DOE O 3220.4A, Contractor Personnel and Industrial Relations Reports

DOE 3220.4A 1-7-93 THIS PAGE MUST BE KEPT WITH DOE 3220.4A, CONTRACTOR PERSONNEL AND INDUSTRIAL RELATIONS REPORTS. DOE 3220.4A, CONTRACTOR PERSONNEL AND INDUSTRIAL RELATIONS REPORTS, HAS REVISED AND CANCELED DOE 3220.4 TO REFLECT ORGANIZATIONAL TITLE, ROUTING SYMBOL, AND OTHER EDITORIAL REVISIONS REQUIRED BY SEN-6. DUE TO THE NUMBER OF PAGES AFFECTED BY THESE REVISIONS, THE ORDER HAS BEEN ISSUED AS A REVISION. THIS PRINTING WILL ALSO CORRECT A PREVIOUS PRINTING ERROR IN PAGINATION. 1-7-93 1. PURPOSE. To prescribe policy and procedures and to assign responsibilities and authorities for the preparation and submission of contractor human resource management reports. 2. CANCELLATION. DOE 3220.4, CONTRACTOR PERSONNEL AND INDUSTRIAL RELATIONS REPORTS, of 6-4-85. 3. SCOPE . The provisions of this Order apply to all Departmental Elements that have responsibility for management and operating contractors or other designated contractors performing work for the Department as provided by law and/or contract and as implemented by the appropriate contracting officer. 4. REFERENCES. a. Fair Labor Standards Act (29 Code of Federal Regulations (CFR) 541) of 10-24 38, as amended, which provides for minimum wages, overtime provisions, and other protection covering industries engaged in commerce or in the production of goods for commerce. b. Federal Acquisition Regulations (FAR) 17.601 and Department of Energy Acquisition Regulations (DEAR) 970.000, which define management and operating contracts. c. Paperwork Reduction Act of 1980, Public Law 96-511, which mandates a Governmentwide system for controlling and reducing agency information collections levied on the public. d. Title 5 CFR 1320, Controlling Paperwork Burden on the Public, which implements the Paperwork Reduction Act of 1980. 5. DEFINITIONS. a. Headquarters or Field Element is the program organization having contract authority or the field organization responsible for administering contracts or managing projects at Government-owned or -controlled, contractor-operated facilities. All Departmental Elements 0ffice of Procurement, Assistance and Program Management DOE 3220.4A 1-7-93 b. Management and Operating Contract is an agreement under which a Federal agency contracts for the operation, maintenance, or support of a Government-owned or -controlled research, development, special production, or testing establishment which is wholly or principally devoted to one or more major programs of the contracting Federal agency. c. Other Designated Contracts include onsite contracts designated by Heads of Departmental Elements such as long-term architect-engineering and construction contracts. 6. POLICY AND OBJECTIVES. a. DOE shall assure that contractor personnel practices are consistent with Federal labor standards, and that related costs are reasonable b. It is Departmental policy to be adequately informed contractors’ human resource management activities. as follows: (1) To hold requirements for submission of periodic reports to a minimum. concerning Objectives are and special (2) To standardize reporting requirements, including the use definitions, codes, and management information systems terms. (3) To coordinate requirements for contractor human resource management information and to avoid duplication of requests to contractors. (4) To take into account contractor’s established reporting procedures, thus minimizing duplication of requirements.

(5) To preserve the confidentiality of individual responses obtained from reports submitted in accordance with DOE requirements. 7. RESPONSIBILITIES AND AUTHORITIES. a. Director of Procurement, Assistance and Program Management has overall authority for establishing policies regarding compensation and personnel of contractors who operate or support DOE-owned or -controlled facilities. DOE 3220.4A 1-7-93 b. Director of Contractor Human Resource Management. (1) Determines and continually appraises, in the light of changing program requirements, DOE management needs for information on contractors’ human resource management activities to assure that reporting requirements are minimal but adequately meet such needs. (2) Determines the need for, and conducts, special one-time or nonperiodic surveys. (3) Reviews and analyzes data submitted pursuant to the requirements of this directive in order to: (a) Maximize its usefulness in the evaluation of contractor human resource management performance. (b) Appraise the adequacy, effectiveness, and implementation of established DOE policies and standards. (4) Publishes and disseminates data obtained from reports and analyses thereof to appropriate Departmental Elements, other governmental offices or agencies, and DOE contractors. (5) Assures compliance with Title 5 CFR 1320, Controlling Paperwork Burden on the Public. c. Heads of Departmental Elements Administering Operating and Onsite Service Contracts. (1) (2) (3) (4) (5) Identify contractors covered by this directive, including those providing onsite architect-engineering or construction services of a long-term or continuing nature, and advise them of the Departmental policy and reporting requirements of this directive. Assure that contractors furnish required information and reports on contractor human resource management matters. Provide for the submission of the required periodic reports. Submit any special reports required by the Director of Contractor Human Resource Management. Establish additional periodic and special reporting requirements, as needed, to meet specific contract needs for effective review and evaluation of contractor human resource management activities. 4 DOE 3220.4A 1-7-93 (6) Establish procedures for verifying the accuracy of contractor reports. (7) Fully utilize reports data in the review and evaluation of contractor human resource management activities. (8) Refer proposed public surveys, questionnaires, forms, reporting, and recordkeeping requirements to Director of Procurement, Assistance and Program Management when clearance under the Federal Reports Act is required. 8. CLEARANCE UNDER THE PAPERWORK REDUCTION ACT. The information collections contained in this Order have been cleared under the provisions of the Paperwork Reduction Act of 1980, Public Law 96-511, and the procedures of 5 CFR 1320, Controlling Paperwork Burden on the Public. The Office of Management and Budget (OMB) Control No. is 1910-0600. BY ORDER OF THE SECRETARY OF ENERGY: DOLORES L. ROZZI Director of Administration and Management DOE 3220.4A 1-7-93 i TABLE 0[ CONTENTS CHAPTER I - REPORT OF EMPLOYMENT AND LABOR TURNOVER (DOE F 3230.1) 1. General ......... . ....... . a. Purpose ... .......... . . b. Coverage. . .......... . Frequency . .......... . . :: Due Dates . .......... . . e. Review ...,.. .......... . 2. Instructions ...... .......... . . . a. Types of Report ........ . b. Contractor Information . . ..

Employee Categories .... :: Beginning Employment . . e. Separations ......... . f. Accessions . ......... 9. Ending Employment ...... h. Number of Promotions . . Footnotes .......... 3. ~arrative Report . .......... Attachment I - Report lf Employment ~nd Labor Turnover (Part ] ?.3) .. .. ....... ...... ..... CHAPTER II - REPORT OF CONTRACTOR HOURS AND EARNINGS (DOE F 3230.3)—.—— 1. General ....... . .......... .... ........... ...... ..... a. Purpose .. . ........ . ... . .. .... ...... ..... b. Coverage ,. ........ . .,,.. . ....... ...... ..... Frequency .. ........ . .... ........... ...... ..... :: Due Date .. ........ . “!... . ..... ...... ..... e. Definitions ........ . .. .... .... ...... ..... 2. Instructions .. .. .......... .... ..... ..... ............ a. Contractor Facility Code . .. ..... ...... ..... b. Report Period ........ . .. c. Employee C”lassCode .. . .; ; I: ::::. j::;:::::.. d. Number of Employees .. . . . .. .. .... ............ e. Total Hour:: ........ . . ... .. . ..... ............ f. Total Overtime Hours . . .. .. .. .... ............ 9. Straight-Time Pay .... . ,... .. .. .... ............ h. Premium Pa:y Attachment~~~i” . ‘ “’”’. .. .. .... ......””....Qeporl of Contractor Hours and Earnings .. .. .... ............ I-1 I-1 I-1 I-1 I-1 I-1 I-1 I-1 I-1 I-2 I-2 I-2 I-3 I-3 I-3 I-3 I-3 I-5 11-1 II-1 II-1 II-1 II-1 II-1 II-3 II-3 II-3 II-3 II-4 II-4 II-4 II-4 II-4 II-5 ,,” .< ii DOE 3220.4A, , 1-7-93 CHAPTER III - REPORT OF CONTRACTOR EXPENDITURES FOR EMPLOYEE SUPPLEMENTARY COMPENSATION (DOE F 3230.4a AND DOE F 3230.~ 1. General ................ ......... .. . .... . ................ a. Purpose ........ .1........ . . .... . ............... b. Coverage ........ .......... . . .... . ................ c. Frequency ...... . .......... . .... . ................ d. Due ”Date”........ ......... e. Sensitivity of Information .. 2. Instructions ......... . a. Contractor Entries .Paitl b. Contractor Entries Part II Attachment 111-1 - SUDP ~mentar.yCompensation Report (Part:) .. ........................ Attachment 11[-2 - Supplemerltdry Compensation Report (Pal-t”I ... ................ CHAPTER IV - REPORT OF CONTRACTOR EXPENDITURES ‘OR GROUP INSURANCE AND OTHEfl HEALTH BENEFITS PROGRAMS 1. General ............. .. ........ . . .. ................... a. Purpose ....... ., ........ . . .. ... ........ ... b. Frequency ..... ,. ........ . c. Due Date ...... .. ........ . ~ j JI.;::J1;;:III 2. Definitions ......... .. ........ . . .. ........... .... 3. Instructions ........ ,. ....... . .. ....... ..... a. Contractor Entries ........ . j . ~ ................. b. Insurance (INS) Codes ...... . . Attachment IV-1 Report of G~oup ’Insurance’and.Ot~e;. ... Heal’h ~enef~t.s Programs ............ CHAPTER V - REPORT OF COMPENSATION (DOE 1 J230.OLI 1. General ..... ....... .. ...... . .. ................. a. Purpose ....... .. ........ . . ... .... ........... b. Coverage ...... .. ....... . . .... .................. Frequency ..... .. ....... . .... .... ............ :: Due Dates ..... .. ........ . ... .. .......”...... e. Sensitivity of Information . f. .... ................. Privacy Act Applicability ., . 2. ,..,.......... Instructions ........ ,. ........ . .~;l jj~.............. a. Contractor Entries Part I b. individual Compensation ......... Contractor Entr{es Part II Freauency Distribution of Compensation .... Attachment~ l~lnd;vidllal [ompensat;[Jn.Rep;;t.j”: j.. .. Attachment V ? Frequeny 9i’t~ibutiorl Report ... ......

111-1 III-1 III-1 III-1 III-1 III-1 III-1 III-1 III-4 III-5 III-7 IV-1 IV-1 IV-1 IV-1 IV-1 IV-3 Iv-3 IV-4 Iv-7 v-1 v-1 v-1 v-1 v-1 v-1 v-1 v-1 v-1 v-2 v-5 v-7 DOE 3220.4A 1-7-93 iii CHAPTER VI - LABOR RELATIONS REPORTS 1. General ........ .. ........ . -.”” ‘“I.”,.”’’””””-”--”- a. Purpose. . .. ........ . . , .-.”.””” “.”.” ““.””.””-” b. Coverage . .. ......... . ..”””” ““”. “..”””..”.” c. Frequency and Due Dates . . .......... .“”” “.”””””””” 2. Instructions ... .. .......... ., ““.”. ...” ““”””””””.. a. Contractor UoionNegotiati ons ..... ........... ........... b. Notice of Labor Disputes ... ............. ........... Reporting Work Stoppages to Headquarters ...................... :: Report of Work Stoppage onBLS Form-817 ....................... e. Notice of Arbitration anc Nat-onal Labor Relations Board Cases ,.. ..... ......................... Attachment.VI;l. “Fepor on Set,tlement .................. CHAPTER VII - COLLECTIV&_.BARGAINING AMM~ 1. General ...... . ......... . .. ................... a. Purpose ... .......... . ... . .......... ..... b. Coverage. . .......... . .. ............ ..... c. Frequency and Due Dates . ..... .................. ..... 2. Instructions ... ........ ~ .. .....!..”..... ....” CHAPTER VIII ~ CONTRACTORS’ ORGANIZATION CHARTS 1. General ....... . ........ . .... ........................ a. Purpose. . ........ . . . .. .... .... ........... b. Coverage .. ........ . .... .. ., ... ........... c. Frequency and Due Dates ...... .. .. ..... ............ 2. Instructions . . ....... . . ....... .... ......’.... CHAPTER IX - REPORT ON CONTRACTOR SALARY INCREASE FUND 1. General ...... .... . ... ..............”.........’ a. Purpose ......... ..... ...................”.” b. Coverage. . ......... . ..... ........)............ c. Frequency and Due Dates . ...... .......................... 2. Instructions- Report Format ,.., . .... . ........................ a. Group Designation ..... .... . .... .. ..................... b. Number of Eligible Employees .... .. ........... ..... ...... c. Beginning Payroll ..... .. . .... .. ............ ..... d. Percent , ...... .. . . .... . ...........i...... ...... 3. Contractors Covered.by.Report ng Requirements ....................... Attachment IX-1 - Contractors Required to Submit Salary Wage Increase Expenditure Report ... Attachment IX-2 - Contractor Salary-Wage Increase expenditure Report ........... ...... VI-1 VI-1 VI-1 VI-1 VI-1 VI-1 VI-2 VI-3 VI-3 VI-3 VI-5 VII-1 VII-1 VII-1 VII-1 VII-1 VIII-1 VIII-1 VIII-1 VIII-1 VIII-1 IX-1 IX-1 IX-1 Ix-1 Ix-1 Ix-1 Ix-1 IX-2 Ix-2 IX-2 Ix-3 Ix-5 iv DOE 3220.4A 1-7-93 CHAPTER X - CODE TABLES 1. Facility Code -Table 5501 .......... ..... ..................... x-1 Figure X-1 - Facility Code x-1 2. Type of Work Code -Table 5505 ..... .:;:: :::::::::::::::::: x-4 Figure X-2- Type of Work Cc,de .......................... x-4 3. Employee Class Code Table 5506 .. x-5 Figure X-3 - Employee Class Code’ j,:: ::::::;:::::::: x-5 4. Employee Category Code Table 5509 . x-5 Figure X-4 Employee Category ’~ode J:”:: ::::::;:::: x-5 5. Revision of Code Tables ....... . . . .. .. .... ........ x-5 DOE 3220.4A 1-7-93 I-1 CHAPTER I REPORT OF EMPLOYMENT AND LABOR TURNOVER (DOE F 3230.1) 1. GENERAL. a. b. c. d. e. Purpose. This report accounts for the contractor work force both in terms of occupational categories and employee groups. It is used by Departmental Elements to analyze work force composition and fluctuation and provides a tool for evaluating contractors’ performance in human resource management. Only permanent employment is reported.

Coverage. Management and operating contractors and other designated contractors performing long-term contracts at Department-owned or controlled sites are covered by this report. Frequency. Reports are semiannual. Due Dates. Contractors shall submit reports to the appropriate Departmental Element by 4-15 and 10-15 for the 6-month period ending 3-31 and 9-30, respectively. Receiving organizations shall provide the reports to the Director of Contractor Human Resource Management by 5-1 and 11-1, respectively. Review. Heads of Departmental Elements shall review reports submitted by their contractors for accuracy and significant changes in statistical data. The number of permanent employees on the 9-30 report shall agree with the number reported on DOE F 3230.5, "Annual Report of Contractor Employment by Work Type.” 2. INSTRUCTIONS. a. Types of Report. Separate reports will be prepared for male and female employees in the work force. An “X” will be entered in the box at the upper left corner of each part of the report identifying the category being reported. b. Contractor Information. At the top of the form, enter appropriate information for each contractor site, including: (1) DOE facility code (see page X-1, Figure X-1); (2) Name of contractor; (3) Additional information; (4) City or place; I-2 DOE 3220.4A 1-7-93 (5) State abbreviation; and (6) Symbol of Departmental Element. c. Employee Categories. See the descriptions of job categories in Employer Information Report EEO-1 (Standard Form 100, Revised 12-76). Entries are not to be made for a specific occupation within an employee category if the report is negative (i.e., do not enter zeroes). d. Beginning Employment. Enter the total number of permanent employees as of the last workday of the previous report; include permanent part-time employees in positions which require work on a prearranged schedule of hours or days less than that prescribed for full-time seasonal employment, the Federal Summer Employment Program for Youth, cooperative programs, or research assignments; consultants; and employees who are employed on an irregular or occasional basis, such as those whose work is not based on a prearranged schedule and who are compensated for the time actually worked or for services actually rendered. e. Separations. (1) Total (Items 22-26). Enter the sum of quits, layoffs, and all other separations during the entire reporting period (10-1 through 3-31 or 4-1 through 9-30). Exclude terminations of temporary particular job category. (2) Quits (Items 27-30). A quit initiated by the employee for to transfer to another establi employees and promotions out of a is a termination of employment any reason except to retire, shment of the same firm, or for service in the Armed Forces. Include a person who fails to report after being hired (if previously counted as an accession) . (3) Layoffs (Items 31-34). A layoff is a suspension from pay status initiated by the employer without prejudice to the employee, stemming from such reasons as lack of orders, equipment changeover, inventory taking, shortage of materials, or reduction of operations. Include transitorily furloughed employees and employees placed on unpaid vacat ions. (4) All Other (Items 39-42) includes terminations of employment because of discharge, permanent disability, death, retirement, or transfer to another establishment of the firm. DOE 3220.4A I-3 1-7-93

f. Accessions. Enter the total number of permanent employees (both full-time and part-time) added to the employment roll during the entire reporting period (10-1 through 3-31 or 4-1 through 9-30), including employees who are new, rehired, or transferred from another establishment of the firm, and temporary employees reclassified as permanent. Exclude temporary employees and promotions into a particular job category. g. Ending Employment. Total (Items 52-57). Enter the total number of permanent employees, both full-time and part-time, as of the last workday of the reporting period. Exclude temporary employees. (Note: All total lines (100-500 and 900) must balance across. Due to intercategory promotions, reclassification, down- grading, and demotions, subcategory lines (e.g.. 102-122) will not necessarily balance across.) h. Number of Promotions. A promotion is a change to or a change in a position which offers more opportunity for further advancement (with or without an increase in compensation) or a movement to a position in which duties and responsibilities are increased. Report promotions in the appropriate job category: (1) Intracategory Promotions (Items 69-71). Enter the total number of employees promoted within a job category (e.g., from clerk to stenogapher). (2) Intercategory Promotions (Items 72-74). Enter the total number of employees promoted to a different job category, such as a professional promoted to manager, or a technician promoted to professional. i. Footnotes may be used to indicate changes in job categories such as reclassification or demotion. If there have been a large number of job changes which are not promotions, it is not necessary to identify each change, but note on the report that “x” number of employees were reclassified or demoted, When an employee is reidentified from one ethnic group to another, correct the beginning and ending employment figures for the total line as well as within the job category, and indicate the change in a footnote. 3. NARRATIVE REPORT. Include the following information in a separate attachment to DOE F 3230.1. Internal reports already generated by the contractor are acceptable substitutes if they contain the information requested below: a. Analyses of statistical data reported on DOE F 3230.1 as related to goals and timetables reported in contractors’ Affirmative Action Plans (AAP’ s), to include the following: I-4 (1) (2) (3) DOE 3220.4A 1-7-93 Status of Affirmative Action Plan goals for permanent employees, both minorities and women, denoting goals, opportunities, and accomplishments, and the percentage of goals accomplished. Status of Affirmative Action Plan summer and/or temporary employment programs and career development and training programs as listed in the contractors’ Affirmative Action Plans, denoting separately total participation and the participation of minorities and women. Statement of significant problems which are hindering goal accomplishment(s) and the planned course(s) alleviate the problem. b. Clear and concise statements of significant devel contractors’ equal opportunity program, such as: (1) (2) (3) (4) (5) (6) (7) of action to opments in the Initiation of training or other programs designed to achieve equal opportunity objectives, indicating the participation of minorities and women. Entry of minorities or women in job classifications in which they have had little or no representation.

Entry of minorities or women into organizational units in which they have had little or no representation. Hiring or promotions of minorities and women to professional and/or management positions. Personnel policy changes which affect the status of minorities and/or women. Breakthroughs in collective bargaining agreements, such as seniority provisions which affect minorities and/or women. Revisions to insurance, retirement, nonoccupational health benefits programs, and maternity leave policies to assure nondiscrimination, 0.2. OEPARIWSNT 0? CMSROY WE Am RE?ORTOF EMPLOYMENTAMDLAMIRTURWVER Fartl No. 191- I I I VOTM 1.s 11-IC I\ .- J 100 BLACK-TOTAL 792 102 Owuds md Manamm 104 Prokssmf@s 26 106 TffhfNC~nS 49 10s OnKe ●nd Ckfud 4 110 Crdwmm m-) ?56 [ 112 OpWawes (SenlMklood) 167 114 Labofws (Un9hd&d) 116 Sewue Wotken 98 1la OJT WMe * , 120 OJT 91- CdW 1; 122 AooCCmC8s 15 1 J 200 1 MOSPANIC- TOTAL 528 202 1 Ofhelasand Mu4er9 33 204 Pdewbonah 25 L r Xici Technumn, 25 20s onKeandclait81 210 Crdmwn (Sm@d) 1;; 2i2 0per8iwn (soClli@@&d) 171 2i4 laorem (UMMH) 2i6 Sewlte Mm 5: 21s OJT Wwle CaUar 17.— - 220 OJT Ww Cdk -—. . —— 222 b w- 3; * fOOINOTES: NAME OF CONTRWIW AooTTmfwl. INFORMATION [ S.yskems Dlvlsion 13051 CnYou?lxx STATE Germantown I m 52-70 ~m-m TOTAL Quits w o% ?2.28 27-30 31-34 m42 11 3 fl 5 2 3. 2 ? 4 1 3 2 2 2 1 1 2 1 1 8 1 7 1 1 71.72 00s FIELD 0RGAM12ATtOU ,vRMor- I.!!!LJ 73-?4 -.. I.!u!ml 75s0 -..— ~u 0.?1 ?-34 3 t 1 1 — 4 d6 7 2 1 A 1 1 1 I OOC-F-3?J0.I (s-s1) REPORTOF m MC9LITV Mt.mDEn - Muhontywdithabtm - -- I I ITOTMI Q n t .3 I 11-16 XxJ AM. tNOtAN OR ALASUAN NATIvE-TOTAL 112 302 I 6-AC* Md Ms~ 1 K 312 Opsrtilves (Suni.ehilkd) 7 314 bbOmrs (un9Wed) h 316 !lefme Wnhen 19 310 OJT WMC CdW 3’ 320 OJT BIus Collu 322 ApprultlCe8 7’ \ n 400 ] ASIAN OR PACIFIC MLANoER-TOTAL 149 402 I ofliU@s8nd MUUg8?8 4(M PrOfemmnsts 88 406 i Tschmcimn 38.- 406 mteeandc)sried 8 410 Cmftsrnml (S&iasd) 4 412 Opuslnfes (SOln&shiaed) 2. 414 Lallomrs (Unshlmed) 1 9\ r 416 SmVUe Wmkefs 3 418 OJT White Cdlsr 420 OJT BtW@(MW 422 ~- 2. FtX)TNOTE& U.8. oEPAnTMEMT or ENEROV EMPLOYMENT ANO LA~ I -Mnm I n m 20TM 4347 Ii 2 2 2 27 9 10 2 1 3 * Part2 TmM S2.sv 4 9 30 2: 11 17 7 173 96 47 7 6 4 5 * 2 . Vamflm fiiIiiJji I0--l OOEFACILITV N~ER 1] 1 93 All OTHER EMPLOYEES-TOTAL [ Olklali ●nd M8na@us — 502} 4+TOTAL 8116 10822 1706. 1%-U! P,” f.ss?nnd* I 57n4! 1=i Omce ●ld CWDC* 1 74 + 510 Craftsnlefl (Shllkd) 783 512 olM811V@s(saW.sAad) 147 514 Ltbof*- (Unshdld) 58 S16 S&vlcr w49f3 180 ~ <Iii OJTWTWhCOWuL 11 526- 1 OJT BIW CdlaI 1 1 522 Awmtxa _l__ 2?=.—.—..— —...——. ~. OJI WMIIL CXXLAR . 1 Jb J m OIT IILUEC03LAb3 13 .. -...._—.. MO ~Kf4TKES I 122 m CMPLOYME141 404. fOOTMOTCS EMMOTNENTOAT~ m-~- 10TAL W,s A%low 22 ?6 ??.30 31 34 , 1’)47 255 119 136 ja b 28 i2G i 67 53 52 1 30 I 22 4 1] 3 27 I 2 25 4 3 1 3 3 11 1 101 1 P ~m TOIAL 4141 365 4 E 228 73 4 19 5 25 4 , I m- rolM s? s? 10932 718 5425 2483 70 769 14 58 185 21 TR MO OAT m E = m. mlfl <arc cm -, C,W7 w—? ;?% 33133 6 40 :- -1! k 5 Ii— 2 .-. R- Of EMMOYMENT AND MU TURNWER Part 1 #1428sonthhmlsfnc 1 TOVAL I -J 100 11-16 BMCK-TOTAL 102 Ouuds and Muuger, 299 104 Pfdessrmeb 106 Technrcmw :: la Ofhcesrldclerrcd 155 110 Crdhrnen (SMed) 8 112 Op2ratwes (SerrMMd) 114 18 LatrOrers(Urlsmed) 116 7ServueWadlers 20 11s OJT WhtaCdhr 120 OJT Ike (Mbr 122 ~ues 1 m MISPANIC-TOTAL

202 1 269O@rcrdsOnd~ X)4 6 Prdessuurah m Technrc:ane ;! m Owue ●nd C$errcal 210 1 Crdhmen (S&wed) 178 t 212 Operatweg (Semi-m 6214 Mmfers (Un2&Wed) 216 Servrce Hem 210 9 OJT Whrte Coller 220 OJT IMM WW 34 . 222 -m FOOTNOTES: 5 $ I -m-m I ( mtM Qutls % Ol%$n 22-2e 27.20 31-24 294? 13 10 3 1 : 1 1 9 8 1 1 12 8 4 ; 1 4 1 1 3 3 -J TOTAL 4341 40 6 2 1 2 5 37 , 1 5 1 I 5 24 73-74 TVTM $2-S? 326 3; 161 11 22 4 18 1 294 1: 194 1 6 12 5 ● 75-DO . = m.. W= *7 I n.?4 29 35 1’ 70 1’ a’ 1 9’ 1 1: , 21 25, 1 1: ( 5 < 1, * 1 # .. DOE 3220.4A 1-7-93 Attachment I-1 P age I-9 EXAMPLES REPORT OF EMPLOYMENT AND LABOR TURNOVER I ‘1 — . — — -— ---,w- Ooe-e-salo.l US. OSPAWMSNT W EMSROV *-$1} REFOM W Employment AND lADOQ TURN(WER mt 3 NluQenthhp@geish2c - FMILITV NUMDER !7 MALE ~ VRMOOAY ~ FEMALE ~~~:-j 11 b*Odyone M0ch8bwe 4.10 EM?WVMENT DATA ● ● m - ~ m- 1 ~mm-m R m. = ITOTAL TOTAL ~ w; 0%+ TOTAL ro’tw 1.3 11-16 22-2e 2?-m 31-s4 I 2942 434 ? 62-s7 Soo ML OTHER EMPLOVEES-TOTAL $q ??.?4 1586 . 61 31 30 , 163 168 502 C)mc*imd Manssem 54 1 1 1 5! S@ Pdesslonek 269 3 3 23 296, 1 m Techmaans 393 J 420 ,6; 1; w mica●ldCwIcal 783 36 1; 1: ;; . 817 79 13 510 Creftsmen (Skdted) 8 8 1 512 Opetmwes (Sani-ellined) 14 1 1 12, 514 Lsboren (Lhh18ed) I 516 SerwceWntws 18 . 2 2 4i 17 518 OJT WMe CoSer , 37 2 2 33 , 5s 6 520 OJT We (Mar 1 1 522 (*enticee 7 1 1 6 I TOTAL MTA , , 600 OJTWWTE COLIAR 1 77 5 1 5 I m In 11 7 ?00 OJT BLUE C(XW 3 1 1 5. 5, Soo APPRENTICES 15 2 1 I 1 13 so EMPLmNT 77CM 8 ml m w A mOmOTEs: w aREdnoc .. II-1DOE 3220.4A 1-7-93 CHAPTER II REPORT OF CONTRACTOR HOURS AND EARNINGS (DOE F 3230.3) 1. GENERAL. a. Purpose. This report provides information necessary for analyzing overall DOE wage and salary trends, for making salary comparisons with industries, and for determining the reasonableness of contractor salary increase funds. The data collected and the methods of computation followed are similar to those used by the Bureau of Labor Statistic (BLS) in preparing its monthly “Employment and Earnings” report, which reflects average hours, earnings, and turnover of “Production and Related Workers” in a number of industrial categories. However, the DOE report extends beyond the BLS coverage to include similar data for “Nonexempt Office, Clerical, and Related employees,” “Technicians,” and “Exempt Employees,” and further breaks down exempt employees into (1) scientists and engineers, (2) scientists and engineers who are supervisors, and (3) all other professional employees. Hours and earnings for temporary employees are excluded. b. Coverage. Management and operating contractors, and other designated contractors performing long-term contracts at Department-owned or -controlled sites, are covered by this report. c. Frequency. Reports are semiannual. d. Due Date. Contractors shall submit reports to appropriate Departmental Elements by 4-10 and 10-10 for the full periods ending 3-31 and 9-30, respectively. Receiving organization shall provide the reports to the Director Contractor Human Resource Management by 4-20 and 10-20, respectively. e. Definitions. (1) 6-month of Nonexempt employees (covered by the overtime provisions of the Fair Labor Standards Act (29 CFR 541)) include:

(a) Production and Related Workers, which comprise all employees whether wage or salaried, full- or part- time, performing duties associated with operating activities which are manual in character. This group contains working foremen and all nonsupervisory workers (including lead persons and trainees as well as skilled tradespeople) engaged in fabricating, processing, assembling, inspecting, receiving, storage, handlinq, packing. warehousing, hauling, maintenance, repair, janitorial, or guard services, and persons invol ved in auxiliary production for a II-2 DOE 3220.4A 1-7-93 (2) (b) (c) plant’s own use (e.g., laborers). Excluded are construction employees on the payroll engaged in construction of major additions or alterations to the plant who are utilized as a separate work force. Office, Clerical, and Related Employees, which incl all employees performing work, regardless of level difficulty, where the activities are predominantly nonmanual but may require some manual work not ude of directly involved with altering or transporting the product. The following are typical positions in this category: clerk, stenographer, typist, secretary, bookkeeper, cashier, messenger, licensed practical or vocational nurse, photographer, shipping or receiving clerk, telegraph or telephone operator, and computer operator. Technicians, which includes all nonexempt employees, manual or nonmanual (salaried or hourly), engaged in work of a technical nature requiring a basic scien- tific knowledge and manual skill which can be obtained through 2 years of post-high-school education, such as is offered in many technical institutes and junior colleges, or through equivalent on-the-job training. Typical jobs include: draftsman, engineering aide, mathematical aide, radio operator, scientific assis- tant, technical illustrator, and other technicians (medical, dental, electronic, physical sciences). Exempt Employees are workers not covered by the overtime provisions of the Fair Labor Standards Act as they are “employed in a bona fide executive, administrative, or professional capacity” and are divided into three categories: (a) Scientists and Engineers (excluding scientists and engineers who are supervisors). 1 Scientist designates an employee actually engaged in scientific work at a level which requires knowledge of mathematical, physical, or life sciences equivalent, at a minimum, to that acquired through completion of a 4-year college course with a major in one of these fields, regardless of whether he or she holds a college degree in the field. Include in this category employlees who are involved in research and development production, technical service, technical writing, and other positions which require them to use the indicated level of knowledge in their wcrk. Do not include DOE 3220.4A 1-7-93 II-3 2. employees trained in science but currently employed in positions not requiring the use of such training. Exclude psychologists and social scientists 2 Engineer designates an employee actually engaged in chemical, civil, electrical, mechanical, metallurgical , or any other type of engineering requiring a level of knowledge equivalent at least to that acquired through completion of a 4-year college course with a major in one of these fields, regardless of whether he or she holds a college degree. Include those employees in research and development, production, technical service, technical writing, and other positions which require them to use the indicated level of knowledge in their work. Do not include employees trained in engineering, but currently employed in positions not requiring the use of such training. Include architectural engineers; exclude architects.

(b) Scientists and Engineers Who Are Supervisors are defined as employees who spend the majority of their time in employee supervision and for whom a scientific or engineering background, consistent with the definitions of scientists or engineers, is normally required. (c) All Other Executive, Administrative, and Professional Employees (excluding scientists and engineers who are supervisors) include all employees of the exempt work force segment whose work is characterized by administrative, managerial (nonscientific), and nonscientific professional skills. INSTRUCTIONS. a. Contractor Facility Code. Enter the code from Table 5501 (Figure X-1, page X-1) that identifies the facility and contractor. b. Report Period. Enter the ending date (YYMM) of the 6-month reporting period, either YY03 or YY09. c. Employee Class Code. Enter a code from Table 5506 (Figure X-3, page X-5) that indicates the employee class for each line of data entered on the form. II-4 DOE 3220.4A 1-7-93 d. Number of Employees. Enter the total number of employees on the payroll who received pay for any part of the reporting period. Exclude temporary employees. e. Total Hours. Enter the total hours worked (in whole hours and including overtime hours) during the reporting period, including hours paid for standby or reporting time, and the equivalent hours for which employees received pay for sick leave, holiday, and vacation taken (including hours for pay in lieu of vacation taken) . Do not convert overtime or other premium-paid hours to straight-time equivalent hours. Exclude temporary employee hours. f. Total Overtime Hours. Enter the total number of whole hours for which overtime rates were paid because the hours were in excess of the straight time workday or workweek. Include Saturday and Sunday hours (or 6th- and 7th-day hours) only if overtime rates were paid. Include holiday hours actually worked and paid at an overtime rate. Exclude hours for which only shift differential or similar types of premiums were paid. Exclude temporary employee hours. g. Straight-Time Pay. The whole-dollar amount should represent the hours entered in the Total Hours field. Exclude temporary employee pay. h. Premium Pay. Enter the total whole dollar amount of premium pay reimbursed during the reporting period for both exempt and nonexempt employees. Premium pay includes the premium portion of overtime pay, shift differential, remote location pay/travel pay, or any other special bonuses or allowances. I ! I I I I OMB AWN No. 1910-0600 mE-F-l?JO.3 (C-411 U.S. DEPARTMENT OF ENERGY REPORT OF CONTRACTOR HOURS AND EARNINGS 9FIELD 7YF)CE REPC+?TIWG PFRKX)IMCNTH YEAFq Headquarters September 1978 COt4TllACT~ LOCATIOW HRCI(hnpany Germantown, MD / (/ ~ ww.rm 5 52 [ CARD WMWP 1 1-3 4 CxxmAC1m REEWT ~R of TOTU FAc Km Cax EMPLOYEES ms TOT&L OVIRTIU[ sTFtAmnl TM PAY HWRS IWEMRN PAY KsLmEcnv I 1 1 k 1 1 k L L 1 1 1 t1- , !-! +-+: ,, ; ,2 ! i I . !3 - ‘j- S 6 7 m * !0 II !2 11 14 !5 10 1? !8 1* m 21 22 23 ?* 25 26 77 20 29 YJ 1! 3? 33 * i 1 l-o 10 WTi r+ - u u in DOE 3220.4A 1-7-93 CHAPTER III III-1 REPORT OF CONTRACTOR EXPENDITURES FOR EMPLOYEE SUPPLEMENTARY COMPENSATION (DOE F 3230.4a AND DOE F 3230.4b) 1. GENERAL. a. Purpose. This report is used to assist Program Secretarial Officers and Managers of DOE Field Offices in reviewing the reasonableness of employee compensation for wages and salaries and for legally required and private programs which provide for employees’ health and welfare. The report is in two parts: Part I is entirely a numerical report; Part II is a questionnaire on supplementary benefits.

b. Coverage. Management and operating contractors and other designated contractors performing long-term contracts at Department-owned or -controlled sites are covered by this report. c. Frequency. Annual. d. Due Date. Contractors shall submit the report to appropriate Departmental Elements by 3-1 covering expenditures for the previous calendar year. Receiving organizations shall provide the report to the Director of Contractor Human Resource Management by 3-15. e. Sensitivity_of_Information. The sensitive nature of the data requested is recognized by DOE and will be treated as proprietary information. 2. INSTRUCTIONS. Contractor Entries - Part I.a. (1) Contractor Facility Code. Enter the code from Table 5501 (Figure X-1, page X-1) that identifies the facility and contractor. (2) Report Period. Enter ending calendar date (YYMM) of the 12-month reporting period (e.g., YY12). (3) Employee Category Code. Enter one of the codes from Table 5509 (Figure X-4, page X-5). A separate form is used for each category. (4) Number_of_ Employees. Enter the total number of employees on the payroll during the calendar year. These include full- and part-time permanent, and full- and part-time temporary employees whose pay and benefits are included in the report. III-2 DOE 3220.4A 1-7-93 (5) (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) Gross Pay. Enter the total wages, salaries, and other payments made during the reporting period, before any deductions. The amount will include total base pay, overtime pay, shift differential, severance pay, nonproduction bonuses, and any other miscellaneous payment to employees. If gross pay exceeds the sum of these line items, an explanation should be provided in the last block of Part II (Attachment III-2 page III-7). Special Deferred Compensation. Enter total employer contribution to nonqualified, deferred compensation arrangements, such as deferred annuities or deferred lump sum payments, and so forth, given to certain employees. Do not include any portion of an employee’s base pay which he or she designates for tax sheltering. Total Base_Payroll. Enter the whole-dollar total amount of straight-time pay (excluding all overtime pay) expended during the reporting period. This sum is derived from the base pay amount, be it hourly, monthly, yearly, or otherwise. Total Base Payroll should include all paid leave at straight-time rates, and any amounts designated by employees for tax shelters, such as 401(k) or voluntary State tax shelter programs. Straight-Time Portion.Overtime Pay -_____ Enter straight-time portion of the overtime amount (total payment minus premium pay). Overtime Pay - Premium Portion. Enter the total premium portion of overtime amount. _ Shift Differential. Enter the total payments above the regular day shift rates. If 8 hours’ pay is given for 7 1/2 hours of work, report the total of the half-hour payments. Vacation_pay. Enter the total of vacation payments for vacation time actually taken, not worked. Holiday Pay. Enter the total of holiday payments for holiday time actually taken, not worked. Sick Leave Pay. Enter the total of sick leave payments. Other Paid-Leave Pay. Enter the total amount of payment for civic (military, jury, witness, voting), compensatory, and personal leave. Nonproduction Bonuses. Enter the total amount paid for nonproduction bonuses, including lump sum payments under profit-sharing plans, and other irregular or seasonal DOE 3220.4A 1-7-93

III-3 (16) (17) (18) (19) (20) (21) (22) (23) (24) (25) (26) bonuses (such as attendance, Christmas, or year end bonuses). Proceeds of profit-sharing plans that are paid into retirement plans should be reported in the Retirement field; those paid into savings and thrift plans should be reported in the Savings Plan field. Severance Pay. Enter the total of all payments made by the establishment to employees because of temporary or permanent severance of employment. Exclude payments to funds and payments to pensioners made under the provisions of pay-as-you-go pension plans. Social Security - Amount. Enter the total amount paid to Social Security and similar legally required retirement income and protection programs. Unemployment - Federal. Enter the total amount paid to Federal unemployment compensation funds. Unemployment - State. Enter the total amount paid to State unemployment compensation funds. Occupational Injury and Illness. Enter the total payments made under the provisions of Workers’ Compensation and related State and Federal laws. Other Legally Required Insurance Programs. Enter the total amount paid to other legally required insurance programs, including State temporary disability insurance programs. Group Insurance. Enter the total net amount paid (“net amount paid” means payments after deduction of refunds, rebates, and dividends or any other credits) to private welfare plans or funds that cover life, accidental death and dismemberment, sickness and accident, or wage and salary continuance insurance; death benefits; and hospitalization, surgical, medical, denta, optical, and drug plans. Retirement. Enter the total employer contribution to defined-benefit plans and defined-contribution plans. Vacation/Holiday Funds. Enter the total net amount paid to private welfare vacation and holiday funds. Severance Pay Plan. Enter the total net amount paid to private welfare severance or dismissal pay and/or supplemental unemployment benefit funds. Savings Plan. Enter the total net amount paid to other private savings and thrift plans. III-4 (27) (28) (29) (30) (31) (32) (33) DOE 3220.4A 1-7-93 Other Welfare Plans. Enter the total net amount paid to other private welfare plans. Total Straight Hours. Enter the total number of hours worked as part of the normal workday that were paid at a straight-time or basic rate of pay. Exclude overtime hours and hours paid for but not worked. Total Premium Hours. Enter the total number of hours for work beyond the normal workday or workweek for which straight time or premium payments were made. Vacation Hours. Enter the total number of hours of paid vacation. Include hours for which payment was made instead of vacation time taken. Holiday Hours. Enter the total number of hours of paid holidays. Include hours for which payment was made instead of leave time taken. Sick Leave Hours. Enter the total number of equivalent hours of paid sick leave. Use the number of hours that represents the amount paid divided by the straight-time rate. Other Paid Leave Hours. Enter the total number of hours paid leave for civic (military, jury, witness, voting) and personal leave. b. Contractor Entries - Part II. The information on this form concerns establishment practices and policies and covers the same number of employees and time frame as Part I. The form is self-explanatory. DOE 3220.4A 1-7-93 Attachment III-1 ‘ Page III-5 (and III-6) DOE-F-3230,48 (4-64)

SUPPLEMENTARY COMPENSATIONREPORT (PART 1) oMscoNlwLNo. 1910-oaoO ExPlREs:3/30/66 U.S.DEPARTMENT OFENEROY REPORT OFCONTRACTOR EXPENDITURES FOR EMPLOYEE SUPPLEMENTARY COMPENSATION PART 1 FIELD OFFICE REPORTING PERIOD (MONTH,YEARI Headquarters CONTRACTOR 1978 LOCATION SIGNATUREOF PERSONMAKI INPuT 10 1 CARDNUM8ER 4 \ EMPLOYEE CATEGORY CONTRACTOR FACILITY CODE 5 B- ,C 1 ~ EXEMPT REPORT PERIOD (YYMM) 12 7 8 112 EMPLOYEE CATEGORY CODE 16 1 NON-EXEMPT 2 D 8ARGAININGUNIT NO. OF EMPLOYEES 17 1 4 3 1 GROSS PAY 24 2 2 1 6 0 6 7 6 NON-EXEMPT ,SPECIAL DEFERRED COMPENSATION 3 n IU:.J+EARGAINING33 6 3 8 4 1. TOTALBASEPAYROLL 42 1 8 8 2 5 4 7 5 OVERTIME PAY-STRAIGHT TIME PORTION 51 3 1 5 4 6 2 OVERTIME PAY-PREMIUM PORTION 58 2 4 1 9 3 3 SHIIVDIFFERENTIAI. 65 1 8 8 1 3 9 HQuSEONLY 76 INPUT ID II 15 5 3 I CARD NUMBER 1412 I 1 I VACATION PAY 116 I HOLIDAYPAY ] 24 lSIcK LEAVEPAy 131 loTHERPAIOLEAVE PAY 138 lNON-pROWcTION eoNusEs I 45 SEVERANCE PAY 51 SOCIAL SECURITY-AMOUNT [58 I UNEMPLOYMENT-FEOERAL 165 [uNEMPLoYMENT-sTATE ]71 I HQUSEONLY I 77 7 ; 6 1 9 3 1 + 6 6 8 7 5 2 8 3 7 6 1 1 4 3 7 3 5 3 3 8 4 2 38 7 8 2 1 1 9411 717t t 1 4 4 i 4 9 1 0 6 2 9 1 INPuT [D 1 553 1 I CARD NUMBER 4 OCCUPATIONAL lNJURY&lLLNESS 16 OTHER LEGALLY REQUIRED INSURANCE PROGRAMS 23 lGROUp INWRANCE 128 I RETIREMENT I 3? I vACATION’HOLIDAY FUNDS INPuT ID 1 CARONUMBER 4 TOTAL STRAIGHT HOURS 16 I TOTALPREMIUM HOURS 124 VACATION HOURS ] 30 HOLIOAY HOURS I 37 SICK LEAVE HOURS 43 OTHERPAIDLEAVE HOURS 49 HaUSEONLY 77 31 2 918 9 8 817j 4 9 5 1 9 2 0,j_ ,3 1 91 9 4 7 9 2, 7 2 0 2 6 1 4 4 9 5, I DOE 3220.4A 1-7-93 u“ .,. Attachment III-2 Page III-7 (and III-8) OOE.F.3230 *D (12.831 SUPPLEMENTARY COMPENSATION REPORT (PART II) U.S.DEPARTMENT OF ENERGY REPORT OFCONTRAcTC)R EXPENDITURES FOR EMPLOYEE SUPPLEMENTARY COMPENSATION PART 1’ r FIELO OFFICE HeadQuarters ‘E’mf$fE’OD ‘MONTH ‘EAR’ ?iAcTOll LOCATION Germs ton MO +T.. -lf+PuT10 ,- ●A lo vAc AT IORS - Rooor~ the n.mtie, of emcmvad ,. tll,, c.(~o,y +0 ,We,v.,j “.c#,, o. ~,v cj”,,n~ the rC00,t,13~ ~.,,o,j fJ,, ec,, ” t,m me emm,mmcm axoremg to me amo.. r of wv mce,.cdo. d not me l,me t.ke. If .a~q,on C.*V -.% ..x , d$,ea rnu(t,me of _Nty .r eo. r$v r~les reoo,l fhe ..mb of weeks rouw#lenl ro The Davm?. t Fo, e.*wIo Ir f ,he ,mc,. o, vvw comp.,ed a% , Lwrccn, aqt 0< ann.a’ awn, np CKJO,l PJvme.11 of 8B0. ! 2 !xrcent .S 1 !vUk.’ VS. !,or O.Y ●txx . 4 i3&c*f.L M 2 week, vmxr, on -V etc NUMBER OF EMPL ‘YEES ~ ::M,L::,::TEGORYW”’53 ~ ~ 2 C NON EXt MPT BAR GA IN INGUNI” 1 : NON EkEMPT NONBARGAINING dNIT PAID uOLIOAYS - o.nng rworf,.g Dcr, od ●nter nummr of by% w mwov.e It ,nw. th,. on. pracr,c. .xmtea fo, . . ~ployw wwp ,cPOn **1 ~hlcfi MOl@d 10 tie Fmt*ll .ummr I. lhe grw P —. I NuM6EPI OF HO LIDAVS PER EMPLOYEE ~, “.L 3A”~ ~IiAL~OA.5 SICR LEAvC- D,d lhe ●st.bl,sh me., Day ,,ck ,.sve for any .mOI<y. e, . w , a,-,, , 1 EYES _-~!) Clvlc AND unSONAL iXAVE - D!o mcerlabt, $hme”, D,, :,,,, ,.#., m :,., *m. I. tfw fam Ilvl for 8.” wmolo”ui t. this cmqory, I Irb W81. MC .ot,. a *IC 0, persona, (ewe k.ch ●s for Evks ..?. ‘“’’”’O*’nQtNSUa ANc# — L,fe A.c,d@nt ..L? He. $f. %.% and Unto. Admc., slerec He. 1!! C.. OS 1 Dad !., mtnot,nment 10..nca . . . c LIFE INSURANCE SICKNEXANO ACCIOENT HOSPITAL12ATIONOR MEDl;fi. I LIFE INSURANCE ~ YES ~ N ! HOSP!TA. IZATION OH MEOI( A. EYES .+s SICKNESS ANDACCIOENT ~ ‘YES z f+ J Per paragraph 2a(5) Gross Pay also includes mokfnq expense and remote location pay I

1 IV-1DOE 3220.4A 1-7-93 CHAPTER IV REPORT OF CONTRACTOR EXPENDITURES FOR GROUP INSURANCE AND OTHER HEALTH BENEFITS PROGRAMS 1. GENERAL. a. Purpose. This report accounts for expenditures for contractor group insurance and other health benefits programs. It is used by Departmental Elements to assess the magnitude and reasonableness of such expenditures and provides for close scrutiny of costs. These costs will be documented for both active and inactive members of the contractor's work force. b. Frequency. Annual (CY). c. Due Date. Contractors shall submit the report to appropriate Departmental Elements by 3-1 covering expenditures for the previous calendar year. Receiving organization shall provide the report to the Director of Contractor Human Resource Management by 3-15. 2. DEFINITIONS. a. b. c. d. e. f. Current Employees. Contractor employees who are currently categorized as exempt, nonexempt bargaining unit or nonexempt nonbargaining unit members of the work force, and are covered by the employer’s benefit plans. Report employees who were actually covered during the report period and not just eligible. Retiree. Former contractor employees who are eligible to receive benefits from the employer's post-employment medical and death benefit plans. Death Benefits I. Plan of benefits for current employees a payment to a beneficiary on the death of the employee insured person. Death Benefits II. Plan of benefits for retirees allowi payment to a beneficiary on the death of the retiree or insured person. allowing or other ng a other Medical Benefits. Applies to medical plans for retirees and dependents which reimburses medical costs up to stipulated limits and generally other than those costs approved for Medicare payment. Basic Medical Benefits. Applies to medical benefits for current employees and their dependents which reimburses hospital and doctor charges up to stipulated limits. Additional coverage can be provided by major medical insurance. DOE 3220.4A 1-7-93 IV-2 g. h. i. j. k. l. m. n. o. Major Medical Benefits. Protects against catastrophic or large surgical, hospital, or other medical expenses and services. Benefits are paid once a specified deduction is met and are then usually subject to co-insurance. Generally written in conjunction with a basic medical plan. Comprehensive Medical Benefits. Similar to a major medical benefit but not offered in conjunction with a basic medical plan. Health Maintenance Organization (HMO). An organized system for the delivery of comprehensive health maintenance and treatment service to voluntarily enrolled members for a prenegotiated fixed period payment. Preferred Provider Orgianization (PPO). Preferred Provider Organization is an arrangement whereby a third party payor contracts with a group of medical care providers who furnish services at lower than usual fees in return for prompt payment and a certain volume of patients. Flexible Benefits Programs. Generally provides employees with core benefits and some choice of types and amount of optional benefits, applying a prespecified amount of employer contribution toward their total cost. Internal Revenue Code 125 plans, in which employees may choose among two or more benefits consisting of cash and qualified benefits, are included.

Long Term Disability Plan. A p an providing benefits, possibly throughout an employee’s lifetime, generally defining a monthly benefit as a percent of past earnings and minus other employer paid benefits such as worker’s compensation benefits. Definition of disability varies among plans and usually the disability benefit would cease subsequent to the employee becoming eligible for a pension benefit. Short Term Disability Plan. A plan providing income replacement benefits for employees who are unable to perform the duties of their current position because of illness or a disabling condi- tion. Generally, benefits are paid for less than one year (e.g., 1-26 weeks); are a percentage of salary (e.g., 50-66.6% of gross salary); are payable after a minimum waiting period of five (5) working days for illness or one day for an accident; and coordinate with sick leave benefits. Dental Benefits. Generally a plan providing scheduled allowances for various dental treatments and procedures. Other. Other possible group funded programs. DOE 3220. 1-7-93 p. r. s. t. u. 4A IV-3 Financial Arrangement. Broadly describes the manner in which assets are accumulated to pay the claims and retention charges incurred through the policies. (Note: Retrospective Plan A collects for plan experience at the end of the year and Retrospective Plan B collects for plan experience through renewal of the plan.) Stop Loss Provision. A provision designed to limit aggregate or individual losses in plans to a specific amount. If total claims or an individual claim exceed an agreed upon level (amount) for the year, the carrier will pay the policyholder (employer or administrator) for claim(s) in excess of this amount. Benefit Charges. Charges under an experience-rated plan that include paid claims, any change in the required claim reserves, pooling charges, and conversion charges. Retention Charges. Charges made by the insurance company or other health care provider primarily for underwriting and administering the employer’s group program; these charges include the costs of maintaining records, printing and issuing documents, processing and paying claims, and paying state premium taxes. Billing Premiums. Charges actually billed and paid to the insurance company or other health care provider in an amount estimated to be sufficient to cover all benefit liabilities and associated expenses incurred during the period covered by the premium. Interest Credit. Amounts credited to the employer’s account due to earnings on funds held by the insurance company or other health care provider prior to the funds being used for paying claims. 3. INSTRUCTIONS. a. Contractor Entries. (1) Facility Code. Enter the 7 digit alphanumeric code assi by the Director of Contractor Human Resource Management identifying the facility and contractor for which data is being reported. gned (2) Report Period. Enter ending calendar date (YYMM) of the 12-month reporting period (e.g., YY12). (3) Employee Category Code. Enter one of the codes from INS-5511 (Section 3.b.). A separate line entry is used for each category-classification pair. (4) Classification Code. Enter the appropriate benefits/plan code(s) from INS-5512 (Section 3.b.). IV-4 DOE 3220.4A 1-7-93 (5) Financial Arrangement Code. Enter the appropriate financial arrangement code from INS-5513 (Section 3.b.). (6) Stop Loss Code. Enter the appropriate provision code from INS-5514 (Section 3.b.) This code should correspond with the Financial Arrangement code.

(7) Number of Employees. Enter the total number of employees for which the subsequent dollar amount entries are applicable. Active employees should be based on total number of straight-time hours worked for covered employees divided by 2080. Inactive employees and retirees should be reported as actual number of persons. NOTE: The following values should be reported as a total of employer and employee contributions: (8) Billed Premium. Enter the total charges billed and paid for the designated number of employees. (9) Benefit Charge. Enter the total charges for the designated number of employees. (l0) Retention Charge. Enter the total charges for the designated number of employees. (11) Interest Credit. Enter the total amount credited for the designated number of employees. b. Insurance (INS) Codes. The following INS codes should be used as appropriate in conjunction with the above contractor entries: (1) 11 CURRENT EMPLOYEE - EXEMPT 12 CURRENT EMPLOYEE - NONEXEMPT BARGAINING UNIT 13 CURRENT EMPLOYEE - NONEXEMPT NONBARGAINING UNIT INS-5511 - Employee Category Code. 30 RETIREE (2) INS-5512 - Classification Code. 11 DEATH BENEFIT I 12 DEATH BENEFIT II 21 MEDICAL BENEFITS 22 BASIC MEDICAL BENEFITS 23 MAJOR MEDICAL BENEFITS 24 COMPREHENSIVE MEDICAL BENEFITS DOE 3220.4A 1-7-93 IV-5 (and IV-6) 31 DENTAL BENEFITS 41 FLEXIBLE BENEFIT PLAN 51 LONG TERM DISABILITY PLAN 52 SHORT TERM DISABILITY PLAN 61 HMO 62 PPO 99 OTHER (3) INS - 5513 - Financial Arrangement Code. 11 INSURED - MINIMUM PREMIUM PLAN 12 INSURED - RETROSPECTIVE PLAN A 13 INSURED - RETROSPECTIVE PLAN B 21 SELF INSURED - CORPORATE ADMINISTERED STAFF 22 SELF INSURED - ADMINISTRATIVE SERVICE ONLY (ASO) CONTRACT 23 SELF INSURED - THIRD PARTY ADMINISTERED PLAN (4) INS-5514 - Stop LOSs Code. 1 INDIVIDUAL 2 AGGREGATE WX-F-JIIO.J (641) OMB APPIUVd No. 1910-0600 U.S. DEPARTMENT OF ENERGY ANNUAL REPORT OF CONTRACTOR EMPLOYMENT BY WORK TYPE FIELIIOFFICE Headquarters 17EF?XTINGPEIW30[MONTHYEAfl) ______________ ~RACTOP September 1978 HR~ rnmnanv 1--- ..- s@+ATLJQE~FPE}SOh MAI#@ REPORT DE t . . ..- , 1 FCM HO,,<C n“,” I.- 1 .-, ,, ,,-. I 1 L 1 ,,. ~“., (Imt I PART TIME ) 2 3 , ~ (j, @ g ,0 ~, 1 FULL TIMF i -am, ,,”. ,- - --- . . . i 17 ‘3 14 15 16 17 ,8 19 20121 22 23 24 25 26 27 28 29 30j31 3? 33 34 35 36 37 76 ~, ,8 ,Q ~ 1 5 5 4 , B CIA 1 1 9 1 7 8 9/9 9 5 6]0 5’ 2 I p ; 1 17 Q 3 ! ! 1 I r !111 Ii - u < DOE 3220.4A 1-7-93 V-1 CHAPTER V REPORT OF COMPENSATION (DOE F 3230.6a) 1. GENERAL. a. b. c. d. e. f. Purpose. The information collected in this report aids Program Secretarial Officers and Managers of DOE Field Offices in determining reasonableness of compensation paid to top-level contractor employees and in monitoring growth of contractor compensation at all levels. The report is in two parts. Part I, “Individual Compensation,” lists employees earning $60,000 a year and more; Part II, “Frequency Distribution of Compensation,” reports the occurrences of compensation of all employees in $5,000 increments. Data are required on all permanent employees who devote at least 50 percent of their time to DOE contract work, whether they are reimbursed directly or indirectly. Coverage. Management and operating contractors and other designated contractors performing long-term contracts at Department-owned or -controlled sites are covered by this report. Frequency. Semiannual data as of 3-31 and 9-30.

Due Dates. Contractors will submit reports to appropriate Departmental Elements by 4-15 and 10-15. Receiving organizations shall provide those reports to the Director of Contractor Human Resource Management Sensitivity of Information. The sensitive nature of individual compensation information is recognized by DOE. The amount of compensation paid an individual contractor employee will be treated as proprietary information. Privacy Act Applicability. In the possession of DOE, the information reported on Part I of DOE F 3230.6a is subject to the provisions of the Privacy Act of 1974 (Public Law 93-579, 5 U.S.C., 552a) under one or more DOE Privacy Act Systems of Records. (See DOE F 1800.1, “Privacy Act Information Request.”) Therefore, its maintenance, use, and disclosure should be treated as subject to the provisions of that Act, except as otherwise expressly determined. 2. INSTRUCTIONS. a. Contractor Entries: Part I - Individual Compensation. (Note: Contractors which find it more economical or feasible to submit automatic data processing machine listings showing the information required on DOE F 3230.6a (Attachment V-1) may do so.) V-2 (1) (2) (3) (4) (5) (6) (7) DOE 3220.4A 1-7-93 Limit reporting to employees earning $60,000 or more. Column 1 - Names. Enter the employee’s last name, followed by his or her first name and middle initial. Column 2 - Position Title and Organization Unit. Enter the employee’s position title and organization unit. Column 3 - Actual Base Salary. Enter the employee’s base salary as of 4-1 or 10-1, increases effective on those dates. Show base salary whether or not it is fully rei contract. If the empl annual rate of the including the actual rate of mbursed under the Column 4 - Amount Reimbursed. oyee’s salary is that is reimbursed. Column 5 - Actual Payment (Other Compensation). not fully reimbursed, show the annual amount of base salary full amount of bonus or incentive compensation received by the employee whether or not it was reimbursed under the contract. Show the amount received during the 6-month period prior to 4-1 or 10-1. Column 6 - Amount Reimbursed (Other Compensation). Enter Enter the the amount of bonus or incentive compensation reimbursed under the contract during the respective 6-month periods cited above. b. Contractor Entries: Part II Frequency Distribution of Compensation. (NOTE: Machine listings may be submitted for DOE F 3230.6b (Attachment V-2) but must show field identifiers to permit keypunching.) (1) (2) (3) (4) Contractor/FacilityCode. Enter the code from Table 5501 (Figure X-1, page X-1) that identifies the facility and contractor. Report Period. Enter the ending date (YYMM) of the fiscal 6-month reporting period. Employee Category Code. Enter the code from Table 5509 (Figure X-4, page X-5) that indicates the employee category for each line of data entered on the form. Range. Enter the 3-position number that represents the annual salary range, in five thousand dollar increments, for the number of employees reported. For example, 005 = $5,000 to $9,999; 010 - $10,000 to $14,999; 065 = $65,000 to $69,999. DOE 3220.4A V-3 (and V-4) 1-7-93 (5) Number of Employees. Enter the total number of employees in this employee category and salary range. (6) Annual Base Pay. Enter the total of annual base salaries for the employees counted This is to be an aggregate amount.

(7) Annual Pay DOE Reimbursable. Enter the total of annual base salaries for the employees counted that is DOE-reimbursable. If an employee’s salary is not fully reimbursable, include only the portion that is reimbursable. This is to be an aggregate amount. (8) Other Compensation. Enter the total of the full amount of bonus or incentive compensation received by the employees counted, whether or not it is reimbursable under the contract. Show the amount received during the 6-month period prior to either 4-1 or 10-1. (9) Other Compensation Reimbursable. Enter the total amount that is reimbursable under the contract. This is to be an aggregate amount. DOE 3220.4A 1-7-93 INDIVIDUAL COMPENSATION REPOm Attachment V -1 Page V-5 (and V-6) ‘) 0 . .— . — _— — — 0 ,,0 0 I 1 J Emc-F-l?10.4b (s-41) U.S. DEPARTMENT OF ENERGY REPORT OF COMPENSATION PART II-FREQUENCY DISTRIBUTION OF COMPENSATION FELDc+FICE REP013TlNGPEW.3121MONTHYEAR) Headquarters September 1978 WNTt7ACTO$l I OCATON HRD Company SIGNATURE~ PERSOWMAKINGREKXT Germantown, MD. e-c. 1 Uk ! m? \E 5 5 ‘> I I “Qe ‘L’*’: 1, ‘ ]I.-—— .——— ..—-. . 1 d ! t 9 4 la ,,, . . 4-. + . . . . . . . . . . . . . . . . . . . ,-a.,-, ,,~ --- ~1 l-+ o z l-o to WI-n &w Wrw Iv o. * D < -, J DOE 3220.4A 1-7-93 VI-1 CHAPTER VI LABOR RELATIONS REPORTS 1. GENERAL. a. Purpose. Departmental policy as set forth in DEAR 970.22 provides for contractors and their employees to bargain collectively under the same arrangements normally found in industry with maximum possible freedom from Government interference. However, the impact of energy programs on national defense and security imposes upon DOE an obligation to assure continuity of certain vital operations. In addition, DOE’s responsibility for the judicious expenditure of public funds, including compensation and employee benefits, makes it necessary to adopt procedures for keeping Headquarters informed of significant labor-management developments at DOE installations. b. Coverage. Management and operating contractors and other designated contractors performing long-term contracts at Department-owned or -controlled sites are covered by these reports. c. Frequency and Due Dates. Reports and information are to be furnished as indicated in paragraph 2, below. 2. INSTRUCTIONS. a. Contractor-Union Negotiations. (1) Reports Prior to Negotiations. At least 30 days in advance of each significant contractor-labor negotiation, Departmental Elements shall provide the Director of Contractor Human Resource Management a written report con- taining the information below. A “significant contractor- labor negotiation” is one so designated by the Director of Contractor Human Resource Management, or a situation in which a strike or a threat of a strike would cause concern from the viewpoint of programmatic impact, health and safety, and political or public interests. (a) Identification and location of parties. (b) Number of employees involved directly and indirectly. (c) Nature of negotiation (i.e., initial agreement, wage reopener, contract renewal) and deadline date. (2) Reports During Negotiations. Status reports of significant developments should be given to the Director of Contractor Human Resource Management by telephone, teletype, or DOE 3220.4A Attachment VI-1 1-7-93 Page VI-5 REPORT ON SETTLEMENT CONTRACTOR XYZ Company UNION IBEW #26 NO. OF EMPLOYEES IN UNIT 87 PERIOD OF AGREEMENT: FROM__5-7-73 THROUGH 5-6-76 Base

a. Average straight-time hourly earnings per plant hour b. Average hourly cost of benefits per plant hour Total Settlement COSt 1/ a. Cost of Wage_Rate Increases General wage increases Inequity increase b. Creep or Ripple C o s t DATE OF THIS REPORT 6-1-73 EFFECTIVE DATE OF CHANGES 5-7-73 5-7-74 5-7-75 $4.000 $4.215 $4.452 3.000 3.150 3.276 1.000 1.065 1.176 .215 .237 .154 .126 .131 .021 .023 c. Cost of New or Changed Benefits Vacation improvement .040 Added holiday .020 1/ A report is submitted whenever there is an economic settlement resulting from contractor-labor negotiations or occurrence of cost-of-living adjustment (COLA) in a 12-month period. If settlement includes a wage opening, calculate settlement cost to date of wage opening only (e.g., regard duration of agreement as 2 years if there is a wage opening at the beginning of the 3rd year of a 3-year agreement). If settlement includes a COLA or COLA has been paid, the projected payment, while indicated in parentheses, is not calculated in the cost of settlement; the actual payment is so calculated. Attachment VI-1 DOE 3220.4A Page VI-6 1 7-93 I Shift premium increase .030 Holiday rate increase .020 Subsistence reduction .030 Group life insurance improvement .050 d. Cost-of-Living Adjustment (COLA) (a) Nature of COLA (Narrative summary) The new COLA clause provides an uncapped payment of one cent for each 0.4 rise in the Consumer Price Index (CPI-W) adjusted on an annual basis and rolled into the straight-time hourly earning on the effective dates: 5-7-74, 5-7-75, 5-6-76. (b) Projected Payment (.10) 2/ (.10) (c) Actual Payment Calculation of Settlement a. Settlement Cost for Each Year (2) as Percent of Base (1) for Each Year b. Average Increased Hourly Cost for All Hours in Contract Period (1) First year settlement COSt (2) Second year settlement cost (.237 x 2) (3) Third year settlement cost (.154 x 1) (4) Total settlement cost in contract period (5) Weighted average increased cost for all hours in contract period (total divided by 3) 5.37% 5.62% 3.46% .645 .474 .154 1.273 .424 2/ Numbers in parentheses are not inluded in calculations. DOE 3220.4A Attachment VI-1 1-7-93 Page VI-7 (6) Weighted average increased cost as a percentage of origina1 base 10.60% c. Annual Rate of Increase-Equal Timing (1) Before compounding 5.05% After compounding 1. The Ease - The Existing Level of kiag~.and ~nefit Costs Before the Settlement.~/--- — a. Average straight time hourly earnings a. (ASTHE), weighted for all employees in the unit, for all plant hours. To compute ASTHE per plant hour: divide straight time payroll (gross payroll minus pay for time not worked, including vacation, holiday, sick, and minus premium payments for overtime, weekend, holiday, and shift work) by plant hours (aggregate hours paid for during a b. specific period minus all leave hours).~ D ‘ne average nouriy cost ot al I beoeflts per ntfll-lr hollr I Ic)tal net cncf for Parh b~~~ “~ w~ c13~! hou~.!i? Average straight time hourly earnings for all plant hours. fi~ S3.000 Average hourly cost ot benefits per plant hour. ~ Prem]um pay for overt~me work and for work ~n >aturday and 5unrlay, 6th ?th days., and q~!~day:,, ‘b,?! fi:’’orent!a! or ;hlft premluffls. Paid leave, vacations, holidays, sick, and other time not worked but paid. ~ospita! and Medi:a’ :l$ir~n<-~ broup Life Insurance Pens Ions and Retirement <nc}al ~oc,jrity

Workers’ Compensation Unemployment Insurance Others, including Isolation pay, travel allowance, subsistence, wage differentials or premiums for work in specified area or for particular job asslsgnments. Subtotal TOTAL BASE .186 .314 !m .060 .140 ~ln .010 .uzo .0/0 1.000 S4.000 ~/Roman numerals, alphabetical letters, and numbers appearing on instruction pages correspond to those shown fl~~{%~~~ ~~~m~~~hours worked whether paid at stra,qht t,me or at a premium rate. [n other words, plant hours are all hours paid minus all hours of paid leave lnciudlng holldays. If an employee works Z hours at double time, he or she works 2 plant hours, not 4. ~Average Str-t Time Hourly Earnings per Plant Hour deal with all plant hours, but these earnings do not include the premium component ot overtime pay for work ?n excess of 40 hours on weekends, holidays, and pay Q;& ’Z;~7~$~XEYaL7~~a~gY~2 ~L\%y t~~;~llement. 5JFor most recent calendar or fiscal year or other period. ~The premium component of overtime for work over Q(Jholjrs!On Weekends,and‘Oiidaysjis includedas a benefit Wcd Ldlw N o cost , -. f., - ?. . Total Settlement Costs The cost of the settlement is the sum of (a), (b) and (c), below. Uith COLA, the revised cost of settlement is the sum of (a), (b), and (c), and the “Actual Payment” of (d). Settlement Close a. Uage adjustments of all types - a. Uage adjustments general inequity, reevaluation.fl General wage increase 4% 4% 4% .120 .126 .131 Inequity increase $.10 .130—. _ Subtotal - A .150 .126 .131—. _ b. Effect of wage increase on cost of existing benefits that vary with wage b. Creep or ripple cost .025 .021 .023 level (creep, ri pie, rollup, loading b (See Illustration 1) — — .—. factor, impact). .050 3Contract reopenings permitted on specific dates are treated in the same fashion as new Group life insurance negotiations. At the time that the agreement improved providing for a reopening on wages or bene- fits at a specific date is negotiated, the Shift premium Add $.06 & increases to go into effect before the $.08, 2nd & reopening are priced over the period until 3rd shifts .030 the reopening date. If some benefit changes incorporated in the initial settlement do not Holiday rate 2 1/2 times go into effect until the reopener, they are instead of considered to be a part of the settlement double time reached under the reopening. total .020 Utiage increases will increase the cost of those benefits (such as shift differential, overtime, Saturday-Sunday, holi- day premiums, and all paid leave) which are based on a percentage of wages and of those benefits (such as Workers’ Compensation insurance) which otherwise increase with wage levels. Wage increases will not affect the cost of shift premiums expressed in cents per hour, or of unemployment compensation taxes which are normally levied only on the first $6,000 of wages. See page VI-13, Illustration 1, for method of deriving creep. Attachment VI-1 Page VI-10 DOE 3220.4A 1-7-93 INSTRUCTIONS tOR COMPLETION OF REPORT ON SETTLEMENT c. The cost of liberalization of (:, Changf III t).~npf]t co,,t existing benefits or of new bf,ll[lit (e.g., added weeks of vacatlnr, Vttl !1( L added paid holidays) lmp,ob (1 ibiylirs d. Cost of living adjustments {C(YA (j [(NG ( ,’ (See page VI-14, IIlustrdtlt)rl ,’I Pr(j;l( ., 1 ,i.npf!t fill 11 ‘,4<T(J, “ 1 4 .020 4th week added for 25 years Reduced by $.25 a day .030.— 040-!— .215 .040 —— .090 .000—— (.10) (.10) .237 .154 — —

30 Calculation of Settlement Settlement a. For each year~ Base New Base Cents Per Hour (1) First year. % of Base Show first-year settlement (1) $4.00 $.215 5.37 costs In cents per hour and as a percent- age of the base. (2) Second ear. (2) $.237 5.62 & Compute the new base by e first year increase to the old base, then show second-year settlement costs in cents per hour and as a percent- age of the new base. (3) Third and subsequent years. Same proce- (3) dure as In subparagraph 2, above. (4) Projected new base at end of contract (4) and total cents per hour increase over the period of contract. b. Average hourly cost for contract period (1) First year’s increase (.215) is in effect (1) .215 X 3 = .645 during the full 3-year term of the contract. $4.215 $4.452 $4•606 $.154 $.606 3.46 WUherever the word ‘year” is used. it refers to 12 months or any other time interval within the contract period. If ;ettlement is-for 36 months, with wage adjustments at 18-month intervals, or at the lst, 9th, 18th, and 27th months, the computations in subparagraph b can be ccxnpleted by converting the monthly intervals to fractions of years. (2) Second-year increase (.237) is in effect for 2 years. (2) .237 X 2 = .474 (3) Third-year increase (.154) is in effect (3) .154 x 1 = .154 for 1 year. (4) Total (5) Ueiqhted cost ($1.273) divided by Period (4) $1.273 (5) $1.273 + 3 = .424 of ~he contract (3) equals average added cost per hour for all hours in period of contract. (6) Ueighted average increased cost as (6) .424 + $4.00 = 10.60% a percentage of original base. c. Annual Rate of Increase in Costs Over Period of the Contract Assuming Equal limin~ E = Total cents per hour increase over contract period ($.606) B = Beginning base ($4.000) M= Total percent increase (.1515) or 15.15% P = Period of contract (3 years) r = Annual rate of increase, before compounding (.0505) R = Annual rate of increase, after compounding (.0479) E .606 M =l!Jor KOIKJ= .1515 or 15.15% 1. r =M = .0505 or 5.05% F 2. R = r(l-r) = .0500(1.0000 - .0505) = .0479 or 4“79% 4.79% is the yearly rate of increase which, when applied to the beginning base of $4.00, will result in the new base of $4.606 at the end of the 3-year period. II+ -- .., DOE 3220.4A 1-7-93 Attachment VI-1 Page VI-13 ILLUSTRATION 1 COMPUTATION OF CREEP FACTOR OR RIPPLE To calculate the creep factor for any year: 1. 2. 3. 4. Assume the average straight time hourly rate is $3.00 per plant hour at the beginning of the year and that a wage increase of $.15 per hour has been agreed upon. List and total the existing hourly by wage increases. All paid leave cost of those benefits which are affected Cost Per Plant Hourt .314 Workers’ Compensation .010 Social Security for worker earning $29,700 or less .055 Overtime, Sat. -Sun., 6th & 7th day, and holiday premiums .126 TOTAL .505 Calculate the total cost of these benefits as a percentage of average straight time hourly rate for plant hours. .505 / $3.00 = 16.83% Apply the above percentage to the total wage adjustment for the period to derive the creep factor. 16.83% of $.15 = $.025 Attachment VI-1 Page VI-14 DOE 3220.4A 1-7-93 ILLUSTRATION_2 APPLICATION OF COST-OF-LIVING ADJUSTMENT (COLA) 1. 2. 3. 4. 5. Provide a narrative summary of the nature of the COLA, including amount of payment, identity of price index, method of calculating payment, date(s) of payment and indication of date(s), and methodology of roll into the wage base, if applicable. Also, furnish any other information relevant to calculation of the adjustment

Calculation of cents-per-hour contract. The annual Projected Payment the (e.g., ceiling, corridor). of C0LA follows the formula in the particular is based on the movement of the relevant price index during the 12 months ended just prior to contract negotiations. Identify the 12-month period. The Actual Payment is reported on ac annual basis and added as a separate cost item under Total Settlement Cost. When cost-of-living adjustments are more frequent than once a year, they are reported as an annual weighted average according to instructions for calculating average hourly cost of contract period (see page VI-6, paragraph 3b). Whenever the time interval in the contract period is other than 12 months, the timing of the revision of settlement report based on COLA payment is made to coincide with the selected interval (see page VI-11, footnote 9). Page VI-15 contains a revision of the example “Report on Settlement” after the beginning of the 2nd year of the contpract. The data recorded in the previous settlement report are brought forward. Revisions are made only where the COLA payment impacts on estimate of cost. DOE 3220.4A Attachment VI-1 1-7-93 Page VI-15 REVISED REPORT ON SETTLEMENT CONTRACTOR _ XYZ Company DATE OF THIS REPORT 5-20-74 UNION IBEW #26 NO. OF EMPLOYEES IN UNIT __87 PERIOD OF AGREEMENT: FROM _5-7-73 EFFECTIVE DATE OF CHANGES THROUGH _5-6-76 Note: This revision is based on COLA payment 5-7-73 5-7-74 5-7-75 1. 2. Base a. Average straight time hourly earnings per plant hour b. Average hourly cost of benefits per plan hour Total Settlement Costs a. Cost of Wage Rate Increase: General wage Increases Inequity increase b. Creep or Ripple Cost c. Cost of New or Changed Benefits Vacation improvement Added holiday Shift premium increase Holiday rate increase Subsistence reduction Group life insurance improvement 4.000 4.215 10/ 4.684 10/ 3.000 3.150 10/ 3.476 10/ 1.000 1.065 1.208 10/ _.215 .469 10/ .150 10/ .120 .126 .131 .030 .025 .053 10/ .019 10/ .040 .050 10/ Indicates revised entry. Attachment VI-1 Page VI-16 DOE 3220.4A 1-7-93 3. d. Calcu a. b. c. Cost-of-Living Adjustment (COLA) Nature of COLA (unchanged) Projected Payment Actual Payment lation of Settlement Settlement cost for each year (II) as percent of base (I) for each year Average increased hourly cost for all hours in contract period: (1) First year settlement cost (.215 x 3) (2) Second year settlement cost (.469 x 2) (3) Third year settlement cost (.150 x 1) (4) Total settlement cost in contract period (5) Weighted average increased cost for all hours in contract period (total divided by 3) (6) Weighted average increased cost as a percentage of original base Annual Rate of increase - Equal Timing (1) Before compounding (2) After compounding 10/ Indicates revised entry. (.10) ll/ .20 10/ 5.37% 10.63% 10/ .645 .938 10/ .150 10/ 1.733 10/ .578 10/ 14.45% 10/ 16.44% 10/ 12.35% 10/ (.10) ll/ 3.22% 10/ 11/ Number in parentheses is not included in calculations. DOE 3220.4A 1-7-93 VII-1 (and VII-2) CHAPTER VII COLLECTIVE BARGAINING AGREEMENTS 1. GENERAL. a. Purpose. The Director of Contractor Human Resource Management maintains current data on wages, travel, conditions of employment, and other fringe benefits for all bargaining unit contractor employees. The data are used by management in making decisions on special labor relations matters.

b. Coverage. Management and operating contractors and other designated contractors performing long-term contracts at Department-owned or -controlled sites who have negotiated collective bargaining agreements with unions representing their employees. c. Frequency and Due Dates. Agreements are to be furnished as indicated in Paragraph 2. 2. INSTRUCTIONS. Heads of Departmental Elements shall provide the Director of Contractor Human Resource Management one copy of contractor collective bargaining agreements, including construction project agreements, for all management and operating contractors in the following manner: a. Forward one copy (reproduced or typed) of the agreement, including letter agreements, descriptions of oral or other “side-bar” agreements, interpretations, and exceptions as soon as possible following the conclusion of negotiations. b. Forward a printed version of the agreement within 10 working days after receipt by the Departmental Element. c. Forward any addendum or modifications agreed upon at a subsequent date within 10 working days following the agreed effective date. DOE 3220.4A 1-7-93 VIII-1 (and VIII-2) CHAPTER VIII 1. 2. CONTRACTORS’ ORGANIZATION CHARTS GENERAL. a. Purpose. To provide information about contractor organizational structure and composition. b. Coverage. Management and operating contractors and other designated contractors performing long-term contracts at Department-owned or -controlled sites provide the organization charts. c. Frequency and Due Dates. Contractors will submit one copy of the organization chart to the Director of Contractor Human Resource Management through the appropriate Departmental Element. Initial charts should be submitted within 45 days of the effective date of the contract. Subsequent charts shall be submitted at least annually as of 1-1. or on the occasion of a major change in key personnel. Submission of organization charts to the Director of Contractor Human Resource Management is in addition to the initial organization chart submitted by the contractor under the requirements of DEAR 970.5204-12. INSTRUCTIONS. Where contractors prepare organization charts for their own use or submit them to their parent companies, such charts usually will meet Departmental needs and will be acceptable if they contain the following minimum information. a. Identification of major organizational units (such as divisions or departments) and their principal components. b. Names and titles of managerial personnel down through division or department heads. c. Number of employees in each unit and in total (include full-time, part-time, and temporary employees). d. The following information should be included on the organization chart: name of contractor, location of facility, name of Departmental Element administering the contract, contract number, signature of contractor official approving the chart, total number of employees, and the effective date of the chart. e. Charts should not contain restricted data within the meaning of the Department of Energy Reorganization Act. DOE 3220.4A 1-7-93 IX-1 CHAPTER IX REPORT ON CONTRACTOR SALARY INCREASE FUND 1. GENERAL. a. Purpose. Employee compensation is a major cost item under DOE operating-type contracts. Assuring the reasonableness of such costs is a significant part of DOE’s total responsibility for the judicious expenditure of public funds. This report establishes a standard format for the collection and reporting of information of costs for employee salary increases. The data will provide Departmental Elements current and summary information on contractor salary funds and trends, and will establish a basis for comparison with data from industry.

b. Coverage. Information covering planned costs for salary/wage increases in the forthcoming salary administration year for the contractors listed in Attachment IX-1 is covered in this report. All types of costs for salary increases (promotion, merit, and reclassification) are to be reported. Excluded from the reporting requirement are salary or wage increases to employees who are covered by bargaining agreements (see Chapter VII), employees who are paid under an established rate-time progression schedule, and employees who are classified as part-time or temporary employees. c. Reports (original only) are submitted to the Director of Contractor Human Resource Management through the appropriate Departmental Element, and are due 30 days after the beginning of the contractor’s salary program year, or as soon as practical thereafter. Forms for submitting this report are not provided because of the small quantities needed. Reportinq offices should use the report format shown on page 1X-5, Attachment IX-2, for reporting purposes. Frequency and Due Dates. 2. INSTRUCTIONS - REPORT FORMAT. a. Group Designation. It is important that the two primary employee categories, "Total Exempt" and “Total Nonexempt”, be reported separately. It is useful, for purposes of comparison, to have the exempt group designations be those listed on the report format, but it is not essential as long as the designations for the groups are descriptive of their composition or the composition is footnoted. b. Number of Eligible Employees. This refers to the number of employees within a group who are eligible to receive consideration for a salary increase in the ensuing increase fund period. It does not refer to the number of employees expected to receive an increase. IX-2 DOE 3220.4A 1-7-93 c. Beginning Payroll. This is the sum of the base salaries, at the beginning of the increase fund period, of those employees reported in the column headed “No. Eligible Employees. ” d. Percent. This is the dollar sum of the increase fund divided by the beginning payroll, expressed as a percentage. 3. CONTRACTORS COVERED BY REPORTING REQUIREMENTS. Following is a list of DOE contractors which are required to submit the Contractor Salary-Wage Increase Expenditure Report (see Attachment IX-1). DOE 3220.4A 1-7-93 Attachment IX-1 Page IX-3 (and IX-4) CONTRACTORS REQUIRED TO SUBMIT CONTRACTOR SALARY-WAGE INCREASE EXPENDITURE REPORT coNTllAL TLM Associated Unlversit>es, Inc. Battelle 6endtx Corporation Bendix Field Engjneerlng Corporatl,)[ Boeing Coqmter-Service - Cowuter Science Corporation EGUi E6&G E. [. OuPont de Nemurs Fenfx and Sclsson, Inc. 6eneral Electric CCJ~any 6oodyeJr Atcmic Corporation NOIZS and Narver. Inc. )kolnts wd Narver, Inc. low St4te University J. A. .lones Construction Kilser Engineering Hanford Lovelace Medical Foundation Nartln Marietta Energy Systems, Marttn Narietta Energy Systems, Martin Nertetta Energy Systems, Nartfn Narietta Energy Systems, ItMon k Hanger - S! las Mason CO Midwest Research lnsti tute Msanto Research Corporat ion AM. [nc. 1n< In<. Inc. Inc. O* Rtd9e Associated (kn!versttie>, [m Princeton University Reynolds Electrical md Erqineer, ng [L. nc Rockwell Hanford Operations Rockwell International Rockwtll International

Ross Avtatlon, Inc. Rust Eng{neerlng Co~any Sandid Corporation Science A+plicatton, Inc. Stanford University The Zia Co. ONC Nwlear Industries. inc. Universities Research Assoc i at Ion University of California University of California University of California University of Chicqo Mackenhut Services. lnc. Uest Valley Nuclear Serw!ces Co. , III( Uestin@wmse Electrfc Corporation Uestln9house Hanford Uestingtsouse Idaho Nuc Iear C-any, In Ullli M Elrothers Engineering Co. 8rookhaven nat, m,a ,.aboratorj pdClfl[ 1431 [hwe, f. laboratory Oak Rldye Go\w.\ J !fu>lun Plart Oak Ridge Net tona 1 abo, atory Paducah Gaseous D1f*usl,~n Plant Y-12 Plant Pantex Plan %Iar Erie. g~ ke,rdr ,,IZUI? fbund LuJmr6 c,,. Clrt— Uptor R1chland Kdn SdS ~lty Grand .lunctlon Rlchland lds Wega\ Idaho Falls Las Vegas A!ken Las vega~ Schenectady P1k,?ton fkxullul” l~s Vegas Acres Rlchland R1chland Albuquerque Oak Rtdge Clak R!dge paduc ah Jak Ridge hriila Go Idef, M1aml’,burg Iernald [)ak R )dye ?rlnceton 4 as Vegas I!lch land ( armga Park Rocky 1 Iats 41 b.q. erq. e JaL Rdqe Albuquerque .)dk R)dye ,t. anft r!i 05 Alarrus !i, chldnd HdtaV, d Oerkejev ~ NY MA m co HA NV ID NV Sc NV NY OH HI NV 1A MA UA NM IN TH KV TN TI CC OH OH TN NJ NV UA CA U. NM TN NM TN CA NM WA [L CA CA CA Ii NV N! PA UA lb CA Q Cti RI 4( 1(1 RI Nk 1[’ NV % NV ST cm NV :: RL R1 u m w lx w Al Ch Al OR Ln7 Cti NV RL SF AL Al C@ Al CM SF AL RL CH SF SF 41 CM NV 10 w UL 1[) NR DOE 3220.4A Attachment IX-2 1-7-93 Page IX-5 (and IX-6) CONTRACTOR SALARY-WAGE INCREASE EXPENDITURE REPORT Program Secretarial Officer or DOE Field Office Headquarters, Washington, DC DOE Contractor HRD Company Report Prepared by John Doe 1. 2. 3. 4. 5. Period 10-1-80__ _ Are any employees excluded Location Germantown, Maryland Dated 4-30-91 to 9-1-81 from the increase fund by virtue of salary, position in the organization, or other? If answer is “Yes”, give: a. Classification(s) and number of such employees excluded: Manager (l), Assistant . _______ b. Estimated cost of salary increases to be granted these employees: c. Reasons for exclusion from increase fund: _Carried on Parent Company (Acme Corp.) Payroll Salary adjustments excluded from increase fund, if any. Identify by type and explain: Increases granted to new exempt employees promoted from hourly/ weekly jobs after _August 31, 1980. Increase Fund Authorized. a. Total Fund for Exempt Personnel 1/ $175,862 10% b. Total Fund for Nonexempt Personnel 1/ _ $ 16,700 10% Composition of Increase Fund. No Eligible Beginning Group Designation Employees Payroll __ Percent a. Total Exempt: $1,758,621.50 10.0% Top Management 38,828.50 9.6% S&Es, Inc. Superv. 864,125.00 10.5% Admin.-Other 855,668.00 9.5% b. Total Nonexempt 167,000.00 10.0% 1/ If there is a difference between authorized amount and total shown in 5a and 5b, explain in “Comments.” DOE 3220.4A 1-7-93 X-1 CHAPTER X CODE TABLES 1. FACILITY CODE - TABLE 5501. The following is a “working” list of contractors with code identifications, and will be revised continually, as necessary, upon the addition or deletion of contractors subject to the provisions of the Order, as determined by the contracting officer. New facility codes will be provided by the Office of Contractor Human Resource Management. A revised list will be published periodically, (See Figure X-1.)

FACILITY CODE FACILITY.— INDUSTRIAL AND NONPROFIT OPERATED LABORATORIES AND FACILITIES— —. — CHD2201 NVB2207 SRB2201 ALG2201 ALG2203 HMF21C11 PU12201 RFZ2201 ALS2201 ALS2202 PN02201 PND2202 RLV2201 XOQ2201 Battelle EG&G E. I. DuPont de Nemours & Co. General Electric Co. General Electric Co. Martin Marietta Energy Systems, Inc. Midwest Research Institute Rockwell international Sandia Corporation Sandia Corporation Westinghouse Electric Corporation Westinghouse Electric Corporation ItestinghouseHanford Company Westinghouse Idaho Nuclear Conpany, Inc. OTHER RESEARCH AND DEVELOPMENT FACILITIES—- TCF2301 Lovelace Medical Foundation AZP2301 Mountain State Energy 0RH2301 Oak Ridge Associated Universities, Inc. XBV2301 University of Georgia HUN2301 Hest Valley Nuclear Services Co., Inc. MAINTENANCE AND SUPPORT GFB3101 Bendix Field Engineering TMA3101 Boeing Conputer Service RLF3102 Conqmter Science Corporation NVB3101 EG&G NVB3102 EG&G NVB3105 EG&G NVB3103 EGW NVB3104 EG&G NVB3106 EG&G LCV3101 Fenix & Scisson, Inc. RLM3101 Hanford Environmental Health Foundation Pacific Northwest Laboratory Idaho National Engineering Laboratory Savannah River Plant (Technical) Knolls Atomic Power Laboratory Knolls Atomic Power Laboratory Oak Ridge National Laboratory Solar Energy Research Institute Energy Technology Engineering Center Sandia National Laboratory Sandia National Laboratory Bettis Atomic Power Laboratory Naval Reactor Facility Hanford Engineering Development Laboratory Idaho National Engineering Laboratory Montana Enerqy Research and Development Laboratory Savannah River ECO1OQY Laboratory Kirtl, Techn Techn Techn Tf?chn Techn Richland Idaho Falls Aiken Schenectady Iiindsor Oak Ridge Golden Canoga Park Albuquerque Livermre Pittsburgh Idaho Falls Richland Idaho Falls Albuquerque Butte Oak Ridge Aiken-. Hest Valley Grand Junction Richland Las Vegas nd Operations Albuquerque cal Support Facility Las Vegas cal Support Facility Los Alams cal Support Facility San Ramon cal Support Facility Santa Barbara cal Support Facilit,y Moburn Las Vegas Richland ST FO— — MA RL ID ID Sc SR NY ST CT ST TN OR CO CH CA SF NM AL CA AL PA PM ID PN HA RL 10 ID NM AL MT ID TN OR Sc SR NY ID CO 10 UA RL NV NV NV NV NV NV NV NV CA NV CA NV W NV NV NV WA RL x I& m d. FACILITY CODE FACILITY—. NVD3105 NVD3101 NVD3104 NVO31O2 NVD3103 NVD3106 EYF3101 LAA3101 UFG3101 HMF3101 NVG3101 NVG3102 NVG3103 HPL3101 GUU3101 ALZ3101 NJE3101 NJE 3102 BRR3101 Holmes & Narwr, Inc. Pacific Test Division Holmes & Narver, Inc. Pacific Test Division Holmes & Narver, Inc. Holmes & Narver, Inc. Pacific Test Division Holmes & Narvw, Inc. On-Continmt T~st Division On-Continent Test Division Holmes & Narver, Inc. On-Continent Test Division Kaiser Engineering Hanford Lawrence-Allision and Associates West, [nc. Lockwood Greene Engineers, Inc. Martin Marietta Enerqy Systems. Inc. General Staff Reynolds Electrical k-Eng Reynolds Electrical & Eng Reynolds Electrical & ENg Ross Aviation, Inc. Science Application, Inc. The Zia Co. Uackenhut Services, Inc. Uackenhut Services. Inc. neerina Co., Inc. neerinq Co., Inc. neering Co., Inc. Uilliam Brothers Engineering Co. CONSTRUCTION SRB4101 E. 1. DuPont de Nemours & Co. Savannah River Construction RLT4101 J. A. Jones Construction Cow@any ORK41O1 Rust Engineering Coa@any 1ET41OI Stone & Nebster Engineering Corporation Gaseous Centrifuge Enrichment Project 1ET4102 Stone & Uebster Engineering Corporation Boston Paid-Field Assigned ST FO— —

Enewetok Atoll HI NV Honolulu HI NV Johnston Atoll HI NV Las Vegas NV NV I+rcury NV NV Tonopah NV NV Richland MA RL Casper MY NR Oak Ridqi? TN OR Oak Ridge TN OR Las Veqas NV NV Mercury NV NV Tonopah NV NV Albuquerque NM AL Oak Ridge Los Alanms : z Las Vegas NV NV Aiken x SR Elk Hills CA NR Aiken Richland Oak Ridge Piketon Piketon X-4 DOE 3220.4A 2. 1-7-93 TYPE OF WORK CODE - TABLE 5505. This table, shown in Figure X-2, identifies the different types of work in which employees are engaged. It is to be used in connection with the “Annual Report of Contractor Employment by Work Type” (DOE-F-3230.5) (see Chapter IV). Code Type of Work 01 02 03 04 05 06 07 08 50 Production Research and Development Facility Maintenance Support Services - Security Support Services - EDP Support Services - Other Construction Facility Design Weapons Testing Description Fabrication and assembly work including associated engineering, testing, quality control and production control, of the product being fabricated or assembled. Product/concept development/enhancement through application of basic research, experimental work, and other associated engineering and scientific disciplines in a laboratory or non-laboratory environment. The maintenance, repair, restoration, or placement of constituent parts of site facilties for purposes of prolonging and sustaining the facility as an operational entity. Work involving the physical area of facility security and its associated and necessary disciplines. Work involving computer support. Work directly related to “support” but not within the above definitions. The construction, addition, expansion, or other substantial improvement of site facilities. Architectural and engineering planning and design of site facilities maintenance, repair, construction, and similar projects. All work related to weapons testing as further defined by using the codes prescribed above as the second digit of the weapons testing code (e.g., weapons testing R& D = Code 52). If none of the above applies, use the basic 50 code. Figure X-2 Type of Work Code DOE 3220.4A X-5 (and X-6) 1-7-93 3. EMPLOYEE CLASS CODE - TABLE 5506. This table, shown in Figure X-3, is to be used in connection with the “Report of Contractor Hours and Earnings” (DOE-F-3230.3). Code Definition 10 NONEXEMPT 11 Production 12 Clerical 13 Technician 20 EXEMPT 21 Scientists and Engineers 22 Executive, Administrative, Professional 23 Scientists and Engineers who are Supervisors Figure X-3 Employee Class Code 4. EMPLOYEE CATEGORY CODE - TABLE 5509. This table, shown in Figure X-4, is to be used in connection with the “Report of Expenditures for Employee Supplementary Compensation” (DOE F 3233.4) and the “Report of Compensation” (DOE F 3230.6a). 1 Exempt 2 Nonexempt Bargaining Unit 3 Nonexempt Non-Bargaining Unit Figure X-4 Employee Category Code 5. REVISION OF CODE TABLES. The tables and codes contained in this chapter may be modified from time to time. Revisions will be published as necessary.