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Major Findings
Chapter 1 Macro Structure of Researchers (International Comparisons)1. Researchers’ stock structure
International comparisons of how many (full-time) researchers are available per
10,000 peoples unveiled that Japan (38.0 researchers in 1999) stood at a higher level
than the U.S. (37.5 in 1995), Germany (28.3 in 1995), France (26.5 in 1996), and the
U K. (24.8 in 1996).
2. Researchers’ flow structure
On researcher supply, comparing the number of doctorate owners per 1,000,000
peoples among major countries showed that Germany had 279 doctors, the U K. 174,
and the U.S. 170. Japan’s figure, or 111 doctors, remained at about 40% of Germany’s, and 60%-strong of the U.S. and the U.K. levels.
On mobility of researchers, few statistics allow international comparisons of general trend. Yet, as far as the university sector is concerned, the Carnegie
Foundations for Educational Promotion, among others, made an international survey.
The survey results showed lower mobility (rate of changing university) in Japan than
in the U.S and Europe (the lifelong rates of changing university by faculties before
retiring were 1.62 times in the U.S., 1.77 times in the U.K., and 2.00 times in Germany,
compared with 0.78 times in Japan).
Chapter 2 Actual State of Researcher Mobility in Japan
1. Trends of researcher mobility
Japan’s trends are grasped from available literatures. As noted from past findings, researcher mobility is not necessarily high in Japan in terms of both within a sector and between sectors.(Ex.)
• Numbers of in and outflow researchers/engineers by change of employment
- Results of a questionnaire sent to major research institutes in Japan by the
NISTEP (National Institute of Science and Technology Policy)- The figures in the chart below show how many researchers per research
institute have been in and out there in total over the past three years (FY1995
- 1997) o (The chart was prepared by TRI by analyzing and processing the
NISTEP questionnaire results.)
vi
(Overseas)
^University sector (*l)>
(Overseas) 0.5 0.82.5 IT 1.3 0.2 (Overseas)
<U 0.2
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3.1 0.9
< Private sector (*3)><C Government sector (*2)Z>
Universities(*l) Government(*2) Private(*3)(In) ; (Out) (In) (Out) (In) ; (Out)
(Moved to)(l)Overseas institutions i.2 : 0.4 0.8 0.5 0.2 : 0.1(2)Domestic institutions
a. Universities (*l) 3.1 : 4.4 1.7 2.5 0 2 : 1.3b. Government (*2) 2.2 I 0.5 1.3 0.8 0.1 ; 0.3c. Private (*3) i.g : 1.3 2.0 1.4 0.9 1 3.1
TOTAL 8.i ! 6.5 6/1 5.2 1.4 ; 4.9
(*l) National universities-affiliated research institutes and the like, private universities’ research institutes (*2) National research institutes and the like, local public-funded research institutes (*3) Private research institutes, ventures, and others
2. Environment of researcher mobilityThe not high mobility of researchers in Japan is attributable to the presence of
Japan’s lifelong employment-based system, among others.In our research, we summarized related matters to this factor in following points.
• Lack of relevant social systems
• Lifelong employment-based pay structure
• Different pay structures taken by different sectors
• Post-doctorate system
vn
3. Actual state of major research institutions
In Japan research institutions are questioned not a few times about their rigid
personnel management and inactive personnel exchanges.
But, some research institutions are now moving to increase mobility and activate
R&D activities. We took two representative examples in our research. They are:
• The Institute of Physical and Chemical Research
• National Institute for Advanced Interdisciplinary Research (NAIR)
4. Actual state of researchers
In Japan where the lifelong employment based system gets deeply rooted, the
most major pattern of career pass among researchers is the promotion or raising of
status within the same organization.
In our research, we described the status quo by analyzing careers of university
researchers (at University of Tokyo’s School of Science, Research Course/Dept, of Science).
According to the analysis results, the inbreeding ratios (the ratios of those who
were in the doctor course after completing other universities/schools) were 33% among
professors, and 22% among assistant professors. The number of institutions having
served (incl. one’s own university) averaged 2.25 institutions among professors (incl.
the posts of professor, assistant professor and others held at other institutions), and
1.92 institutions among assistant professors.
Chapter 3 Actual State of Researcher Mobility in Western Countries
1. Environment of researcher mobility
1.1 Policy
As good examples of policy measures taken by Western governments to stimulate mobility of researchers, we focused on following in our research.
• U.S. policies to activate the resource of researchers at federal level• Researcher mobility in the EU
1.2 Institution/system
On environment of researcher employment, the actual state is summarized in following points.
• Status quo of researchers’ personnel management system in the private sector (USA)
• Health insurance and office change (USA)
• Tenure system of university teachers
vm
2. Actual state of major research institutionsResearch institutions in the U.S. and Europe have their own beliefs and systems
to prompt mobility of researchers.In our research, we grasped the actual state at the research institutions listed
below by collecting information open to the public and conducting interview surveys.
Governmental research institutions>
• Livermore National Laboratory (USA)
• Lawrence Berkeley National Laboratory (USA)
• Oak Ridge National Laboratory (USA)
• Maxplank Institute (Germany)<Universities>
• Stanford University (USA)
• University of California (USA)• Massachusetts Institute of Technology (USA)
• Vanderbilt University (USA)• Cavendish Laboratory, University of Cambridge (UK)
3. Actual state of researchers
3.1 Career analysisIn our study, we gathered and analyzed career data of university researchers
(specifically 101 faculties belonging to the School of Engineering and the School of
Science, MIT, as well as 86 faculties to the Engineering of UC Berkeley), then
summarized general trends in following points.
• Number of institutions having served (excluding one’s own university)
• Matching of belonging institutions (doctorate winning school — currently
teaching university, etc.)• Number of years of serving each position, and a period consuming before
reaching each positionOn the number of institutions having served (excluding one’s own university), the
faculties of MIT as a whole served an average 0.99 institutions, and those of UC
Berkeley 1.92 institutions.On matching of belonging institutions, those whose doctorate winning school and
currently teaching university were identical amounted to 50.5% of the faculties of MIT,
and 28.2% of those of UC Berkeley.The period between the year of winning a doctorate and inauguration as a
professor was 11.6 years among those at MIT, and 11.3 years at US Berkeley.
IX
3.2 Consciousness of researchers
In our research, we made interview surveys to researchers in the U.S. and
Europe to learn their consciousness in following points, among others, then figured out
the status quo.
• Their views on, and orientation toward, career up as researchers
• Motives of office change (when having such experience), and incentives for officechange
• Impediments to office change
• Views on mobility from researcher’s perspective
The interview surveys covered researchers (as well as those responsible for
personnel affairs) who belonged to following institutions.<USA>
• Massachusetts Institute of Technology (3 persons)• Stanford University (4 persons)
• University of California, Berkeley (3 persons)
• Lawrence Berkeley National Laboratory (2 person)• Private firms (personnel affairs managers & researchers)
<UK>
• Cavendish Laboratory, University of Cambridge (2 persons)<Germany>
• Munich Institute of Technology (2 persons)Note) Figures in parenthesis are the number of researchers interviewed.
Chapter 4 Challenges in Increasing Researcher Mobility Ahead
In the U.S. and Europe, researchers are highly mobile thanks to free competition among researchers, as well as the presence of system (rating system, etc.) that enables free competition.
In contrast, Japan’s researcher mobility is not necessarily high right now. In the
background, there is the lifelong employment based system, among others. This
system is good for realizing long-range planning of research activities. But, it also
has demerits, notably rigid personnel management and deteriorating activities due to
aging researchers. These can pose impediments to research activities, thus causing problematic situations.
To stimulate research activities in Japan in the days ahead, it is essential to help
install competitive environment by introducing fair rating/feedback systems, while
preserving and making the best use of outstanding merits of Japan’s unique system mentioned above.
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(58) (56) (56) (56)31—40 66.8 21.5 68.7 70.0
(247) (223) (217) (217)41—50 74.5 18.3 69.2 74.5
(243) (213) (208) (208)51—60 79.9 13.2 77.0 81.6
(214) (197) (196) (196)61— 91.1 3.4 90.6 90.6
(90) (89) (85) (85)^ m- 73.8 15.6 72.3 75.5
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#%A# 37.0 12.9 40.9 43.9(189) (171) (171) (171)
76.5 15.1 42.3 78.0(183) (159) (159) (159)
78.2 16.2 76.1 78.6(133) (117) (117) (117)
#±A# 88.4 21.1 80.0 87.4(112) (95) (95) (95)
88.5 16.7 87.2 87.2(87) (78) (78) (78)94.7 12.4 94.3 94.3
(113) (105) (105) (105)92.1 16.2 91.9 91.9(38) (37) (37) (37)
100.0 100.0 100.0 100.0(5) (5) (5) (5)
a# 74.1 15.3 72.5 75.6(860) (767) (767) (767)
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r#gB~a*s##~8i#j cowTii, #%, ###%, iom±Am<km&5^C0SiJ-££^UTl^o
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76.9 15.0 76.2 79.0(516) (467) (458) (458)
69.1 12.0 69.7 71.3(139) (125) (122) (122)
64.2 14.3 65.3 66.7(81) (77) (75) (75)78.0 5.5 75.9 77.8(59) (55) (54) (54)47.4 0.0 44.4 44.4(19) (18) (18) (18)25.0 0.0 25.0 25.0(8) (8) (8) (8)
70.0 1.0 70.0 70.0(10) (10) (10) (10)
ir?)# 100.0 100.0 100.0 100.0(28) (23) (22) (22)74.1 15.5 72.5 75.6
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32.9 (12.8) 18.0 (23.4) 14.5 (18.9) 13.2 (17.1) 9.3 (12.1) 7.6 (9.8) 3.7 (4.8) 0.8 (1.0) 516 (397.0)
89.9 (72.9) 50.8 (66.4) 56.4 (72.1) 60.7 (68.7) 55.2 (62.3) 34.5 (36.4) 50.0 (54.3) 80.0 (80.0)
4.3 (6.3) 43.9 (18.8) 10.1 (14.6) 8.6 (12.5) 8.6 (12.5) 20.9 (30.2) 3.6 (5.2) - (-) 139 (96.0)
3.2 (8.6) 33.3 (12.9) 10.5 (13.5) 10.7 (12.1) 13.8 (15.6) 25.7 (27.1) 1.2 (14.3) - (-)
2.5 (3.8) 11.1 (17.3) 49.4 (21.2) 9.9 (15.4) 3.7 (5.8) 17.3 (26.9) 4.9 (7.7) 1.2 (1.9) 81 (52.0)
1.1 (2.9) 4.9 (6.4) 30.1 (10.6) 7.1 (8.1) 3.4 (3.9) 12.4 (13.1) 10.5 (11.4) 2.0 (20.2)
5.1 (6.5) 20.3 (26.1) 3.4 (4.3) 27.1 (6.5) 13.6 (17.4) 18.6 (23.9) 11.9 (15.2) - (-) 59 (46.0)
1.6 (4.3) 6.6 (8.6) 1.5 (1.9) 14.3 (3.0) 9.2 (10.4) 9.7 (10.3) 18.4 (20.0) - (-)
#gB±# - (-) - (-) 5.3 (11.1) - (-) 63.2 (22.2) 31.6 (66.7) - (-) - (-) 19 (9.0)
- (-) - (-) 0.8 (1.0) - (-) 13.8 (2.6) 5.3 (5.6) - (-) - (-)
mm±# - (-) - (-) - (-) - (-) - (-) 100.0 (100.0) - (-) - (-) 8 (2.0)
- (-) - (-) - (-) - (-) - (-) 7.1 (1.9) - (-) - (-)
20.0 (28.6) 10.0 (14.3) - (-) 10.0 (14.3) - (-) 30.0 (42.9) 30.0 (-) - (') 10 (7.0)
1.1 (2.9) 0.5 (0.7) - (-) 0.9 (1.0) - (-) 2.7 (2.8) 7.9 (-) - (')
Z<DM 21.4 (21.4) 25.0 (25.0) 3.6 (3.6) 25.0 (25.0) 14.3 (14.3) 10.7 (10.7) - (-) - (-) 28 (28.0)
3.2 (8.6) 3.8 (5.0) 0.8 (1.0) 6.3 (7.1) 4.6 (5.2) 2.7 (2.8) - (-) - (-)
189 (70.0) 183 (140.0) 133 (104.0) 112 (99.0) 87 (77.0) 113 (107.0) 38 (35.0) 5 (5.0) 860 (637.0)
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(#^) 0.4 1.2(*i)>
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0.5 2.2 1.3 1.6
3.1 0.9
<&?$-£ 2 ?-(*3)>
*#(*1) M(*2) KPa1(*3)(M\) I (oittiti) (#:A) i (r^ttti) (;%\) | (mm)
(em&)(1)#^(D#M i.2 : 0.4 o.8 : 0.5 0.2 ! 0.1(2)gp*g(D#M
a.A#(*4) 3.i : 4.4 1.7 j 2.5 0.2 : 1.3b.m#(*s) 2.2 1 0.5 i.3 : 0.8 0.1 i 0.3c.sr0i(*6) 1.6 1 1.3 2.6 : 1.4 0.9 : 3.1
TOTAL 6.1 ; 6.5 0.4 ; 5.2 l.i ; 4.9
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E2)s 3 (1995 -1997 ¥$) GBmAL&m&g • smS(DWE> ^Atcj 3 (1995 - 1997 ¥$) emtitiLtzM%% • MSroW®, mATCJ TRIfM
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27 3 ^ (95 - 97 ^jg) (cEI&jfiAU/tSTStS ■ mfiSOWSL EAtc
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8 12% 3 25% 10 i 12% 16 19% 0 i 37 14%(2)mm(7)#Ma.B4Mi 2 3% 0 10 i 12% 27 32% 1 : 5% 40 15%
42 66% 2 17% 25 : 30% 7 8% 1 : 5% 77 29%c.A# 9 14% 1 8% 22 : 27% 22 26% 18 : 90% 72 28%d. 1 2% 0 -1 00 0 0 : 8 3%e.^\ X A -V — 2 3% 4 33% 2; 3% 0 0 ; 8 3%f.^©te(*3) 0 2 17% 7 ; 8% 13 15% 0 ; 22 8%
1.4 1.3 10.4 10.6 4.0 3.50KAW%#»(*4)(*D», MBEA^iJ (*2)min^^mm^{s (*3)KRg&;
@E 28 3 cadi 1-1)A#M) RW(*2) KfaK*3)
lML 2 ; 15% 7 ; 54% 30 55%2.WD 11 ; 85% 6 | 46% 25 45%(EAA)(1)#^<D#M 16 1 15% 10 : 12% 11 14%(2)0F*9O#g8 : 0% : 0% 0%
a.A#(*4) 40 ; 38% 22 ; 27% 10 13%b.M(*5) 28 ; 27% 17 ; 20% 3 4%c.SrB1(*6) 21 ; 20% 34 ; 41% 52 68%
8.1 6.4 1.4mA#%#m(*7)
(*D (*2) mij'Aimnmm (*3)(*4) msL^mmmawmm, (*5) (*6>
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(Etiti^)(1)#^0#M 1.2 0.8 0.2
(2)fflA©«Ma.A#(*4) 3.1 1.7 0.2
b.m#(*s) 2.2 1.3 0.1
c.gfWf(*6) 1.6 2.6 0.9
(*D (*2) (*3) a^ismnmm.(*4) i^f^BMiiai, (*5) m^iimnmm (*e)
mmnwm,(E) a 3 05-97 ¥S) i:G#mAL&m%# - eaaj &A-XI: TRI
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1.® L/ 18 39% 8 89% 01 3 i 60% 0 3 i 50% 32 36%2.W0 28 61% 1 11% 121 100% 2 I 40% 10 100% 3 : 50% 56 64%
(Etiti£)(l)^^#N 7 12% 0 9 i 10% 0 ; 3 3% 3 i 33% 22 5%(2)mm(D#M
a.S»il 17 3% 0 6 : 7% 0 i 7 7% 1 i 11% 31 7%63 24% 1 100% 12 i 14% 0 i 10 11% 1 i 11% 87 19%
c.A# 73 27% 0 41 1 48% 2 1 100% 66 69% 4 : 45% 186 40%a. 0 2% 0 8 ; 9% 0 ; 0 0 ; 8 2%e.'OA-V—- 4 1% 0 2 j 2% 0 ; 0 0 ; 6 1%f.f (D#(*3) 103 39% 0 9 ; 10% 0 ; 9 10% 0 ; 121 26%
5.9 0.1 7.2 0.4 10.6 1.5 5.3
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31 3 (ADIS 2-1)Emamms###-# A#(*l) M(*2) KPB1(*3)l.#L 3 19% 3 18% 26 ; 47%2.WD 13 81% 14 82% 29 : 53%(Earn
6 6% 9 10% 7 : 3%(2)aA0#M
a.A#(*4) 70 67% 43 48% 73 ; 27%b.M(*5) 8 8% 14 16% 17 ; 6%c.SrB1(*6) 20 19% 23 26% 171 ■ 64%
6.5 5.2 4.9am#5%#m(*7)
(*1) &AA##%EN (*2) »A£*WaE«W (*3) AA#E^EM. OiFf-ik#(*4) %AA#e%#N (*5) maeatm#, (*6) sp^e^em. 'o^-.# (*7) 3 f mm%AA&^«R»T#l3^A&
(&) s 3 (95-97 ¥S) i:E#aAi/7h#%# - #*####, eaaj
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ms 32 3 (mis 2-2)A#M) m#(*2) KPS(*3)
(Etiti5t)(D#^(7)#M 0.4 0.5 0.1(2)@a®«m
a.A#(*4) 4.4 2.5 1.3b.i&W(*5) 0.5 0.8 0.3c.RPp1(*6) 1.3 1.4 3.1
(*1) %aA#E%EM (*2) MJ}&±LWftmM (*3) A£SE%EB§, '03Lv-±M
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-23-
El# 33 US-JAPAN Wage Comparison
$ Japan
Age
(3) -t?
V^<E>o
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1995^2^^)
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It is expressly understood and agreed that the respective rights of the University and DOE are prior to and take precedence over any rights of the Company hereunder and the Company shall not be entitled to any rights or licenses, except as granted or approved by the University and DOE, in any invention or discovery within the scope of said patent agreement. Whenever any invention or discovery is made, conceived or developed by Consultant, solely or jointly, under this Consulting Agreement, the Company shall promptly furnish the University and DOE with information thereon sufficient for the purpose of affording timely resolution of whether the invention or discovery is within the purview of said agreement.
It is recognized that under Contract W 7405 ENG 48 between the University and DOE, the Consultant has an obligation to report to the University and DOE any technical data involved in the course of or under said Contract. This obligation on data takes precedence over any obligation on data under this agreement.
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(Associate Professor with Tenure) 91 81 83 95
(Associate Professor without Tenure) 73 86 87 78
Assistant Professor 184 171 180 182
nit 960 896 916 923
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temp.If 0.14 0.18 0.00 0.12
mit 0.16 0.18 0.00 0.14
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-133-
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-134-
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-135-
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(mm)Professor 1.05 4.95 11.62
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-136-
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-137-
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sm # 0.44 0.65 0.13 0.45
% 0.51 0.41 0.25 0.47
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temp.lt 1.08 0.76 0.88 1.00
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-138-
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-139-
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-140-
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-141 -
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-142-
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l) Professor Hermann A. Haus Massachusetts Institute of Technology
2) Prof. Donald P Clausing Massachusetts Institute of Technology
3) Prof. Kenneth Stevens Massachusetts Institute of Technology
4) Prof. Leonidas Guibas Stanford University
5) Prof. James Harris Stanford University
6) Prof. Yoshihisa Yamamoto Stanford University
7) Prof. Fritz Prinz Stanford University
8) Prof. C.K. Hari Dharan University of California, Berkeley
9) Assistant Professor Xu Liang University of California, Berkeley
10) Prof. Shmuel S. Oren University of California, Berkeley
-143-
l) Professor Hermann A. Haus
OEducation1954 Massachusetts Institute of Technology Sc.D.
OProfessional experience1987-pesent MIT Institute Professor1973-1987 MIT Elihu Thomson Professor1962-1987 MIT Professor1958-1962 MIT Associate Professor1954-1958 MIT Assistant Professor1956 1990 Raytheon Corporation Consultant1988-1990 Kokusai Denshin Denwa Consultant1959 Lawrence Livermore Laboratory Consultant1972-1973 Lawrence Livermore Laboratory Consultant1978-1990 Lawrence Livermore Laboratory Consultant1995 Eidgenossische Tbchnische Hochschule, Zurich Visiting ProfessorFeb.-June 1989 Cambridge University Visiting ScientistSept.-Dec. 1984 AT&T Bell Laboratories Visiting ResearcherFeb.-Mar. 1995 AT&T Bell Laboratories Visiting ResearcherJuL-Sept 1984 Bell Communications Research Laboratories Visiting ResearcherJan.-Feb. 1985 NTT Visiting Researcher1985 Tbchnische Universitat, Vienna Visiting ProfessorJan. 1980 Tbkyo Institute of Technology Visiting Professor1974-1975 Bell Laboratories Visiting Scientist1984 Bell Laboratories Visiting Scientist1995 Bell Laboratories Visiting ScientistSummer 1968 University of California, Barkeley Gordon Mackay Visiting Professor1959-1960 Tbchnische Hochschule, Vienna Visiting Professor
54 56 58 59 60 61 62 . . 68 . . 72 73 74 75 76 77 78 79 80 . . 85 86 87 88 89 90 . . 95 96 . . 01MIT jSc.D.
Assist. Prof. Assoc. Prof. Prof. Elihu Thomson Prof.
MIT Institute Prof.
Technische Hochschule, Vienna Visiting Prof.
University of California, BarkeleyGordon Mackay Visiting Prof.
Eidgenossische Technische Hochschule, ZurichVisiting Prof.
Technische Universitat, Vienna Visiting Prof.
Cambridge University ^siting Scientist
Tokyo Institute of Technology ^Visiting Prof.
Raytheon Corporation Consultant
Lawrence Livermore Laboratory Consultant Consultant Consultant
Kokusai Denshin Denwa Consultant
Bell Laboratories yigiting Scientist Visiting Scientist Visiting Scientist
Bell Communications Research Laboratories Visiting Researcher
AT&T Bell Laboratories Visiting Researcher Visiting^Researcher
NTT Visiting Researcher
-144-
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-146-
2) Prof. Donald P. Clausing
OEducation
1962-1966 California Institute of Technology, Materials Sciences PhD
OProfessional experience
Jun. 1952-Apr. 1954
Apr.1954 - Apr. 1956
May 1956 - Mar. 1957
May 1957 - Aug. 1961
Jun.1966 - Mar. 1972
Apr. 1972-Mar. 1986
Apr. 1972-Nov. 1977
Nov.1977- Feb. 1981
Feb.1981-Nov.1981
Nov 1981 - Mar. 1986
Mar. 1986-Aug./2000
Mar. 1986 - Jun. 1995
JuL1995 - Aug.2000
Ingersoll-Rand Co., PhiUipsburg, NJ Engineer
U. S.Army Sp/3
Westinghouse Electric Company, Pittsburgh
Ingersoll-Rand Co., PhiUipsburg, NJ
U.S. Steel Corporation, Pittsburgh, PA
Xerox Corporation, Rochester, N.Y., as foUows-
Paper Handling Technology Center
Paper Handling and Mechanical Technology
Mechanical Engineering
Engineering Quality
Engineer
Engineer
Senior Scientist
TbchnicalSpecialist/Project Manager I
Manager
Manager
Principal Engineer
Massachusetts Institute of Technology (MIT)
Bernard M Gordon Adjunct Professor of Engineering Innovation and Practice
Xerox FeUow in Competitive Product Development
52 535455565758596C6162 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 ■•■95 96 •••00 01
California Institute of Technology
HiDt
Bernard M GardenMIT Adjunct Pra£
Xerox FeUow
U. Si ArmySp/3
Ingersoll-Rand Co.Engineer Engineer4----► 4----------►
Westinghouse ElectricCbnpany
Engineer
U.S. Steel CorporationSenior Scientist
4---------------------- ►
Tfechnical Sperialist/Pnqject Nfenage:Xerox Corporation 4------------------- M----------- H-N----------------►
Minager Nfanager Principal Engineer
-147-
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-149-
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-150-
3) Prof. Kenneth Stevens
OEducation
1952 Massachusetts Institute of Technology
OProfessional experience
1945- 19461946- 16481951- 19521952- 1954 1952-1988 1954-1957 1957-19631962- 19631963- 19771968- 1972
1969- 1970 1972
1977-present1983-1986
1988-present1991-present
Ontario Research Foundation University of Tbronto Massachusetts Institute of Technology Massachusetts Institute of Technology Bolt, Beranek and Newman, Inc.Massachusetts Institute of Technology Massachusetts Institute of Technology Royal Institute of Technology, Sweden Massachusetts Institute of Technology Communicative Sciences Study Section,NIH division of Research Grantts University College, London, Department of Phonetics
Communicative Sciences Study Section,NIH Division of Research Grants Massachusetts Institute of Technology National Advisory Council on Neurological and Communicative Disorders and Stroke, NIH Sensimetrics Corporation MGH Institute of Health Professions
Sc.D.
FellowInstructorInstructorResearch Staff Member Consultant Assistant Professor Associate Professor Researcher Professor
MemberVisiting Professor
ChairmanC.J. LeBel Professor
Member Consultant Adjunct Professor
45 46 47 48 .. 51 52 53 54 55 56 57 .. 62 63 .. 68 69 70 71 72 .. 77 .. 83 84 85 86 87 88 .. 91 .. 01
University of Toronto Instructor
MIT 0&-D-
Instructor Assist. Prof Assoc. Prof C.J. LeBel Prof
Research Staff Member Prof
University College, London Visiting Prof
Ontario Research Foundation Fellow
National Advisory Council onNeurological and Communicative MemberDisorders and Stroke, NIH
Communicative Sciences Study Section,NIH division of Research Grants
MGH Institute of Health Professions Adjunct Prof
Royall Institute of Technology, Sweden Researcher
Bolt, Beranek and Newman, Inc Consultant ^
Sensimetrics Corporation Consultant (
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4) Prof. Leonidas Guibas
OEducation1976 Stanford University Ph.D under the supervision of Donald Knuth.
OProfessional ExperienceHis main subsequent employers were Xerox PARC, MIT, and DEC/SRC.
He has been at Stanford since 1984 as Professor of Computer Science. He has produced several Ph D. students who are
well-known in computational geometry, such as John Hershberger, Jack Snoeyink, and Jorge Stolfi, or in computer
graphics, such as David Salesin and Eric Veach. At Stanford he has developed new courses in algorithms and data
structures, the mathematical foundations of computer graphics, and geometric algorithms.
Professor Guibas was recently elected an ACM Fellow
OSS
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5) Prof. James Harris
OEducation1969 Stanford University PhD.
OProfessional experience1969-1972
1972-1978
1978-1980
1980-1982
1985-present
Rockwell International
Rockwell International
Rockwell International
Rockwell International
Joint Services Electronics Program
Member of Technical Staff
Manager Infrared Devices
Principal Scientist
Director Optoelectronics
Director
69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 . . 92 . . 97 . . 01Stanford University PhD.
ijames and Ellenor Chesebrough Prof.
Stanford Univ.Solid State Laboratory
Stanford US-JapanTechnology Management Center
pirector
Principal Investigator
Joint Services Electronics Program pirector
Rockwell International Member of Technical Staff Principal Scientist
Manager Infrared Devices Director Optoelectronics
-156-
OEM
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-158-
6) Prof. Yoshihisa Yamamoto
OEducation
OProfessional experience
1978-1987 NTT Basic Research Laboratories, Japan Scientist
1982-1983 Massachusetts Institute of Technology, USA Visiting Scientist
1985 Royal Institute of Technology, Sweden Visiting Scientist
1987-1992 Yamamoto Research Group,NTT Basic Research Laboratories, Japan Leader
1989 AT&T Bell Laboratories, USA Visiting Scientist
1991 Stanford University, USA Acting Professor
1992 Tianjin and Fudan Universities, China Guest Professor
1992-present Applied Physics and Electrical Engineering, Stanford University, USA Professor
1993-1998 ERATO, JRDC Director of Yamamoto Quantum FluctuationProject
1994-1999 NTT Basic Research Laboratories, Japan Distinguished Technical Member
1999-present ICORP, JST Director of Quantum Entanglement Project
1999-present NTT Basic Research Laboratories, Japan Fellow
78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 00 01
MIT Visiting Scientist
Royal Institute of Technology, Sweden
Visiting Scientist
Stanford University, USAActing Prof. Prof.
Tianjin and Fudan Universities, China
Guest Prof.
NTT Basic Research Laboratories, Japan
Scientist Leader, Yamamoto Research Group Fellow
Distinguished Technical Member
ERATO, JRDC Director of Yamamoto Quantum Fluctuatin Project
AT&T Bell Laboratories, USA Visiting Scientist
ICORP, JST Director of Quantum Entanglement Project
-159-
1978^U^A#TPh.d J£AP£, NTT SWU IS^^BfMo 1982-83
U MIT, 1985 ^\Z the Royal Institute of Technology (X x—fr >), 1989
FlfT Visiting Scientist <h LT&flETiF^o 1991 HXf, 1992
^■\Z Tianjin and Fudan Universities (4*111) Visiting Professor
(NTT 15¥fl9£ET) 1992 X777^-
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-161-
7) Prof. Fritz Prinz
OEducation1975 Physics, University of Vienna PhD.
OProfessional experience1976-1977 Department of Solid State Physics, University of Vienna University Assistant
1977 Department of Mechanical Engineering,Massachusetts Institute of Technology Visiting Assistant Professor
1977-1979 Department of Solid State Physics, University of Vienna University Assistant
1979-1980 Department of Mechanical Engineering,Massachusetts Institute of Technology Visiting Associate Professor
1980-1983 Department of Mechanical Engineering,Carnegie Mellon University Assistant Professor
1980-1994 Robotics Institute, School of Computer Science,Carnegie Mellon University Member
1983-1987 Department of Mechanical Engineering,Carnegie Mellon University Associate Professor
1987-1994 Department of Mechanical Engineering,Carnegie Mellon University Professor
1989-1994 Engineering Design Research Center,Carnegie Mellon University Director
1994-present Departments of Mechanical Engineering and Materials Science and Engineering, Stanford University Rodney H. Adams Professor
of Engineering1995-present Alliance for Innovative Manufacturing (AIM) Co Chair
75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 . 94 95 96 . . 01University of Vienna
Carnegie Mellon University
PhDUniversity Assistant
Assist. Prof. Prof.
Assoc. Prof.
Robotics Institute, School of Computer Science, Carnegie Mellon University
Engineering Design Research Center,Carnegie Mellon University
Stanford University
MIT
yember
Director
Rodney H. Adams Prof.
Visiting Assist. Prof.-*> -4—►
Visiting Assoc. Prof.
Alliance for Innovative Manufacturing (AIM) Co Chair•4----------------- ►
-162-
1977 ^\Z Visiting Assistant Professor il/T MIT (C 1980 ^IZ^J——7 □ 7
A#(Z) Assistant Professor (CgtfTl/x GAI# 14 (1983 # Associate
Professor > 1987 ¥ Professor \ZWM)oJt(D'& 1994 >7
NSF
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-164-
8) Prof. C.K. Hari Dharan
OEducation
1968 Mechanical Engineering, University of California, Berkeley Ph D.
(^Professional experience
1965-1968 Lawrence Berkeley Laboratoiy,U.S. Department of Energy, Berkeley California Graduate Research Assistant
1968-1975 Ford Motor Company Dearborn, Michigan Principal Research Scientist
1975 1980 Ford Aerospace and Communications Corporation,(now, Space Systems/Loral), Palo Alto, California
Manager of Advanced Materials DepartmentSenior Staff Scientist and
1980-1982 Communication Satellite Corporation,Palo Alto, California Department Manager,
Spacecraft Engineering Division
1982-present Berkeley Composites Laboratory,Department of Mechanical Engineering,University of California, Berkeley, California Professor and Director
1982-present Space Systems Group, Space Systems Laboratory,University of California, Berkeley, California Principal Investigator
1982-present International Telecommunications Satellite Organization(INTELSAT) Consultant
1982-present Ford Aerospace and Communications Corporation Consultant
1982-present Comsat Corporation Consultant
1982-present Sandia National Laboratories Consultant
1982-present Space Systems/Loral Consultant
65 66 67 68 . . . . 75 76 77 78 79 80 81 82 83 84 ......................................... 01
University of California, Berkeley PhD. Prof.O 4-------------------------------------------------- ►
Berkeley Composites Laboratory,University of California, Berkeley Director
Space Systems Group, Space Systems Laboratory, University of California, Berkeley
Principal Investigator
Lawrence Berkeley Laboratory,U.S. Department of Energy Graduate Research Assistant
Ford Motor Company, Dearborn, Michigan Principal Research Scientist
Ford Aerospace and Communications Corporation (now, Space Systems/Loral)
Senior Staff Scientist and Manager of Advanced Materials Department
Communication Satellite Corporation Department Manager, Spacecraft Engineering Div.
Ford Aerospace and Communications Corporation Consultant (
Comsat Corporation Consultant
Sandia National Laboratories Consultant
Space Systems/Loral Consultant
INTELSAT Consultant r
-165-
omm
1968 ^ U C /X—9 V—7 Ph.d 14 EPai ( Ford Motor Company
/ Ford Aerospace and Communications Corporation / Communication Satellite
Corporation) \ZpftMo 1982 UC /X—]y—(D^k^tlZfflciHio
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-166 -
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9) Assistant Professor Xu Liang
OEducation
1994 University of Washington Ph D. in Hydrology and Water Resources
OProfessional experience
1994-1996 Department of Civil Engineering & Operations,Princeton University
1996-1998 Joint Center for Earth Systems TechnologyGoddard Space Flight Center,NASA/University of Maryland
1998-present Department of Civil and Environmental Engineering,University of California, Berkeley
Research Associate
Research Scientist
Assistant Professor
94 95 96 97 98 99 00 01
University of Washington C jPh.D
Princeton University Research Associate
University of California, Berkeley Assist. Prof.◄----------------------- ►
Joint Center for Earth Systems TechnologyGoddard Space Flight Center, NASA/University of Maryland Research Scientist
◄------------►
-168 -
OEBUniversity of Washington T Ph.d Princeton University 7 Research Associate
2 NASA U th—7"t— © Research Scientist iCistl ‘Tl ^-6o -7 U T [n]
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-169-
10) Prof. Shmuel S. Oren
OEducation1972 Stanford University Ph D. Engineering Economic Systems
OProfessional experience1965 1969 Israeli Defense Forces Lieutenant1970-1972 Stanford University Teaching and
ResearchAssistant1972-1980 Xerox Palo Alto Research Center ResearchScientist1972-1980 Engineering Economic Systems, Stanford University ConsultingProfessor1980-1982 Engineering Economic Systems, Stanford University AssociateProfessor1982-1984 Department of Industrial Engineering and
Operations Research, U.C. Berkeley AssociateProfessorJuL 1985-Jan. 1986 TfelAviv University, Israel Visiting ProfessorMay 1992-Jul 1992 American University of Armenia, Yearvan, Armenia Visiting Professor1986-1992 Department of Industrial Engineering and
Operations Research, U.S. Berkeley ChairmanAug. 1993-Oct 1993 University of Canterbury Christchurch, New Zealand Erskine FellowSept. 1999-Jan. 2000 ITT, Madrid, Spain Visiting Professor1980-present Electric Power Research Institute Consultant1980-present SRI International Consultant1980-present Applied Decision Analysis Inc. Consultant1980-present Niagara Mohawk Power Corporation Consultant1980-present New England Electric System Consultant1980-present Trans Power New Zealand Consultant1980-present Pacific Gas and Electric Co. Consultant1980-present Hagler Bailly Consulting Co. Consultant1980-present Edison International Consultant1980-present Entergy Consultant1980-present Brazilian Electricity Regulatory Agency Consultant1980-present Tfexas Public Utility Commission Consultant1995-present Power System Research Center - Berkeley site Director1984-present Department of Industrial Engineering and
Operations Research, U.C. Berkeley Professor
65 . . 69 70 71 72 ............................. 80 81 82 83 84 85 86 . . 92 93 94 95 . . 99 00 01Stanford University 0Ph.D.
Consulting Prof. Assoc. Prof.Teaching and Research Assistant
U.C. Berkeley Assoc. Prof. Prof.
Tel Aviv University, Israel Visiting Prof.
American University of Armenia Voting Prof.
University of Canterbury, Christchurch, New Zealand Erskine Fellow
IIT, Madrid, Spain Visiting Prof.
Israeli Defense Forces Lieutenant
Xerox Palo Alto Research Center Research Scientist
Electric Power Research Institute Consultant (
SRI International Consultant
Applied Decision Analysis Inc. Consultant
Niagara Mohawk Power Corporation Consultant
New England Electric System Consultant
Trans Power New Zealand Consultant
Pacific Gas and Electric Co. Consultant
Hagler Bailly Consulting Co. Consultant
Edison International Consultant
Entergy Consultant
Brazilian Electricity Regulatory Agency Consultant
Texas Public Utility Commission Consultant
Power System Research Center - Berkeley site Director
-170-
Ph.d ifnv^^T 8 4#^(7)^77^ ^Ul/7^ ^i/a >7o//^AC#
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-171-
l) Head Robert G. Stokstad Lawrence Berkeley National Laboratory
2) Principal Investigator
Kathryn A. Striebel Lawrence Berkeley National Laboratory
-172-
l) Robert G. Stokstad
OEducation1966 California Institute ofTechnology
OProfessional experience
PhD.
1967 California Institute ofTechnology Research Fellow
1968 Niels Bohr Institute, Denmark NSF Postdoctoral Fellow
1968-1970 Yale University USAEC Postdoctoral Fellow
1970-1974 Yale University Assistant Professor of Physics
1974-1980 Oak Ridge National Laboratory Research Staff Member
1980-present Lawrence Berkeley National Laboratory Senior Staff Scientist
1981-1991 88-Inch Cyclotron Facility Scientific Director
1993-present LBNL Institute for Nuclear and Particle Astrophysics Head
66 67 68 69 70 71 72 73 74 . .
o>00g 93 . . 01California Institute of Technology ^ PhD.
Research Fellow
Yale University USAEC Postdoctoral Fellow◄------- -------------------- ►
Assist. Prof, of Physics
Oak Ridge National Laboratory Research Staff Member
Lawrence Berkeley National Laboratory ^Senior Staff Scientist
LBNL Institute for Nuclear andParticle Astrophysics Head◄-------—►
Niels Bohr Institute, Denmark NSF Postdoctoral Fellow
88 Inch Cyclotron Facility Scientific Director◄------------ ►
-173-
Yale University IT Assistant professor 6& 0 , A 0 fi?, 1974 tfil Oak Ridge National
Laboratory, 1980 1: Lawrence Berkeley National Laboratory ■'y 6 o T C A Q
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2) Kathryn A. Striebel
OEducation1987 University of California Ph D. Chemical Engineering
OProfessional experienceEnvironmental Energy Technologies Division,Lawrence Berkeley Laboratory Principal Investigator
85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 00 01University of California oPh.D.
RffiAth
◄-----►
Postdoctoral fellowPaul Scherrer Institut
Environmental Energy Technologies Division,Lawrence Berkeley Laboratory
-176-
Lawrence Berkeley Laboratory
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(2)
CL7V
1) Dr. Bill Proud
2) Dr. Edmund Linfield
Cambridge Cavendish Physics Laboratory Department of Physics Cavendish Laboratory
Cambridge Cavendish Physics Laboratory Department of Physics Cavendish Laboratory
-187-
l) Dr. Bill Proud
OEducation
OProfessional experience 1992-1993
Summer 1993
Jan. 1994 to present
Oct. 1996-Oct. 1999
Nov. 1999-present
The University of Huddersfield
Universidade Estadual Paulista,Sao Paulo, BrazilCavendish Laboratory Cambridge
Clare Hall
Clare Hall
Lecturer
Visiting Lecturer
Research Assistant, Physics and Chemistryof Solids (P.C.S.) Section, headed by Professor J.E. Field FRSResearch Fellow
Life Member
92 93 94 95 96 97 98 99 00 01
Clare Hall Research Fellow
Life Member◄--------------- ►
The University of HuddersfieldLecturer* *
Universidade Estadual PaulistaVisiting Lecturer
Cavendish Laboratory, Cambridge Research Assistant
-188-
•1987 Univ. of Newcastle upon Tyne (C 4o V ^ T flEdr U- & 1$L%
>yy y?),
-1990 Ph.D.^%#-*])'^'—:^(D~fUi/jL/7 h&U^^GDffiSb£fr,c>Tl^<5 (Case Funding-b 177 2
A#^6l772T^>M, yoix%7h[:j;3i:M^6)
•1990-1992 Univ. of Barcelona \Z 7 x D-•> y 7°ffi$c^
aLT#^<E:##E.
1992-1993 Univ. of Huddersfield (C^V^Tlb^^^CDliBrp
-1993 ¥©I, 3 AH, 1f>/^n^^U4o^T^MU^^Jr-
1994 ^-7" >*7 lJ y ^>x^ y HT physics & Chemistry of
solids group GD^Jt (contract)
omm#
U y h%>
•#(D±#l:mTw< ^U±#^^3TW6 j; 0 0
<CUniv of Barcelona7>
•/Uhtoy-ll,
<CUniv of Huddersfield^
•#fU^7:#T^U77%y7 (%##P^±#)
•^# (/^-"74;>h(Dm: job for life) Uth-7<>7y^^.UV^
<7->yU y 7zL#^Bf>-A-x^^hm^O & Lecturer ^3^^(7)&6±#T#5%
omm
•#:%#&
0^(77#
-189-
2) Dr. Edmund Harold Linfield
OEducation
1991 The University of Cambridge Ph D.
OProfessional experience
1991-1993 The Cavendish Laboratory, Cambridge Research Associate in theSemiconductor Physics Group
1993-1997 The Cavendish Laboratory, Cambridge Research Associate in theSemiconductor Physics Group
1997- present The Cavendish Laboratory, Cambridge Assistant Director of Research in theSemiconductor Physics Group
1998-1999 GonviUe and Gains College, Cambridge Bye-Fellow and Assistant Director of Studies
1999- present Gonville and Gains College, Cambridge College Lecturer and Fellow
91 92 93 94 95 96 97 98 99 00 01
(
The Cavendish Laboratory, Cambridge
>Ph.D.
Research Associate
Assistant Director◄---------------------------------------- ►
Gonville and Gains College, Cambridge Bye-Fellow and Assistant Director of Studies
College Lecturer and Fellow◄--------------------- ►
-190-
OEM
-1986 7 BA
-199l¥iC^r>7"U v 7±#(:T Ph.D.^M#
1991-1993 47 1993—1997 ^CD 2 [hL X>X'lJ 7 7 '> ^M%MZ
^WT^X MX (7)#^##^#^:.
-1997 7 ^>rV 7 7 a. CO Assistant Director of Research (Lecturer) ch
75:6.-2002 6 6 5 ^mvmRtt^vmnmz'o < ^
o##%
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-191-
(3)
1) ft'jkffl
2)
(ya — T'J it——)
Technische Universitat Munchen Fakultat fur Physik der Technischen Universitat Munchen
Technische Universitat Munchen Fakultat fur Physik der Technischen Universitat Munchen
-192-
1) K£ : WAffl (->-79—77-)
OEducation
1970 The Tbchnische Universitat Munchen PhD (doctoral degree)
1975 The Tfechnische Universitat Munchen Habilitation
1997 University of Vilnius, Lithuania Honorary doctoral degree
OProfessional experience
1976 The University of Bayreuth, Germany Lecturer (Privatdozent) in
experimental physics
1978 The University of Bayreuth, Germany Full professor (C4, Lehrstuhl)
experimental physics
1993-present The Tfechnische Universitat Munchen Full professor.
Mar.-Nov. 1977 Ecole Polytechnique, Palaiseau, France Research stay abroad
Non-accepted offers fix a full professorship from other universities
1977 Siegen (in physical chemistry)
1977 Heidelberg (in applied physics)
1978 Koln (in experimental physics)
1992 Berlin (Humboldt University)
70 ■■■75 76 77 78 ■■• 93 94 95 96 97 98 99 00 01
The Technische Universitat Munchent
PhD (doctoral degree)
HabilitationO
Full professor4-------------------------------------------------------------------------►
University of Vilnius, Lithuania Honorary doctoral degreeO
The University of Bayreuth, GermanyLecturer (Privatdozent)
Full professor (C4, Lehrstuhl)◄-------------- ►
Ecole Polytechnique, Palaiseau, France Research stay
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1994 -1996 PhD student at physics chair Ell, TU Munich (Prof A Laubereau)
Doctoral degree Dr. rer. nat. (“summa cum laude")
OProfessional Experience
2000 - present Physics department, Technical University of Munich
Habilitation in experimental physics and
faculty member
1996 - 2000: The faculty of physics, Technical University of Munich
Researcher at the chair of Prof A Laubereau
1997/98: The Advanced Photonics Research Department,
Bell Laboratories, Lucent Technologies in Holmde! USA
Postdoctoral Member of the Technical Staff
with Dr. J. Shah, Dr. M C. Nuss and Dr. W. H. Knox
1988 -1992: Rodenstock Optical Works, Munich Freelance cooperator
88 • ■ 92 93 94 95 96 97 98 99 00 01
Technical University of Munich PhD student◄----------------------------►
Researcher<------------------------------------------------------------►
Habilitation in experimental physics and faculty member
Rodenstock Optical Works, Munich Freelance cooperator
Bell Laboratories postdoctoral Member <gf the Technical Staff
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Employee Handbook (^*—X • U y ................................................................................................9
Diversity Plan for ORNL (^*—X • U "J .....................................................................................38
Summary of Employee Benefits —X * U v ........................................................................49
Personnel Costs and Related Expenses (7—X * U v z/W\iLffi3ZPft) .........................................................54
Academic Recommendation Summary (tJ U 7 jr)]/~7>7LV XZft£) ......................................... 72
Sample Wording for Soliciting Letters (# U X )\/— ..........................................73
Sample Letter for Soliciting Evaluations from Outside Reviewers..................................................................75(* 1^)
Identification and Qualifications of External Referees..........................................................................................76
Personnel Policies and Procedures Manual (PPPM)• um:7S3L#F^0r)
INTRODUCTION
SECTION A: GENERALI. ResponsibilitiesII. Nondiscrimination and Affirmative ActionIII. Definitions
SECTION B: RECRUITMENT, SELECTION, AND HIREI. RecruitmentII. SelectionIII. Hire
SECTION C: PROMOTIONS AND TRANSFERI. PolicyII. ResponsibilitiesIII. Announcement of Promotion and Transfer OpportunitiesIV. Time Off for InterviewsV. Release of Employee to Accept TransferVI. Reviews Prior to Transfer
SECTION D: REGULATIONS ON EMPLOYEE CONDUCTI. ResponsibilitiesII. Personal Conduct-PolicyIII. Acceptance of Gifts and FavorsIV. Use of the Names of the Laboratory and the University of Califomia-PolicyV. Outside Employment-PolicyVI. Conflict of Interest-Policy and DefinitionVII. Patents and Reporting DiscoveriesVIII. Privileged Information-Policy and DefinitionIX. Reporting Improper Governmental Activities-Policy and DefinitionX. Protection Against Retaliation for Reporting Improper Governmental Activities-Policy and
DefinitionXI. Near Relatives
SECTION E: EMPLOYEE PERFORMANCEI. Performance AppraisalsII. Corrective ActionIII. Fitness for Duty
SECTION F: RECORDSI. AuthorityII. Public Access to Laboratory Public RecordsIII. Privacy of and Access to Laboratory Records Pertaining Specifically to Personal Data
SECTION G: BENEFITSI. HolidaysII. VacationIII. Sick LeaveIV. Use of Sick Leave and Vacation for Work-Incurred Injury or Illness
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V. Military LeaveVI. Leave with PayVII. Leave without PayVIII. Retirement SystemsIX. Group Insurance PlansX. Awards and Recognition Programs
SECTION H: GRIEVANCES AND ADMINISTRATIVE REVIEWI. Employee GrievancesII. Administrative Review
SECTION I: EMPLOYEE DEVELOPMENTI. PolicyII. DefinitionsIII. ResponsibilitiesIV. EligibilityV. General ProvisionsVI. Employee Development Programs and ActivitiesVII. Special Leaves with Pay
SECTION J: TIME, PLACE, AND MANNER REGULATIONS FOR EMPLOYEE ORGANIZATIONSI. PolicyII. Regulations Appendix 1 Appendix 2
SECTION K: SEPARATIONSI. Resignation-PolicyII. LayoffIII. Dismissal of Career EmployeesIV. Release of EmployeesV. End of AppointmentVI. Medical SeparationVII. DeathVIII. Retirement
SECTION L: WORK SCHEDULES, PAY, AND TIME REPORTINGI. Work SchedulesII. PayIII. Pay Computations, Paydays, and Paycheck DistributionIV. Time Reporting
SECTION M: REHABILITATION SERVICESI. Rehabilitation-PolicyII. ResponsibilityIII. Vocational RehabilitationIV. Reasonable AccommodationV. Trial EmploymentVI. Special Selection for Other Position
INDEX
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(Security Clearance) (7)y-V^SQ<>L(7)t)(D!:
SCIENTIST (200.0)CH-0465 Chemistry & Materials Science Directorate/ Materials Science and Technology Division Division: 9811 Post Date: 5/24/00 Salary: Open
Job Term: Flexible Term
Note: This is a Flexible Term (at will) appointment, not to exceed six years.
Nature and Scope of JobThe Materials Science and Technology Division of the Chemistry and Materials Science (CMS) Directorate has an immediate opening for a scientist. The Division provides a broad scope of fundamental and applied materials research capabilities to the Institution, as well as external funding agents. The successful candidate will be expected to make contributions in one or more of the following areas: direct LLNL programmatic areas, Office of Basic Energy Sciences research programs, Laboratory Directed Research and Development projects, and other externally funded materials related activities.
Essential Duties• Carry out applied theoretical or experimental work in the field of materials science. • Participate in understanding the fundamental aspects of a broad range of materials processing, properties and performance issues using experimental tools, computer simulation methods, or a combination of both.• Assist in developing research activities relevant to needs of Laboratory programs and/or external funding agencies as required. • Communicate research progress by means of publications, presentations, and internal reports. • Maintain good communications with Laboratory Programs and other materials science efforts at the Laboratory.
Marginal DutiesNone
Essential Skills, Knowledge, Abilities• PhD or equivalent in solid-state Physics, or Materials Science with applicable experience. • Expertise in the use of either advanced materials processing or characterization tools or with the development of advanced computational materials science capabilities on parallel computers. • Experience presenting talks at national conferences and publishing results in established scientific journals. • Demonstrated ability to do independent research in one or more of the pertinent areas of materials modeling and to lead a small research group. • Publication record and experience in relevant materials science areas. • Effective communication skills.
Desired Skills• Command of a broad spectrum of materials processing, performance and characterization concepts, and the ability to work on several important projects simultaneously. • Outstanding computational
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skills and knowledge of coupling on large and small platforms. • Excellent command of the English language, oral as well as written.
Security: Anticipated clearance level: P
Employment Rep.: Teri Kobayashi
PHYSICIST/NUCLEAR CHEMIST/NUCLEAR ENGINEER (200.0)NA-1381 Nonproliferation, Arms Control and International Security Directorate/Proliferation Prevention and Arms Control Program Division: 9840 PostData: 1/22/01 Salary: Open
Job Term: Indefinite
Note: This is an Indefinite Career position. Lab employees and external candidates may be considered for this position.
Nature and Scope of JobAn opening exists for a member of the Radiation Technology Group in the Proliferation Prevention and Arms Control Program (PPACP) of NAI with a strong experimental background. This group supports a broad range of research, development and applications of technology for PPACP. The successful candidate will be expected to work with a team developing new technologies to be applied to problems of arms control, nuclear smuggling, materials protection, control and accounting etc.; as well as providing technical advice to DOE and DoD arms control groups. The technical work may take place in a variety of settings both laboratory and field. A particular need is for someone to carry out measurements in Bldgs. 332 and 334 of the Superblock facility. Presentations to small and large groups, at the Laboratory and in Washington, as well as national and international travel will be expected. This position will report the Radiation Detection Technology Group Leader.
Essential Duties• Apply new technologies to real world problems of interest to the Nonproliferation and Arms Control community. • Conduct computer simulations for radiation detection processes. • Provide technical support and advice in the areas of radiation physics, nuclear chemistry or nuclear engineering to the DOE and DoD arms control world in the areas of arms control, smuggling, materials protection, control, and accounting. • Perform measurements on fissile material in the Superblock facility. • Make formal and informal presentations on technical work, both written and oral, to sponsors, clients and general audiences.
Marginal DutiesNone
Essential Skills, Knowledge, Abilities• PhD in experimental radiation physics, nuclear chemistry or nuclear engineering or equivalent level of knowledge and experience. • Experience and expertise in radiation measurements or nuclear physics. • Understanding of radiation transport and nuclear decay processes. • Computer modeling and programming capability for simulating radiation detection processes and developing data acquisition systems. • Experience successfully working with fissile material. • Familiarity with safety and security procedures necessary to work in the Superblock. • Demonstrated excellent written and oral communication. • Demonstrated ability to work independently or in a team.
Desired Skills• Knowledge of Russian language would be a plus.
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Security: Anticipated clearance level: Q
Employment Rep.: Alison Bradley-Carver
POSTDOCTORAL RESEARCHER (220.0)BS-0270 Molecular and Structural Biology/Biology and Biotechnology Research Program Division: 9862 Post Date: 4/7/00 Salary: Open
Job Term: Post Doctoral
Note: This requisition has two openings. This is a two year appointment with the possibility of extension to a maximum of three years.
Nature and Scope of JobThe Molecular and Structural Biology Division of the Biology and Biotechnology Research Program (BBRP) has an immediate opening for a postdoctoral researcher to conduct research in the field of DNA repair. Areas of specialization include enzymology and biochemistry of DNA repair proteins, protein interaction and mammalian protein expression. Will work under general supervision and interact with other members of the DNA repair group.
Essential Duties• Conduct research using a wide range of techniques in molecular biology, biochemistry and mammalian cell culture. • Establish and maintain laboratory protocols. • Present overviews of progress in experimental work at weekly meeting of the DNA repair group and in division seminars. • Independently develop research projects through peer review and evaluation. • Present results of research at national and international conferences. • Publish completed research in peer-reviewed literature.
Marginal Duties• Provide direction to participating guests and students conducting related experiments.
Essential Skills, Knowledge, Abilities• Recent PhD in molecular biology, biochemistry, cell biology or related discipline. • Experience in DNA transfection, mammalian cell culture, protein expression and purification. • Knowledge of literature in DNA repair proteins. • Ability to develop independent research projects as demonstrated through publication of peer-reviewed manuscripts. • Effective communication skills as demonstrated through presentation of seminars, oral presentations at meetings and/or teaching lectures. • Demonstrated ability with computers for manuscript preparation and data analysis. • A commitment to and demonstrated ability to perform collaborative research in a team environment. • Documented publication record.
Desired Skills• Expertise in protein expression in bacterial or baculovirus systems and protein purification using FPLC.
Security: Anticipated clearance level: P
Employment Rep.: Lori Fong
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Staff Scientist-Center for Structural and Molecular Biology
The Oak Ridge National Laboratory (ORNL) invites applications for staff members for the Center for Structural Molecular Biology (CSMB), funded by the Office of Biological and Environmental Research (OBER). The Center is being established as a result of a proposal submitted to OBER by a team of scientists from ORNL and Los Alamos National Laboratory and will include the construction of a specially designed facility for the study of biological molecules using small angle neutron scattering (SANS). This instrument is planned on the new cold source currently being constructed on the High Flux Isotope Reactor (HFIR), currently operating at a power of 85MW, and will complement a suite of instruments funded by the Office of Basic Energy Sciences (BES). More information available at: http://neutrons.oml.gov
The HFIR has a core flux exceeding 1015 neutrons/sec/cm2, which is similar to the High Flux Reactor at the Institut Laue-Langevin in France, currently the most powerful source of "cold" neutrons. Thus, the flux of the HFIR SANS instrumentation will rival that of the best facilities in the world. The Center will also include mass spectrometry (MS), computational biology resources, and a laboratory for preparation of SANS and MS samples.
ORNL is seeking qualified candidates to assist with the design, construction and optimization of the SANS facility and when the instrument has been brought on line. CSMB staff responsibilities will include assisting visiting researchers to conduct experiments, calibrating and maintaining the spectrometer, and participating in instrument and equipment development projects, including software development. These duties should occupy no more than two-thirds of the time of the instrument scientists, who will be expected to maintain an independent research effort using the OBER and BES- funded instrumentation. The ideal candidate will have experience in small angle neutron and x-ray scattering instrumentation and data analysis, its applications to structural biology, and computing expertise.
For immediate consideration, send a resume and list of 3 or more references to: Michelle Buchanan, CSMB Director, Oak Ridge National Laboratory, P.O. Box 2008, Oak Ridge, TN 37831-6124; Ph 865-574-4521; Fax 865-574-3036. More information about ORNL can be found at: http://www.oml.gov
Computer Scientist
The Oak Ridge National Laboratory's Computer Science and Mathematics Division is the premier division for research in high performance computing, applied mathematics, and intelligent systems. Basic and applied research programs focus on computational scie nces, intelligent systems, and information technologies.
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Successful candidate will participate in high performance computing research projects going on within the division doing algorithm development and computer programming.
Requires PhD or MS in computer science with 2 yrs experience in research areas listed or an equivalent combination of education and experience. Experience in computer modeling and simulation preferred. Candidates should have excellent communications skills, including a record of scientific publications, and a desire to work in a team environment.
All Qualified candidates are invited to send a current resume and a list of 3 or more reference to: Computer Science and Mathematics Division, Oak Ridge National Laboratory, PO Box 2008, Dept WWW-77727, Oak Ridge, TN 37831-6359 or e-mail to [email protected] information about the Oak Ridge National Laboratory and the Computer Science and Mathematics Division is available on the Internet at: http://www.oml.gov/, http://www.epm.ornl.gov/
Nuclear Fuel Engineer - Engineering Technology Division
The Engineering Technology Division at the Oak Ridge National Laboratory seeks to hire a Nuclear Fuel Engineer. The position supports a fuel fabrication process development and implementation team working on the Fissile Materials Disposition Program, which is an international program focused on mixed uranium-plutonium oxide fuel development/fabrication for existing Russian reactors.
Under the direction and supervision of a senior staff member, the successful candidate will be responsible for:
• Critical review of proposed nuclear fuel fabrication processes for uranium and mixed uranium-plutonium fuel
• Design of fuel fabrication processes and equipment• Critical review of equipment designs• Critical review of fuel fabrication data packages for completeness and technical merit
Additional responsibilities will include providing:
• ceramics engineering support for design of pilot and large-scale fuel fabrication facilities,• ceramics engineering assistance to fuel development efforts including participation in
irradiated fuel examination projects, and• planning and scheduling support for the creation of pilot and mission fuel fabrication
facilities.
The successful candidate will develop and negotiate statements of work for subcontracts related to all of the responsibilities listed above. Associated contract management duties will include progress monitoring and review of deliverables.
Position requires at least an M.S. in Materials Science or an equivalent field (or an equivalent combination of education and experience). Experience in a ceramic development laboratory, including graduate school activities, or a ceramic fabrication plant is desirable. The applicant should have a background in materials science focused on ceramic fabrication, including the cold-press-sinter process. Familiarity with nuclear engineering and/or nuclear physics is also desirable. Applicants with a nuclear engineering education will be considered if adequate knowledge of materials science can be demonstrated.
Strong interpersonal skills are required due to frequent interaction with domestic and international collaborators. Ability to communicate effectively verbally is essential. Frequent international travel is
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required. Individual trips are generally of limited duration (< 14 days), but the total number of trips may exceed 10 per year. To be considered, candidates must either possess or be capable of obtaining a DOE "Q" security clearance.
Qualified candidates are invited to send a current resume and a list of three or more references to: S. A. Hodge, Oak Ridge National Laboratory, P.O. Box 2009, Dept. WWW, Oak Ridge, TN 37831-8057 or E-mail to [email protected].
More information about the Oak Ridge National Laboratory is available at http://www.oml.gov
ORNL, a multiprogram research facility managed by UT-Battelle, LLC, for the U.S. Department of Energy, is an equal opportunity employer committed to building and maintaining a diverse work force.
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Employee Handbook (#—9 • U V
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Content!FOREWORD................................................................................... vii
A MESSAGE FROM THE DIRECTOR OF ORNL......................... lx
1. MISSION, VISION, AND WORKPLACEPRINCIPLES AND VALUES..................................................... 1MISSION.................................................................................. 1VISION ................................................................................... 1WORKPLACE PRINCIPLES AND VALUES................ ............ 1
2. CONDUCT.................................................................................3INTRODUCTION.................................................................... 3COMPANY RULES AND REGULATIONS..............................4
Inappropriate Behavior................................................. 5Attendance...................................................................... 6Hours of Work..................................................................7Inclement Weather........................................................ 7Appearance..................................................................... 8Drugs and Intoxicants....................................................8Use of Property and Materials...................................... 9Company Telephones......................................................10Fund Raising.................................................................... 11Community and Political Activities................................11Outside Employment.......................................................12Workplace Violence.......................................................... 12Reporting Arrests............................................................13
BUSINESS CONDUCT............................................................ 13Conflicts of Interest........................................................ 13Gifts, Gratuities, and Kickbacks......................................14Subcontractor Relationships........................................... 16Bidding, Negotiation, And Performance of Contracts 1 7 Purchase of Materials or Services................................... 17
Company Funds and Negotiable Documents........... 18INFORMATION SECURITY ANDPROTECTION......................................................................... 19
Protecting Information that We Acquire.....................21Protection of Proprietary Information........................... 22Sensitive-Country List......................................................23
RECORDS.................................................................................. 23THEFT AND FRAUD.................................................................24COMPLIANCE.......................................................................... 25
Company Directives.........................................................25Antitrust Laws................................................................... 25Securities Laws and Regulations.................................... 26Environmental Laws and Regulations...........................26Affirmative Action/Equal Employment Opportunity
Laws and Regulations................................................... 27International Business and Restrictive Trade Practices 28
3. SAFETY AND HEALTH ................................................................29SAFETY RULES........................................................................ 30ACCIDENT PREVENTION................................ 31
4. QUALITY .....................................................................................33
5. HUMAN RESOURCES................................................................. 35BENEFITS.................................................................................. 35
Benefit Plans......................................................................35Holidays..............................................................................35Vacation .............................................................................36Family and Medical Leave Act........................................36Leave.................................................................................. 36
COMPENSATION.....................................................................37AWARDS AND INCENTIVE PROGRAMS...............................37CAREER DEVELOPMENT......................................................... 38EMPLOYEE CONCERNS RESPONSE PROGRAM................ 39
OFFICE OF WORKFORCE DIVERSITY.................................... 40HEALTH PROGRAMS...............................................................40EMPLOYEE ASSISTANCE PROGRAM..................................... 40EMPLOYEE DISCIPLINE........................................................... 41
6. OTHER RESOURCES AND SERVICES........................................43BLOOD DRIVES........................................................................43COMPUTER SERVICES............................................................ 43COMMUNICATIONS...............................................................43LIBRARIES.................................................................................. 43TRAVEL .....................................................................................43PARKING FACILITIES................................................................44
7. HELPFUL CONTACT POINTS.................................................... 45
H
forewordThis handbook is a compilation of introductory information for employees at Oak Ridge National Laboratory (ORNL). The purpose of the handbook is to assist you in learning about ORNL, its policies, and its operation. It is a ,general guide to standards of ethics and conduct we are all expected to observe. More information about company policies and practices is available from your supervisor, Human Resources, or electronically on the ORNL intranet.
This handbook neither implies nor establishes an employment contract. Its contents summarize current policies and programs, and it is intended as an informational guideline only. ORNL retains the right to change, modify, suspend, interpret, or cancel in whole or in part any of its published or unpublished policies or practices, without advance notice, in its sole discretion, without having to give cause or justification to any employee.Recognition of these rights and prerogatives is a term and condition of employment and continued employment. As such, the contents of this handbook do not constitute the terms of an employment contract. Nothing contained in this handbook should be construed as a guarantee of continued employment, but rather, employment at ORNL is on an at-will basis. This means that the employment relationship may be terminated at any time by either the employee or the company for any reason not expressly prohibited by law. Any written or oral statement to the contrary by a supervisor, corporate officer, or other agent of the company is invalid and should not be relied upon by any prospective or existing employee.
To help you locate the phone numbers and URLs of organizations mentioned in the handbook, a list is provided in Section 7, Helpful Contact Points.
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A flle$$a?e from the Director of Oak Rid?e Rational Laboratory
Welcome to ORNL, a multiprogram Department of Energy (DOE) science and technology laboratory. As the director of ORNL, I hope that you will find working here to be a rewarding experience.
In carrying out our work at ORNL, we are governed by the following operational imperatives:
• Conduct all operations with due regard for the health and safety of all employees, guest scientists and engineers, visitors, and the public.
• Conduct all operations in a safe and environmentally responsible manner.
• Adhere to the highest professional and ethical standards in all activities.
• Support the execution of research and development missions with efficient, cost-effective business practices and support services.
• Acquire and sustain the intellectual and physical resources needed to explore challenging scientific and technical problems and to provide innovative solutions.
• Collaborate with universities, industry, other DOE laboratories, other federal agencies, and state and regional organizations to create new opportunities.
• Communicate the value of ORNL's research and development activities to a broad audience.
• Respect the value of other people's time.
The guidance in this handbook will assist you in incorporating these imperatives into your daily work and in understanding your role at ORNL.
Minion, Vision, and Workplace Principles
and Valuesmillion
As a multiprogram science and technology laboratory, Oak Ridge National Laboratory (ORNL) conducts basic and applied research and development (R&D) to create scientific knowledge and technical solutions that strengthen the nation's leadership in key areas of science; increase the availability of clean, abundant energy; restore and protect the environment; and contribute to national security.
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ORNL will advance the frontiers of science and technology through broad interdisciplinary R&D programs that answer fundamental questions, solve technical problems, and address the needs of society. Our vision is to be the best in each of our endeavors and to exceed the expectations of the U.S. Department of Energy (DOE), our community, our peers, and other sponsors of our programs.
Workplace Principles and ValuesORNL is dedicated to a code of ethics and business conduct, safe operation, and the health and job satisfaction of all employees. ORNL is subject to laws and regulations requiring special precautions and a heightened sense of integrity, excellence, and professionalism. We each are responsible for conducting business within both the spirit and the letter of the law and for avoiding even the appearance of questionable conduct.
Continuous improvement and behavior consistent with the highest ethical standards and our corporate values are the foundation of our success.
ORNL believes in the highest ethical and business conduct in carrying out our mission and vision. To achieve this, ORNL has adopted the following set of core values in guiding conduct:
We resolve to be the best in everything we do, guided by shared values that exemplify concern for people and working together to meet challenging goals.
(oncern for PeopleTreat each person with respect, fairness, openness, and trust. Protect the health and safety of one another and our community.
Ulorkin? TogetherCommunicate openly and honestly. Be responsible for the resources entrusted to us. Recognize the excellence in each other.
(hallen?inf Goal*Seek opportunities for continuous improvement. Take personal responsibility for customer satisfaction.
On this foundation we continue to build an outstandingcompany for all.
More information about ORNL Values can be found on the ORNL Values Web site.
ConductIntroduction
ORNL must satisfy strict government Standards. Activities that may bexissible for employees of other companies may not be permissible for ORNL employees. Our ultimate customer, the U.S. taxpayer, expects us to function with integrity, efficiency, and professionalism.
Through our organizational values, we will conduct business within the law. In doing so, we will display mutual respect for each other and our customers.
Through our dedication, we will fulfill our commitment to our customers, continuing as leaders in the areas of basic and applied R&D to advance the nation's energy resources, environmental quality, and scientific knowledge and to contribute to educational foundations and national economic competitiveness.
Through our vision, we will exceed the expectations of our customers, our community, and our peers.
As an employee at ORNL, you should always conduct yourself in a manner that is in compliance with the law and with the company's policies. You should become familiar with company policies and procedures that relate to employee conduct. ("Company" refers to Lockheed Martin Energy Research Corporation as the operating contractor for DOE.) If you have questions, ask your supervisor or access this guidance at the ORNL Directives and Guidance Web site.
Company Rules and RegulationsRules and regulations are established on Laboratory-wide and departmental bases, and employees are subject to appropriate disciplinary action for violation of established rules and regulations. Lab-wide rules include, but are not limited to the following:
• Employees are allowed inside the facilities only for official business purposes. No unofficial visits should be made without prior supervisory permission.
• Employees are prohibited from conducting personal business on company time or in work areas. Employees may not engage in solicitation for any purpose during work times. Employees may not distribute unofficial or nonbusiness literature during work times or in work areas.
• Equipment and resources are the property of the U.S. government and may not be used for other than official business. This includes the use of telecommunications equipment, including but not limited to telephones, computers, facsimile equipment, pagers, and electronic mail. You should refrain from making unnecessary calls. Government telephone, cell phone, or pager numbers are not to be listed in advertisements—or used—for employees' private businesses.
• Employees are expected to abide by all applicable local, county, state, and federal laws.
• Employees are not permitted to bring personal properly into the Laboratory, except for specific items authorized by supervision or small personal items that will not interfere with work performance or create safety problems or other problems.
• Government computers and computer research are for official business use only.
• Access to and usage of the Internet is for official business use only.
• ORNL's smoking policy prohibits smoking in all buildings and other enclosed structures. Smoking in vehicles is permitted only when the smoker is the sole occupant and when applicable safety regulations are observed.
• Employees must wear a seat belt when driving or riding in a government vehicle and in any vehicle when on government property.
Inappropriate BehaviorYou are expected to conduct yourself in a manner that promotes efficiency and safeguards the workplace for all personnel. You are also expected to follow any legal instructions from a supervisor that fall within company policy. The following is a list of some—but not all— inappropriate behavior that is grounds for disciplinary action, including termination "for cause":
• Taking or offering a bribe in exchange for a job, a contract, or any other company action.
• Willfully creating or approving a false company or government record (including employee time records and travel reimbursement requests).
• Sleeping during work hours.• Neglecting job duties or refusing or failing to comply with
or to carry out orders or instructions.• Inflicting indecent conduct or remarks, improper
proposals, harassment, or abusive or threatening language or gestures on another individual.
• Engaging in fighting, assault, battery, horseplay, or dangerous conduct on company premises.
• Engaging in—or promoting—gambling, including wagers, betting pools, and other games of chance regardless of the dollar value on ORNL property.
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• Possession of firearms, ammunition, or explosives on ORNL property (except by authorized individuals).
• Use of, possession of, or trafficking in illegal drugs, whether on or off the job or on or off ORNL premises.
• Misuse or destruction of government property, including the use of company or government information, resources, or equipment for personal benefit.
• Conducting outside business activities without management approval.
AttendanceYou are expected to be at work each day for which you are scheduled. We recognize that at times it may be impossible to report for work. Under such circumstances, you must notify your supervisor—either in person or by telen™one—in advance if possible. If the supervisor or his or her designee cannot be reached, the Laboratory Shift Superintendent (LSS) should be notified.
Every absence must be reported and is recorded as either excused or unexcused, which is determined by management. Reporting an absence and stating a reason do not necessarily ensure that the absence is excused. An excessive number of excused or unexcused absences or any unexcused absence for five or more consecutive days is cause for termination.
All employees must work in a responsible manner and keep absences other than vacation and holidays to a minimum. Tardiness, abuse of break and lunch periods, excessive unexcused absences, and failure to pursue assigned duties during work periods are examples of unacceptable behavior and may result in disciplinary action, including termination.
Upon returning to work after an absence of three days or more because of a non-occupational illness or injury or any absence that results from a work-related illness or injury, you must first report to the Health Division. When the Health Division is not open, you should report to your supervisor.
Hours of WorkWorking hours and shift schedules are established by management, are subject to change, and may vary among employees, depending on the demands of the job.
Various shift arrangements are available, including part-time and flexible work schedules in some instances. You should consult your supervisor regarding the availability of such work schedules within your particular work location or organization.
Inclement WeatherOn occasion, severe weather conditions make reporting to work difficult. Employees should make a genuine effort to report to work, but if they are unable to do so because of weather conditions, they should contact their supervisor or the LSS office as soon as possible.
Decisions and announcements regarding early dismissal of employees from work because of severe weather conditions (e.g., ice, heavy snow) will be made by the Laboratory Director's office.
Notification of work schedule changes will be announced on most local radio and television stations. Information is also available by telephoning the ORNL work and weather line, 574-XTEN (574-9836).
AppearanceAlthough ORNL does not have a dress code, employees are expected to use common sense and mature judgment to determine appropriate and suitable business dress for the workplace.
You should maintain your work areas in an orderly and neat manner to promote efficiency and safety. Materials that detract from the businesslike appearance of the work area are not allowed.
Draft and Intoxicant!Buying, selling, using, possessing, distributing, or manufacturing illegal drugs are prohibited by law and by ORNL policy, whether such actions occur on or off the job. Reporting to work under the influence of alcohol, using or possessing alcohol on company premises, or inappropriately using alcohol while on company business is similarly prohibited. Illegal drug-related paraphernalia is not permitted on any company premises.
All employees are prohibited from using illegal drugs and misusing or abusing alcohol, prescribed drugs, intoxicants, or other mind-altering substances. The Employee Assistance Program (EAR) is available to any employee who may voluntarily seek help to overcome a drug or alcohol problem. An employee's decision to seek assistance for a drug or alcohol problem is not a basis for disciplinary action, nor will it protect the employee from disciplinary action.
All employees are subject to drug or alcohol testing on the basis of reasonable suspicion of drug use or alcohol misuse or involvement in an unusual occurrence. Employees occupying certain commercial motor vehicle operator positions, and other positions determined to be safety or
security sensitive are subject to random drug testing on an ongoing basis. Substance abuse programs provide specified procedures for testing and rehabilitation. When rehabilitation is inappropriate or unsuccessful, appropriate disciplinary action—up to and including termination—may be taken. ORNL has initiated several government-mandated testing programs and reserves the right to initiate additional testing programs as deemed appropriate.
Ute of Property and materialsProperly, materials, and equipment at ORNL facilities are owned and provided by the government and are entrusted to the care of ORNL and its employees. Some equipment, materials, and parts are classified, and their existence, design, output, chemical form, quantity, dimensions, and other characteristics must be managed according to government regulations and are not to be discussed outside a secure area.
Supplies, materials, equipment, tools, documents, instruments, and even scrap material are the property of the U.S. government. We are not privileged to remove such items from the DOE facilities, except with official authorization. Employees who violate this regulation are subject to termination. Theft or misappropriation of property or materials belonging to subcontractors, vendors, service personnel, or other employees is handled as if the items were government property. In addition to immediate termination, anyone violating applicable laws will be subject to potential criminal prosecution.
All areas, buildings, equipment, offices, desks, lockers, enclosures, materials, and vehicles on ORNL property are subject to periodic inspection to ensure that illegal or prohibited articles are not present and to maintain security.
Security officers may ask to inspect any bundle or article being carried into or out of the facilities, including purses, lunchboxes, and briefcases. Security officers make these requests under orders given to protect the installation and its employees. When such requests are made, you are expected to cooperate fully.
Employees should report incidents of unauthorized removal of property to supervisors or to the ORNL Security Department.
Company Telephone!Company telephones are for official business use, and personal calls must be kept to a minimum. Under no circumstances are the costs of long-distance calls for other than Laboratory business to be charged to ORNL. For clarification, following are some examples of long-distance business calls that may be charged to the Laboratory:
• A call necessary for the transaction of official company business,
• A call by an employee injured on the job to notify his or her family or doctor, or
• A call by an employee required to work overtime without advance notice to notify his or her family of the schedule change or to make alternate transportation or child care arrangements.
In cases where personal long-distance calls are authorized, they must be placed collect, billed to your personal telephone credit card, or billed to your residence telephone number. Such calls may be made only in compelling circumstances or when the call cannot reasonably be made outside of working hours, and all calls must be limited to the minimum time necessary to fulfill the purpose.
fund RailingFund-raising activities cannot be conducted oh company premises. Company-sponsored drives, such as the United Way and U.S. Savings Bonds, are exceptions to this rule.
Community and Political flctivitieiAs private individuals, you are encouraged to participate actively in community and public affairs, but these activities must occur outside working hours. Policies regarding time charges when activities conflict with work schedules are available electronically through the ORNL intranet or from your supervisor.
You may take an active part in politics. Such activities, however, must be performed outside working hours and off company premises. You should make it clear that any political position taken is personal and is not the position of ORNL.
It is improper to
• circulate petitions at work seeking support from co-workers for any cause;
• distribute or post political pamphlets, leaflets, cards, etc., for candidates, groups, or ballot issues on company premises or in parking lots;
• use government/company bulletin boards to post political information;
• list company telephone numbers or addresses in any political campaign materials; or
• use government/company property for, or contribute such property to, any political party, candidate, or committee; this includes copying machines, fax machines, and telephones.
If you choose to run for or accept an appointment to a public office, you should review, in advance, the relevant ORNL rules and policies, including those pertaining to time off to serve. Ask your supervisor or consult the ORNL Directives and Guidance Web site for this guidance.
Outride EmploymentYou should not engage in outside employment, including self-employment, if such employment
• creates (or appears to create) a conflict of interest or• in any manner interferes with the proper and effective
performance of your ORNL duties.
An ORNL procedure defining when approval for outside activities is required can be accessed electronically (i.e., via the ORNL intranet).
K)° Workplace Violent?
ORNL is committed to maintaining a workplace free of violent conduct. ORNL identifies types of "violent conduct" as follows:
• physical and verbal threats to any individual's safety ii the workplace,
• intentional actions or words that could reasonably pr iduce fear of bodily harm or reasonably threaten the safety jf coworkers or others in the workplace,
• intentional actions that produce bodily harm to co-w >rkers or others in the workplace.
Violent conduct will not be tolerated and will result in disciplinary action that may include termination. All employees are expected to promptly report any acts ol violent conduct in the workplace to their supervisor or o ORNL security.
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Reporting ArreittAll employees holding a "Q" or "L" clearance are required to notify DOE and ORNL Security within five working days of any
• arrests by any law enforcement agency;• charges filed, including charges that are dismissed;• convictions; or• detentions by any law enforcement agency.
Traffic violations in which the imposed fine is $250 or less need not be reported.
Buiineii ConductAlthough actions by employees must comply with all Laboratory policies and procedures, the following discussion addresses business conduct of particular importance to ORNL.
Conflict* of InterestPersonal and organizational conflicts of interest can occur easily. If you believe that you may have a conflict situation, actual or potential, you should report all pertinent details to your supervisor. You must avoid financial, business, and personal relationships that might be opposed to our company's or the government's interests or that might impair your independent judgment related to company matters. Your supervisor will be responsible for referring the matter for review by our Contracts Division or Office of General Counsel as appropriate.
If you have any personal, financial, or immediate family interest with a supplier, you should report this fact and carefully follow any precautionary steps established by management. As an ORNL employee, you are prohibited
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from influencing the expenditure of funds or the disposal of material or equipment in a manner that results in direct or indirect personal gain. The policies and procedures for reporting possible conflicts of interest are available from your supervisor and the ORNL Directives and Guidance Web site.
Laws and regulations pertaining to former federal government employees, former military personnel, former members of Congress, and congressional staff and employees may impose restrictions on the duties that they may perform for ORNL, whether as consultants or employees. In some cases, we are prohibited from hiring such persons, regardless of the expected duties, and it may be illegal to make—directly or indirectly—any offer or promise of future employment or business opportunity to federal procurement officials. The ORNL Office of General Counsel should be consulted before former government employees or military personnel are hired or retained and before any discussions or contacts by company representatives with any federal procurement official regarding future employment or business opportunity. Questions about potential conflicts of interest may be directed to the Ethics Office, the Contracts Division, or the Office of General Counsel
Giftt, Gratuitiei, and KickbacksEmployees of federal, state, and local government agencies are governed by laws and regulations concerning acceptance of entertainment, meals, gifts, gratuities, favor, or promise of such actions from any individual or contractor with whom the agency does business or proposes to do business or over whom the organizations have regulatory authority that might cause judgment or impartiality to be questioned. It is the policy of ORNL to strictly comply with these legal restrictions. With regard to all federal executive
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branch employees and any other government employees who work for customers or potential customers, it is ORNL's policy to prohibit its employees from giving customers anything of value, other than promotional items of nominal value with supervisor approval.
With supervisory approval, ORNL employees are permitted to offer outside business associates advertising or promotional items of nominal value such as coffee mugs, calendars, or similar items displaying the company logo and to provide modest refreshments such as soft drinks, coffee, and doughnuts occasionally in connection with business activities. "Nominal value" is considered $10 or less. Managers making and approving expenditures for meals and refreshments must ensure that such expenditures are in the proper course of business and permitted under the applicable regulations.
Employees at ORNL are not permitted to accept any gift that has a retail or exchange value of $20 or more from individuals, companies, or representatives of companies having or seeking business relationships with ORNL. Gifts or gratuities with an exchange or retail value greater than $20 should be returned or delivered to the Ethics Office. If you have any questions about the propriety of a gift, gratuity, or item of value, contact the ORNL Ethics director or the Corporate Office of Ethics and Business Conduct for guidance.
Social relationships and entertaining friends and relatives who are government employees are acceptable if the relationships are truly social or personal and could not be perceived as an effort to influence business relationships. The entertainment must clearly not be related to the business of ORNL. No expenditure for social entertainment is reimbursable to any employee. The penalties for such actions can be severe for
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both the giver and the receiver. No offer of a gift or gratuity or actual gift or gratuity—including meals, tickets to sporting events, transportation, etc.—should be made to a government employee without a clear understanding that such a gift offer is permissible under the law and company policy. Contact the ORNL Ethics Director or the ORNL Office of General Counsel for guidance.
We must also adhere scrupulously to the letter and spirit of the Foreign Corrupt Practices Act, which prohibits giving money or items of value to a foreign official for the purpose of influencing a foreign government. The act further prohibits giving money or items of value to any person or firm when there is reason to believe that it will be passed on to a government official for this purpose. All matters pertaining to this statute or the use of business development consultants must be coordinated with the Office of General Counsel.
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lubcontrattor RelationihipsThe terms, conditions, and work statements in the subcontracts between ORNL and its suppliers must be met. We are responsible for ensuring that our subcontractors meet the requirements of their subcontracts. However, we may not improperly interfere with subcontractors. Some examples of prohibited behavior include the following:
• attempting to influence individual hiring, firing, benefits, or salary decisions of a subcontractor;
• becoming involved in the administrative supervision of subcontractors' employees;
• encouraging subcontractor employees to terminate their employment and join ORNL or another subcontractor; and
• permitting subcontractor employees to become involved in ORNL management activities.
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Bidding negotiation, and Performance of Contract*We must comply with the laws and regulations that govern the acquisition of goods and services by our customers. We will compete fairly and ethically for business opportunities. In circumstances where there is reason to believe that the receipt of nonpublic information is unauthorized, protect the information from further disclosure and immediately contract the ORNL Ethics Office or the Office of General Counsel . Advise your supervisor immediately if you suspect information was provided or released inappropriately.
Appropriate steps should be taken to recognize and avoid organizational conflicts in which one business unit's activities may preclude the pursuit of related business by another company business unit.
If you are involved in proposals, bid preparations, or contract negotiations, you must be certain that all statements, communications, and representations to prospective customers are accurate and truthful. Once awarded, all contracts must be performed in compliance with their specifications and requirements.
Purchaie of material* or Service*Materials and services for the conduct of the Laboratory's business must be acquired according to the prime contract with DOE, applicable procurement regulations, and good business practices.
We must be cost-conscious. It is imperative that we demonstrate sensitivity to controlling costs and obtain items and services of appropriate quality that optimize total value to the Laboratory and to DOE.
Employees who request the purchase of products or services should do so according to appropriate ORNL policies and procedures and should
• avoid describing materials or services to be purchased in a manner that unnecessarily restricts competition, unless sole-source or restricted competition procurement is justifiable;
• avoid taking actions with suppliers that obligate the company; only personnel of the Procurement Division can purchase products or services for ORNL or make changes to existing subcontracts;
• use the Small Purchase Credit Cards for authorized purchases only;
• not suggest sources of supply on any basis other than merit;
• avoid requesting a purchase from a supplier that would create a personal conflict of interest;
w • not disclose proprietary information furnished by a supplier;and
• not disclose to a supplier sensitive ORNL procurement information.
Company fundi and negotiable DocumentsEmployees must accept responsibility for knowing and observing the rules that apply to handling and use of government funds, credit cards, checks, and negotiable instruments. Any loss of company credit cards must be reported immediately to the Travel Office and the credit card company. Any loss of or discrepancy in funds or negotiable instruments must be reported immediately to management.
Completed expense statements should be submitted to management for approval within ten working days after completion of the activity for which the expense was incurred.
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You should exercise care and judgment about expenses incurred while on ORNL business. Expenses must be reasonable, directly related to official business, and in accordance with current policy and guidelines.
Information Security and ProtectionORNL is responsible for information and materiel security, property protection, and employee safety. We are all charged with honoring these commitments.
If job responsibilities require a security clearance, you are individually responsible for maintaining the clearance and for handling matters related to the clearance. Furthermore, ORNL requires that you adhere to prescribed methods for handling classified matter and that you report possible breaches of security that come to your attention. The ability to maintain the clearance is, in many instances, a condition of employment at ORNL.
Your responsibilities may include assisting with emergency situations when and if they arise. You are given periodic training or instructions on handling emergencies and may be asked to assist at assembly stations or aid in administrative control during emergency conditions.
The photographic badge issued to each employee is for identification while at work and used to access the facilities. Your badge should be protected against loss or misappropriation. Notify the Badge and Pass Office if your badge is lost or misplaced
Supervisors will schedule security orientations for new employees. Our general security responsibilities are as follows:
Wear the identity badge prominently displayed above the
waist on outer clothing at all times while in plant or laboratory areas. Do not wear identity badges to off-site public areas or use them for identification purposes outside DOE facilities.Do not allow anyone else to use your badge.Enter security areas only as required by your job. Immediately report to your supervisor any unauthorized personnel in work areas.Remember that a clearance alone does not authorize access to classified information in the work area or facility. Such access is granted on a "need to know" basis for the performance of your jobDo not release classified information except to personnel known to have an appropriate level of clearance and a "need to know."Strictly follow established procedures in handling, safeguarding, transferring, and storing classified documents and materials.Immediately report any unusual security-related incident or circumstance to your supervisor.Release information for publication or public use only after appropriate review through the Classification and Technical Information offices.Do not discuss classified information by telephone or where there is a possibility of being overheard by unauthorized personnel. Discussions of classified information may take place only in approved security areas.Adhere to DOE's "No Comment" policy in all communications with uncleared persons.Obey all security requests, signs, and instructions from protective forces personnel.The security system is in place for the protection of the facilities and employees. Do not attempt to circumvent the security system in any way.
• After obtaining a security clearance, your marriage to or living arrangements with a person who does not hold a DOE security clearance should be reported to DOE and ORNL Security within 45 days of the event.
• Remember that reporting requirements may apply to foreign travel. If your plans include visiting a sensitive country for either official or unofficial purposes and if you now have a security clearance or have had one within the last 5 years, you are required to attend a pre-travel security briefing. All other travelers are encouraged to attend. Information about foreign travel and security briefings is available from your supervisor or on the ORNL Security Department Web site.
Protecting Information that We AcquireProtecting information is vital to our mission and national security. This applies to ORNL-developed information and proprietary information of other companies pursuant to Work for Others (WFO) agreements and other business relationships. As custodians of sensitive information, employees are responsible for knowing how to protect information and for carrying out this responsibility. The U.S. government imposes severe penalties—ranging from fines to jail sentences—for persons who disclose classified information, and federal and state laws also prohibit the unauthorized disclosure of certain business-sensitive information.
As employees, we also have a responsibility for the protection and disposition of proprietary information, such as trade secrets, protected cooperative research and development agreement (CRADA) information, business confidential information, subject invention disclosures, etc.
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In general, you should know your security responsibilities and should never discuss any work or answer questions outside the installation on topics related to any sensitive or classified activities associated with your work or the activities of the facilities in which you are employed. Requests for such information should be referred to supervisory personnel.
Protection of Proprietary InformationProprietary information is any organization's information of commercial or strategic value to the future of the organization that has been designated as "proprietary.” ORNL's proprietary information, as well as information of other organizations entrusted to the care of ORNL, must be protected against theft, misuse, unauthorized duplication, and unauthorized disclosure. Before obtaining access to third-party proprietary information, each employee must formally agree to protect the information from unauthorized disclosure or use; the document must be reviewed by the Intellectual Property Section of the ORNL Office of General Counsel and signed by a senior management official. Proprietary information should be discussed only with employees who have a "need to know" and are authorized by the division or program manager to receive such information. These designated employees will be required to sign an Employee Proprietary Information and Invention Agreement before receiving proprietary information. Remember, being careless with other people's proprietary information could result in civil or criminal actions against an employee.
Proprietary company information must not be disclosed to anyone without proper authorization. Keep proprietary documents protected and secure. In the course of normal business activities, suppliers, customers, and competitors
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may sometimes divulge to you information that is proprietary to their business. Avoid these situations if possible, but immediately consult with the Intellectual Property Section of the Office of General Counsel if they occur.
foniitive-Countrij LiltCountries appear on this list for reasons of national security, terrorism, or lack of nuclear nonproliferation support and are subject to change. If you plan to travel outside the United States, contact the ORNL Security Department for a copy of the countries currently on the sensitive list. The list is also available on the ORNL Security Department Web site.
Because of the dynamic nature of world events, other countries may, at any time, become sensitive. Therefore, you should be cautious in dealing with citizens of countries not listed to ensure that sensitive information, although unclassified, is not inadvertently disclosed. The ORNL Security Department should be contacted in advance of travel outside the United States for guidance and information on requirements for reporting foreign travel.
RecordsApplicable laws and regulations establish the following requirements with regard to record keeping and communications:
• ORNL's statements and all books and records on which they are based must accurately reflect all transactions.
• All disbursements of funds and all receipts must be properly and promptly recorded.
• No undisclosed or unrecorded fund may be established for any purpose.
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• No false or artificial statements or entries may be made for any purpose in ORNL or company books and records or in any internal or external correspondence, memoranda, or communication of any kind, including telephone or wire communications.
Penalties for violations in the areas of record keeping and communications could be severe for ORNL as well as for the employee involved.
Theft and fraudTheft includes stealing of small-value items as well as more valuable ones. Failure to report inventions (including software) to ORNL or obtaining title to inventions without approval from the Laboratory may also be considered theft of government property.
It is specifically prohibited for any employee at ORNL to submit or to knowingly concur in the submission of any claims, bids, proposals, or other documents of any kind that are false, fictitious, or fraudulent. You and your manager are personally responsible for ensuring that time is recorded promptly and accurately. Fraud includes—but is not limited to—use of government property or funds for personal gain or activities involving falsification of the following:
• benefit claims,• purchase requisitions,• time records,• travel vouchers, or• other reports or records that are the basis for payment of
funds by ORNL.
ComplianceCompany Directive*
ORNL is committed to managing work through a system of documents called directives (e.g., policies, procedures, signs, instructions, work permits, and training). These documents provide management direction and establish standards for complying with the requirements we must implement. Employees are to conduct business and operations according to the appropriate directives.
All company-level directives are available on the Directives and Guidance Home Page on the ORNL intranet.
Antitrust Law*Antitrust is a blanket term for strict federal and state laws that protect the free enterprise system. The laws deal with agreements and practices "in restraint of trade" such as price fixing and boycotting suppliers or customers. The laws also bar pricing with the intention of running a competitor out of business; disparaging, misrepresenting, or harassing a competitor; stealing trade secrets; and engaging in bribery and kickbacks.
Antitrust laws are vigorously enforced. Violations may result in severe penalties such as forced sales of parts of businesses and significant fines for the company. Sanctions against individual employees, including substantial fines and prison sentences, may be imposed as well. These laws also apply to international operations and transactions related to U.S. import and export practices. Employees involved in any dealings with competitors are expected to know that U.S. and foreign antitrust laws may apply to their activities and to consult with the Office of General Counsel before negotiating with or entering into any arrangement with a competitor.
ieturitiei Law* and Regulation*The contractor managing ORNL for DOE is required by the U.S. Securities and Exchange Commission and the New York Stock Exchange to make prompt public disclosure of 'material information.' This information affects investor decisions and the market price of the corporation's shares.
It is against the law for employees to buy or sell the managing contractor's stock based on "insider" information. Play it safe; don't speculate in the securities of the managing contractor when you are aware of information affecting the company's business that has not been publicly released or when you are in situations in which trading would call your judgment into question. This includes all varieties of stock trading, such as options, puts and calls, straddles, selling short, etc. Two simple rules can help protect you in this area: (1) don't use nonpublic information for personal gain, and (2) don't pass along such information to someone else who has no need to know.
This guidance also applies to the securities of other companies (suppliers, vendors, subcontractors, etc.) for which you receive information in the course of your employment at ORNL.
Environmental Laurt and RegulationsORNL is committed to being a responsible steward of our environment and protector of our cultural and natural resources. These responsibilities include complying with all applicable environmental laws and regulations, obtaining and complying with permits, environmental monitoring, operation of treatment facilities, and application of other administrative controls. Given the number of laws and the volume of regulations and permits, full compliance is a daunting challenge. Ultimately, the responsibility for compliance belongs to each person at ORNL.
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Every employee is responsible for complying with environmental laws and regulations and for protecting the environment by preventing spills, by reducing waste through recycling and reuse whenever possible, and by properly managing chemicals and waste materials. Conditions such as spills, releases, or other observed practices that appear to be harmful to the environment or are perceived by the employee to be noncompliant with requirements should be reported immediately to the supervisor.
Affirmative Action/Equal Employment Opportunity Laurtand Regulation*
It is ORNL's policy to comply with all Equal Employment Opportunity (EEO) and Affirmative Action (AA) laws and regulations, and prohibit discrimination based on race, religion, color, sex, national origin, age, status as a Vietnam- era or disabled veteran, or physical or mental disability. All employees are expected to foster a work environment free from discrimination or harassment and should conduct themselves properly to ensure that their practices match ORNL policies. All employees are expected to be knowledgeable of these policies and procedures regarding AA and EEO and harassment. ORNL policies and procedures are available from your supervisor or on the Directives and Guidance site of the ORNL intranet.
Employees who observe or are subjected to any form of improper harassment, including but not limited to sexual harassment, should immediately report the matter to their supervisor, the Office of Workforce Diversity, or the Ethics officer. The matter will be promptly investigated, as confidentially as possible, and corrective action will be taken as appropriate.
International Business and Restrictive Trade PracticesThe Foreign Corrupt Practices Act (FCPA), a federal statute, prohibits offering anything of value to foreign officials for the purpose of improperly influencing an official decision. It also prohibits unlawful political contributions to obtain or retain business. Finally, it prohibits the use of false records or accounts in the conduct of business. Employees involved in international operations must be familiar with the FCPA.They must also be familiar with the terms and conditions of 1976 Securities and Exchange Commission and Federal Trade Commission consent decrees resulting from past issues. The FCPA and the consent decrees govern the conduct of all employees. If you are not familiar with documents or laws, consult with the Office of General Counsel before negotiating any foreign transaction.
International transfers of equipment or technology are subject to other U.S. government regulations such as the International Traffic and Arms Regulations (ITAR), which may contain prior approval and reporting requirements. If you participate in this business activity, you should know, understand, and strictly comply with these regulations.
It may be illegal to enter into an agreement to refuse to deal with potential or actual customers or suppliers or otherwise to engage in or support restrictive international trade practices or boycotts.
It is also important that employees doing business in foreigncountries know and abide by the laws of those countries.
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lafety and HealthAt ORNL we consider the safety and health of employees to be of paramount importance and the protection of the environment to be both a moral responsibility and a legal requirement. Our effort to prevent accidents and unsafe work conditions is promoted by making safety an integral part of all jobs at our installations and a significant factor in the design of equipment and job procedures. Operations and practices are evaluated and reevaluated continually to ensure that our facilities comply with prescribed standards for protecting health and safety and environmental protection regulations. Our policy is to integrate planning for safe operations into all work. An active hazardous materials control program has been designed to ensure that hazardous materials are handled properly and that employees are aware of potential hazards. Employees who handle such materials are responsible for protecting the environment by preventing spills and by disposing of waste materials appropriately.
ORNL furnishes equipment, tools, and protective devices needed to perform work safely. You are responsible for knowing and following established procedures for preventing occupational illness and injury and for protecting your health. Stop Work Authority is an important component of our safety program. All employees have the right and the responsibility to slop work that is considered to be unsafe.
Supervisors will instruct each employee in safe practices and safety equipment used for his or her particular work. Remember to follow all established health and safety,
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policies and instructions as directed by supervision, and report any unsafe acts, near misses, or hazardous conditions to your supervisor immediately.
Please keep address and telephone number information up to date at all times. If you become ill or injured on the job, such records are essential in contacting family members. ORNL employees should notify the ORNL Personnel Records office of any changes in personal information.
tafety RulesGeneral and specific safety rules and procedures are established for the protection of all. Our general safety responsibilities follow:
• Comply with all safety rules and regulations and posted safety and health requirements.
• Follow instructions and do not take chances. If you do not know the safety rule or the proper procedure for your job, ask your supervisor.
• Use the prescribed protective equipment for each job.• Report all injuries occurring on the job to your supervisor
and to the Health Division as soon as possible.• Use, adjust, or repair equipment only when authorized to
do so.• Use the right tool for the job and use it correctly and
safely.• Lift objects properly and always get help for lifting heavy
loads.• Do your part in maintaining a clean, uncluttered work
environment.• Be aware of and practice fire prevention and fire safety
rules.• Know and comply with all lockout/tagout procedures.• Report all accidents, unusual incidents, or near misses to
your supervisor immediately.
Accident PreventionThe Laboratory subscribes to and supports a philosophy th all reasonable measures will be taken to prevent occupational illness and injury, corrective measures should be taken in situations that have led to illness and injury, an continuous improvement in health and safety will be pursued. Individuals may, through negligence or willful conduct, contribute to illness or injury. If such a situation occurs, the safety and health guidelines of our Positive Discipline Program are followed. These guidelines are intended to provide all concerned with fair and just action
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Our Quality organization is responsible for the interpretation and implementation oversight of externally imposed quality assurance requirements. The Quality organization also implements the ORNL continuous improvement philosophy and processes. The ultimate goal of quality in our company is to continually exceed the customers' requirements and expectations in all company activities. Our Quality organization provides management with plans, programs, methods, and assistance in meeting the quality objectives of the corporation and optimizing outcomes. Each employee is responsible for supporting our continuous improvement philosophy and adhering to applicable quality requirements, standards, and processes.
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Human ResourcesBenefit*Benefit Plant
Our benefit programs are designed and administered to attract, retain, and motivate the quality staff required to meet our customers' needs and expectations. These benefits are described both in the Benefits Handbook,
which is provided during new-hire orientation, and on the Benefit Plans Web site. A help line (574-1500) is available to answer questions regarding your benefits.
Holiday*We observe the following holidays each year:New Year's Day Martin Luther King's Birthday Good Friday Memorial DayCompanion to Independence DayIndependence DayLabor DayThanksgivingDay after ThanksgivingChristmas EveChristmas Day
Employees required to work on holidays are paid according to the holiday procedure for salaried employees and the bargaining unit contracts for hourly employees.
VacationEligibility for vacation and the amount of vacation depends on the employee's date of hire and company service credit. The schedule for vacation eligibility is available electronically and from supervisors.
family and llledital Leave ActThis law requires most employers to provide up to 12 weeks of job-protected unpaid leave for certain family and medical reasons. Employees who have worked at ORNL for at least 1 year (full- or part-time) and have worked at least 1250 hours in the previous 12 months are eligible for job-protected leave under the Family and Medical Leave Act (FMLA).
Company policies and procedures regarding FMLA are available electronically on the ORNL intranet. You should familiarize yourself with this guidance because you may have responsibilities to provide information regarding absences so that FMLA determinations may be made. The determination of whether FMLA is unpaid or paid is governed by applicable ORNL policies. For more information about FMLA, ask your supervisor or access the Benefit Plans Web site on the ORNL intranet.
LeaveBoth paid and unpaid leave (e.g., sick leave and personal leave) may be granted to salaried employees. Provisions for hourly employees are set forth in the bargaining unit contracts. Information on the various types of leaves and the eligibility requirements is available from your supervisor or on the ORNL Directives Web site.
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CompensationCompensation programs and policies for salaried employees are designed to help attract, retain, and motivate the quality staff required to meet our customers' needs and expectations. Our philosophy is that compensation must be competitive with that of other employers in similar, relevant labor markets for employees of comparable levels of skills, responsibility, and performance. The bargaining unit contract determines the compensation rates for hourly employees.
We strive to appropriately differentiate pay and performance for salaried employees. Annual performance reviews assess performance contributions, provide feedback to employees for their development planning, and provide linkage to our pay system. Our pay system (cash compensation) includes base salary and variable pay (lump-sum cash that does not increase base pay). You are encouraged to be a partner in your own career and performance development and to discuss any questions about compensation and related areas with your supervision. Additional information is available on the ORNL internal Web and can be accessed from the ORNL Human Resources (HR) home page on the ORNL intranet.
Awards and Incentive ProgramsIn support of our philosophy of continuous improvement through people involvement, ORNL has a variety of monetary and nonmonetary award programs that recognize excellence through individual and team achievements. The programs recognize such areas as contributions in leadership, management, technical and scientific advancement, and community service. Emphasis also is placed on innovation and teamwork. Information about the recognition programs is available from your supervisor, the
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ORNL Honors and Awards Organization, and on the ORNL intranet.
Career DevelopmentEmployee development initiatives are available to all employees. Career counseling is available as part of the Development, Planning, and Performance Review (DPPR) process, and opportunities for personal development are offered to salaried employees through company training programs and to all employees through the Educational Assistance program. Compliance and technical skills training is provided in health, safety, and environmental management to meet the intent of laws, regulations, and personal skills needs.
Opportunities for advancement are contingent upon various factors including the employee's relevant experience, education, performance level, ability, initiative, enthusiasm, and length of company service, as well as upon job availability. The Performance Assessment and Development System (PADS) helps identify skills or behaviors where development is indicated, and the Contribution Stage Assessment and the Four Career Stages Model: Learning, Applying, Guiding, and Shaping (LAGS) help identify the requirements for advancement. Salaried employees are encouraged to participate in activities designed to help identify their own needs.
Further information about various education and training programs is available from your supervisor, the Employee and Organizational Development Web site, or the Employee and Organizational Development office. Information regarding compliance and technical training is available from your supervisor.
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To the extent that it is practicable, salaried job openings are generally filled from within ORNL through job advertisement and posting systems and through other less formal channels. Job vacancies for hourly employees are posted in compliance with collective bargaining contracts. The up-to-date job listings menu is available on the ORNL intranet and from the ORNL Staffing Office.
Employee Concerns Response ProgramYou are encouraged to address suggestions and concerns regarding safety and health, environmental protection, ethics, EEO/AA, sexual harassment, and other issues related to the workplace. ORNL fosters an environment of openness and expects potential problems to surface early and be corrected promptly. We are dedicated to providing a work environment in which you are encouraged to express concerns without fear of retaliation. In accepting this responsibility, an employee who reports problems also accepts ORNL's assurance, if requested, that to the extent possible, the source will be maintained in confidence. There will be no reprisal for reporting a suspected violation. Disciplinary action will be taken against any employee who retaliates directly or indirectly—or encourages others to retaliate—against another employee who reports suspected violations of procedures or the code of conduct. Concerns can be reported orally or in writing, using the Employee Concerns Response Program form. Please consult the ORNL Concerns Response procedure or Section 7 of this handbook for phone numbers for Employee Concerns reporting, including numbers for anonymous reporting.
If the concern is not resolved in the desired manner or if the suggestion is not acted upon satisfactorily, you have additional steps for resolving issues through the appeals
process described in the Employee Concerns Response Program procedure, which is available at the Directives and Guidance Web site on the ORNL intranet, from your supervisor, or from your division Workforce Diversity representative.
Office of Workforce DiversityThe Office of Workforce Diversity helps ORNL realize its goal of being considered nationwide as an employer of choice for all qualified persons seeking employment, including women, minorities, veterans, and people with disabilities. The assistance provided includes developing and implementing policies and programs that will create and maintain a company culture that values diversity by providing oversight of personnel actions (e.g., hiring, promotions, and separations) to ensure equitable treatment to employees and applicants for employment, by providing one-on-one counseling to employees and managers regarding diversity issues, and by participating in the Employee Concerns Response Program.
Health ProyramiCompany-sponsored medical facilities are available to all employees. For information, please contact the ORNL Health Division.
employee flitiitance ProgramThe EAR provides you and your eligible dependents confidential assessment; referral; and, if needed, counseling services for problems that affect their personal life, job, or health. EAR services are provided directly to employees and their dependents at no cost to the employee. For assistance, please call 690-0068.
employee DisciplineORNL subscribes to a policy of "positive discipline," with the goal of encouraging employees to bring substandard behavior or performance into compliance with ORNL policies, procedures, and expectations. Levels of discipline include coaching and counseling, written reminders, letters of admonition, decision-making leave, and termination. Some types of problems may call for progressive disciplinary actions, whereas others may result in a serious disciplinary response, including termination, for a first offense. The level of discipline to be administered in a given case is a management decision, based on management's determination as to what constitutes an appropriate and fair response. Employees who feel that disciplinary action is unfair may raise the issue through the Employee Concerns Response Program or, for bargaining unit employees, in accordance with the terms of the collective bargain agreement.
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Other Resources and ServicesBlood Drivei
All employees are given an opportunity to donate blood at least twice each year. Blood drives are announced via posters, e-mail, and on the ORNL intranet.
Computer Service!A Help Line at 574-4000 is available for you to receive information and instructions related to the daily use and operation of company computers.
Communication!We strive to keep employees informed through the company newsletter, which is mailed to employees' homes; an on-line news service; special bulletins; and letters to homes.
LibrarietORNL Research Libraries offer both electronic and print resources to support scientific research. The libraries have an electronic gateway to resources and services on the ORNL intranet. The main service desk is in Building 4500N and is staffed Monday through Friday, 8:00-4:30.
TravelFor assistance with reservations, airline flights, and rental cars in connection with authorized business travel/please ask your supervisor, contact the Travel Office, or access the Travel Office Web site on the ORNL intranet.
43
Parkin? facilitiesWe assume no responsibility for damage to or loss of vehicles, for theft of articles left in vehicles, or for employees' personal safety in the parking lots located outside the fences. Traffic patterns and rules have been established for the safety of individuals who use the parking facilities. Please follow all rules, drive safely, and observe all customary precautions and courtesies of parking.
co05
Helpful Contact Point!Phone numbers are indexed by function at the Functional Telephone Directory Index on the ORNL intranet. {http://www-in ternal. ornl. gov/ telec/fdindex. h tml)
Benefits Help Line 574-1500(http://www-internal.gov/yourhome/home.html)
Communications 574-0235
Compliance and Technical Training 574-1482
Compensation 574-4417
Computer Services Help Line 574-4000
Concerns Reporting 574-2433
Conflict of InterestInformation 576-7802,
576-2227,576-0274
Contracts Division 576-0274
Diversity/Equal Employment Opportunityand Affirmative Action 576-2433
(hltp://www-internal. ornl.gov/HR_ORNL/wfd/wfd.htm)
Drugs and Intoxicants Employee/Labor Relations 574-4401
Educational Assistance and University Study 241-2975
Educational Matching Gift Program 574-1640
Employee Assistance Program 690-0068
Employee Concerns Response ProgramEnvironmental, Safety & Health Hot Line 241-5500Ethics Hot Line 576-9000Ethics Office 576-7802Workforce Diversity Office and
Salaried Employee Concerns 576-2433
Employee Development 241-2975(http://www-internal.oml.gov/ORNL/employee_develop/
ED-contents.htm)
Employee/Labor Relations 574-4401
Ethics 576-7802(http://www-internal.ornl.gov/ethics/)
Fire Protection (Business) 574-5678
Food Services 574-4774
(http://www-internai.ornl.gov/xmenu/xmenu.htmf)
Gifts, Gratuities, and KickbacksEthics Office 576-7802
Health Services 574-7431
Human Resources 576-4190(http://www-internal. ornl.gov/HR__ORNL/hr.htm)
Hours of Work 574-4401
jury Duty 574-4401
Laboratory Records 574-6753
Laboratory Shift Superintendent 574-6606
Library 574-6744(http://www-internal.ornl.gov/Library/library-home.html)
Lost and Found Articles 241-3325
Medical 574-7431
Military Duty 574-4401
Personal Leave 574-4401
Personnel Relations 574-4401
Policies and Procedures 576-8054(http://www-internal.ornl.gov/ORNL/directives/
ORNLcommand.html)
Political Activities (Election Officials, Voting) 574-4401
Public Affairs(http://www. ornl.gov/news/who.htm)
574-4160
Safety Awards 241-3840
Safety & Health 241-1783
NL Diversity Plan http://www oml gov/HR_ORNLAVFD/plan_pub him ORNL Diversity Plan
DIVERSITY PLAN FOR ORNL
Date Published: September 29, 2000
Prepared byStaffing Management & Diversity Programs Division
D. R. Rupert, Director
Oak Ridge National Laboratory Oak Ridge, Tennessee 37831 managed by UT-Battelle, LLC,
for theU. S. Department of Energy
under contract number DE-AC05-00OR22725
Executive Summary'
1. Introduction
1 .1 Background
1.2 What is Diversity?
1.3 Definitions
! .4 A Visionary Business Perspective: The Case for Diversity
2. Diversity in the Workforce
2.1 goals2.2 Strategies
2.3 Metrics
3. Educational Outreach
3.1 Goals
3.2 Strategies
3 3 Metrics
4. Community Involvement and Outreach
4.1 Goals4.2 Strategies
4.3 Metrics5 Economic Development (including TechnologyTransfer)
5 1 Goals
5 2 Strategies
6.3 Metrics
6 Policies and Practices
7. Employee Concerns
8. References
.................................._____ _______________ Executive SummaryContents
The purpose of diversity leadership at the Oak Ridge National Laboratory (ORNL) is to achieve success in a rapidly changing scientific business and political environment through the unique strengths of our employees, community, and business partners. Toward this end, this diversity plan represents an opportunity to establish a mechanism for creating a diverse and inclusive organization where high performance is supported within a continuous learning environment and where employees are respected, recognized, and rewarded according to their contributions to the success of the
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business. Goals nave been established to ensure a diverse pool of highly qualified candidates, to make the company a desirable place to work, and to promote company values that recognize diversity Is good business. In addition, this plan meets a contract requirement between the U S. Department of Energy (DOE) and UT-Battelle, LLC, at ORNL
For this plan, the following goals have been identified for each of the principal areas of focus:
The workforce. Maintain a vital and diverse workforce, aggressively seek opportunities and methods to increase the available pool of highly qualified candidates in science, engineering, and skilled crafts areas, and focus recruiting efforts to attract qualified women, minorities, veterans, and people with disabilities. Also, continue to develop a high-performance workplace that values diversity, recognizes outstanding achievements, and promotes inclusion.
Educational outreach. Leverage our scientific capabilities and partnerships with educational institutions to improve education in the fields of science, mathematics, engineering, and technology. Increase skills, knowledge, understanding, and enthusiasm among students and teachers/faculty in science, engineering, and technology by providing mentors, role models, and access to ORNL.
Community involvement and outreach. Build individual trust through communication and cooperation. Demonstrate a commitment to diversity when employees represent ORNL
w within the community and within the community groups and audiences with whom ORNL zo is involved.
Subcontracting activities. As a particularly important linkage to "economic development and technology transfer," the goal is to increase the participation of woman-owned, small disadvantaged, and minority-owned businesses. This activity is specified by the contract and included as part of the goal and strategies associated with economic development.
Economic development/technology transfer. Give primary attention to increasing the participation of woman-owned and small disadvantaged firms in economic development and technology-transfer activities. Provide leadership to, and cultivate a close association with, small and minority-owned businesses by continuing existing, successful programs and establishing new, innovative programs through technology-transfer activities, a variety of outreach and socioeconomic programs, and International opportunities.
Environmental justice. "Environmental justice" is terminology for a relatively recent concept from DOE which is only now being defined with regard to contractor roles and responsibilities; therefore, this current plan does not address the topic in any detail.Once the needs and requirements are known for ORNL, we will aggressively seek to fulfill our role. As the DOE web site now defines it (www.oro.doe.gov/diversity/env_justice.html):
"Environmental Justice advocates the fair treatment of people of all races, Income, and culture with respect to the development, Implementation, and enforcement of
environmental laws, regulations, and policies. Fair treatment implies that no P~rson or group of people should shoulder a disproportionate share of the negative environmental impacts resulting from the execution of DOE programs. Environmental Justice is also occasionally referred to as Environmental Equity-which the EPA defines as the equal treatment of all individuals, groups, or communities regardless of race, ethnicity, or economic status from environmental hazards. National attention on Environmental Justice is generally acknowledged to have started in the early 1980’s in response to large demonstrations opposing the siting of a PCB-landfill in a predominantly African-American community in Warren County, North Carolina. Subsequent studies and
public attention raised concerns about the lack of the fairness and protection afforded communities of color and low-income populations under existing environmental programs. Today, Environmental Justice is a priority of the Federal Government. Executive Order 12898, 'Federal Actions To Address Environmental Justice In Minority Populations and Low-Income Populations,’ was signed by President Clinton on February 11, 1994. The Executive Order requires Federal agencies to make achieving Environmental Justice a part of their mission."
Policies and practices. Maintain policies and practices that not only prohibit discrimination of any kind, but also support the goals to make the laboratory a desirable place to work and to promote company values that recognize diversity Is good business.
Recruitment strategies. Maintain a vital and diverse workforce by aggressively seeking opportunities and methods to increase the available pool of highly qualified candidates in science, engineering, and skilled crafts areas. Focus recruiting efforts to attract qualified women, minorities, veterans, and people with disabilities.
Employee concerns. In addition to continuously updating and establishing policies and practices to be consistent with a diversity-inclusive environment, maintain an environment in which all employee concerns are heard and acted upon appropriately and continue to develop a high-performance workplace that values diversity, recognizes outstanding achievements, and promotes inclusion.
1. Introduction
1.1 Background
The purpose for diversity leadership at Oak Ridge National Laboratory (ORNL) is to achieve success in a rapidly changing scientific business and political environment through the unique strengths of our employees, community, and business partners. Toward this end, this diversity plan represents an opportunity to establish a mechanism for creating a diverse and inclusive organization where high performance is supported within a continuous learning environment and where employees are respected, recognized, and rewarded according to their contributions to the success of the business. Goals have been established to ensure a diverse pool of highly qualified candidates, to make the company a desirable place to work, and to promote company values that recognize that diversity is good business. In addition, this plan meets a contract requirement between the U S. Department of Energy (DOE) and ORNL. This requirement is stated In the contract as follows:
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"The Contractor shall submit a Diversity Plan to the Contracting Officer for approval by May 1, 2000. Guidance for preparation of a Diversity Plan is as follows: The Plan shall Include innovative strategies for increasing opportunities to fully use the talents and capabilities of a diverse work force. The Plan shall address, at a minimum, the Contractor's approach for promoting diversity through (1) the Contractor's work force, (2) educational outreach, (3) community involvement and outreach, (4) subcontracting, (5) economic development (including technology transfer), (6) environmental justice, (7) policies and practices, (8) recruitment strategies and (9) employee concerns '
This is not a plan for affirmative action (AA). Diversity is neither synonymous with nor a euphemism for AA or equal employment opportunity (EEO). ORNL is among a growing number of corporations that have been defining and redefining diversity during the past few years. Both diversity and AA rely on statistics and demographics, but they do so for different purposes. The purpose of AA is to achieve parity in the workforce and the supplier base with respect to historically under-represented groups. The purpose of a diversity program is to recognize, understand, and value cultural differences and similarities In an effort to develop a healthier, more productive work environment.
We must create an environment of inclusion. We must continue to seek parity, but we must also instill in our corporate culture an appreciation of diversity within the workforce. We must go beyond the issue of maintaining compliance and capitalize on the diversity that exists at ORNL.
1.2 What Is Diversity?
6The concept of diversity is a relatively new concept at ORNL. In fact, it is a relatively new concept in industry, introduced in 1985 as a result of the Hudson Report on Workforce 2000: Work and Workers for the 21st Century, a study commissioned by the U S. Department of Labor. The report projected five key demographic trends that will significantly affect the American workplace:
• The workforce will grow more slowly than at any period after the 1930s.
• The average age of workers will rise, while the pool of young workers will shrink.
• More women will enter the workforce.
• Minorities will be a larger share of entry-level workers in the workforce.
• The workforce will include a higher percentage of immigrants than at any time since the first World War.
Perhaps most important is the projection that between 1990 and 2005, the net new entrants into the workforce will be 85% minorities, women, and immigrants and 15% white males. As stated in the report,
"These shifts In demographics will have a significant impact on the quality and quantity of the American workforce. It will also require that American companies create a working environment in which people from diverse backgrounds fit in. Diversity will
bring a new strength to America's economy, but it will also bring many uniqu» needs and issues."
ORNL's workforce will be affected to varying degrees by these changing demographics. In addition, all of us will come in contact with other workforces that are significantly affected by these changes (such as customers, suppliers, and contractors, as well as other members of the community, industry, and academia).
The bottom line for diversity leadership is ORNL's ability to continue to achieve and maintain a competitive workforce in a rapidly changing business and political environment through the unique strengths of its employees and business partners. Diversity leadership is a key business practice that focuses on the people in our total work environment (internal and external) and on how to maximize the contributions of individuals, teams, and business partners to deliver quality products and services for our customers.
Diversity requires a commitment on the part of each of us to educate ourselves to better understand, appreciate, and accept one another; it is both a people issue and a business issue. A company's approach to diversity begins with how it defines the term. Fundamentally, it is important that we promote a diversity vocabulary to help customers and employees understand the many facets of diversity, such as valuing differences, managing diversity, and engaging in diversity leadership.
1.3 Definitions
Diversity—Valuing individual differences and managing the workforce in a manner that ensures full utilization of employee potential.
Managing Diversity—A management approach to creating an inclusive work environment that fully utilizes all people in the workforce, enables them to achieve their full potential, and maximizes their contributions toward the mission of the organization.
Valuing Diversity—The act of acknowledging, respecting, appreciating, and utilizing the differences and similarities among people to create a more productive business environment.
Diversity Leadership—The process of fostering an inclusive environment, where effective communications, cooperation, and collaboration among our employees, customers, and suppliers yields responsible, responsive, and uniquely competitive business policies, practices, and partnerships to achieve corporate goals.
1.4 A Visionary Business Perspective: The Case for Diversity
Our employees are the heart of our success as a corporation. In a business atmosphere of accelerated change, right-sizing, and ambiguity, the only stable factor we can depend on is the ability of our workforce to successfully respond to the changing expectations of our customers. We can ill afford to communicate, by inaction, that it is acceptable to have an organization where a portion, any portion, of our workforce is not being fully challenged or fully utilized.
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Specific issues relating to our business operation include utilizing the workforce and serving a diverse marketplace. In a period of right-sizing and reengineering, coupled with greater corporate goals, effective workforce utilization (employee output compared with investment per capita) is critical. For example, if 2000 ORNL employees (about 50% of the ORNL workforce) who have an average income of $25,000 per year are performing to only 65% of their capacity, the organization loses $17.5 million per year.
We can optimally serve a diverse marketplace through diverse perspectives and feedback. This is particularly important when entering new markets. Because cultural diversity is an absolute business necessity from a global perspective, understanding and embracing global diversity will be a major factor in our continuing success.
1.4.1 Vision Statement
ORNL is committed to creating an inclusive environment where diversity is valued so that individuals and teams will be inspired to contribute fully to the organization's success. We will strive to be recognized by our employees and the community as an employer of choice.
1.4.2 Mission Statement
ORNL Is committed to achieving its strategic business objectives by capitalizing on the diversity In our workforce. We recognize the need to optimize the use of each employee's unique talents and skills and to reward employees based on their contribution to the success of the business.
1.4.3 Areas of Responsibility
This plan Is operational in intent and strategic in focus. Its objective is to outline a number of focus areas on which to concentrate our efforts toward advancing business objectives. It is Intended to be a working document that will chart our course for the next several years. Therefore, activities and outcomes associated with the plan will be monitored carefully and updated as appropriate.
Accomplishment of the established goals is the responsibility of ORNL line managers, assisted by their respective Workforce Diversity Representatives, and functional managers. Spearheading development and implementation of the diversity plan and integrating its focus areas is the responsibility of the Director of Staffing Management and Diversity Programs. The Director will be assisted by the EEO/Diversity Manager and Division WFD Representatives who will monitor and track activities toward meeting plan objectives.
2. Diversity in the Workforce
Diversity in the workforce represents an effort toward ensuring a high-performance, Inclusive workforce and an environment that respects the individual and capitalizes upon differences and similarities to achieve success.
Success in recruiting and retention (that is, protecting UT-Battelle's human resources assets and critical skills capabilities) requires that line management be held accountable for:
• Diversity throughout their ranks• Skills training and employee development• Performance management• Purposeful succession planning
Our strategy to make ORNL an ideal place to work and UT-Battelle an employer of choice depends on line management's understanding and acceptance of these "first principles ' It is the role and responsibility of the Human Resources and Diversity Programs Directorate to develop and promote the programs and methods for achieving this level of accountability throughout ORNL.
2.1 Goals
• Seek opportunities and methods to increase the available pool of highly qualified candidates in science, engineering, and skilled crafts areas, and focus recruiting efforts to attract a diverse pool.
• Continue to explore changes in the company benefits package to attract and retain a diverse workforce.
• Develop a high-performance workplace that values diversity, recognizes outstanding achievements, and promotes inclusion.
2.2 Strategies
2.2.1 Recruiting Efforts
Mission: Provide ORNL with a diverse pool of qualified candidates to meet human resource needs.
Vision: ORNL will be viewed as an ideal place to work.
Strategy: Staffing Management & Diversity Programs Division partnering with R&D line organizations to make our recruiting plans and activities successful.
2.2.1.1 Nontraditional Recruiting Efforts
• In the clerical/secretarial ranks, improve the probability of hiring minorities by ensuring both the availability and quality of individuals in the pool at all times.
• Initiate or expand apprenticeship programs in the local area, particularly in vocational-technical programs at local high schools, job training partnerships (such as with the Knoxville Urban League), and area technical schools (such as Pellissippi State Technical Community College and Roane State Community
College).
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• Explore the means to financially support programs styled after the Southeast Consortium for Minorities in Engineering (SECME) and the Summer Education Experience for the Disadvantaged (SEED) through area high schools and middle schools.
• Decrease the use of traditional "recruiters" on college campuses, and increase the participation of ORNL technical and scientific staff in on-campus activities to build relationships with schools and high-caliber students. This type of activity has a greater potential for success than traditional recruitment in filling the need for interns, graduate researchers, and postdoctoral researchers who, in turn, may later become staff members.
• Plan an annual institutional marketing campaign to promote ORNL technology to the scientific community in general and to women, minorities, and the disabled in particular. Place advertisements In targeted publications such as Society of Women Engineers Magazine, Association for Women in Science Magazine, and U S. Black Engineer to showcase ORNL as an employer that values diversity and to attract a diverse pool of candidates.
2.2.1.2 Standard/Traditional Recruiting Methods
• Develop a clerical co-op program with local high schools and technical schools.
• Use co-op and internship programs as diversity recruiting tools by recruiting students from a diverse group of candidates. Ensure that candidates represent major universities throughout the United States, including historically black colleges and universities (HBCUs), minority educational institutions (MEIs).
• Continue SECME and SEED programs and expand them throughout the Laboratory.
• Continue and expand the National Consortium for Graduate Degrees for Minorities in Engineering and Science, Inc., Program (GEM) for master's level staff positions. Extend GEM to opportunities at the doctorate level.
• Coordinate with ORNL participants in the National Urban League's Black Executive Exchange Program (BEEP) to enhance the recruiting aspects of their activities. Provide informational and recruiting materials to BEEP participants to assist them in making presentations about ORNL and to emphasize interest in recruiting qualified candidates.
• Continue the successful postdoctoral research program at ORNL (a program directed by the Office of Science Education via the Oak Ridge Institute for Science Education), but focus on increasing the numbers of women and minorities in the program by establishing representation goals based on the available pool of candidates.
• Establish incentives (such as recognition in annual performance reviews) for scientific and technical staff to recruit at national professional meetings such as the National Council of Black Physics Students (NCBPS), the Society for Women Engineers (SWE), the National Organization of Black Chemists & Chemical
Engineers (NOBCChE), and the National Society of Black Engineers (Nbuc).
• Encourage collaborations with HBCUs for internship and employment opportunities at the bachelor's, master's, and doctorate level.
• Establish recruiting efforts at UT-Battelle's six partner universities, including sponsorship of campus and ORNL events, support for co-op students and technical interns, and appearances on campus for special events.
2.2.2 Staff Development and Retention
In the broadest sense, "employee development" can be defined as activities and actions undertaken to allow, encourage, and support every employee who has the desire to fully explore his or her innate talents and capabilities, thus enabling each one to contribute to the success of the Laboratory in a unique way.
Enabling people to develop their full potential is an important strategic objective for ORNL and a key performance measure for our managers. For an organization like ORNL, which faces a continuously changing business and technological environment, maximizing the capabilities and contributions of all employees is crucial to our success. People are important assets and, as such, require our care and attention.
An overall objective of ORNL's employee development system is to ensure that all roles are staffed with the most competent and capable people who are focused on achieving our business objectives.
Specific objectives include the following:
• enhancing the human, business, and technical skills of all people;
• providing introductory, continuing and advanced training, education, and development opportunities to people at all levels;
• conveying a continuous, integrated set of processes that build upon each other to facilitate employee development;
• instilling in employees and managers the concept that ORNL places a high value on developing employee potential; and,
• ensuring organization continuity through the continuous development of managerial, leadership, and technical talent.
Employee development should be viewed as a continuing learning process rather than sporadic activities. Development is not the same as training. Because much of employee development focuses on changing behavior as well as acquiring knowledge, the process is lengthy and ongoing. Employees at all levels need a broad approach that uses various methods to gain and apply knowledge, skills, and insights. Participation in some of these programs is based on business necessity and management approval to ensure appropriate alignment of employee goals with the company mission.
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To achieve our employee development objectives, several basic assumptions are crucial:
• Development is primarily self-initiated, based on each individual's motivation to develop and grow (although management also needs to foster and support such Initiative and motivation).
• Development Is based on individual needs; personal development plans should be tailored to meet those needs as well as the organization's business needs.
• Although Human Resources & Diversity Programs has the responsibility for coordinating and supporting employee development, it is the joint responsibility of employees and their managers to ensure that appropriate development takes place.
• The manager plays a central role in employee development, and especially in management development. Coaching, helping establish development plans, giving feedback, and creating opportunities are all integral parts of managers' jobs.
• Creating the proper organizational climate to support employee development (i.e., providing all employees with the necessary resources, opportunities, and encouragement) is the responsibility of the management team.
2.2.2.1 Goals
• Continue to achieve more diversity of representation on established ORNL working committees and management-level committees to ensure representation of diverse needs and points of view.
• Continue to provide developmental and educational opportunities for all interested employees, including career development programs, educational assistance and university study, formal mentoring, job rotation opportunities, organizational development support, special assignments, succession planning, and targeted training for leadership development.
• Extend sabbatical and semester appointment opportunities, particularly at HBCUs and MEIs, to provide development for scientific and technical staff while building strong bonds between the institutions, their staff and students, and ORNL.
2.2.2 2 Strategies
Continue to Implement the strategies and training involved in ORNL's comprehensive programs for: Developmental Assignments, Mentoring, Educational Assistance, and the Skills Enhancement Program:
• Developmental Assignments: Although there are many different types of "developmental" assignments at the Lab, a few stand out. Following is a list of some of the more widely recognized developmental assignments employees are asked to fill:
- Technical Assistants to the Associate Lab Directors- Back-up Secretaries In ADs offices
- LORD Program Coordinator- United Way Campaign Chair- Savings Bond Campaign Chair- Committee Chairmanships and Memberships-
ORNL Committee for Women Values CommitteeMembership on ES&H Committee - Within Divisions- Work Force Diversity Representative Safety OfficerDivision Computer Security Officer QA Representative Training Coordinator Savings Bond Drive Coordinator United Way Campaign Coordinator
• Mentoring: Since the mid-1980s, planned (formal) mentoring programs have become increasingly more popular because not enough people—especially new employees, women, minorities, and people with disabilities—were benefitting from informal mentoring relationships. In addition, other drivers such as employee retention and workforce diversity have motivated the development of a variety of formal mentoring programs at ORNL.
• Educational Assistance: The Educational Assistance Program provides for the reimbursement of funds spent for tuition, books, and laboratory fees for each successfully completed course In a qualified course of study in fields related to work at ORNL.
• Skills Enhancement Program: The Skills Enhancement Program (SEP) provides quality educational training programs that will enhance employees' basic Job skills, improve job performance, develop new skills for future jobs, and increase self-confidence. The program Is designed to meet the education needs of employees from all education levels and backgrounds. Individualized programs of study range from basic to advanced skills in reading, writing, math, chemistry, physics, and more. SEP is administered by Employee and Organizational Development in the ORNL Human Resources and Diversity Programs Directorate with Roane State Community College providing the instruction. Since SEP began in 1993, more than 1,500 employees have completed courses in the program.
• Other Developmental Programs: A number of other specialized programs have been developed and will be available for employee development, Including "Leadership Alive," "Leadership ORNL," "Leadership Challenge," "Service with Soul," "Experiential Learning," and "Leading Out Loud."
2.2.3 High-Performance Workplace
• Maintain senior and upper management focus on managing diversity, and continue to communicate to all ORNL employees the definitions, purpose, and key concepts related to valuing diversity as well as the impact of diversity on each individual and on the success of the company.
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• Continue to identify and assess issues and situations that either enhance or degrade the level of employee job satisfaction and morale at ORNL, and develop and implement solutions to make ORNL an inclusive, nonthreatening, and productive place to work.
teachers in science, engineering, and technology by providing mentors, .ole models, and access to ORNL personnel, facilities, and equipment.
3.2 Strategies
• Maintain an environment of equal opportunity that ensures that all ORNL employees with the requisite skills, abilities, and experience can achieve their full potential through advancements, promotions, and career opportunities and without conferring advantages or disadvantages on anyone.
• Continue the current program for recognizing and rewarding managers, teams, and organizations for outstanding efforts to promote diversity.
2.3 Metrics
Significant, visible results in directorates, divisions, or offices that document implementation of the diversity plan.
Implementation of diversity strategies within line organizations.
Promotion of effective use of the formal mentoring program established and in use at ORNL since 1986.
Consistent use of the formal Performance Assessment and Development System (PADS) and the Succession Planning system across ORNL.
Ensuring availability of training and development courses appropriate for a national laboratory environment, which includes a diverse pool of participants.
Reevaluation of company policies on sabbaticals and semester appointments to make them more available and to make the process more amenable to professional staff development.
3.2.1 Student/Faculty Research Participation
Increase the number of traditionally under-represented students and faculty participating in programs at ORNL Present a proposal for an HBCU/MEI "Science Semester" Program at ORNL in collaboration with the Council of 1890 Institutions as well as institutions that serve Hispanics.
3.2.2 Academic Outreach
• Use the new ORNL Sabbatical Program to support one extended assignment on an HBCU or MEI campus by a member of the technical staff.
• Formalize at least one new "adopt-a-department" linkage by an ORNL division with an HBCU/MEI each year.
• Pilot an Environmental Science Visiting Lectureship Program with the three Native American tribal colleges in the Montana Consortium (partner in the DOE Science and Technology Alliance).
• Identify one senior ORNL manager to serve on the Board of Visitors of an HBCU or MEI.
Seek programmatic sponsorship for one new Minority Undergraduate Scholarship that would include a summer practicum at ORNL.
• Undertake at least one new graduate-level capacity-building initiative at an HBCU or MEI.
• Increases in the numbers of women and minorities in senior positions as negotiated as part of the contract provisions.
3. Educational Outreach
Educational outreach programs at ORNL promote and enhance all levels of science education through collaborations with the education community.
3.1 Goals
• Leverage our scientific capabilities and partnerships with educational institutions to improve education in the fields of science, mathematics, engineering, and technology.
• Increase skills, knowledge, understanding, and enthusiasm among students and
3.2.3 Direct Support to HBCUs and MEIs
• Bring total subcontract outlays to a minimum of 3% of the total subcontract commitments to higher educational institutions.
• Use the new DOE Equipment Gift Program to transfer a minimum of two major pieces of R&D equipment to HBCUs or MEIs per year.
3.2.4 R&D Interactions
• Formalize the partnership of ORNL with the planned HBCU Materials Science Alliance through a memorandum of cooperation.
• Explore long-term collaborative research on water quality with Montana Consortium tribal college students and faculty.
3.2.5 K-12 Mathematics/Science/School-to-Work Transition
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Increase the number of traditionally under-represented and/or economically disadvantaged students and teachers/faculty in ORNL-based K-12 programs.
3.3 Metrics
• Increases the number of students interested in mathematics, science, engineering, or technology as career choices.
• Increase interactions with MEIs, including subcontract commitments.
• Increase the numbers of minorities, women, and persons with disabilities who have qualifications in mathematics, science, engineering, and technology in the pool of those available for future employment opportunities.
• Improve communication of diversity leadership initiatives.
part of the overall strategy for awarding gifts and grants.• Representation of minorities, women, and people with disabilities on all boards,
committees, and organizations that deal with community outreach activities.
• The group of organizations with whom ORNL is involved is diverse.
• Support of cultural heritage programs for minorities, women, veterans and people with disabilities.
• Appointment of women, minorities, people with disabilities and people from various backgrounds to participate in external programs such as the United Way and Team UT-Battelle.
• Continual introduction of ORNL to the community, including minority communities and other diverse stakeholder groups, by routinely providing information such as notification of ongoing and future events that allow for concerns to be expressed by all segments of the community.
4. Community Involvement and Outreach
The Community Diversity Outreach Program is a component of ORNL's community outreach effort that demonstrates our commitment to building individual trust through communication and cooperation.
4.1 Goal
Demonstrate a commitment to diversity when employees represent ORNL within the community and In the community groups and audiences with whom ORNL is involved.
4.2 Strategies
• Participate In Informal exchanges such as having ORNL managers present at events sponsored by minority and women's organizations, and organizations that serve the disabled.
• Use Information and ideas obtained from information exchanges to help determine the future direction of community outreach activities.
• Annually assess community outreach activities.
• Implement appropriate corrective actions when deficiencies or opportunities for improvement are identified.
• Identify community groups with representation of diversity in which membership would benefit DOE, UT-Battelle, and the community.
4.3 Metrics
• Inclusion of organizations for minorities, women, and people with disabilities as
5. Economic Development (Including Technology Transfer)
The thrust of economic development, including technology transfer, is to give primary attention to increasing the participation of woman-owned, and small disadvantaged firms in economic development and technology-transfer activities.
5.1 Goal
Provide leadership to, and cultivate a close association with, small and minority-owned businesses by continuing existing, successful programs and establishing new, innovative programs through technology-transfer activities, a variety of outreach and socioeconomic programs, and international opportunities.
5.2 Strategies
• Continue to develop a targeted market presence through exhibitions, seminars, conferences, and workshops. Actively seek opportunities to communicate ORNL's mission effectively to small and minority-owned businesses. Mechanisms for communication include
- more participation in conferences and workshops;
- more on-site, one-on-one meetings with interested businesses for technology partnerships;
- continuation of the Research and Manufacturing Technology Institute for small and minority businesses;
- continued promotion of the Technical Assistance Program; and
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ORNL Diversity Plan http://www.oml gov/IIR ORNL/WFD/plan_pub htm ORNL Diversity Plan http://www.oml.gov/HR_ORNL/WFD/plan_pub htm
- implementation of the database that includes profiles of small and minority-owned business in the southeast region to help determine which Laboratory resources could best be used to provide technical assistance.
• Develop an ORNL small and minority business initiative that establishes a partnership with business organizations such as the State of Tennessee Office of Minority Business Enterprise, the U S. Small Business Administration, the Tennessee Business Center, and the East Tennessee Minority Purchasing Council. The purpose of the initiative will be to encourage the startup of small businesses by providing direct links to procurement opportunities; technology transfer; technical assistance; and other federal, state, and local means of assistance for business development.
• Utilize established relationships with local, state, and national government agencies and nonprofit organizations that need ORNL resources for assistance in expanding their use of technology.
• Develop an initiative to assist local municipalities, the National League of Cities, and similar organizations that can effectively use ORNL resources.
• Seek out international opportunities in developing areas of the world where small and minority businesses could become involved.
• An ORNL Mentor-Protege Program Is established for small, 8(a), minority and women-owned firms to participate in the goals/mission of DOE.
• Expand links with small, 8(a), minority and women-owned businesses by means ofOi existing and new communications techniques such as the Minority-Owned
Business Technology Consortium. Initiate interactions with small and minority businesses and various other organizations to ascertain their technological problems and needs. Aggressively attempt to solve their problems and satisfy their needs.
• Continue the partnership workshops that encourage small, 8(a), minority and women owned businesses to pursue cooperative research and development agreements (CRADAs), licensing agreements, and other opportunities with ORNL. Continue programs such as interactive workshops to make small and minority businesses aware of the technologies available to them through ORNL.
5.3 Metrics
• Participation In various exhibitions and trade shows throughout each fiscal year.
• The outreach data base for small, 8(a), minority and women-owned businesses is complete.
• Schedule several, one-on-one meetings with interested businesses.
• More visible promotion of the Technical Assistance Program and practice of specific ideas.
• Identification of one program from which a small, 8(a), minority or woman-owned business could benefit in the international marketplace through a DOE initiative.
• Attendance at one exhibit and/or trade show with the National League of Cities.
• Conduct on-site workshops with municipalities.
• Schedule workshops to inform small businesses of CRADA and licensing opportunities with ORNL.
• Achievement of a DOE rating of good or better as it relates to contract metrics for subcontracting with small businesses, small disadvantaged businesses/women-owned businesses, and HBCUs/MEIs.
• Scheduling of one workshop per year to inform small businesses of CRADA and licensing opportunities with ORNL.
• Achievement of a rating of good or better as it relates to contract metrics for subcontracting with small businesses, small disadvantaged businesses/women-owned businesses, and HBCUs/MIs.
6. Policies and Practices
ORNL has implemented policies and practices that not only prohibit discrimination of any kind, but also support the goals to make the Laboratory a desirable place to work and to promote company values that recognize that diversity Is good business.
Policies and Procedures
ORNL-WD-OOI, ORNL Equal Employment Opportunity/Affirmative Action ProgramIdentifies ORNL's support of equal employment opportunity, an environment free of
harassment, a workplace for individuals with disabilities, and support of affirmative action.
ORNL-HR-024, ORNL Employee Concerns Response ProgramDescribes how ORNL employees and subcontractor employees submit and/or
resolve suggestions and concerns regarding (1) environment, safety, and health (ES&H), (2) ethics, (3) Equal Employment Opportunity/Affirmative Action (EEO/AA), (4) sexual harassment, and (5) other issues.
ORNL‘HR-002, Short-Term Disability (Nonoccupational and Occupational)Identifies the functions, organizational responsibilities, and administrative controls
at ORNL for wage payments to employees for absences due to disability.
ORNL-HR-003, Leave Entitlement Under the Family and Medical Leave Act of 1993Provides specific instructions for the different categories of leave that are covered
under the Family and Medical Leave Act of 1993, revised April 6, 1995.
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httpV/w\vw oml gov/IIR ORNI.AVKD/plan pub htm ORNL Diversity Plan http //min oml gov/HR ORNL/WFD/plan pub htmORNL Diversity Plan
ORNL-WD-007, Flexible Workplace ProgramMakes available an alternative work arrangement of a home-based office to those
Oak Ridge National Laboratory (ORNL) employees whose nature of work and performance history indicate that such an arrangement would enhance their productivity, creativity, and job satisfaction. It also provides a mechanism for accommodating employees with either temporary or permanent disabilities.
ORNL-HR-008, Alphanumeric Pagers for Emergency Notification of Deaf and Hearing-Impaired Employees at ORNL
Defines the responsibilities for using paging devices to notify deaf and hearing-impaired employees of emergency conditions at their workplaces.
ORNL-WD-002, Accessibility/Accommodation for Individuals with Disabilities at ORNL Provides the directions needed to comply with the commitment by Oak Ridge
National Laboratory (ORNL) to provide reasonable accessibility and accommodation in the workplace for individuals with disabilities and to achieve compliance with all applicable regulations.
ORNL-HR-021, ORNL Staffing and EmploymentEstablishes responsibilities for recruiting, interviewing, and hiring employees at
Oak Ridge National Laboratory (ORNL).
ORNL-HR-033, ORNL Policy on Personal Use of Unclassified ORNL ResourcesDefines the appropriate process of authorization of ORNL staff members to have
limited use of unclassified ORNL resources, including information technology, for ^ personal use.
ORNL-TI-001, ORNL Training ProgramDescribes the systems and processes that underlie the ORNL Training Program,
defines responsibilities for individuals and organizations, and offers further guidance for Program Implementation.
ORNL-TR-004, Educational Assistance and University Study ProgramsDefines the process for obtaining financial assistance; requesting the use of
company facilities, equipment, and services; and rescheduling work hours to further the education of ORNL employees.
ORNL-LS-013,ORNL Foreign National Assignments ProcedureOutlines the approval process at Oak Ridge National Laboratory (ORNL) for guest
assignments of foreign nationals (non-U.S. citizens).
ORNL-PC-01, ORNL Procurement PolicyDocuments basic procurement policy for ORNL, including procurement from Small
Businesses, Small Disadvantaged Businesses, and Women-Owned Small Businesses.
Guidelines & Practices
Guidelines for FMLA for Supervisors and EmployeesManager's Guide for Reduction-in-force Planning and Processing for Salaried Positions
RIF Selection Process for Salaried EmployeesJob Opportunity System GuidelinesJob Advertising System GuidelinesORNL Staffing and Employment Process GuidelinesExternal Staffing Hosting GuidelinesExternal Staffing Employment Advertising Policy and Guidelines Justification for Sole Source Procurement Applicant Flow Logs
7. Employee Concerns
The ORNL Employee Concerns and Response Program provides a mechanism for employees to raise concerns and ask questions related to personnel, EEO/AA, ES&H, and other issues. The Program also includes a myriad of appeal mechanisms, as well as an Alternative Dispute Resolution (ADR) processes and first- and second-level appeal options, including:
- Appeal to Human Resources & Diversity Programs Director- Appeal to Senior Line Management- Mediation (internal and external)- Differing Professional Opinions- Peer Review
Information about the ORNL Employee Concerns Response Program is communicated to employees on an ongoing basis using a variety of mechanisms. Employees are encouraged, as appropriate, to address issues with their line management prior to having concerns investigated by outside parties, such as the Workforce Diversity Office. Awareness sessions are conducted to Inform employees and managers of the availability of the program and services. Managers and employees are encouraged to proactively and informally seek assistance from the Workforce Diversity Office in resolving employee concerns.
8. References
Workforce 2000: Work and Workers for the 21st Century, U S. Department of Labor.
Strategic Plan for Affirmative Action and Equal Employment Opportunity, Martin Marietta Energy Systems, Inc., 1991.
Focus for the Future: Strategic Plan for Human Resources, Martin Marietta Energy
Systems, Inc., 1993.
Employee Development, Foundations for the Future, December 1994.
Strategic Plan for Diversity, Brookhaven National Laboratory, 1994.
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http://www.oml gov/HR_ORNL/WFD/plan_pub himORNL Diversity Plan
The Promise or Diversity, Elise Y. Cross, Judith H. Katz, Frederick A. Miller, and Edith W. Seashore, 1994.
Diversity Initiatives at Los Alamos National Laboratory, 1995.
Diversity Leadership at Sandia National Laboratory, 1995.
Empowerment for High-Performing Organizations, Bill Guillory and Linda Gatinds, 1995.
Lockheed Martin Corporation Diversity Initiative, 1996 (draft).
Building a House for Diversity, R. Roosevelt Thomas, Jr., 1999.
Workforce Diversity Office
Webmaster
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Summary of Employee Benefits ^ • U V i/BteSBAuBf)
Management Contractor for DOS's Oak Ridge National Laboratory
Summary of
EMPLOYEE BENEFITS
Here is a brief review of highlights of the benefits that you receive as a full-time employee. Three new benefits options (Long Term Care, Supplemental Life, and Dependent Life) are offered to salaried employees only. Such options for bargaining unit employees are subject to contract negotiations. Our union contracts expire in 2001.
The programs described in this brochure are a valuable benefits package designed to promote and maintain good health, to provide for retirement, to help meet the cost of illness and accident, and to help provide financial security for employees and beneficiaries.
Complete details about benefit plans are available on the internet at:
http://www. v 12.doe, cov/henefits/hadmin/
Your rights and benefits under all benefit plans of the company are governed solely by the terms and conditions of the plans.
The company may, at any time, amend, modify, suspend, or terminate any benefit program. The company may also reduce the company's contribution, or increase the employee’s contribution, toward the cost of any benefit programs. The establishment of a benefit does not impose upon the company any contractual obligation to continue the benefit in the future.
November 1, 2000
49
BENEFIT WHO PAYS FOR IT? WHEN ARE YOU ELIGIBLE?
WHAT DO YOU RECEIVE?
Basic Group LifeInsurance
Company and you share the cost of coverage.
You may enroll and start your coverage on the date you start work.
Basic Life Insurance coverage is two times your annual salary, rounded to the next higher $ 1,000 if your pay is not an even multiple of $ 1,000. If you become totally disabled, protection is continued until age 65 at no cost to you. The cost is $. 195/$ 1000 per month.
Supplemental Group Life Insurance
You pay the entire cost, based on your age.
You may enroll and start your coverage on the date you start work provided you enroll in basic life insurance.
Supplemental Life Insurance coverage is one to five times your annual salary, rounded to the next higher $1,000 if your pay is not an even multiple of S1,000. Not to exceed $500,000. Evidence of insurability may be required.
Dependent Group Life
You pay the entire cost, based on spouse’s age, and $1.10 per month for all your eligible children.
You may enroll and start their coverage on the date you start work.
Dependent Spouse Life Insurance coverage is from $10,000 to $50,000 for spouse coverage. Dependent children coverage is $10,000 per eligible child. Evidence of insurability may be required.
SpecialAccidentInsurance
You pay the entire cost of the coverage.$.30/$ 10,000 per month for individual coverage $.58/$ 10,000 for family coverage per month. Maximum amount of coverage is $500,000.
You may enroll at anytime. Your coverage begins the first of the month following your enrollment.
Benefit is payable in the event of an accident. Full or scheduled payment to you for certain loss of limbs or sight. If you are enrolled under the family plan, your spouse and dependent children will be insured for a percentage of your coverage.
DentalProgram
Company and you share the cost of coverage.
You may enroll and start your coverage on the first day you are actively at work.
You can use the dentist of your choice. Payments are based on reasonable and customary charges.
HealthInsuranceProgram(IncludesVision andPrescriptionDrugs)
Company and you share the cost of coverage.
You may enroll and start your coverage on the first day you are actively at work. (No exclusions for pre-existing conditions.)
The CIGNA Point-of-Service Plan is available to participants who live within a network area of PrimaryCare Physicians (PCP). The Indemnity Plan is available to those participants who live outside the network.
Other health insurance options may be available. If an additional option is available, that medical plan summary will be provided to you.
Long-TermCare
You pay entire cost, based on the age of the participant.
You may enroll the first day you are actively at work.
Long-Term Care Insurance is designed to protect you, your spouse, parents, in-laws and grandparents from expending financial assets if nursing home or home care is needed. There are three coverage levels and two total lifetime benefits from which to choose.
FlexibleSpendingAccounts
You pay the entire cost. You may enroll the first day you are actively at work.
Health Care and Dependent Care Accounts are available. You can elect payroll deductions up to $5,000 annually for each account. It is a tax-effective way to pay for eligible medical and dependent care expenses.
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50
BENEFIT WHO PAYS FOR IT? WHEN ARE YOU WHAT DO YOU RECEIVE?ELIGIBLE?
Short Term Disability ("Sick Leave")
Company. After one month of employment.
If you have between 1 and 6 months of service, you receive 100% of pay for each completed month of service. If you have 6 months or more of service, you may receive 100% of pay for 6 months.
Long Term Disability
Company. Coverage starts first day at work. Eligible for benefits after you are disabled for 6 months.
Disability benefit equals 60% of pay, up to a maximum of $5,000/month, reduced by any benefit that you receive from Social Security, Workers’ Compensation, or other Company provided benefits, including Business Travel Accident and the Pension Plan.
Occupational Company. Date of employment. The Company pays the difference between straight-timeDisability earnings at the time of disability and any payments
received from Workers’ Compensation for 6 months, then you are eligible for long-term disability.
Savings Company and you You may enroll andProgram (3-year vesting period). elect contributions as
soon as you receive an enrollment kit from CitiStreet, LLC.
Savings may be deducted on a before- or after-tax basis. You can save from 2‘A to 16% of eligible earnings to invest. The Company makes contributions of 100% of the first 2% of your contributions; 50% of the next 4%. Loan provisions are available.
Non-Contributory Pension Plan
Company pays entire cost (5-year vesting period).
“Normal Retirement” - age 65
“Early Retirement” You may retire early if you are age 62 and have 10 years of service or your age and years of service equal 85 or more.You may retire with a reduced pension if you are at least age 50 and have more than 10 years of service credit.
Lifetime monthly payments based on your length of service and average monthly straight-time earnings during the final 3 years or the highest 3 calendar years of your final 10 years. The amount of your monthly pension will be the greater of: (1) 1.2% of your average straight-time monthly earnings times your years and completed months of service credit plus $18 or (2) 1.5% of your average straight-time monthly earnings times your years and completed months of service minus 1.5% of your monthly Primary Social Security Benefit times your years and completed months of service credit up to 33 1/3 years.No more than 50% of your Primary Social Security Benefit will be used to offset your earnings or (3) $5 for each of your first 10 years of service credit plus $7 for each of the 11th through 20th years of service plus $9 for each year in excess of 20 years of service plus 10% of your average straight time monthly earnings (if you have less than eight years of service, this will be reduced 1% a year for each year less than eight) plus $18. If you are not eligible for a full pension or you elect continued payments to a survivor, the amount calculated by these formulas will be reduced.
This plan includes Survivor Benefits if you die while employed and you have completed at least 10 years of service.
Life and Medical Benefits During Retirement: If you have at least 10 years of Company Service Credit as a full-time employee, and you are eligible for a pension, you and the company will share the cost of your medical coverage. Coverage for retirees and/or spouses under the age of 65 is the same medical and dental coverage offered to active employees. Retirees and spouses over the age of 65 can purchase a Major Medical Medicare Supplement Plan. If you have been in the life insurance plan for at least 5 years immediately preceding your retirement, you can continue your life insurance coverage until the age of 65 at the same coverage level, providing you pay the premium. At age 65, your life insurance coverage will be reduced at no further cost to you.
3
BENEFIT WHO PAYS FOR IT? WHEN ARE YOU ELIGIBLE?
WHAT DO YOU RECEIVE?
Vacation - Salaried
Service Vac/yr (vrs) fwks)0-4 = 25-9 = 3
10-19= 4 £20 = 5
Company pays full salary.
Employees accrue vacation beginning one month after hire.
Accrue at 2 hours per week (80 hrs. calendar year [CY] maximum) beginning first year of service through the CY in which the employee attains 4 years of service; 120 hrs.CY maximum beginning on January 1 of the CY in which the employee attains 5 years of service; 160 hrs. CY maximum beginning on January 1 of the CY in which the employee attains 10 years of service; 200 CY maximum beginning on January 1 of the CY in which the employee attains 20 years of service.
Vacation - Hourly
Company pays full salary.
After 1 year of continuous service.
Two weeks with pay after first year. Three weeks after 5 years; four weeks after 10 years; five weeks after 20 years; six weeks after 30 years. One week of the initial vacation may be taken after completing 6 months of CompanyService Credit.
Holidays Company pays full salary.
Date of employment. The following 11 holidays are observed: New Year’s Day, Martin Luther King’s Birthday, Good Friday, MemorialDay (last Monday in May), Independence Day and a day related to Independence Day, Labor Day, Thanksgiving and day after Thanksgiving, Christmas and a day related to Christmas.
Personal Days (Salaried Only)
Company pays full salary.
Date of employment. Upon proper approval, absences excused with pay, for a maximum of 5 days per calendar year.
Funeral Leave (Salaried and Hourly)
Company pays full salary.
Date of employment. Death in Family - upon proper approval, absences excused with pay for death in immediate family for up to 3 days.
Military Duty andEmergencyDuty
Company pays full salary.
Date of employment. Your full basic salary for 2 weeks training in a calendar year (or 4 weeks every 2 years); emergency duty for up to 4-1/3 weeks in a calendar year.
Jury duty Company pays full salary.
Date of employment. Your basic earnings for time spent on jury duty.
EmployeeAssistanceProgram(EAP)
Company pays entire cost.
Date of employment. Program available to employees as well as their spouses and dependent children. Provides confidential assessment, counseling services and referrals if necessary.
EducationalAssistance
Company pays all eligible costs.
Date of employment. 100% reimbursement of tuition, compulsory fees, necessary supplies, and textbooks for courses that are approved and satisfactorily completed in an accredited college or university. This includes undergraduate as well as graduate courses.
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52
BENEFIT WHO PAYS FOR IT? WHEN ARE YOU WHAT DO YOU RECEIVE?ELIGIBLE?
OTHER BENEFITS
OneCall Service Center: The OneCall Service Center can answer many of your day-to-day benefits questions and issues. If the Customer Service Representative cannot answer your question over the phone, it is sent to a subject matter expert for resolution. The phone number is 865-574-1500 or if outside the service area, 1-877-861-2255.
Flexible Work Hours: This program was designed to recognize the need for some employees to flex their hours during the workweek.Part-Time Employment: Part-time employment is available. A modified benefits package is available.
Credit Union Membership: Employees and family members of UT-Battelle may become members of the ORNL Credit Union. There is an ATM machine located at ORNL.
Service Awards and Safety Awards: The company recognizes employees upon the completion of each of 5 years of service with service awards. The company has safety award programs designed to maintain safety awareness among employees.
5
53
PART IIILIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS
SECTION J - LIST OF ATTACHMENTS
# APPENDIX APERSONNEL COSTS AND RELATED EXPENSES
m4^
DE-AC05-00OR22725 Section J - Appendix A
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DE-AC05 000R22725 Section J - Appendix A
Personnel Costs and R
elated Expenses
• U V
UT-Battelle, LLCContract No. DE-AC05000R22725Appendix A
Table of Contents
Oren
1. Introduction
2. Definitions
3. Pay Practices
3.1 Bargaining Unit Employee Compensation
3.2 Nonrepresented Employee Compensation3.2.1 Policy/Objectives3.2.2 Salary Administration3.2.3 Approval of Individual Compensation Actions3.2.4 Other Pay Provisions
3.3 Severance Pay3.3.1 Severance Pay Benefit3.3.2 Replacement Employer
4. Benefit Programs & Policies
4.1 Company Service Credit
4.2 Holidays
4.3 Short Term Disability Pay for Salaried Employees
4.4 Vacations4.4.1 Vacation Payments4.4.2 Vacation Exceptions
4.5 Leaves of Absence4.5.1 Personal Leave4.5.2 Leave of Absence Without Pay4.5.3 Paid Educational/Sabbatical Leave
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4.6 Jury Duty
UT-Battelle, LLCContract No. DE-AC0500QR22725Appendix A
Table of Contents (Cont.)
4.7 Death Benefits - Salaried Employee Payments
4.8 Military Service, Training and Emergency Duty
4.9 Community Service4.9.1 Civic Leave4.9 2 Civil Defense/Emergency Preparedness Exercises4.9.3 Election Officials4.9.4 Voting Time
4.10 Group Insurance Plans4.10.1 Benefits Program for Displaced Workers
4.11 Pension & Savings Plans4.11.1 Reports4.11 2 Non Qualified Pension Plans4.11.3 Incentive Compensation4.11.4 Contract Termination/Expiration
4 12 Employee Assistance Program
4.13 Funeral Leave
4.14 Decision Making Leave
5. Employee Programs
5.1 Education & Training
5.2 Employee Recognition and Memberships
5.3 Patent Awards
RA No. 1Effective 04/01/2000
6. Travel and Relocation
UT-Battelle, LLCContract No. DE-AC05000R22725Appendix A
Table of Contents (Cont.)
7. Miscellaneous Policies
7.1 Participation in Association Activities
7.2 Licenses and Fees
7.3 Personnel Borrowed
7.4 Personnel Loaned
7.5 Personnel Service Support Activities
7.6 Protective Clothing
7.7 Security Suspension Pay
7.8 Business Expenses
7.9 Spallation Neutron Source (SNS) Project
cnO) 7.10 Key Personnel
RA No. 1Effective 04/01/2000
UT-Battelle, LLCContract No. DE-AC05000R22725Appendix A
RA No. 1Effective 04/01/2000
I. Introduction
Phis Personnel Appendix sets forth allowable cost by advanced understanding for the Contractor's human resource management policies and related expenses which have cost implications under the contract. This Appendix identifies those major cost areas deemed reasonable and allowable for reimbursement when incurred in the performance of the Contract work. This cost understanding is subject to all applicable provisions of the main contract.
The Contractor shall select, manage, and direct its work force and apply its human resource policies in general conformity with its private operations and/or standard industrial practice insofar as they are not inconsistent with this Contract. The Contractor shall use effective management review procedures and internal controls to assure that the cost limitations set forth herein are not exceeded, and that areas which require prior approval of the DOE Contracting Officer or designated representative are reviewed and approved prior to incurrence of costs.
Either party may request that this Personnel Appendix be revised, and the parties hereto agree to give consideration in good faith to any such request. Revisions to this Personnel Appendix shall be accomplished by executing Reimbursement Authorizations (DOE Form AD-36) as approved by the DOE Contracting Officer or designated representative. When revisions to this Personnel Appendix are agreed upon, revised pages will be issued reflecting such changes and will bear the effective date of such changes and the Reimbursement Authorization number in the upper right-hand comer of each page. The changes will be highlighted using "redline" feature ora similar word processing software feature.
This Appendix A is adopted for the exclusive benefit and convenience of the patties hereto, and nothing herein contained will be construed as conferring any right or benefit upon past, present, or future employees of the Contractor, or upon any other third party. Accordingly, neither this Appendix A nor any part thereof, as amended or modified, will be deemed to constitute a contract between a party hereto and any employee of the contractor or to be consideration for, or an inducement or condition of, the employment of any person, or to afford the basis for any claim or right of action whatsoever against a party hereto by any employee of the contractor or other third party.
The parties have agreed to increase the Contractor' s latitude for managing overall personnel costs by eliminating many DOE approval requirements and holding the Contractor accountable for controlling and reducing total personnel costs. Nothing in this agreement precludes the government from making a future determination of unallowable costs based upon the test of reasonableness.
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2. Definitions
Adjustment is a change in salary required to establish either internal or external equity.
Adjusted Rate. Adjusted Pay, or Adjusted Base Pay is the rate of pay per hour, per week, or per month, including any premium pay.
Average Rate. The rate which is determined by dividing the weekly straight time pay by the number of hours worked during the payroll week when an employee works at more than one basic rate or more than one shift differential rate during a payroll week.
Basic Earnings. The amount obtained by multiplying the number of hours worked by the basic rate
Basic Rate. Job Rate, or Basic Salary. Rate of pay per hour, per week, or per month, exclusive of any premium, but including any cost of living allowances (COLAs) established in any bargaining unit agreements established for each job classification in accordance with the approved wage and salary schedules.
Basic Workweek. A 40-hour workweek.
OX Change of Classification is the placement of an employee in a new classification due to reassignmentwithout change in salary range.
Contractor. UT-Battelle, LLC.
DOE. The contracting officer or authorized representative of the contracting officer.
Demotion is the permanent placement of an employee in a lower-rated job classification.
Employee. A person hired by and working for the Contractor.
Exempt Employees. Executive, administrative, and professional employees who are exempt from certain provisions of the Wage and Hour laws. They are on the monthly or semi-monthly payroll.
Merit Increase is an increase in the salary of an employee within the established rate range of the job classification, which is granted consistent with the salary plan
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Overtime Pay. Payment (in addition to straight time) for any hours worked in excess of 8 hours in a 24 hour period or 40 hours within a payroll week for hourly and nonexempt salaried employees (or as otherwise agreed in advance and based on a 40 hour payroll week); and when applicable, payment for required hours worked in excess of 45 hours within a payroll week for eligible exempt salaried employees
Nonexempt Employees. Employees who are covered under and are subject to the provisions of the Wage and Hour laws. They are on the weekly salaried or hourly payroll.
Payroll Day. The 24-hour period extending from midnight to midnight. Exception: Payroll day may vary from midnight to the established starting or ending time of the shift.
Payroll Week. Seven consecutive days (168 hours) extending from midnight Sunday to midnight Sunday. Exception: Payroll week may vary from midnight to the established starting or ending time of the shift.
Premium Pay. A payment in addition to straight time pay made for any reason other than overtime; for example, shift differential, week-end premium, etc.
Promotion is the permanent placement of an employee in a higher rated job classification due to an increase in the character or scope of his/her job assignment.
Reevaluation is a change of job level, up or down, through formal evaluation of an existing job
Regular employee is any full-time or part-time employee on the contractor's payroll, not in a temporary status.
Regular Rate. The straight time rate at which the hours are worked, or the average rate for the week, whichever is greater.
Regularly Scheduled Shift. The normal hours of working time in each payroll day established for each employee by the Director Human Resources and Diversity Programs.
Straight-time Pay or Straight-time Earnings Amount obtained by multiplying the number of units of time worked by the straight-time rate per unit of time.
Straight-time Rate. The rate of pay per hour, per week, or per month obtained by adding the applicable shift differential rate to the basic rate for the job classification assigned at the time the work is performed.
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Termination. Quit, discharge, layoff, retirement, death, and/or removal from the payroll because of disability (as distinguished from disability absence where the employee is not removed from the payroll).
3. Pay Policies
3.1 Bargaining Unit Employee Compensation
a. The terms and conditions set forth in collective bargaining agreements (CBAs) and modifications thereto and established practices thereunder between the Contractor and recognized bargaining agents for its employees assigned to work under this contract (which involve expenditure of funds) constitute the allowable costs for bargaining unit members' compensation and benefits for reimbursement by DOE. Ihe collective bargaining agreements, incorporated by reference, include those with the following bargaining agents:
ORNL Atomic Trades and Labor CouncilAFL-CIO
Prior to the negotiation of a new and/or revised CBA, the Contractor will review its negotiation plan with DOE and obtain DOE approval of its cost parameters and/or subsequent changes thereto. Reasonable costs which arise from administration of or pursuant to CBAs shall constitute allowable costs. The specific approval of DOE shall be obtained in the case of unusual items. The contractor will provide to DOE copies of its CBAs as they are entered into or modified and will keep DOE informed as far in advance as practicable of significant labor developments which are potentially precedent setting, may involve high cost, or potential work stoppages.
3.2 Nonrepresented Employee Compensation
3.2.1. Policv/Obiectives
The Contractor will implement a compensation program to attract, motivate, retain, and reward a competent work force to effectively accomplish the performance of work under the Contract at a reasonable cost to the government. Professional compensation methodologies and best business practices will be used in the management of the compensation program. Compensation costs will be managed consistent with the Contractor' s prevailing operating budget and budget forecast.
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3 2 2 Salary Administration
The Contractor shall:a. Implement a compensation system with the following components:
(1) Market policy for exempt salary structures and base salaries which seek to match average salaries in the competitive market at the beginning of the plan year.
(2) Market policy for nonexempt salary structures and base salaries which seek to match average salaries in the competitive market in the middle of the plan year.
(3) A job evaluation system for establishing appropriate job worth hierarchy.
(4.) A performance management system that supports a pay for-performance compensation philosophy.
(5) System for developing a compensation plan.
(6) System for planning and controlling compensation expenditures and evaluating the effectiveness of the program.
(7) System for documenting job content.
(8) System for communicating the compensation program to employees and managers.
b. Obtain DOE approval prior to changing compensation system component numbers I - 5 above.
c Obtain DOE approval on the salary surveys and survey participants used for market comparisons
d Develop a Salary Increase Plan (SIP) annually, if appropriate, for the expenditure of funds that is consistent with the company' s market policy, ability to pay, and relevant economic data, and obtain advanced DOE approval of this SIP.
The SIP will include the following:
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(1) Analysis of salary survey data and contractor' s market position for salary structures and base pay levels. Comparison of average pay and salary range midpoints to market average pay for benchmark positions.
(2) Identification of needed funds by payroll groups expressed as a percentage of the appropriate base payroll for the end of the previous plan year. All components will be identified therein, e g. merit, promotion, adjustment, lump sum, etc.
Unexpended portions of the SIP for one salary year are not carried into the succeeding salary year. All pay actions granted under the SIP are fully charged when they occur regardless of time of year in which the action transpires and whether the employee terminates before the year end (commonly called recovery).
(3) The Contractor will evaluate major changes occurring in a given year, such as significant reduction in Contractor employment levels and adjust the SIP if appropriate.
(4) Assessment of contractor' s financial condition to determine affordability of increasing compensation costs.
(5) Communication materials and tools for supervisors to help them plan salary actions to manage base salary relationships and pay for performance.
(6) Submit an annual expenditure report, DOE F3220.8, to include breakouts for merit, promotion, adjustments, lump sums, and structure movement for each payroll showing actual against planned amounts.
e. Assure no catch up occurs for monies saved as a result of the Secretary ofEnergy=s 1994 salary freeze in accordance with prior DOE direction.
3.2.3 Approval of Individual Compensation Actions
The Contractor will submit annually proposed individual salary actions for LaboratoryDirector and Deputy Laboratory Director positions for approval by DOE.
3.2.4 Other Pay Provisions
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a. Overtime
(1) Annually the Contractor will discuss with DOE, and when necessary or requested, develop and submit to DOE an overtime plan forecasting the overtime necessary to meet known work requirements. Overtime will be managed to provide for the safe and cost-effective utilization of human resources and efficient conduct of business. Performance will be reported to the DOE on an annual basis.
(2) Nonexempt salaried employees may be paid for overtime hours worked on the same basis as employees within the bargaining units defined in Section 3.1.
(3) Exempt salaried employees arc eligible for either straight time pay or compensatory time off when required to work at the direction of their management in excess of 45 hours per week, as follows:
a. Employees at or below Salary Grade 5 are eligible for straight time pay.
b. All exempt employees, except those eligible for incentive compensation, are eligible to earn compensatory time off at the rate of one hour earned for two hours worked. Individual compensatory time may not exceed 80 hours annually.
c. Casual overtime will not be paid.
(4) Employees in a capacity of supervisor may receive additional compensation when required to work extensive additional hours which result in serious inequities with other employees in the same work group.
b. Other Supplements
(I) Pay practices may apply to nonexempt salaried employees to the maximum allowable consistent with collective bargaining agreements for the following benefits:
Call-in Allowance Report for WorkChange in Working Schedule Saturday and Sunday WorkHoliday Pay Shift Differential
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Lunch Periods EMT PremiumMeal Allowances l icensing PaymentsOvertime and/or Premium Pay
(2) Saturday and Sunday Work - An exempt salaried employee who works on Saturday as part of the regular schedule may receive an additional twenty-five cents per hour for such work, unless such work is part of an extended work week.
An exempt salaried employee who works on Sunday as part of the regular schedule may receive an additional fifty cents per hour for such work, unless such work is part of an extended workweek.
These payments may not be included in earnings when calculating the employee's participation in the various benefit plans.
(3) Meal Allowances - An exempt salaried employee may be paid a meal allowance to the maximum allowable consistent with bargaining unit agreements set forth in Section 3.1.
(4) EMT Premium - An exempt salaried employee who is required by the company to carry the EMT Medical Technician Certification may be paid a premium consistent
O) with that paid under bargaining unit agreements listed in Section 3.1.O
(5) Licensing Payments - Where required to perform specific jobs in nuclear reactor operations related positions, a licensing payment for nuclear reactor controllers and related licensed positions is an allowable cost as long as the total compensation remains reasonable as supported by market data Licensing payments discontinue upon failure to receive the required periodic re-licensing.
c. Salaried Employees - Part Time Employment
Part-time employees may be hired regardless of the salary ranges that are to be used. Compensation, determined by time actually worked, will be calculated on the same basis as for full time, salaried employees at a rate comparable to that paid to regular employees in similar assignments. All part-time employees are considered nonexempt for overtime purposes consistent with Fair Labor Standards Act regardless of job classification.
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Part-time employees may participate in the following plans and activities:
Company Service Group Insurance Holiday Pay (if working)Jury Duly (scheduled workday) Layoff Allow ance Occupational Disability Overtime Premium
Credit Pension Plan Safety Programs and Awards Savings Plan Shift Differential
Vacation Plan
The cost of group health insurance premiums for part-time employees working 50 percent or greater is the same as regular employee premiums Part-time employees working less than 50 percent will pay the regular employee premium plus 50 percent of the company’s premium for health insurance. The cost of group life insurance will be the same as regular employee premiums for all part-time employees regardless of the hours worked. Vacation eligibility is prorated on the basis of total hours worked as a percentage of the regular schedule during the prior year (hours worked divided by 2080 hours). Part-time employees are eligible to convert to full-time status when management deems the change to be in the best interest of work performance under the Contract.
d Shift Differentials - Exempt Employees
Exempt salaried employees assigned to shift work will receive shift differential asfollows:
(1) Employees assigned to the standard rotating shift schedule may receive up to $65 a month.
(2) Employees assigned to the 4 p m. to 12-midnight shift or any variation of this shift, may be paid up to $60 per month
(3) Employees assigned to the 12 midnight to 8 a m shift or any variation of this shift, may be paid up to $110 a month
(4) Employees assigned to a rotating shift other than the standard rotating shift will be paid a combination of the appropriate differentials based on the percent of time worked on each shift.
(5) Employees assigned to an irregular shift may be paid the differential for the shift on which more than 50 percent of the hours were worked If time is equal, the highest rate may be used
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e. Holiday Pay
Hourly employees will be paid in accordance with collective bargaining agreements listed under paragraph 3.1 of this Appendix. Salaried employees working on scheduled holidays may be given holiday pay when schedules and contract requirements necessitating work to be scheduled on company observed holidays (which are listed under paragraph 4.2 of this Appendix). Holiday pay is paid at the rate of 2 times the employee's adjusted rate for nonexempt employees and 2 times the employee's adjusted rate for exempt employees in grades 5 and below. Exempt salaried employees above salary grade 5 are not eligible for a holiday pay premium.
3.3 Severance Pay
3.3.1 Severance Pav Benefit
a. General
Severance pay is payable to an employee who has three months or more of Company Service Credit and who is laid off on account of lack of work - unless the layoff is caused by a temporary suspension of work or the employee was hired for intermittent or casual work or as a temporary worker for a limited time or for a specific project.
If the Contractor reemploys an employee after having been paid a severance payment, Company Service Credit for any subsequent severance payment consideration shall start from the date of such reemployment If any individuals are reemployed by the Contractor prior to the end of the period covered by the severance pay (e g., received 20 weeks severance pay, but reemployed after 15 weeks), the difference must be refunded.
No severance pay is paid to employees who terminate their employment voluntarily, who are discharged, or who resign by Contractor request, except for:
(1) Medical reasons (i.e , those terminated due to contractor determination of mental or physical inability to perform available work).
(2) Voluntary Reduction in Force (VRIF) Programs: Situations wherein a reduction in force is necessary in an employee unit and an employee volunteers with Contractor consent to be laid off in the reduction in force in place of another person. All VRIF programs require prior DOE approval.
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b. Amount of Severance Pav
Severance pay will be calculated on the basis of the employee’s basic rate in effect at the time of layoff (including extended hours' pay, if any, but excluding all overtime premium or shift differential) and may be paid in accordance with the following schedules:
(I) Hourly Employees
Refer to the terms and conditions set forth in the applicable collective bargaining agreements listed in section 3.1 a of this Appendix for allowable costs.
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(2) Salaried Employees
Severance Pay
Under 3 months 3 months and under I year
I year and under 3 years 3 years and under 5 years 5 years and under 7 years 7 years and under 10 years 10 yearsII years or more
No paySame proportion of 1/2 month's pay as completed months of service are of 12 months l/2month's pay 3/4 month's pay1 month's pay 1-1/2 month's pay2 month's paysame for 10 years, plus 1/4 month for each additional year of service
3.3 2 Replacement Employer
Severance pay benefits are not payable when an employee is employed by or receives an offer of employment with a replacement contractor where continuity of employment with credit for prior length of service is preserved under substantially equal conditions of
O employment.
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4 Benefit Programs & Policies
The employee benefit plans, and related cost, described in this section are approved by DOE for application to employees working on this Contract and are reimbursable. In addition, retirees of this Contractor or the predecessor Contractor have limited coverage of these benefits.
The benefit programs will be designed and administered to attract, retain, and motivate competent and productive staff The programs will be competitive with labor markets from which employees are recruited, cost effective and in compliance with applicable laws and regulations.
Refer to the terms and conditions set forth in applicable collective bargaining agreements listed in this Appendix A, Section 3 1.a for allowable costs for hourly employees.
Contractor benefit programs will be designed and administered to attract, retain, and motivate competent and productive staff to support the DOE missions. In order to determine reasonableness of cost, the Contractor will:
a. Conduct a benefits value study (market assessment) every 2 years to evaluate the relative value of the overall benefits package
b. DOE and the contractor will mutually agree on the companies to be used in each benefits value study. DOE will receive a copy of the study.
c The contractor's net benefit value will be managed so as not to exceed the average net benefit value (from the benefits value study) with appropriate consideration for the financial health of the organization and the reasonableness of the total compensation package.
d. All changes to the contractor' s benefit programs will be approved by the DOE.
4.1 Company Service Credit
Company and Credited Service can be restored to employees in accordance with the Contractor' s Company and Credited Service policies. Policies will be administered consistently in accordance with applicable laws, and corporate rules.
a. In order to facilitate the retention of certain critically skilled employees within the DOF.management and operating, performance-based management, and environmental restoration and management contractor workforce systems, the Contractor may recognize (for the purpose of establishing appropriate vacation benefits) prior service credit earned while
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employed in the DOE system provided all the required criteria contained in Acquisition Letter 94-19 is met. The Director Human Resources and Diversity Programs must approve any grant of vacation credit.
b. When an individual is transferred to the service of the contractor from the DOE or from one of its contractors because of a DOE approved transfer of a function to the Contractor, such employees may be granted Company Service Credit for all of such previous DOE contract- related service provided that:
(1) the individual's service with the previous employer is essentially continuous with the time of transfer to the Contractor;
(2) the Company Service Credit thus allowed does not entitle the employee to buy back interest in employee benefits such as the Retirement Plan, but is limited to possible increased future benefits such as, but not limited to, vacations, non-occupational disability allowances, and layoff allowances; and,
(3) in all other respects the Company Service Credit will be allowed in accordance with the Contractor's Company Service Credit Rules.
c. UT-Battelle employees transferring directly from Battelle companies or the University of Tennessee will retain their Battelle or University of Tennessee hire-in or seniority date for the
02 purposes of vacation eligibility, and savings plan and pension plan vesting.05
4.2 Holidays
The Contractor observes the following holidays during the calendar year.
New Year's DayMartin Luther King, Jr. DayGood FridayLast Monday in MayIndependence Da)Independence Day Associated (or other day determined by the contractor)
Labor Day Thanksgiving Day Friday after Thanksgiving Christmas Associated Christmas
4.3 Short Term Disability Pay for Salaried Employees
Under the contractor's absence control program, a system to assure appropriate administrative actions are taken in a timely manner based upon medical evidence is implemented to assure
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reasonable sick leave usage and management of the Disability Allowance Program for both non- occupational and occupational disabilities. The schedule of maximum salary continuation for short term disabilities is as follows:
Company Service Time
One month but less than two months Two months but less than three months Three months but less than four months Four months but less than five months Five months but less than six months Six or more months
Duration of Salary Continuation
One month
Three months
Five months Six months
Salary continuation for short-term disabilities will be on a per disability basis. Ordinarily, salary payments during short-term disabilities will be made at the employee's adjusted rate. Any "loss-of- earnings" payments received, such as Workmen's Compensation Benefits in cases of occupational disability, will offset tire continued payments of salary.
4.4 Vacations
a. The cost of salaried employee vacations taken in accordance with the established vacation plan is allowable.
b. Eligible employees are strongly encouraged to use at least 80 hours of vacation each year.
Hire Dale Vesting/Accrual ScheduleESgfcifify
Credited Svc Vacation Hours Banking Maximum
Prior to 1-1-96 Upon attainment of 6 months Noneactual service during 1 - 4 yrs Nonethe 1st year 5 - 9 yrs. 120 240 hours
On December 31st 10 - 19 yrs 160 240 hoursthereafter 20 yrs and over 200 240 hours
' 30 yrs and over e240 240 hours
On or After 1-1-96 Accrual monthly 6 months 40 None
1 - 4 yrs 80 None
5 - 9 yrs 120 200 hours
10 19 yrs 160 200 hours20 yrs And over 200 200 hours
'Only employees with 15 years or more Credited Service years prior to 1-1-96 receive 240 hours
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4.4.1 Vacation Payments
a. An hourly employee who is deprived of a vacation at the end of the year due to a short-term disability, through management action, or because of unusual working conditions may receive payment for such vacation in addition to regular pay. A salaried employee similarly deprived of a vacation will receive equivalent time off in the following year unless the contractor authorizes payment for the vacation.
b. An individual may be paid for unused vacation at the time of termination
4.4.2 Vacation Exceptions
The Director Human Resources and Diversity Programs has authority to change vacationentitlement in two ways:
O)
(1) by rolling entitlement from one year to the next where work schedules did not permit the employee to use the vacation and banking is not available; or
(2) by granting up to two weeks of additional vacation eligibility on an exception basis to select new employees when, in the opinion of the Contractor, such an extraordinary entitlement is necessary to successfully hire the senior, critical, or key employee. In such exceptional cases, the individual would be eligible for either three or four weeks of vacation each year as authorized by the Director Human Resources and Diversity Programs until their company service would deem them eligible for more vacation
4.5 Leaves of Absence
4.5.1 Personal Leave
Salaried employees may be granted time off with pay for personal commitments which cannot be handled except during working hours and for tardiness due to severe weather conditions and similar occurrences which temporarily prevent the employee from reporting to work. The amount of time is limited to a maximum of 40 hours per calendar year. The Director Human Resources and Diversity Programs may authorize up to an additional 40 hours for extenuating circumstances
a. Personal leave is any excused absence which results in fewer hours worked than normally scheduled, and which is not granted as compensation for unpaid
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overtime worked or is not made up with overtime. Salaried employees may be excused from work for extenuating personal circumstances, such as serious illness in the immediate family, appearance in court as a witness other than for the contractor or DOE, or any similar circumstance which in the opinion of the Contractor warrants an excused absence and will not interfere with the Contractor's operations. Granting personal leave shall be prudently controlled, and vacation will be used for most personal circumstances, such as marriages, graduations, and similar occasions. The contractor shall maintain a system for approval and tracking of Personal Leave usage.
b. Personal leave with pay is at the employee's adjusted salary rate.
c. Hours paid for under the provisions of this policy do not count as hours worked toward Overtime and/or Premium pay.
4 5 2 Leave of Absence Without Pay
An employee may be granted a leave of absence without pay, of any duration, by the contractor provided the absence will not interfere with the Contractor's operations or create any conflict of interest Continuation of benefits during leave of absence without pay will be administered according to the Contractor' s leave of absence policy.
a Granting of company service for the full period of the leave (not to exceed 3 years) and restoration of vacation eligibility immediately upon return to work may be provided for employees who return to work from:
1. Leaves granted when it is in the company' s interest to make an employee's expertise or services available to DOE, another DOE contractor, another government agency, or to work-related agencies such as the International Atomic Energy Agency (Vienna), or the Center for Study of Communicable Diseases (Atlanta).
2. Entrepreneurial leaves granted to accelerate technology start up based on DOE developed technologies.
b Continuation of company service credit and/or immediate restoration of vacation upon return to work for any leave without pay other than those listed above require prior DOE approval if the leave exceeds 180 days.
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4.5.3 Paid Educational/Sabbatical Leave
a. Salary continuation and benefit costs will be allowable for the granting of paid educational/sabbatical leaves for the following purposes:
1. To obtain advanced degrees in fields of study, which, in the opinion of the contractor, will further the DOE mission.
Such leaves may be approved for a cumulative duration not to exceed 24 months per individual.
2. To teach or perform research at an accredited college, university or research institute.
Such leaves may be approved for a cumulative duration not to exceed 12 months per individual.
Salary continuation shall be offset by compensation received from the college, university or research institute.
b. No more than 4 individuals may be on paid educational/sabbatical leave at any given
c. The leaves require approval by the Director Human Resources and Diversity Programs.
d. If the employee does not return to active work after the approved leave period, the employee will be required to pay back the salary continuation and benefits costs received during the leave.
e. If the employee voluntarily leaves the Contractor' s payroll prior to working three years after returning to active work, the employee will be required to pay back the salary continuation and benefit costs on a prorated schedule based on the amount of time they have been back on the contractor' s payroll.
f No educational assistance, travel or relocation expenses will be paid to employees on these leaves of absence with pay.
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An employee who is called for jury duty will be protected against loss of pay for the period of time needed to fulfill the obligation.
Employees will be paid their adjusted rate of pay for the regular day I lours paid for under this policy will count as hours worked by salaried and hourly employees in the calculation of Overtime and/or Premium Pay.
4.7 Death Benefits - Salaried Employee Payments
In case of death of a salaried employee, salary payments may be continued until the end of the month following the month in which death occurs
4.8 Military Service. Training, and Emereencv Duty
Military service, training and emergency duty policies are administrated in accordance with applicable laws contractor policies and procedures
An employee will be granted a leave and protection against loss of pay for required military training and emergency duty. Such payments are limited to a maximum of two weeks per year (or four weeks every two years) for training and one month per year for emergency duty at the employee's adjusted rate.
An employee also may be paid for absences from work when required to register or take a physical examination required for entry into the armed forces
4.9 Community Service
4.9.1 Civic Leave
Employees holding elected federal, state, or local government office may be permitted to utilize a reasonable period of working time with pay to carry out responsibilities which are required by the office and cannot be handled outside working hours.
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4.9.2 Civil Defense/Emereencv Preparedness Exercises
Employees who have volunteered and have been accepted by a local Civil Defense Organization to participate in community or national defense alert operations or in Civil Defense/Emergency Preparedness training may be excused from work for such participation without loss of pay for scheduled hours of work.
4.9.3 Election Officials
An employee who has been officially appointed to serve as an election officer, judge, or clerk may be excused from work without loss of pay for the period of time necessary to serve in such capacity.
4.9.4 Voting Time
Employees may be excused from work without loss of pay for the minimum time needed to vote in a national, state, county, or municipal election consistent with state laws.
4.10 Group Insurance Plans
The Contractor will be reimbursed for all cost incurred in implementing, administering, and funding comprehensive group insurance plans. Initial implementations or substantial changes to
O these plans require DOE approval. The features of these plans are set forth in policies andsummary plan descriptions, a current copy of which will be provided to DOE. These plans will be administered consistently in accordance with Plan Documents, insurance contracts, applicable laws and fiduciary responsibilities.
The Contractor will periodically review the Plans to assure plan designs represent good business practices regarding the incorporation of cost containment features, and to assure the overall benefit package is reasonable from a total compensation perspective.
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Plan Current Contractor Cost
Group l ife Insurance Active salaried employees, retirees under 65 50% of full cost for basiclife.
Medical Expense including Prescription Drug and Active employees • 88% of full costVision Plans
Retirees (with greater than 10 years full time service) - 75% of full cost
Major Medical Medicare Supplement Plan Retirees (with greater than 10 years full time service) - 50% of full cost
Dental Expense Assistance Plan Active employees • 88% full cost effective July 1. 1996Retirees under 65 - 75% of full cost effective July 1 1996
Travel Insurance 100% of full cost
Special Accident Insurance Plan 0 - fully paid by employee
Long Term Disability Plan 100% of full cost for replacement income - 60% of salary
Medical and Dependent Care flexible SpendingAccounts
Administrative Cost only
• This table will be revised to reflect approved benefit plan changes when determined
4 10 1 Benefits Programs for Displaced Workers
a. The cost of medical plan coverage for contractor employees who have separated from employment, excluding those terminated “for cause,” will be reimbursable from the date of separation provided the employee was:
1. On the employment rolls and voluntary or involuntary separation on or after September 27, 1991, as a result of the implementation of a work force restructuring plan requested by the Secretary of Energy; and,
2. eligible for medical insurance coverage under the contractor’s plan at the time of separation; and,
3. not eligible for coverage under an employer’s group health plan or Medicare since the time of separation.
b. Retirees eligible for medical coverage under the Contractor’s health plan will not be eligible for coverage under Section 3161 of the National Defense Authorization Act of 1993.
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c. Benefits for displaced workers contained in a Workforce Restructuring Plan, developed pursuant to the National Defense Authorization Act of 1993, are reimbursable to the extent that a specific description of each benefit with supporting information and detailed projected costs has been reviewed and approved in advance by DOE, for inclusion in the Plan.
4.11 Pension & Savings Plans
The Contractor will be reimbursed for all costs incurred in implementing, administering, and funding the above plans. Initial implementations or substantial changes to these plans require DOE approval. The features of the Pension and Savings Plans are set forth in plan descriptions, current copies of which will be provided to DOE. These plans will be administered consistently and in accordance with applicable laws, Internal Revenue Service code, Plan Documents, and fiduciary responsibilities.
The Contractor will periodically review the Plans to assure that the plan design meets Contractor objectives to provide income replacement value consistent with industry standards, and to assure the overall benefit package is reasonable and competitive from a total compensation perspective. The contractor cost of these plans is included in the table below:
Contractor Cost
Pension Plan 100% contractor paid
Savings Plan 100% match up to 2% of pay50% match up to 4% of pay (4% of total pay)
4.11.1 Reports
The Contractor will submit copies of actuarial valuation reports (prepared by the Contractor's actuarial consultants), a copy of IRS Form 5500 with schedules as submitted to IRS, and other financial or accounting reports developed or required in connection with the DOE reimbursed Pension and Retirement Plans.
4.11.2 Non-Oualified Pension Plans
Non qualified Pension Plans implemented solely to replace the reductions in the Pension Plan benefit due to limitations imposed by Sections 415 and 401(a) 17 of the Internal
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Revenue Code are reimbursable under this contract These plans will provide employees with benefits provided under the formulae expressed in the contractor' s Pension plan and does not provide any additional benefit absent the Internal Revenue Code limitations. These benefits will be funded on a pay-as-you-go basis.
4.11.3 Incentive Compensation
The inclusion of performance based Incentive Compensation (IC) in pensionable earnings is an allowable cost with the following restrictions:
a. The normal cost to the pension plan will not exceed 535,000 per year.
c. No more than 14 active employees will be covered by IC at any one time.
d. UT Battelle, LLC will not exceed either the dollar amount or number of employees covered without prior written approval of the Contracting Officer or designee.
Note: The above Incentive Compensation excludes individuals covered under the SNS Human Resources Working Group Report. The approved Report addresses incentive compensation for the SNS project.
4.11.4 Contract Termination/Expiration
The contractor shall not terminate any benefit plan without DOE approval. All costs for claims arising from defined benefit plans and post-retirement life, medical, and other benefit liabilities for active and retired employees are obligations of the government. It is the intention of DOE not to entertain any enhancements in these programs after the contractor announces the intention not to renew the contract At the termination or expiration of this contract, the contractor's obligations to employees and retirees for these plans shall be relieved and indemnified by the government as described below:
a. Defined Benefit Plans
(I) If the contract terminates or expires and there is a replacement contractor, all assets and liabilities shall transfer to the replacement contractor, and the contractor shall be relieved of, and indemnified by DOE, against any and all liabilities arising from such plans.
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(2) If the contract terminates or expires and there is no replacement contractor, the plan shall be terminated in accordance with the provisions of ERISA and tire Internal Revenue Code (IRC). Annuity purchase bids will be solicited from a minimum of five of the ten largest insurance companies whose AM Best rating is A+ and who are currently quoting pension plan termination annuities. After all obligations for all liabilities (as defined in IRC 1.414(1)) of these defined benefit plans have been fully funded, as well as any related tax liability of the corporation, any remaining assets shall be returned to the DOE. If the assets are insufficient to cover pension obligations, DOE shall provide additional funding to cover such obligations.
(3) If the plan terminates before the contract terminates, the definition and disposition of assets and liabilities shall be as specified in paragraph (2)
(4) Under the scenarios described in paragraphs (I), (2), and (3), the contractor shall actively manage all assets until the date of settlement. Such management shall include protection of principal if appropriate.
b. Defined Contribution Plan
Upon contract termination, individual employee accounts in the defined contributionplan shall be handled in accordance with the provisions of ERISA. Any unallocatedfunds (e g., suspense accounts) shall be returned to the DOE.
c. Post-Retirement Life and Medical, and Other Benefit Obligations
(1) If the contract terminates and there is a replacement contractor, all assets and liabilities shall transfer to the replacement contractor, and the contractor shall be relieved of, and indemnified by DOE, against any and all further liabilities arising from such plans.
(2) If the contract terminates and there is no replacement contractor, DOE will make available to the contractor in a timely manner sufficient funds so that the contractor has no out-of-pocket expenditures from corporate funds to cover all liabilities incurred under this contract related to Contracting Officer approved employee welfare benefit plans (including but not limited to medical, life, and workers' compensation). If so requested by DOE at the time of contract termination or expiration, the contractor will continue as the sponsor of these plans until all liabilities of such plans are discharged.
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RA No. 1Effective 04/01/2000
d Taxes and IRS Penalties
If contractor action or inaction regarding plans approved by the Contracting Officer results in a tax or other IRS penalty, the contractor shall pay it from corporate funds.
If DOE action or inaction regarding plans approved by the Contracting Officer results in a tax or other IRS penalty, the contractor shall pay it from DOE funds.
4.12 Employee Assistance Program
The Contractor will provide for an Employee Assistance Program consistent with the Drug Free Workplace Act of 1988. This benefit will be administered in accordance with the contract between the contractor and the EAP vendor. Periodic internal reviews will be conducted to assess cost/benefit of program delivery
4.13 Funeral Leave
In the event of the death of a member of the employee's immediate family, a salaried employee may be granted leave with pay for up to four days.
4.14 Decision Making Leave
Time off with pay for a decision making leave under the Contractor' s discipline program is allowable
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RA No 1 Effective 04/01/2000
5. Employee Programs
5.1 Education & Training
a. Cooperative Educational Program
The Contractor may provide temporary employment opportunities for students under the cooperative education and student intern programs.
b. Educational Assistance Program
The Contractor may provide financial assistance to eligible employees who engage in educational activities in order to establish, maintain, or upgrade skill required by the Contractor. Eligible employees must satisfactorily complete courses of study to be eligible for assistance. Educational assistance may include payment for tuition, textbooks, and fees. Payment may also be made for proficiency testing, which results in the granting of academic credit or is otherwise required by the school.
Ci Oc. University Program Participation
The Contractor may permit a rescheduling of regular work hours or a reduction in the work schedule and corresponding reduction in pay for Contractor employees who are engaged in teaching, planning, or general management at local colleges or universities.
d. Training
The Contractor may conduct or permit employees to attend training programs and courses that are based on training needs assessments. These training courses should contribute to the performance of work under the contract and be provided at reasonable costs to the government.
Regular work hours may be rescheduled to attend classes provided that there is no significant reduction in the employee's productive contribution caused by the rescheduling Reduction of work schedules, with appropriate reduction of pay, and leaves of absence may be granted to facilitate course completion where deemed beneficial to pay for work under the Contract Employees participating in Educational Assistance Program may use facilities, equipment, and services in support of their studies if approved by management.
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RA No. 1Effective 04/01/2000
e. Benefit Plans Participation
Employees working on a reduced workweek schedule under 5. Lb and c will be permitted to participate in all employee plans, based on their full regular salaries and the continuation of full Company Service Credit.
5.2 Employee Recognition and Memberships
The costs of employee recognition programs and organizational and individuals memberships are allowable based on a budget formula not to exceed 1/4 of 1% of base payroll on September 30 of the prior fiscal year. Program costs include the following:
a. Company service awards for achieving service milestones consistent with the Corporate service awards program.
b. Safety awards and recognition to promote health and safety.
c. Awards, recognition, and celebrations for participating in management initiatives, special achievements, retirement, and similar activities to the extent that they are reasonable and consistent with industry practice.
d The costs of organization and employee memberships in trade, business, and technicalorganizations necessary for effective performance of work under the contract provided they are reasonable and do not constitute payments for, or in support of, partisan and political (lobbying) activity.
5.3 Patent Awards
Cash Awards of $500 may be made to each inventor (or each co inventor) for each invention filed in the U S. Patent and Trademark Office, which benefit the objectives of the Contractor and DOE.
Cash Awards of $ 150 may be made to each author (or each coauthor) of works (other than scientific and technical articles) for which the Contractor has asserted copyright for the purpose of registration and commercialization through licensing.
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RA No. 1Effective 04/01)2000
6. Travel and Relocation
a. The Contractor may pay transportation, lodging, meals, incidental, relocation, and other expenses for employees or other persons required to travel or move in conjunction with the performance of work under this contract. Allowable costs for travel and relocation include costs according to applicable provisions of the FAR and DEAR, the Federal Travel Regulations, and the Internal Revenue Service auto allowance. The Contractor may deviate in specific instances where it is determined to be economically advantageous to the DOE and to the extent such deviations conform to pertinent regulations and law. The Contractor will maintain records based on its determinations to deviate in specific instances sufficient for audit review.
b. When the Contractor requires employees to work at locations of significant distance from their regular assignment, on a temporary or permanent basis, geographic pay allowances may be appropriate. The intent is to keep employee's compensation and standards of living reasonably whole so that they suffer neither a significant financial loss nor gain because of the assignment.
c. Relocation costs are those costs incident to (1) the permanent change of duty station of an existing employee and (2) the recruitment of a new employee.
d. Costs incurred in the recruitment of personnel consistent with applicable provisions of the DEAR and FAR and Federal Travel Regulations are reimbursable.
O
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RA No. 1Effective 04/01/2000
7. Miscellaneous Policies
7.1 Participation in Association Activities
Cost incurred as a result of participation in the activities of technical, professional, and business methods associations will be allowed, as long as reasonable and necessary for the performance of effective work under the contract
7.2 Licenses and Fees
The costs of required licenses, fees, and similar costs to certify and maintain employee qualifications to perform work under the contract are allowable The Contractor will closely manage and control the number of licenses/fees to limit reimbursed costs to provide a sufficient number of qualified employees to reasonably perform the affected work under the contract.
7.3 Personnel Borrowed
The cost associated with Battelle company or University of Tennessee employees not working for UT-Battelle borrowed for incidental work under this contract is reimbursable. Reimbursement for the time such employees work under this contract will be allowable in accordance with the home operating unit's disclosed costing practices. Time worked under this contract will include the time spent by employees en route to and returning from the site of work. Travel cost of such borrowed personnel will be allowed on the same basis as for employees working on the contract.
7.4 Personnel Loaned
The Contractor may loan, at no cost to the government, individuals working under this contract to other operations as long as it does not interfere with the performance of contract work. Each loan arrangement will be reviewed to assure no conflict of interest and will be approved by the cognizant UT-Battelle Director. A cumulative report showing all employees loaned, along with the total days loaned and services provided, will be submitted to the DOE annually.
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RA No 1 Effective 04/01/2000
7.5 Personnel Support Activities
The Contractor will be reimbursed for costs for activities incidental to the promotion of morale, welfare, health, and safety of employees, such as employee publications; health and first aid clinics; net costs of in-plant food services (operated on a break-even basis); employees time to promote employee participation in Blood Drives, U S. Savings Bonds and United Fund campaigns; and other similar activities which may be sanctioned by the Contractor.
7.6 Protective Clothing
Employees who are required or allowed to wear special clothing, shoes and protective equipment for various reasons such as safety, housekeeping, protection from harmful chemicals or radioactive contamination, guard exercise clothing, etc , are furnished such items at no cost to the employees. Cost of providing and laundering of such special clothing are allowable costs. Safety glasses or goggles and safety shoes other than those furnished by the Contractor (one pair of which may be sold to any employee once every two years at $8 less than cost per pair in an attempt to prevent off-the-job lost-time accidents) are also allowable costs.
7.7 Security Suspension Pay
a. If the access authorization of an employee is suspended by direction of the Manager, Oak Ridge Operations Office, the Contractor shall transfer the employee to perform work not requiring access if such work is available. If a determination is made by the Contractor that no work is available in an uncleared area to which the employee may be transferred, the Contractor shall prepare a written report for the review and concurrence of DOE, setting forth the reasons for the determination. Subject to DOE' s concurrence with such determination, the Contractor shall place the employee on leave with pay at the employee' s current base compensation until the employee is notified in writing of the Hearing Officer's recommendation. If the Hearing Officer recommends revocation of access authorization the employee shall be placed on leave without pay. If the Hearing Officer recommends continuation of access authorization payment of the base wage shall be continued until final disposition of the case under Department procedures, 10 CFR Part 710.
b. In the event the employee whose access authorization has been suspended is transferred to another position where such access authorization is not required, compensation shall.
UT-Battelle, LLCContract No. DE-AC0500QR22725Appendix A
RA No. IEffective 04/01/2000
thereafter, be the base wage or salary received by the employee on the position from which transferred, and such compensation shall continue until the employee is notified in writing of the Hearing Officer's determination. If the Hearing Officer recommends revocation of access authorization, compensation will be adjusted to the rate applicable to the job being performed.
If the Hearing Officer recommends continuation of access authorization, the base wage previously received shall be continued until final disposition of the case under Departmental procedures, 10 CFR Part 710.
c. If at any stage of the access authorization procedure following a suspension, the employee’s access authorization is reinstated and returns to work in the same or comparable position, the employee shall be reimbursed for net loss of base earnings during the period of suspension.
7.8 Business Expenses
The following expenses to the extent reasonable and which contribute to the effectiveness of the Contractor’s work under the contract will be allowable:
a. Booklets and pamphlets describing the capabilities of the Contractor, eg, operational, financial, personnel, etc.
b. Cost of meetings, including cost associated with activities such as labor negotiations, recruiting, etc.
c. The cost of business meals is allowable to the extent reasonable and necessary for the effective performance of contract work. Tire Contractor shall establish and maintain effective internal controls.
7.9 Spallation Neutron Source fSNS) Project
Parties acknowledge that an SNS Working Group Report (“Plan to Assist in Recruitment of DOELaboratory Employees for the Spallation Neutron Source Project”) was approved by the DOEDirector of Office and Science as a pilot program and was implemented on September I, 1999.The SNS pilot will be evaluated on a periodic basis.
7.10 Key Personnel
Changes to key personnel must be approved by DOE.
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Academic Recommendation Summary (# V 7zt)l
UCSD POLICY & PROCEDURE MANUAL SECTION 230-20Effective: 10/1/94Supersedes: 10/1/92Issuing Office:
ACADEMIC RECOMMENDATION SUMMARYUCSD SCHOOL OF MEDICINE NAME_________________________
Last (in caps) First
DEPARTMENT_________________
COLLEGE______________________
Promotion
Normal
_Accel (# yrs___)
_Above Scale
Merit
Normal
Accel (# yrs___)
.No Change
Appraisal
4th Year
,6th Year
Initial
Reappointment
OS Salary Increase
EXHIBIT E
Present Status
Rank & Step.
Salary_____ Percent of Time.
scale)
Basis: 9-mo. _
Years at: Rank Step.
Department Vote, where applicable:
Merit:
Promotion:
Appraisal:
Problematic,
Chair Signature_____
Chair Name________
Yes.
Yes
No,
No
Proposed Status
Rank & Step_______________________
Salary_____________ Percent of Time
LBasis: 9-mo.
.scale)
11-mo.
Effective DatesBegin End
Number of Faculty Eligible to Vote_____
Abstain,
Abstain
Absent.
Absent
Favorable ______ Favorable with Reservations______
Unfavorable_________ Absent
Abstain
Date
(As of 6/30/___ )
PLEASE ATTACH THE U.C. ACADEMIC EMPLOYMENT HISTORY, INCLUDING: APPOINTMENT PERIOD, TITLE, STEP, PERCENT TIME AND DEPARTMENT
(Please Do Not Write Below This Line)
Years Toward 8-Year Limit:____________ Promotion to Associate Level Must Be Achieved by:
REVIEW ACTION Approve Disapprove Modify Date
SOM CAP
Dean - SOM
AARP/PSSRP/ARTS
Ad Hoc Committee
CAP
Vice Chancellor
Rev 9/94
72
Sample Wording for Soliciting Letters (# U V)V—7y~T4
UCSD POLICY & PROCEDURES MANUAL SECTION 230-20 Exhibit E-1Effective: 10/1/94 Supersedes: 10/1/92 Issuing Office:
TENURESAMPLE WORDING FOR SOLICITATION LETTERS
This department is considering John Jones for promotion to Associate Professor, with tenure, effectiveJuly 1, 199__. For this purpose, the University of California requires that we demonstrate the high qualityof the individual's research and scholarly accomplishments, teaching ability, and professional service. We will appreciate it if you will assist us by providing a frank assessment of the significance of Dr. Jones' research and of his professional standing. Do you feel that his accomplishments warrant promotion at this time?
It is my hope that you will be able to provide a critical evaluation of Dr. Jones' work rather than general statements of uncritical praise. A frank comparison with his peer group will be most helpful. To aid you, I enclose ...
PROFESSOR, STEP VI
This department is considering John Jones for advancement to Professor, Step VI, effective July 1,199_. The department will appreciate it if you will assist us by providing a frank assessment of thesignificance of Professor Jones' research and of his professional standing. Do you feel that his accomplishments warrant advancement at this time?
Advancement to Step Vi involves a career review. It requires evidence of highly distinguished scholarship, highly meritorious service, and evidence of excellent University teaching; in addition, great distinction, recognized nationally or internationally, in scholarly or creative achievement or in teaching is required.
The University of California divides the rank of Professor into eight steps. Steps VI, VII, and VIII — and the rank of Professor, Above-Scale - reward excellence beyond that needed to become full Professor.
PROFESSOR, ABOVE-SCALE
This department is considering John Jones for advancement to Professor, Above-Scale, effective July 1,199_. Advancement to Professor, Above-Scale, is reserved for scholars and teachers of the highestdistinction, whose work has been internationally recognized and acclaimed and whose teaching performance is excellent. The University of California divides the rank of full Professor into eight steps. The most distinguished rank of Professor, Above-Scale, rewards excellence beyond that needed to become Professor, Step VIII.
We will appreciate it if you will assist us by providing a frank assessment of the significance of Dr. Jones' research and of his professional standing. Do you feel that his accomplishments warrant advancement at this time.
ACCELERATION (Letters are Optional for Acceleration)
This department is considering a________-year accelerated merit/promotion of John Jones from_______, Step___ , to,_______ , Step___ , effective July 1, 199__. At the University of California, facultynormally stay at the rank of Associate Professor for six years prior to promotion to full Professor rank. There are eight steps at the Professor rank. Normal time of service at each of the first seven steps is three years; normally, one spends four years as Professor, Step VIII.
73
UCSD POLICY & PROCEDURES MANUAL SECTION 230-20 Exhibit E-1Effective: 10/1/94 Supersedes: 10/1/92 Issuing Office:
Accelerations are used to reward extraordinary contributions in research, teaching, or other scholarly and educational contributions. Accelerations require demonstration of unusual achievement and exceptional promise of continued growth. Can you assist us by stating whether you believe the accomplishments of Professor Jones satisfy these requirements?
[NOTE: Letters requested to support an acceleration should describe the magnitude of the acceleration and the stature of the proposed rank and step.]
ASSOCIATE PROFESSOR IN-RESIDENCE
This department is considering John Jones for promotion to Associate Professor In-Residence, effectiveJuly 1, 199_. For this purpose, the University of California requires that we demonstrate the high qualityof the individual's research and scholarly accomplishments, teaching ability, and professional service. We will appreciate it if you will assist us by providing a frank assessment of the significance of Dr. Jones' research and of his professional standing. Do you feel that his accomplishments warrant promotion at this time?
At the University of California, the In-Residence series parallels the Professorial Series, and both series involve equivalent review practices and standards for hiring and promotion. The primary difference is the manner in which the positions are funded. The expected accomplishments in research, teaching, and professional service are the same for both. Promotion to Associate Professor In-Residence, therefore, requires the same level of accomplishment as promotion to the tenured rank of Associate Professor.
RESEARCH SCIENTIST (APPOINTMENT)
This department is considering John Jones for appointment as Assistant/Associate/Research Scientist,effective July 1, 199_. For this purpose, the University of California requires that we demonstrate thehigh quality of the individual's research and scholarly accomplishments. We will appreciate it if you will assist us by providing a frank assessment of the significance of Dr. Jones' research and of his professional standing. Do you feel that his accomplishments warrant appointment at the proposed level?
At the University of California, the Professional Research Series parallels the Professorial Series, and both series involve equivalent review practices and standards for hiring and promotion. The primary difference is that teaching is not required of members of the Research series. The expected accomplishments in research and professional service are the same in both series.
PROJECT SCIENTIST (APPOINTMENT)
This department is considering John Jones for appointment as Assistant Project Scientist, effective July 1,199__. For this purpose, it is necessary to demonstrate the high quality of the individual's research andscholarly accomplishments. Project Scientists are expected to have the ability to make original and significant contributions to a research program. Appointees in this title normally are either ongoing members of a research team or employed for a limited period of time to contribute high-level skills to a specific research program.
We will appreciate it if you will assist us by providing a frank assessment of the significance of Dr. Jones' research and of his professional standing. Do you feel that he is a suitable appointment?
74
Sample Letter for Soliciting Evaluations from Outside Reviewers U3 U y*)\X=f«)
UCSD POLICY & PROCEDURE MANUAL SECTION 230-28 EXHIBIT K
Issuing Office: Academic Personnel
SAMPLE LETTER FOR SOLICITING EVALUATIONS FROM OUTSIDE REVIEWERS
October 25, 1994
Professor Harold Jones Department of History University of Pennsylvania Philadelphia, PA 19104
Dear Professor Jones:
** SEE NOTE BELOWThis department is considering John Doe for promotion to Associate Professor, with tenure, effective July 1, 199_ For this purpose, the University of California requires that we demonstrate the high quality of the individual's research and scholarly accomplishments, teaching ability and professional service. We would appreciate it if you would assist us by providing a frank assessment of the significance of Dr. Doe's research and of his professional standing. Do you feel that his accomplishments warrant promotion at this time?
It is my hope that you will be able to provide a critical evaluation of Dr. Doe's work rather than general statements of uncritical praise. To aid you, I am enclosing a copy of his curriculum vitae plus copies of some of his recent publications.
I realize that this is an extra burden to impose upon you. I apologize for this but the University of California system relies very heavily upon the evaluation of academic members by outside reviewers. Under University of California policy, the identity of authors of letters of evaluation which are included in the personnel review files will be held in confidence. A candidate may, upon request and at certain prescribed stages of the academic personnel review process, be provided access to such letters in redacted form. Redaction is defined as the removal of identifying information (including name, title, institutional affiliation, and relationship to the candidate) contained either at the top of the letterhead or within and below the signature block of the letter of evaluation.
The full text of the body of your letter will therefore be provided to the candidate if so requested. Thus, if you provide any information that tends to identify you in the body of the letter, that information may become available to the candidate. If you wish, you may provide a brief factual statement regarding your relationship to the candidate at the end of your letter but below the signature block. This brief statement will be subject to redaction and will not be made available to the candidate.
Although we cannot guarantee that at some future time a court or governmental agency will not require the disclosure of the source of confidential evaluations in University of California personnel files, we can assure you that the University will endeavor to protect the identity of authors of letters of evaluation to the fullest extent allowable under the law.
Thank you for your assistance in this matter.
Sincerely,
John Smith, Chair
Enclosures
* * NOTEFor appointments involving tenure; Professor, Step VI or Above-Scale; acceleration; In-Residence series; Research or Project Scientist series, see Exhibit E.l. for appropriate wording.
75
Identification and Qualifications of External Referees(* U xrf&)
IDENTIFICATION AND QUALIFICATIONS OF EXTERNAL REFEREES
ACADEMIC REVIEWS
Name_______
Department___
Proposed Action
LIST ALL LETTER RECIPIENTS - WHETHER OR NOT THEY RESPONDED.
A. Name: Selected by: Did Did NotTitle: Department Candidate Respond Respond
Institution:
Qualifications:
B. Name:______
Title:_______
Institution:___
Qualifications:
Selected by:Department Candidate
DidRespond
Did Not Respond
C. Name:Selected by: Did Did Not
Title: Department Candidate Respond Respond
Institution:
Qualifications:
(Use Additional Pages if Necessary) Rev. 9/94
76
## pJ^S^TTS V^o
SIS 03-3987-9379 FAX 03-3981-1059