS ANY OTHER EMPLOYEE. CONTRIBUTIONS TO
EMPLOY WELFARE BENEFIT AND GROUP INSURANCE PLANS ARE MADE IN AGGREGATE
BASCD PT ACTUARIAL FACTORS AND HISTORICAL CLAIMS EXPERIENCE AND
APPORT SPECIFIC DOLLAR AMOUNTS TO INDIVIDUALS IS IMPRACTICAL. AS
EMPLOYEES, SUCH INDIVIDUALS MAY ALSO HAVE RECEIVED WORKING CONDITION FRINGE
BENEFITS AND/OR DE MINIMIS FRINGE BENEFITS EXCLUDED FROM INCOME UNDER
INTERNAL REVENUE CODE SECTIONS 132(A)(3) AND 132(A)(4), RESPECTIVELY, FOR
WHICH DETAILED ACCOUNTING IS IMPRACTICAL.
TRAVEL AND ENTERTAINMENT EXPENSE REIMBURSEMENT:
BMI'S EXECUTIVES INCUR VARIOUS TRAVEL AND ENTERTAINMENT EXPENSES IN THE
Schedule .J (Form 990) 2009
932113 O2)21O
Och JuL J rm 990) 2009 BATTELLE MEMORIAL INSTITUTE 31 43 79427 Page 3
jjsuppiementai information
Comte this part to provide the information, explanation, or descriptions required for Part I, lines 1 a, 1 b, 4c, 5a, 5b, 6a, 6b, 7, and 8, Also complete this part for any additional information.
CONDUCT OF THEIR OFFICIAL DUTIES AS REPRESENTATIVES OF BMI. BMI HAS A
WRITTEN TRAVEL AND ENTERTAINMENT EXPENSE REIMBURSEMENT POLICY THAT COMPLIES
WITH PUBLISHED IRS GUIDANCE, ALL EXECUTIVES INCLUDING THOSE INDIVIDUALS
REPORTED ON PART VII, ARE REQUIRED TO SUBSTANTIATE TRAVEL AND ENTERTAINMENT
EXPENSE IN ACCORDANCE WITH THAT POLICY.
DM1.5 TOTAL COMPENSATION PACKAGE CONSISTS OF BASE SALARIES OR HOURLY HATES
OF PAY; SHORT AND LONGTERN INCENTIVE COMPENSATION PROGRAMS TIED TO
CORPORATE AND INDIVIDUAL F E; QUALIFIED DEFINED BENEFIT AND DEFINED
CONTRIBUTION EMPLOYEE BENEFIT ,ANS; NONQUALIFIED PLANS AND CASH PAYMENT
ARRANGEMENTS WHICH PROVIDE THE ECONOMIC VALUE OF BENEFITS OTHERWISE PAYABLE
UNDER THE NORMAL PROVISIONS OF BMI'S QUALIFIED DEFINED BENEFIT AND DEFINED
CONTRIBUTION EMPLOYEE BENEFIT PLANS (QUALIFIED PLANS) BUT FOR OPERATION OF
THE INTERNAL REVENUE CODES LIMITATIONS UPON THE AMOUNT OF COMPENSATION
WHICH: CAN BE TAKEN INTO ACCOUNT IN DETERMINING BENEFITS UNDER A QUALIFIED
PLAN, THE AMOUNT OF CONTRIBUTIONS WHICH CAN BE MADE TO A QUALIFIED PLAN,
AND/OR THE AMOUNT OF BENEFITS WHICH CAN BE PAID FROM A QUALIFIED PLAN;
VARIOUS EMPLOYEE WELFARE BENEFIT PLANS AND GROUP INSURANCES; PAID LEAVE
TIME, SUCH AS SICK LEAVE, SPECIAL LEAVE FOR PERSONAL EMERGENCIES OR OTHER
Schedu'e J (Form 990)2009
93211 O2O21O
SJ(Lrrn99O)2OO9 BATTELLE MEMORIAL INSTITUTE 314379427 Page3
Supplemental Information
Cornpete this part to provide the information, explanation, or descriptions required for Part I, lines la, ib, 4c, 5a, 5b, 6a, 6b, 7, and 8. Also complete this part for any additional information.
MATTERS, VACATION AND HOLIDAYS; TUITION REIMBURSEMENT; AND MISCELLANEOUS DE
MINIMIS AND WORKING CONDITION FRINGE BENEFITS.
Schedule J (Form 990) 2009
932
SCHEDULE J-1(Form 990)
Continuation Sheet for Schedule J (Form 990)Attach to Form 990 to list additional information for Schedule J (Form 990), Part II.
See instructions for Schedule J
OMEI No 1545OO47
2009Open to Pub'ic
Name of the organization-- J Employer identification number
BATTELLE MEMORIAL INSTITUTE j314379427
Continuation of Officers Directors Trustees Key Employees and Highest Compensated Employees (Schedule J Part II)
(B) Breakdown of W-2 and/or 1 099-MISC compensation (C) Retirement and (D) Nontaxable (E) Total of columns (F) Compensation(A) Name (i) Base
compensation(ii) Bonus &
incentivecompensation
(iii) Otherreportable
compensation
other deferredcompensation
benefits (B)(i)-(D) reported in priorForm 990 orForm 990-EZ
(i) 207,929. 42,288. 1,401. 233,550. 11,246. 496,414. 0.
GWENDOLYN C. VONHOLTEN () 0. 0. 0, 0. 0. 0. 0.
(i) 138,912. 14,352. 462. 60,999. 16,748. 231,473. 0.JUDITH L. MOBLEY 0. 0. 0. 0. 0. 0. 0.
(i) 354,619. 91,950, 25,689. 24,500. 25,262. 522,020, 0.
SAMUEL ARONSON 0. 0. 0, 0. 0, 0. 0.
(i) 272,928, 87,649. 2,684, 309,955. 16,469. 689,685. 0.
JAMES B, ROBERTO 0, 0, 0, 0. 0. 0. 0,
(i) 173,936, 0. 238,875. 117,370. 54,529. 584,710. 0.
MICHAEL LAWRENCE (L 0, 0. 0, 0, 0. 0. 0.
(i) 315,737, 63,523. 6,485. 190,068. 6,448. 582,261. 0.
JOHN F BAGLEY 0. 0, 0, 0, 0. 0. 0.
(i) 292,797. 97,500, 111. 140,111. 23,075. 553,594. 0.
THOMAS ZACHARIA () 0, 0. 0. 0. 0. 0. 0,
(i) 248,700. 72,175, 0. 203,737. 1,117. 525,729. 0.MICHELLE BUCHANAN 0, 0. 0. 0. 0. 0, 0,
(i) 309,534. 0. 0. 0. 0. 309,534. 0.CARL F. KOHRT
(j) 0. 0, 0, 0, 0, 0, 0.
(i) 57,549W 0. 355,217. 18,992, 4,463. 436,221, 0.
ALEXANDER R, FISCHER 0, 0. 0, 0. 0. 0. 0.
(i) 68,695. 0. 366,983, 1,533. 1,742. 438,953. 0.ROBERT W. SMITH, JR. 0. 0, 0. 0. 0. 0. 0.
(i) 272,319, 0. 614,152, 513,897. 2,308. 1,402,676. 0.GREGORY L, FRANK 0. 0. 0, 0. 0, 0. 0,
(i) 164,325, 0. 17,842. 0. 0. 182,167, 0.
WILLIAM J, MADIA 0, 0, 0. 0, 0. 0, 0.
(I) 0. 0. 174,445. 0. 0. 174,445. 0,STEVEN D, MCLAUGHLIN 0. 0. 0. 0. 0. 0. 0.
(i) __________________________ __________________________ __________________________
(!ii _______
______________________________ ______________________________ ______________________________ ________________________________
(I) _____________________________
_______
_____________________________
_______
_____________________________
________ ________ ________ ________
__________________________________ _________________________________ _________________________________ ___________________________________
(i) _____________________________ _____________________________ _____________________________ __________________________________ _________________________________ _________________________________ ___________________________________
932191 32-03-10 LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule J1 (Form 990)2009
SCHEDULE J-2(Form 990)
-
-
-
Department of the Treasurynterna Revenue Servme
Continuation Sheet for Form 990Attach to Form 990 to list additional information for Form 990, Part VII, Section A, line la.
0MB No. 1545OO47
Open to PublicInspection
Name of the Organization Employer Identification numberBATTELLE MEMORIAL INSTITUTE 314379427
I Part I I Continuation of Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees(A)
Name and title(B)
Averagehours
(C)Position
(check all that apply)
(D)Reportable
compensation
(E)Reportable
compensation
(F)Estimatedamount of
perweek
fromthe
organization(W2!1 099-MISC)
from relatedorganizations
(W-2/1O99MlSC)
othercompensation
from theorganizationand related
organizations
SAMUEL ARONSON
LABORATORY DIRECTOR 40.00-
x- -
472,258. 0. 49,762.
JAMES B. ROBERTO
DIRECTOR STRATEGIC CAP. 40.00-
X-
363,261. 0. 326,424.
MICHAEL LAWRENCE
LABORATORY DIRECTOR 40.00 X 412,811. 0. 171,899.
JOHN F BAGLEY
VICE PRESIDENT EXTERNAL RELATIONS 40.00 X 385,745. 0. 196,516.THOMAS ZACHARIA
DEPUTY SCIENCE & TECH. 40.00-
x-
390,408. 0. 163,186.
MICHELLE BUCHANAN
ASSOCIATE LABORATORY DIRECTOR 40.00-
X-
320,875. 0. 204,854.
CARL F. KOHRT
FORMER OFFICER________
X 309,534. 0. 0.
ALEXANDER R. FISCHER
FORMER OFFICER X 412,766. 0. 23,455.
ROBERT W. SMITH, JR.
FORMER OFFICER X 435,678. 0. 3,275.
GREGORY L. FRANK
FORMER OFFICER X 886,471. 0. 516,205.
WILLIAM J. MADIA
FORMER OFFICER________
X 182,167. 0. 0.
STEVEN D. MCLAUGHLIN
FORMER OFFICER X 174,445. 0. 0.
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule J2 (Form 990) 2009
932201 02-02-10
SCHEDULE K(Form 990)
............................
Supplemental Information on Tax-Exempt BondsComplete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,
explanations, and any additional information on Schedule 0 (Form 990).
Ni1ut tLIL )fljr5t0fl Employer identification number
BATTELLE MEMORIAL INSTITUTE 314379427
Part Bond Issues SEE SCHEDULE 0 FOR COLUNN (F) CONTINUATIONS
(a) Issuer name (b) Issuer EIN (C) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased (h) On behalfof issuer
________________________________ _____________ ___________ _____________ _____________ _________________________ Yes No Yes No
ONSTRUCTI ON RESEARCH
AHARFORD COUNTY, MARYLAND 26000959 112493AF5 04/07/04 18,456,562. 'ACILITY, MARYLAND X
B ___________________________________ ______________ _____________ ______________ ______________ ____________________________ _____
C ______________________________ ____________ ___________ ____________ ____________ ________________________ _____
D____________ ___________ ____________ ____________ ________________________ _____
E _____________________________________ _______________ _____________ _______________ _______________ ______________________________ ______
Part 1 ProceedsA B C D E
1 Totalprocsofissue 18,472,123.________________ ________________ ________________ _________________
2 Gross - in reserve funds3 P rtunding or defeasance escrows
______________________
4 Other_uns'nt_proceeds_____________________ _____________________ _____________________ _____________________ ______________________
___________________________
____________________
355,700.____________________ ____________________ ____________________
______________________
____________________
_______________________
6 Workt al PÜFIdItU '. trcrn proceeds______________________ ______________________
7 Capital perditu e'L ..,.,....................,......,., 18,100,862._________________________________
8 Year of substantial ccrnpkron ...............,,,,,,,..,.,.......,,,........ 2003______________________ ______________________ ______________________ _______________________
Yes No Yes No Yes No Yes No Yes No9 Were the bonds issued as part of a current refunding issue? X
10 Were the bonds issued as part of an advance refundingssue? ,,,,,,..,,,,,,..,,,..,,,.,.,..,,.,...,,,,., X
11 Has the final allocation of proceeds been made?.........., X12 )ce the organization maintain adequate books and records
upport the final allocation of proceeds9 XPart II Private Business Use
- A B C 0 E____1 Was the organization a partner in a partnership, or a member Yes
___No
___Yes
___No
___Yes
___No Yes No
___Yes No
of an LLC, which owned property financed by taxexemptbonds? x
2 A there any lease arrnunt.- ;ith respect to the financedwhich may result in pn.u business use9 X
0MB Nc, 1545-0047
2009Open to Publiclnspecton
, A For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 99g. Schedule K (Form 990) 2009
.. V(Fccm 990) 2009 BATTELLE MEMORIAL INSTITUTE 31-4379427 Page 2
Part II Private Busmess Use (Continued)
...............................................................................
...............................................................................
...............................
A B C D____ ____E____33 A th- ny management or service contracts with respect
____Yes
____No
____Yes
____No
____Yes
____No
____Yes No Yes No
to the tunced property wht t may result in private businessuse?,,., - ............................................. X
b Are thet any research q m-c1tc with respect to thefiir cultrty which ms; suIt in private business use?... X
C th rtdni:ition routinely engage bond counsel orutiJ Luunsel to review any management or service
o ltrst; O isearch agreements relating to the financedproperty9 x
4 Eiitci the percentage of financed operty used in a privatebnr' use by entities othr tt,r . Pction 501(c)(3)rj.nccton or a state or locd gnniont .00 % % % % %
5 rt'r tH- percentage of firtn -d loperty used in a privateic use as a result of uni dated trade or business activity
by 7our organization, another section 501 (c)3)rastateorlocalgovernment .00 % % %
6ToLil cf lines 4 and 5 .00 % % %_________________
%__________________
%7 Hc th- organization ad ted management practices and
________ _________ _________ _________
rcluriis to enstirn thn issuance compliance of its-nnmpt bond lidbilIU? X
Part V Arbitrage1 in a Form 803&T, Arbitrage Rebate, Yield Reduction and ________A ________ B C 0 ________E _________
-enalty in Lieu of Arbitrage Rebate, been filed with respect Yes No________
Yes________
No________
Yes________
No Yes No Yes Noto the bond issue? X
2s the bond issue a variable rate issue? X33 Has the organization or the governmental issuer identified
a hedge with respect to the bond issue on its books andrecords? x
b Name of provider
c Term of hcche__________________ __________________ ___________________ ___________________ ____________________
invested inaGlC9______________________
X______________________ ______________________ ______________________ _______________________
b Name nf rrovj orc TermofGlC
_____________________ _____________________ _____________________ _____________________ ______________________
d Was the regulatory safe harbor for establishing the fair marketvalue of the GIC satisfied?
________________ ________________ ________________ ________________ _________________
5 Wre any gross proceeds invested beyond an availableperiod?
_____________________
X
_____________________ _____________________ _____________________ ______________________
6 .d the bond issue qualify for an exception to rebate? X
Schedule K (Form 990) 2009
SCHEDULE L Transactions With interested Persons OMBNo,1545-0047
(Form 990 or 990-EZ) Complete if the organization answered'Yes" on Form 990, Part IV, line 25a, 25b, 26, 27, 28a, 28b, or 28c,
Department of the Treasury or Form 990-EZ, Part V, line 38a or 40b. Open To Publicnterna Revenue Service Attach to Form 990 or Form 990-EL See separate instructions, InspectionName of the organization Employer identification number
BATTELLE MEMORIAL INSTITUTE 31-4379427
(section 501 (c)(3) and section 501 (c)(4) organizations only).
I Part II] Loans to and/or From Interested Persons.Comolete if the oraanization answered "Yes' on Form 990. Part IV. line 26. or Form 990-E7. Part V. line 38a.
(a) Name of interestedperson and purpose
(b) Loan to or fromthe organization?
(c) Original principalamount
(d) Balance due (e) Indefault?
(cmmittee?
(g) Writtenagreement?
________________________ To From _______________ _______________ Yes No Yes No Yes No
Total ______ ______ _______
?U1L aa IdlIL UI MIbLdII oiieiititig IIILeEeLeU e1SUI1S.
Comolete if the oroanization answered "Yes" on Form 990. Part IV. line 27(a) Name of interested person (b) Relationship between interested person and
the organization(C) Amount and type of
assistance
I Part IV I Business Transactions Involvl ncl Interested Persons.Complete if the organization answered "Yes" on Form 990, Part IV, line 28a, 28b, or 28c. _________________ ____________
(a) Name of interested person (b) Relationship between interested (c) Amount of (d) Description of (e) Sharing ofOrganization'sperson and the organization transaction transaction revenues?
AMERICAN ELECTRIC POWER IICHAEL MORRIS IS A 6,255,107. O4ERICAN EL X
AMERICAN ELECTRIC POWER IICHAEL MORRIS IS A 2,881,498. fMI PAID AM X
AMERICAN EXPRESS COMPANY OBERT WALTER IS A 7,253,698. IMI PAID AM X
ASHLAND CHEMICAL COMPANY ERNADINE HEALY IS 164,249. SHLAND CHE - X
AT&T ORN MCCOY IS A DIR 256,864. fMI PAID AT X
GENERAL DYNAMICS CORP FESTER LYLES IS A D 14,285,724. OENERAL DYN X-
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Schedule L (Form 990 or 990-EZ) 2009Instructions for Form 990 or 990-EZ.
SEE SCHEDULE 0 FOR SCHEDULE L CONTINUATIONS
932131 02-01-10
2 Enter the amount of tax imposed on the organization managers or disqualified persons during the year undersection 4958 $ ___________________
3 Enter the amount of tax, if any, on line 2, above, reimbursed by the organization $ ____________________
SCHEDULE 0 O17
(Form 990)
Department of the Treasurynterna Revenue Serv ce
Supplemental Information to Form 990Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.Attach to Form 990
LUUOpen to PublicInspection
Name of the organizatIonBATTELLE MEMORIAL INSTITUTE
Employer identification number314379427
FORM 990, PART I, LINE 1, DESCRIPTION OF ORGANIZATION MISSION:
BATTELLE MEMORIAL INSTITUTE ("OMI") IS ORGANIZED EXCLUSIVELY FOR
CHARITABLE, EDUCATIONAL AND SCIENTIFIC PURPOSES, INCLUDING TEE
UTILIZATION OF SCIENCE, THE SCIENTIFIC METHOD AND RESEARCH FOR THE
BENEFIT AND EDUCATION OF MANKIND.
FORM 990, PART III, LINE 4A, PROGRAM SERVICE ACCOMPLISHMENTS:
ADDRESS CRITICAL ELEMENTS OF THE NATIONS SCIENTIFIC RESEARCH AGENDA,
PERFORM BASIC AND APPLIED SCIENTIFIC RESEARCH, CREATE SCIENTIFIC
KNOWLEDGE AND TECHNICAL SOLUTIONS IN KEY AREAS OF SCIENCE, INCREASE THE
AVAILABILITY OF CLEAN AND ABUNDANT ENERGY, RESTORE AND PROTECT THE
ENVIRONMENT, ENGAGE IN EDUCATIONAL ACTIVITIES, AND CONTRIBUTE TO
NATIONAL SECURITY.
FORM 990, PART V, LINE 4B, LIST OF FOREIGN COUNTRIES:
ITALY, JAPAN, SOUTH KOREA, MEXICO,
SWITZERLAND, UKRAINE, UNITED KINGDOM, MALAYSIA,
GEORGIA, INDIA
FORM 990, PART VI, SECTION B, LINE 11: A DETAILED ANALYSIS OF FORM 990 AND
990T AND FINAL COPIES OF EACH FORM ARE PROVIDED TO EVERY MEMBER OF THE
BOARD OF DIRECTORS PRIOR TO FILING, THE AUDIT CONMITTEE OF THE BOARD OF
DIRECTORS HOLDS A SPECIAL MEETING TO REVIEW AND APPROVE THE FORMS FOR
FILING. THE AUDIT CONMITTEE REPORTS ITS FINDINGS AND CONCLUSIONS TO THE
ENTIRE BOARD FOLLOWING THE CONMITTEE MEETING.
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.932211O2O31U
Schedule 0 (Form 990) 2009
0MB No, 1545oO47SCHEDULE 0(Form 990)
Department of the Treasurynterra Revenue Servme
Supplemental Information to Form 990Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.ac 0 orm
2009Open to Publicnspec ion
Name of the organizationBATTELLE MEMORIAL INSTITUTE
Employer identification number31-4379427
FORN 990, PART VI, SECTION B, LINE 12C: EACH YEAR, BMI USES A DETAILED
CONFLICT OF INTEREST CERTIFICATE TO OBTAIN INFORMATION FROM DIRECTORS,
OFFICERS AND KEY EMPLOYEES. IN ADDITION, DIRECTORS AND OFFICERS
PERIODICALLY UPDATE LISTS OF THEIR AFFILIATIONS WITH OTHER ENTITIES. BMI
PERIODICALLY DISTRIBUTES AN ETHICAL CODE OF CONDUCT TRAINING COURSE THAT
MUST BE REVIEWED AND SIGNED BY EVERY EMPLOYEE. BMI CONDUCTS MULTIPLE
TRAINING CLASSES EACH YEAR WITH RESPECT TO SECTION 501(C>(3) COMPLIANCE
REQUIREMENTS, LIMITATIONS AND PROHIBITIONS, INCLUDING IMPROPER PRIVATE
BENEFIT AND OTHER CONFLICT OF INTEREST-RELATED MATTERS. BMI MAINTAINS AN
ETHICS HOT-LINE FOR ITS STAFF FOR USE WITH RESPECT TO ANY ETHICS-RELATED
MATTER, AND ALSO MAINTAINS A DEDICATED E-MAIL BOX FOR USE WITH RESPECT TO
SECTION 501(C)(3) RELATED MATTERS. MATTERS REPORTED OR CONCERNS RAISED BY
CONTACT WITH THE HOT-LINE OR THROUGH THE E-MAIL BOX ARE GIVEN DUE
CONSIDERATION AND INVESTIGATED APPROPRIATELY.
FORM 990, PART VI, SECTION B, LINE 15: COMPENSATION POLICY:
BMI HAS A COMPREHENSIVE TOTAL COMPENSATION POLICY WHICH IT APPLIES TO ALL
EMPLOYEES. BMI'S POLICY IS TO COMPENSATE EACH EMPLOYEE IN A MANNER WHICH
IS EQUITABLE AND CONSISTENT WITH THE MARKET VALUE OF HIS/HER POSITION,
HIS/HER PERFORMANCE, AND COMPENSATION OF HIS/HER ASSOCIATES AND PEERS. THE
GOAL UNDERLYING BMIS POLICY IS TO ATTRACT, RETAIN, AND REWARD THE
HIGHQUALITY EMPLOYEES IT NEEDS TO CONTINUE AND ADVANCE ITS EXEMPT
PURPOSES.
IN IMPLEMENTING ITS POLICY, DM1 RIGOROUSLY UTILIZES NATIONAL, REGIONAL, AND
LOCAL COMPENSATION SURVEYS AND BENCHMARKING OF OTHER ORGANIZATIONS TO
LHA For Privacy Act and Paperwork Reduction Act Notice, see the instructions for Form 990. Schedule 0 (Form 990) 2009932211D2O3-1O
SCHEDULE 0 OMR No. 154&-0047
(Form 990)
Departmen. of the Treasuryeternal Revecue Sersice
Supplemental Information to Form 990Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.ac 0 orm
Open to Publicnspec ion
Name of the organ izatonBATTELLE MEMORIAL INSTITUTE
Employer identification number314379427
ESTABLISH MARKETCOMPARABILITY OF TOTAL COMPENSATION AND TAKES GREAT CARE
TO STRUCTURE COMPENSATION PROGRAMS TO COMPLY WITH ALL RELEVANT LEGAL, TAX
AND REGULATORY REQUIREMENTS. WHEN CONSIDERING AND APPROVING KEY EXECUTIVE
COMPENSATION, THE BMI BOARD OF DIRECTOR'S NORMAL PRACTICE IS TO FOLLOW
PROCEDURES WHICH ESTABLISH A REBUTTABLE PRESUMPTION OF REASONABLENESS
PURSUANT TO TREASURY REGULATION SECTION 53.49586.
FORM 990, PART VI, LINE 17, LIST OF STATES RECEIVING COPY OF FORM 990:
AZ ,CA,DC,GA, IL,KY,MA,MO,NH,NY,NC,OH,OR
FORM 990, PART VI, SECTION C, LINE 19: BMI PROVIDES FORM 1023, APPLICATION
FOR TAX EXEMPTION, ON REQUEST, FORM 1023 INCLUDES THE ARTICLES OF
INCORPORATION AND THE CODE OF REGULATIONS. THE CODE OF REGULATIONS IN FORM
1023 DOES NOT REFLECT THE RECENT CHANGES MADE ON NOVEMBER 12, 2008. BMI
MAKES FORMS 990 AND 990T, ALONG WITH SUMMARY OF CONSOLIDATED BALANCE SHEET
AND INCOME STATEMENT, AVAILABLE TO THE PUBLIC FROM ITS WEB SITE. THE
CONFLICT OF INTEREST POLICIES AND FINANCIAL STATEMENTS ARE NOT MADE
AVAILABLE TO THE PUBLIC.
SCHEDULE K, PART I, BOND ISSUES:
(A> ISSUER NAME: HARFORD COUNTY, MARYLAND
(B> DESCRIPTION OF PURPOSE: CONSTRUCTION RESEARCH FACILITY, MARYLAND
SCH L, PART IV, BUSINESS TRANSACTIONS INVOLVING INTERESTED PERSONS:
(A> NAME OF PERSON: AMERICAN ELECTRIC POWER
(B> RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.932211O2-O31O
Schedule 0 (Form 990)2009
0MB No. 1545-0047SCHEDULE 0(Form 990)
Department of he Treasurynterna Revenue Servce
Supplemental lnformaton to Form 990Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.ac o orm
Open to Publicnspec ion
Name of the organizationBATTELLE MEMORIAL INSTITUTE
Employer identification number31-4379427
MICHAEL MORRIS IS A DIRECTOR
(C) AMOUNT OF TRANSACTION $ 6255107.
(D) DESCRIPTION OF TRANSACTION: AMERICAN ELECTRIC POWER PAID BMI FOR
RESEARCH SERVICES
(E) SHARING OF ORGANIZATION REVENUES? = NO
(A) NAME OF PERSON: AMERICAN ELECTRIC POWER
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
MICHAEL MORRIS IS A DIRECTOR
(C) AMOUNT OF TRANSACTION $ 2881498.
(D) DESCRIPTION OF TRANSACTION: BMI PAID AMERICAN ELECTRIC POWER FOR
ELECTRICITY
(E) SHARING OF ORGANIZATION REVENUES? = NO
(A) NAME OF PERSON: AMERICAN EXPRESS COMPANY
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
ROBERT WALTER IS A DIRECTOR
(C) AMOUNT OF TRANSACTION $ 7253698.
(D) DESCRIPTION OF TRANSACTION: BMI PAID AMERICAN EXPRESS $7,295,861 FOR
EMPLOYEE TRAVEL EXPENSES CHARGED TO THEIR AMERICAN EXPRESS CREDIT CARD
AND $17380 FOR CREDIT CARD USAGE FEES AMERICAN EXPRESS ALSO PAID
REFUNDS OF $59,543 TO DM1
(H) SHARING OF ORGANIZATION REVENUES? = NO
(A) NAME OF PERSON: ASHLAND CHEMICAL COMPANY
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.9322 1102-03-10
Schedule 0 (Form 990) 2009
- 0MB No. 1545-0047SCHEDULE 0(Form 990)
0epartmeit of the Treasurysternal Revenue Servrne
SuppIementa Information to Form 990Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.Attach to Form 990
Open to PublicInspection
Name of the organizationBATTELLE MEMORIAL INSTITUTE
Employer identification number31-4379427
BERNADINE HEALY IS A DIRECTOR
(C) AMOUNT OF TRANSACTION $ 164249.
(D) DESCRIPTION OF TRANSACTION: ASHLAND CHEMICAL COMPANY PAID BMI FOR
RESEARCH SERVICES
(E) SHARING OF ORGANIZATION REVENUES? NO
(A) NAME OF PERSON: AT&T
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
JOHN MCCOY IS A DIRECTOR
(C) AMOUNT OF TRANSACTION $ 256864.
(B) DESCRIPTION OF TRANSACTION: BMI PAID AT&T FOR COMMUNICATION SERVICES
(E) SHARING OF ORGANIZATION REVENUES? = NO
(A) NAME OF PERSON: GENERAL DYNAMICS CORP
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
LESTER LYLES IS A DIRECTOR
(C) AMOUNT OF TRANSACTION $ 14285724.
(D) DESCRIPTION OF TRANSACTION: GENERAL DYNAMICS PAID BMI FOR RESEARCH
SERVICES
(E) SHARING OF ORGANIZATION REVENUES? NO
(A) NAME OF PERSON: GENERAL DYNAMICS CORP
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
LESTER LYLES IS A DIRECTOR
(C) AMOUNT OF TRANSACTION $ 34524454.
(D) DESCRIPTION OF TRANSACTION: EMI PAID GENERAL DYNAMICS FOR PROJECT
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990.93221102-03-10
Schedule 0 (Form 990)2009
- 0MB No. 1545OO47SCHEDULE 0(Form 990)
Department of the Treasurynterna Revenue Servme
Supplemental Information to Form 990Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.ac 0 orm
Open to Publicnspec ton
Name of the organizationBATTELLE MEMORIAL INSTITUTE
Employer identification number31-4379427
SERVICES
(E) SHARING OF ORGANIZATION REVENUES? NO
(A) NAME OF PERSON: USEC INC.
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
JOHN K. WELCH IS A DIRECTOR
(C) AMOUNT OF TRANSACTION $ 10029081.
(D) DESCRIPTION OF TRANSACTION: USEC, INC. PAID BMI FOR RESEARCH
SERVICES
(E) SHARING OF ORGANIZATION REVENUES? = NO
(A) NAME OF PERSON: JOAN ADAMS
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
FAMILY MEMBER OF RICHARD ADAMS
(C) AMOUNT OF TRANSACTION $ 374437.
(D) DESCRIPTION OF TRANSACTION: PAYROLL
(E) SHARING OF ORGANIZATION REVENUES? NO
(A) NAME OF PERSON: DAVID KELLY
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
FAMILY MEMBER OF STEPHEN KELLY
(C) AMOUNT OF TRANSACTION $ 282822.
(D) DESCRIPTION OF TRANSACTION: PAYROLL
(E) SHARING OF ORGANIZATION REVENUES? = NO
(A) NANE OF PERSON: BRITTNEY KLUSE
[HA For Privacy Act and Paperwork Reduction Act Notice, see the instructions for Form 990932211O2O31O
Schedule 0 (Form 990) 2009
- 0MB No. 1545-0047SCHEDULE 0(Form 990)
D thepartment a e reasuryeternal Revenue Service
Supplemental Information to Form 990Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.ac 0 orm
Open to Publicnspec ion
Name of the organ izat)onBATTELLE MEMORIAL INSTITUTE
Employer identification number31-4379427
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
FAMILY MEMBER OF MICHAEL KLUSE
(C) AMOUNT OF TRANSACTION $ 56943.
(B) DESCRIPTION OF TRANSACTION: PAYROLL
(E) SHARING OF ORGANIZATION REVENUES? NO
(A) NAME OF PERSON: BLAKE KLUSE
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
FAMILY MEMBER OF MICHAEL KLUSE
(C) AMOUNT OF TRANSACTION $ 61651.
(B) DESCRIPTION OF TRANSACTION: PAYROLL
(E) SHARING OF ORGANIZATION REVENUES? = NO
(A) NAME OF PERSON: KAREN ROSEN
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
FAMILY MEMBER OF RICHARD ROSEN
(C) AMOUNT OF TRANSACTION $ 118315.
(D) DESCRIPTION OF TRANSACTION: PAYROLL
(E) SHARING OF ORGANIZATION REVENUES? = NO
(A) NAME OF PERSON: JERRY WALTERS
(B) RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
FAMILY MEMBER OF JOHN WELCH
(C) AMOUNT OF TRANSACTION $ 58007.
(D) DESCRIPTION OF TRANSACTION: PAYROLL
(H) SHARING OF ORGANIZATION REVENUES? = NO
LHA For Privacy Act and Paperwork Reduction Act Notice, see the instructions far Form 990.93221102-03-10
Schedule 0 (Form 990)2009
SCHEDULE 0 O147
(Form 990)
Department of the Treasurnterna Revenue Serv cc
Supplemental Information to Form 990Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.Attach to Form 990
LUUZ1Open to PublicInspection
Name of the organizationBATTELLE MEMORIAL INSTITUTE
Employer identification number314379427
(A> NAME OF PERSON: JOSEPH ARONSON
(B> RELATIONSHIP BETWEEN INTERESTED PERSON AND ORGANIZATION:
FAMILY MEMBER OF SAMUEL ARONSON
(C> AMOUNT OF TRANSACTION $ 24516.
(D> DESCRIPTION OF TRANSACTION: PAYROLL
(H> SHARING OF ORGANIZATION REVENUES? = NO
SCHEDULE L, FORM 990, PART IV
BUSINESS TRANSACTIONS WITH LISTED PERSONS
SIX OF BMI DIRECTORS ALSO SIT ON THE BOARDS OF CERTAIN PUBLIC COMPANIES
FROM WHICH BMI ACQUIRES COMMUNICATIONS, CREDIT CARD SERVICES AND
ELECTRICAL SERVICES OR WHICH CONTRACT WITH DM1 FOR RESEARCH SERVICES.
THESE BUSINESS TRANSACTIONS IN THE NORMAL COUSE OF BMI'S BUSINESS CAUSE
THESE SIX DIRECTORS TO BE INTERESTED PERSONS FOR PURPOSES OF FORM 990
AND THUS NOT CONSIDERED TO BE INDEPENDENT DIRECTORS. SEE SCHEDULE L
AND THIS SCHEDULE FOR FURTHER DETAILS.
SCHEDULE R, FORM 990, PART V, COLUMN (C>
TRANSACTIONS WITH RELATED ORGANIZATIONS:
DURING FISCAL YEAR 2010, BMI RELATED ENTITIES PROVIDED CONTRACT
SCIENTIFIC RESEARCH AND DEVELOPMENT AND TECUNICAL SERVICES IN THE
ORDINARY COURSE OF BUSINESS UNDER ARMSLENGTH TERMS, CONDITIONS, AND
PRICING. SERVICES TO BMI AND BMI'S JAPAN, KOREA, INDIA, MALAYSIA, AND
UNITED KINGDOM AFFILIATES WERE PROVIDED UNDER ARMSLENGTH TERMS AND AT
LHA For Privacy Act and Paperwork Reduction Act Notice, see the instructions for Form 990.932211O2-O31O
Schedule 0 (Form 990)2009
SCHEDULE 0 0MB No, 1545OO47
(Form 990)
Department of the reasuryinternal Revenue Service
Supplemental Information to Form 990Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.ac 0 orm .
Open to Publicnspe on
Name of the organizationBATTELLE MEMORIAL INSTITUTE
Employer identification number31-4379427
PRICING WHICH COMPLIED WITH THE INTER-COMPANY TRANSFER PRICING RULES OF
JAPAN, KOREA, INDIA, MALAYSIA, UNITED KINGDOM, AND THE UNITED STATES.
BNI ENGAGED IN TRANSACTIONS WITH RELATED ENTITIES SUCH AS: THE LEASING
OF REAL OR PERSONAL PROPERTY; THE PROVISION OF CAPITAL; AND, THE
FURNISHING OF GOODS, SERVICES OR FACILITIES. THESE TRANSACTIONS WERE
CONDUCTED AT FAIR MARKET VALUE RATES AND ARE IN ACCORDANCE WITH
INTERNAL REVENUE CODE SECTION 482 AND OTHER APPLICABLE INTER-COMPANY
TRANSFER PRICING RULES. THESE TRANSACTIONS HAVE BEEN APPROVED AND
DOCUMENTED AND CONDUCTED IN THE ORDINARY COURSE OF BUSINESS.
SCHEDULE R, FORM 990, PART V, LINE I
LEASE OF FACILITIES, EQUIPMENT, OR OTHER ASSETS TO OTHER ORGANIZATION
BMI LEASES FACILITY SPACE TO 360IP PTE, BATTELLE SERVICES COMPANY INC,
AND ZIVENA INC. THE AMOUNTS ARE LISTED IN LINE 1A.
SCHEDULE R, FORM 990, PART VI
UNRELATED ORGANIZATION TAXABLE AS A PARTNERSHIP
BMI IS REQUIRED TO CONSOLIDATE THESE ENTITIES FOR FINANCIAL ACCOUNTING
PURPOSES AND ACCORDINGLY, THEIR FINANCIAL ATTRIBUTES ARE REFLECTED IN
THE REVENUES AND EXPENSES AND OTHER FINANCIAL INFORMATION IN THIS FORM
AND RELATED SCHEDULES.
SCHEDULE R, FORM 990, PART V, LINE 1A
RECEIPT OF INTEREST, ANNUITIES, ROYALTIES, OR RENT FROM CONTROLLED ENTITY
QUALIFYING SPECIFIED PAYMENTS VERSUS SPECIFIED PAYMENTS RELATED TO IRS
SECTION 512(B)(13)PERTAINING TO 990T PAGE 1 PART I, LINE 8
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule 0 (Form 990) 200993221102-03-10
SCHEDULE 0 Supplemental Information to Form 990 O147
(Form 990) Complete to provide information for responses to specific questions on LUUForm 990 or to provide any additional information. Open to PublicDepartment of the reasury
nternu Revenue Sermoe ac 0 orm nspec ion
Name of the Organization Employer identification numberBATTELLE MEMORIAL INSTITUTE 314379427
QUALIFYING SPECIFIED PAYMENTS $914,476
SPECIFIED PAYMENTS $272,719
TOTAL $1,187,195
FORM 990, PART I, LINE 7A
TOTAL GROSS UNRELATED BUSINESS REVENUE
FORM 990 IS PREPARED ON GAAP FINANCIAL ACCOUNTING BASIS AND FORM 990T
IS PREPARED ON AN INCOME TAX ACCOUNTING BASIS. THEREFORE THERE ARE BOOK
TO TAX DIFFERENCES THAT ARE RECONCILED IN THE FOLLOWING SCHEDULE FOR
THE GROSS UNRELATED BUSINESS REVENUE TO FORM 990T, PART I, COLUMN A,
LINE 13
FORM 990 GROSS UNRELATED BUSINESS REVENUE 2,200,867
DEDUCT INCOME TAX BASIS PARTNERSHIP LOSSES 72,430
DEDUCT THE COSTS OF GOODS SOLD 1,680,374
ADD BACK RENTAL EXPENSE 25,742
ADD INSURANCE PREMIUMS FROM TAXABLE SUBSIDIARIES 31,922
EQUALS TOTAL ON FORM 990T PART I, LINE 13 505,727
PART IX STATEMENT OF FUNCTIONAL EXPENSES
LINE 19 CONFERENCES, CONVENTIONS, AND MEETINGS
EXPENSES FOR CONFERENCES, CONVENTIONS, AND MEETINGS ARE INCLUDED IN
LINE 17 TRAVEL,
LHA For Privacy Act and Paperwork Reduction Act Notice, see the instructions for Form 990. Schedule 0 (Form 990) 2009932211O2O31U
SCI-1DULE R Related Organizations and Unrelated Partnerships(Form 990) Complete if the organization answered 'Yes to Form 990, Part IV, line 33, 34, 35, 36, or 37.
Attach to Form 990. See separate instructions.
0MB No 1545-0047
2009Open to Public
Insoection
Name of the or anization Employer identification numberBATTELLE MEMORIAL INSTITUTE 31-4379427
Parf I Identification of Disregarded Entities (Complete if the organization answered Yes to Form 990, Part IV, line 33.)
(a)
Name, and T'4of disrojatrliJ
(b)Primary activity
(c)Legal domicile (state or
foreign country)
(d)Total income
(e)End-of-year assets
(f)Direct controlling
entity
BATTELLE NATIONAL BIODEFENSE INSTITUTE, LLC
04-3851808, 505 KING AVENUE, COLUMBUS, OH IANAGEMENT OF NATIONAL ATTELLE MEMORIAL
43201 ,ABORATORY ELAWARE 53,597,537. 11,721,329. NSTITUTE
BATTELLE ASIA, LLC 20-3790334
505 KING AVENUE CIENTIFIC RESEARCH ATTELLE MEMORIAL
COLUMBUS, OH 43201 (DORMANT) ELAWARE 0. 108,192. NSTITUTE
BATTELLE ENERGY ALLIANCE, LLC - 68-0588324
2525 N FREMONT AVE IANAGENENT OF NATIONAL ATTELLE MEMORIAL
IDAHO FALLS, ID 83415 ,ABORATORY ELAWARE 1,063,222,154. 7,706,303. NSTITUTE
BATTELLE ENERGY UK, LLC - 42-1767455
505 KING AVENUE JANAGEMENT OF NATIONAL ATTELLE MEMORIAL
COLUMBUS, OH 43201 ,ABORATORY ELAWARE 3,167,360. 2,855,132. NSTITUTE
Identification of Related Tax-Exempt Organizations (Complete if the organization answered Yes to Form 990, Part IV, line 34 because it had one or more related tax-exemptorganizations during the tax year.)
(a)Name, address, and EINof related organization
(b)Primary activity
(c)Legal domicile (state or
foreign country)
(d)Exempt Code
section
(e)Public charity
status (if section501 (c)(3))
(f)Direct controlling
entity
__________________________
LHA For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule R (Form 990) 2009
Schejle R (Form 990> 2009 BATTELLE MEMORIAL INSTITUTE 31-4379427 Page 2
Part Identification of Related Organizations Taxable as a Partnership (Complete if the organization answered "Yes" to Form 990, Part IV, line 34 because it had one or more relatedorganizations treated as a partnership during the tax year.)
- (a)Naree, auJe and EINof reLtte,:) aniza on
(b)Primary activity
(c)
Lena domcthn)stut$Orforegn
(d)Direct controlling
entity
(e)Predominant income(related, unrelated,
excluded from tax under
(f)Share of total
income
(g)Share of
end-of-yearassets
(h)
DsproportonteaHocatons7
(I)Code V-UBI
amount in box20 of Schedule
U)Genera ormanacyngE2.rtt!L
-
country) sections 512-514)-
Yes-
No K-i (Form 1065) (e No________ _____________________
BATTEFj'FeCES LP______________ ______________
-
47-09244Y, 103 CARNEGIE ATTELLE
CENTER, SUii'E 100, PRINCETON, EMORIAL
NJ 08540 'ENTURE CAPITAL DE NSTITUTE ELATED -7,114,041. 59,123,848. X-
N/A
Part IV Identification of Related Organizations Taxable as a Corporation or Trust (Complete if the organization answered "Yes" to Form 990, Part IV, line 34 because it had one or more relatedorganizations treated as a corporation or trust during the tax year.)
(a)Name, ddr-e Ir 4of related tjuniza'
(b)
Primary activity(c)
Lega' domce)stateorforeWncountry)
(d)Direct controlling
entity
(e)Type of entity
(C corp, S corp,or trust)
(f)Share of total
income
(g)Share of
end-of-yearassets
(h)Percentageownership
BATTELLE INSTITUTE (DELAWARE) 31-4379427 ATTELLE
505 KINO AVENUE EMORIAL
COLrT!1reT', OH 43201 IOLDING COMPANY DE NSTITUTE CORP 0. 0. 100.00%
BAT'TFFLE INSTITUTE LTD ATTELLE
27FLBERT STREET NITED NSTITUTE,
LONie UNITED KINGDOM W1Y 1RL tALES OF RESEARCH INGDOM ELAWARE CORP 2,453. 156,188. 100.00%
BA F HLE ITALIA SRL ATTELLE
18 p:[A. :A DEL POPOL •e EMORIAL
ROME, ALY tCIENTIFIC RESEARCH TALY NSTITUTE CORP 0. 0. 100.00%
BAT' JLC JAPAN ATTELLE
CHIii: KU EMORIAL
TOFN'(,APAN tCIENTIFIC RESEARCH APAN INSTITUTE CORP 788,359. 807,260. 60.00%
BAFtH KOREA, INC. ATTELLE
NARA FeeLI NG, 7TH FL '! 'HRONGDAM-DONG KANGNAM-GU OREA, :EMORIAL
SEOUL, keREA, SOUTH ;CIENTIFIC RESEARCH OUTH NSTITUTE CORP 1,633,992. 1,392,612. 100.00%
932162 F-1-1O Schedule R(Form 990)2009
Scm tifr' P (Form 990) 2009 BAT'I'ELLE MEMORIAL INSTITUTE 31 4379427 Page 3
Part V Transactions With Related Organizations (Complete if the organization answered Yes' to Form 990, Part IV, line 34, 35, or 36.)
Note. nplete line if any entity is din Parts II, Ill, or IVof this schedule I- if tm cfl1 the a ' n engage in any of the following transactions with one or more related organizations listed in Parts ll-IV?
-
a r. of(i) iL st (ii) annuitl ii) yalties or (iv) rent from a controlled entity ................ .la X-
b (. 't, rant, or c..cpital contributic I other organization(s) .................................. .jc ($t, grant, or capital contribution from other organization(s) .......................................
..J2_ -
d ,cris loan guarantees to or for other organization(s) ................................. ld X
e mns or loan guarantees by other organization(s) .................. j ..
f Sale of assets to other organization(s) ...............................
.
JL -g Pa aC." I from other organization(s) ........ ii - _._
h 'a.
lh X
i 1 c cf facilit: lupment, or other assets to other organization(s) ............... JL 2L
of fa iliticm equ pment, c icr assets from other organization(s) ............
.
jjk n.ofr:f,morrr hiporfundraisingsolicitationsforotherorganization(s) ...............................
.
.1k-
X
I o 1 n al. . nip or fundraising solicitations by other organization(s) ....................
.
-
m S . ing of facilitin-, qnn!pnnr1t, mailing lists, or other assets ...............
.
.
.mi - X
n Sharing of paid emplue,: . .1,1 X
.
o Reimbursement paid tu other organization for expenses ........ i2 - ___
p Reimbursement paid by other organization for expenses ....._ _.-
q Other transfer of cash or pron.rty to other organization(s)
.
rOther transfer of cash or pruprty from other organization(s).-
-
2 If the answer to any of the dove in, Yes' see the instructions for information on who must comolete this line. includino covered relationshios and transaction thresholds.
(a)Name of other organization(s)
(b)Transaction
type (a-r)
(c)Amount involved
(1) 360IP PTE LTD SPECIFIED PAYMENT A 10,128.
J!ATTELLE KOREA . QUALIFYING SPECIFIED PAYMENT A 134,406.
IaATTELLE SERVICES COMPANY, INC SPECIFIED PAYMENT A 7,564.
SL±TTELLE UK LIMITED QUALIFYING SPECIFIED PAYMENT A 87,781.
SLUEFIN ROBOTICS CORPORATION - SPECIFIED PAYMENT A 93,937.
ATIcN SPECIFIED PAYMENT A 132,342.
Schedule R (Form 990) 2009
ScIr P (Form 990) 2009 BATTELLE MEMORIAL INSTITUTE 3l 4379427 Page 4
Part l Unrelated Organizations Taxable as a Partnership (Complete if the organization answered "Yes' to Form 990, Part IV, line 37,)
Plv!J, th* followinD info for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue)that ut a related oijoI'aUun, See instructions regarding exclusion for certain investment partnerships.
(a)Name, address, and EIN
of entity
(b)Primary activity
(c)Legal domicile
(state or foreign
(d)
U p?rSecton 5O1(c93mzatms?
(e)Share of end-of-
year assets
(f)
,
(g)Code V-UBI
t b 20
(h)Gerrera orman ang
country) Yes No Yes No (Form 1065) Yes No______________
BROOKHAVEN SCIENCE ASSOCIATES,LLC - 11-3403915
P.O. BOX 5000 ANAGEMENT OF NATIONAL
UPTON, NY 11973 ABORATORY FEW YORK X 2,375,120. X 0.-
X- -
UTrTELLE, LLC -, 6 t7'
VALLEY ROAD BLE 4'OON, MS 6261, KM K-25 ANAGEMENT OF NATIONAL
OAK RILXiIrF, TN 37831 ABORATORY 'ENNESSEE X 4,391,632. X 0. X-
Schedule R (Form 990) 2009
Sch&JuIe 9-1 (Form 990) 2000 MEMORIAL INSTITUTE 31-4379427 Page 4
Continuation of Identification of Related Organizations Taxable as a Corporation or Trust
(a)Name, Iof related oIjaft-aton
(b)Primary activity
(c)
LagS domsle(state orforeigncountry(
(d)Direct controlling
entity
(e)Type of entity
(C corp, S corp,or trust)
(f)Share of total
income
(9)Share of
end-of-yearassets
(h)Percentageownership
BATTLTJ MEXICO S,A. DE c.v, ATTELLE
NEWT E16, C()t, POLANCO EMORIAL
MKXIH [TY, SEXErn CP11590 CIENTIFIC RESEARCH ;EXICO NSTITUTE CORP 0. 0. 100.00%
B2ELT ELLIHMA LLC - 200292062 ATTELLE
-YE AVELUE EAL ESTATE IEMORIAL
COLL'4Ef:: 41201 CTIVITIES OK NSTITUTE CORP 199,173. 381,705. 100.00%
BArHEH5 tEE 5 T E ENDIA PVT. LTD ATTELLE
UNI (YYEEEIL
INDIA 411416 CIENTIFIC RESEARCH NDIA
LEMORIAL
NSTITUTE CORP 441,736. 1,432,524. 100.00%
BATTELLE SCIL:E. & TECUEuL: 4? MALAYSIA SDN BHD. ATTELLE
BLOCK B, LOT 3288, OFF JALAN AYER ITA JEMORIAL
KAWASAN INSTITUSI BANGI, MALAYSIA CIENTIFIC RESEARCH ALAYSIA :NSTITUTE CORP 6,433,531. 3,564,856. 100.00%
BATTELLE SERVICES COMPANY, INC. - 31-1792334 ATTELLE
505 KNG AVENUE JEMORIAL
I4FE1, OH 43201 MPLOYEE LEASING OH NSTITUTE CORP 7,570,604. 6,312,291. 100.00%
BA1YHLE UK LIMITED ATTELLE
200 Ai,DERSGATE STREET INITED JEMORIAL
LONDON, UNITED KINGDOM EC1A 411,3 CIENTIFIC RESEARCH :INGD0M :NSTITUTE CORP 10,231,204. 8,636,817. 100.00%
BATTELTE:RO BUSINESS TRUST 04-3302919 ATTELLE
505 ETE AVENUE TEMORIAL
COLtJEHY ElI 43201 CIENTIFIC SERVICES MA NSTITUTE CORP 0. 46,562. 100.00%
BLrNAYNE SURVEY, INC. - 20-5399236 ATTELLE
505 KFNUAVFNJN :TART UP COMPANY TEMORIAL
COLUMBUS, OH 43201 (DOREANT> MA :NSTITUTE CORP 0. 0. 100.00%
BLUEFIN ROBOTICS CORPORATION 20-2576696 TATTELLE
237 PU. M AVE. IEMORIAL
CANIEI , MA 02139 LARINE ROBOTICS MA :NSTITUTE CORP 2,187,905. 5,991,253. 100.00%
ELE1- 11 LIMITED ATTELLE
TIILJI-EAE? AEISE, FARNHAM LANE,HASLEMERE INITED IEMORIAL
SUFY{, rFNITED KINGDOM GU27 lEA CIENTIFIC RESEARCH INGDOM :NSTITUTE CORP 0. 0. 100.00%
GE(:E1'E AUSTRALIA PTY. LIMITED
LEVEL 14, 140 ST GEORGES TERRACE (AZARDOUS WASTE EOSAFE
PERTH, AUSTRALIA WA 6000 LEMEDIATION USTRALI2 ORPORATION CORP 0. 1,073. 100.00%
GEOSAFE CORPORATION - 91-1404268 TATTELLE
505 KING AVENUE TEMORIAL
COLUMBUS, OH 43201 TASTE CLEANUP WA :NSTITuTE CORP 60,087. 275,349. 100.00%
Schedule R-1 (Form 990) 2009932224 02-02-10
Ss1ltrm99O)2009 BATTELLE MEMORIAL INSTITUTE 31-4379427 Page 4
Continuation of Identification of Related Organizations Taxable as a Corporation or Trust
(a)Na Id I Lof Ce ,r:ti
(b)Primary activity
(c)
Legai domcUa(state orforeNncountry)
(d)Direct controlling
entity
(e)Type of entity
(C corp, S corp,or trust)
(f)Share of total
income
(g)Share of
endofyearassets
(Ii)Percentageownershtp
INTERNATIONAL SCIENTIFI AruAu, INC ATTELLE
1ST FLR, 59 HUPYON4 OREA, :EMORIAL
CHUNCHEC)N LrY, KOREA SO)[fj CIENTIFIC RESEARCH 00TH NSTITUTE CORP 900,997. 1,519,837. 50.00%
OXFORD BI:LCHNICA, LTD. ATTELLE
THURSLCU , FARNHAN LANE NITED EMORIAL
SURREY ttT1CL KINGDOM GU27 lilA CIENTIFIC RESEARCH INGDOM NSTITUTE CORP 0. 0. 100.00%
R.A. Jt4ITFD ATTELLE
THUD F'PRNHAM LAU
CIENTIFIC RESEARCH
NITED
:INGDOM
IEMORIAL
.NSTITUTE CORP 0. 0. 100.00%
RES NLAND CCMALi LTD. ATTELLE
73 FRONT :TF RD FLOOR NSURING BATTELLE JEMORIAL
HAMILTON, iRil;LA EMil .ISKS ERMUDA NSTITUTE CORP 5,139,107. 74,468,689. 100.00%
SCIENTIFIC AIj\/AJFJ, INC. - 31-6024333 ATTELLE
505 KING AVENUE ENTURE CAPITAL JEMORIAL
COLUMBUS 43201 IANAGEMENT OH :NSTITUTE CORP 1,079. 1,048,264. 100.00%
VITEXf INC. 770526364 ATTELLE
2184ETNJ1TVE IEMORIAL
SAN TJ L 5131 ICENSING COMPANY DE NSTITUTE CORP 189,370. 1,905,649. 54.22%
ZIVENA, INC. - 75 3090227 ATTELLE__
505 KING AVENUE IEMORIAL
COLUMBUS, OH 43201 CIENTIFIC RESEARCH DE :NSTITUTE CORP 0. 51,370. 96.90%
3601P PTE LTD - 20 0817081
391B ORCHARD ROAD #1603/04 THER INVESTMENT ATTELLE
NOES ANN CJTY TOWER B, SINGAPORE 238874 JOLDING COMPANY INGAPOR ENTURES, LP CORP 52,765. 1,568,671. 73.27%
360IP (JAJAN) PTE LTD :NTELLECUTAL PROP
391BCJSCHAI:J UKAD #1603/04 IANAGEMENT AND
NGEE ANN ('LTY TOWER B SINGAPORE 238874 :NVESTMENT INGAPORE 36OIP PTE LTD CORP 0. 2,820. 73.27%
360IP (KOREA) PTE LTD :NTELLECUTAL PROP
391B ORCHARD ROAD #16-03/04 ANAGEMENT AND
NOES ANN CITY TOWER B, SINGAPORE 238874 :NVESTMENT INGAPOR 360IP PTE LTD CORP 23. 0. 73.27%
360IP (INA) PTE LTD :NTELLECUTAL PROP
39:1BJAkJ '; #16-03/ 1
238874
ANAGEMENT AND
NVESTMENT INGAPOR 360IP PTE LTD CORP 23. 15,387. 73.27%
36P Jr JAJ - (--i r37 :NTELLECUTAL PROP
103 CITIE JTR, STE 100 ANAGEMENT AND
PRINCETON, NJ J40 £NVESTMENT OS 360IP PTE LTD CORP 3,181. 359,520. 73.27%
Schedule R-1 (Form 990) 2009
932r
Hi (Form(UYLHi kTTELLE MEMORIAL INSTITUTE 3l4379427 Page4
[Pirti1 Continuation of Identification of Related Organizations Taxable as a Corporation or Trust
(a)
Name, addr Nof related or(j1nF:tion
(b)Primary activity
(c)
Lega' domce(state orforegncountry)
(d)Direct controlling
entity
(e)Type of entity
(C corp, S corp,or trust)
(CShare of total
income
(g)Share of
endofyearassets
(h)Percentageownership
36L:'r E LTD NTELLECUTAL PROP
3910 OHEA) ROAD #1603/1 ANAGEMENT AND 3601P
NGBL AHJ CI?Y TOWER B, OrH;Ar'OPE 238874 NVESTMENT INGAPORF (CHINA>PTE LTD CORP 0. 14,069. 43.96%
Schedule R-1 (Form 990) 2009932224 O2O21U
flluleR1(Form990)2009 BATTELLE MEMORIAL INSTITUTE 31-4379427 Page5
iIv] Continuation of Transactions With R&ated Organizations (Schedule R (Form 990), Part V, line 2)
(a)Name of other organization
(b)Transaction
type (ar)
(c)Amount involved
1:. : )NAL SCIENTIFIC STANDARD, INC.- SPECIFIED PAYMENT A 15,313.
(8) VITEX SYSTEMS INC. - QUALIFYING SPECIFIED PAYMENT A 247,810.
(9) VITEX SYSTEMS INC. QUALIFYING SPECIFIED PAYMENT A 310,237.
ia ZIVENA, INC. - QUALIFYING SPECIFIED PAYMENT A 134,242.
() ZIVENA, INC. SPECIFIED PAYMENT A 13,435.
BAT:ELLE JAPAN B 3,390,980.
(13) KOREA, INC. B 5,600,000.
(14) BATTELLE SCIENCE & TECHNOLOGY INDIA PVT. LTD B 1,000,000.
BLUEFIN ROBOTICS CORPORATION B 6,500,000.
.JiL 3601P PTE LTD D 200,000.
BLUEFIN ROBOTICS CORPORATION D 4,825,000.
fl INTERNATIONAL SCIENTIFIC STANDARD, INC. D 500,000.
VT'1'5 SYSTEMS INC. D 3,000,000.
LLE JAPAN K 314,701.
L,'rELLE YYA, INC. K 58,033.
(22) BATTELLE 'ENCE & TECHNOLOGY INDIA PVT. LTD K 346,269.
BATTELLE SCIENCE & TECHNOLOGY MALAYSIA SUN BHD. K 6,433,531.
BATTELLE SERVICES COMPANY, INC K 1,592,422.
Schedule R-1 (Form 990) 2009
932225 O221O
SciiH1e R1 (Form 990) 2009 BATTELLE MEMORIAL INSTITUTE 314379427 Page 5
Continuation of Transactions With Related Organizations (Schedule R (Form 990), Part V, line 2)
(a)Name of other organization
(b)Transaction
type (a-r)
(c)Amount involved
(7) BATTELLE UK LIMITED K 3,523,600.
_J BLUEFIN ROBOTICS CORPORATION K 266,981.
(9) RESEARCH INSURANCE COMPANY LIMITED K 2,213,632.
(10) BATTELLE JAPAN L 509,817.
(11) BATTELLE KOREA, INC. L 1,496,268.
(12) BATTELLE SCIEF & T Y INDIA PVT. LTD L 54,988.
ia BATTELLE IET T iNCLOGY MALAYSIA SDN BHD. L 51,879.
(14) TCLLE SERVICES COMPANY, INC L 590,035.
UK LIMITED L 55,805.
(16) BLUEFIN }dTIC: CORPORATION L 502,319.
(17) VITEX SYSS INC. L 64,611.
(18) _________ _________________
(19) _________ __________________
(24) __________ ___________________
Schedule R-1 (Form 990) 2009
932225 OO21O
